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IEEE TRANSACTIONS ON ELECTRON DEVICES
S-Band High-Efficiency Metamaterial
Microwave Sources
Yanshuai Wang, Zhaoyun Duan, Senior Member, IEEE, Fei Wang, Shifeng Li, Yan Nie,
Yubin Gong, Member, IEEE, and Jinjun Feng, Senior Member, IEEE
Abstract— In this paper, we present an S-band compact
metamaterial microwave source, which is based on a rectangular
output coupler and a new all-metal metamaterial slow-wave
structure that has been proposed previously. Due to the reversed
Cherenkov radiation of the metamaterial, this metamaterial
microwave source can be considered as a new sort of backward
wave oscillators (BWOs). The S-band metamaterial microwave
source has been further studied and analyzed by using Ansoft
HFSS and CST Particle studio particle-in-cell solver. The sim-
ulated results show that the electronic efficiency of this S-band
metamaterial microwave source can go up to 90% with the peak
output power of 4.5 MW. When compared with conventional
BWOs, it has obvious advantages such as miniaturization and
high electronic efficiency.
Index Terms— Backward wave oscillators (BWOs), high
electronic efficiency, metamaterial, output coupler, slow-wave
structure (SWS).
I. I NTRODUCTION
S INCE the first realization of the metamaterial in 2000 [1],
the studies of different types of metamaterials and their
potential applications have attracted many researchers in recent
years. The metamaterials have some unique electromagnetic
properties, such as the negative refraction index, reversed
Doppler effect, reversed Cherenkov radiation (RCR) [2], which
enable a variety of unprecedented applications such as anten-
nas [3], cloaking [4], transmission lines [5], [6], terahertz
radiation [7]–[9], and optical applications [10]. In all the
applications, the metamaterial vacuum electron devices have
drawn a lot of attention [11]–[18].
Currently, the main challenges of the microwave vacuum
electron devices are to further miniaturize the size and improve
Manuscript received May 3, 2016; revised July 15, 2016; accepted
July 19, 2016. This work was supported in part by the National Natural
Science Foundation of China under Grant 61471091, Grant 61611130067, and
Grant 61531010, and in part by the National Defense Science Key Laboratory
Fund of China under Grant 9140C050101110C05. The review of this paper
was arranged by Editor M. Thumm. (Corresponding author: Zhaoyun Duan.)
Y. Wang, Z. Duan, F. Wang, S. Li, Y. Nie, and Y. Gong are with the National
Key Laboratory of Science and Technology on Vacuum Electronics, School
of Physical Electronics, Institute of High Energy Electronics, University
of Electronic Science and Technology of China, Chengdu 610054, China
(e-mail: mdwandz@126.com; zhyduan@uestc.edu.cn; 231444016@qq.com;
1278052696@qq.com; 787729233@qq.com; ybgong@uestc.edu.cn).
J. Feng is with the National Key Laboratory of Science and Technology on
Vacuum Electronics, Beijing Vacuum Electronics Research Institute, Beijing
100015, China (e-mail: fengjj@ieee.org).
Color versions of one or more of the figures in this paper are available
online at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/TED.2016.2593701
0018-9383 © 2016 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications_standards/publications/rights/index.html for more information.
1
the electronic efficiency. The metamaterial vacuum electron
devices might be able to provide a new solution to the
problems. Special metamaterials that consist of a periodic
array of all-metal unit cells are used to construct a slow-
wave structure (SWS). The metamaterial SWS exhibits some
unique characteristics, such as the RCR [19], in contrast
to the traditional SWSs employed in the vacuum electron
devices, the metamaterial SWS has a very high interaction
impedance due to the local strong electromagnetic response,
which means the great potential application to the high power
microwave (HPM) area [20]–[24]. However, for the metama-
terial HPM sources, there are still some problems that need to
be solved, such as the appropriate metamaterial, the suitable
high power capacity output coupler, the transport of an electron
beam, the heat dissipation, and the vacuum environment.
In this paper, a systematic study of an S-band metama-
terial microwave source has been done on the basis of the
previous work [25]–[27]. We present the detailed engineering
design of the S-band compact metamaterial microwave source,
and report the promising simulated results. In Section II,
the double-negative property of the metamaterial SWS is
described. Section III presents the detailed design of the
S-band metamaterial microwave source. Section IV concen-
trates on the simulation of beam–wave interaction and then
discusses the device performances. Finally, the conclusion is
presented in Section V.
II. C HARACTERIZATION OF A M ETAMATERIAL SWS
In our previous study [25], we have proposed a new
all-metal SWS, which consists of the array of complementary
electric split ring resonators (CeSRRs) and the empty circular
waveguide. The negative effective permittivity εxx and positive
effective permeability μxx (∼1.1) properties of the CeSRR
were described before. This fact shows that there is only
electrical response and no magnetic response. According to
Hrabar’s theory, the empty circular waveguide operating below
the cutoff frequency of TM01 mode (5.72 GHz) can provide the
negative permeability [28]. The effective permittivity and the
permeability are shown in Fig. 1 [28]–[30]. Therefore, the new
SWS can be equivalent to a double-negative metamaterial in
the band of the fundamental mode (quasi-TM mode), which
can support a negative index mode.
Based on the analysis of the metamaterial SWS, a novel
S-band metamaterial microwave source, which can be con-
sidered as a new sort of backward wave oscillators (BWOs),
 This article has been accepted for inclusion in a future issue of this journal. Content is final as presented, with the exception of pagination.
2 IEEE TRANSACTIONS ON ELECTRON DEVICES
Fig. 1. Effective permittivity and permeability of the metamaterial SWS with
period p = 25 mm.
Fig. 2. (a) Dispersion curve of the fundamental mode for the metamaterial
SWS. (b) Interaction impedance curve of the zeroth spatial harmonic defined
on the central axis of the beam tunnel.
has been designed and simulated in early work. The results
predict that the metamaterial SWS is valuable to the compact
HPM sources with high electronic efficiency. However, the
preliminary design of the metamaterial microwave source is
hard to be realized for the output coupler with high power
capability in engineering and the simulated results have not
completely revealed the advantages of the proposed metama-
terial microwave source.
III. D ETAILED D ESIGN P ROCEDURE OF THE
M ETAMATERIAL M ICROWAVE S OURCE
The detailed design procedure of the S-band metamaterial
microwave source is presented. It mainly includes the sim-
ulation of high-frequency characteristics of the metamaterial
SWS, designs of the output coupler and the focusing magnetic
field, and calculation of the interaction length.
A. High-Frequency Characteristics of the Metamaterial SWS
The SWS is the key component of the BWOs, in which the
interaction between the electromagnetic wave and the electron
beam takes place. The interaction impedance of the SWS
affects the beam–wave interaction efficiency and the output
power of the BWOs. The high interaction impedance advan-
tage of the metamaterial SWS shows great potential in the
applications of HPM sources. Based on the calculated results,
the period of the metamaterial SWS is chosen as p = 25 mm
to decrease the beam voltage in our design, and the other para-
meters of the CeSRR unit cell are unchanged [25]. The sim-
ulation results of the dispersion characteristics using Ansoft
HFSS 15.0 have been shown in Fig. 2(a). The interaction
Fig. 3. (a) Global view of the metamaterial microwave source. (b) Cutaway
view along the z-axis of the output coupler.
impedance of the zeroth spatial harmonic is defined by the
following:

kc0 = |E z0 |2 2β02 P (1)
where E z0 denotes the axial component of the electric field,
β0 is the phase constant of the zeroth spatial harmonic, and
P represents the transmission power along the axial direction.
Thus, its absolute value is shown in Fig. 2(b) by using HFSS
postprocessing procedure.
Fig. 2(a) shows that the bandwidth in which the phase
velocity of the electromagnetic wave v p is lesser than the speed
of light in vacuum is about 80 MHz, nearly four times of that
in the previous work [25]. Here, the phase velocity v p can be
obtained by using v p = 2π f /β0 according to the dispersion
curve, as shown in Fig. 2(b). As a result, the corresponding
range of beam voltage is about from 120 to 315 kV, while
the range of beam voltage is from 240 to 315 kV when the
period is 30 mm [25]. The fact means that the metamaterial
microwave source with p = 25 mm can work at a relatively
lower voltage, and it is helpful to the device miniaturization.
B. Output Coupler Design of a Metamaterial
Microwave Source
The output coupler is a very important component in the
microwave source, because it significantly affects the elec-
tronic efficiency, gain, and device stability. The coaxial line
loop output coupler adopted before encounters the difficulty
in assembling, and has a low power capacity, resulting in
a relatively low energy coupling efficiency [25]. The low
coupling efficiency of the output coupler requests a rela-
tively long beam–wave interaction length for the metamaterial
microwave source, which is unhelpful to miniaturization and
device stability. How to find a suitable output coupler for
the miniaturized metamaterial SWS with high power capacity
becomes an urgent problem to be solved. Here, we have
designed a rectangular waveguide output coupler, as shown
in Fig. 3.
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WANG et al.: S-BAND HIGH-EFFICIENCY METAMATERIAL MICROWAVE SOURCES
Fig. 4. (a) Peak output power of the output signal for the S-band metamaterial
microwave source with a rectangular waveguide output coupler. (b) Power
spectrum of the output signal.
Fig. 3 gives a global view of the new output coupler and
the proposed metamaterial microwave source. A rectangular
waveguide is used to construct the output coupler. In the
previous work, it has been verified that the generated signal in
the metamaterial SWS is a quasi-TM mode, while TE10 mode
is the dominant mode of a rectangular waveguide, which
means that the output signal can be magnetically coupled
from the metamaterial SWS to the rectangular waveguide. The
adjustable cylindrical cavity is used to form a beam tunnel, and
it can also increase the transverse magnetic field. The coupling
efficiency of the energy is influenced together by the radius of
the cylindrical adjustable cavity r2 and the dimensions a and
b of the waveguide, as marked in Fig. 3(a). It must be noticed
that the length d2 , marked in Fig. 3(b), is the most important
parameter that affects the coupling efficiency of energy from
the metamaterial SWS to the output cavity. The direction in
which the CeSRR unit cells are placed in the SWS also affects
the coupling efficiency. Through our optimization design, the
dimensions, shown in Fig. 3, are given here, a = 65 mm,
b = 22 mm, d1 = 3 mm, d2 = 7 mm, c = 50 mm (depending
on the specific conditions), and r2 = 8 mm.
In order to verify the advantages of the rectangular
waveguide coupler relative to the coaxial line loop designed
before, a particle-in-cell (PIC) simulation using CST Particle
Studio 2012 has been done, and the results are shown in Fig. 4.
One thing to point out is that all the operating parameters
are completely consistent with those in the earlier work [25]:
the beam voltage and the current are 314 kV and 40 A,
respectively, the period of the SWS is 30 mm, and the period
number is 15. As shown in Fig. 4(a), relative to the electronic
efficiency 31.5% in the previous work [25], the electronic effi-
ciency reaches 59.7% with the peak output power of 7.50 MW.
3
Fig. 5. Cross-sectional distributions of the electron beam at the end of beam
tunnel with different beam voltages and currents. (a) 200 kV and 15 A. (b)
240 kV and 25 A. (c) 240 kV and 35 A. (d) 310 kV and 60 A.
Here, the electronic efficiency ηe is defined as
ηe = Pout /(I ∗ V ) (2)
where Pout is the maximum value of the peak output power,
I is the beam current, and V is the beam voltage. The sim-
ulation results demonstrate that this new output structure can
dramatically improve the electronic efficiency and show the
advantages of the metamaterial microwave source. Fig. 4(b)
shows the pure power spectrum of the output signal. It can be
seen that the operating frequency of the signal is ∼2.425 GHz.
Note that the optimum parameters of the output coupler is also
suitable for the metamaterial SWS with p = 25 mm, which
is used in the following PIC simulations.
C. Design of the Focusing Magnetic Field
The radius of the beam tunnel for the metamaterial SWS is
r1 = 6 mm, and a pencil beam with a radius r3 = 3 mm is
used in our design. In order to effectively focus the electron
beam, a uniform longitudinal magnetic field is adopted and its
amplitude of the focusing magnetic field Bz should be higher
than the Brillouin value Bb . Here, we assume that Bz = 3Bb
is reasonable and Bb can be expressed as

Bb = (J/ε0 )η−3/2 (2/V )1/2 (3)
where J is the current density of the beam, ε0 is the permit-
tivity in vacuum, η is the charge–mass ratio of the electron,
and V is the beam voltage. From (3), it can be seen that
the Brillouin value Bb is associated with the beam voltage
and current. The final calculated value of Bb is 0.1 T after
considering all operating parameters, which means Bz is 0.3 T
in the simulation. The cross-sectional distributions of the
electron beam at the end of beam tunnel are shown in Fig. 5.
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4 IEEE TRANSACTIONS ON ELECTRON DEVICES

Fig. 6. Electronic efficiency with different period numbers of the metama-

terial SWS under different beam voltages and currents.

It can be found that the electron beam is effectively focused,

which in turn indicates the feasibility of our assumption of the
amplitude of the focusing magnetic field.
Fig. 7. Peak output power and electronic efficiency of the S-band metama-
terial microwave source with different currents. (a) 20 A. (b) 30 A. (c) 40 A.
D. Interaction Length Design of the Metamaterial (d) 45 A.
Microwave Source
The radius of the metamaterial SWS is only 20 mm
at ∼2.48 GHz, which means that the transverse dimension
is smaller than that of most other traditional SWSs at the
same operating frequency [26]. However, a 510-mm beam–
wave interaction length in the previous design weakens the
advantage of miniaturization. The self-oscillation is easy to be
caused if the beam–wave interaction length is too long, thus it
leads to reduce the electronic efficiency and to affect the device
stability. We have discussed the electronic efficiency with
different period numbers of the metamaterial SWS, as shown
in Fig. 6.
Fig. 6 clearly describes the optimum period number of the
SWS for the maximum electronic efficiency under different
beam voltages and currents. The electronic efficiency can
reach the maximum value at the period number N = 8 when
the beam voltage is lower than 180 kV, while the electronic
efficiency can reach the maximum value at the period number Fig. 8. Electronic efficiency versus the beam current with different beam
voltages. (a) 200 kV. (b) 240 kV. (c) 280 kV. (d) 310 kV.
N = 7 when the beam voltage is larger than 180 kV. In the
following simulation of the beam–wave interaction, we use
the simulation model with N = 7. The simulation results
efficiency and the peak output power under some currents,
show the beam–wave interaction length is only 165 mm.
as shown in Fig. 7(a) and (b).
When compared with p = 30 mm case [25], the beam–wave
In order to further investigate the device performance of the
interaction length is reduced by two-thirds.
metamaterial microwave source, PIC results of four different
beam voltage cases with a parameter of beam current are
IV. S TUDY OF B EAM –WAVE I NTERACTION shown in Fig. 8. It can be concluded that the electronic
In this section, the PIC simulations are carried out to further efficiency decreases with the increase of the beam current,
study the performance of the designed S-band metamaterial and the peak output power reaches saturation gradually.
microwave source. The calculated results under four different As shown in Fig. 8(b), the maximum electronic efficiency
beam current cases with the change of beam voltage are shown can reach 90% with the peak output power of 4.5 MW.
in Fig. 7. Based on the PIC simulation results, the beam Even when the peak output power reaches the saturated value,
voltage can be varied from 120 to 315 kV, corresponding to i.e., ∼12.25 MW, the electronic efficiency is higher than 65%,
the frequency of the generated signal that is changed from as shown in Fig. 8(d). It is obvious that this metamaterial
2.405 to 2.432 GHz. microwave source has higher electronic efficiency relative to
Fig. 7 shows that the operating frequency at which the elec- most of the conventional Cherenkov radiation effect-based
tronic efficiency reaches the maximum value is related to the devices.
beam current, and an increasing beam voltage (corresponding In addition, the PIC simulation results of the maximum
to the increasing frequency) may lead to reduce the electronic electronic efficiency and the saturated peak output power of
 This article has been accepted for inclusion in a future issue of this journal. Content is final as presented, with the exception of pagination.
WANG et al.: S-BAND HIGH-EFFICIENCY METAMATERIAL MICROWAVE SOURCES
Fig. 9. (a) Peak electronic efficiency and (b) saturated peak output power
of the S-band metamaterial microwave source.
the metamaterial microwave source in the main operating
frequency range are shown in Fig. 9, respectively. It is clear
that the peak output power increases with the increase of
tuning frequency, but the electronic efficiency dose not exhibit
the same trend. It can also be observed that the certain
frequency corresponding to the saturated peak output power
is not coincident with that corresponding to the maximum
electronic efficiency. The tunable bandwidth of the metama-
terial microwave source has been increased from ∼6 MHz
(in the previous work) to ∼20 MHz, it is relatively narrow.
However, the tunable bandwidth and the electronic efficiency
of the metamaterial microwave source can be effectively
improved by adding a drift tube, which is adopted in the
coupled-cavity SWS.
V. C ONCLUSION
We have presented the design of an S-band high-power
metamaterial microwave source based on an all-metal meta-
material. Compared with the conventional BWOs, the novel
one has the distinguished properties such as miniaturization
and high electronic efficiency. The electronic efficiency of the
S-band metamaterial source can go up to 90% with the peak
output power of 4.5 MW, and the saturated peak output power
is more than 12 MW with the electronic efficiency greater
than 65%. These results show that this S-band metamaterial
microwave source is a promising compact high-power vacuum
electron device. In the near future, we will do the related
experimental work.
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6 IEEE TRANSACTIONS ON ELECTRON DEVICES

[27] Y. Wang et al., “Metamaterial-based high-power microwave radiation Shifeng Li was born in Anhui, China, in 1990.
sources,” in Proc. 16th Int. Vac. Electron. Conf., Beijing, China, 2015, He is currently pursuing the Ph.D. degree in physical
pp. 1–2. electronics with the University of Electronic Science
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uniaxial negative permeability metamaterial,” IEEE Trans. Antennas His current research interests include sheet beam
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Yan Nie was born in Jiangsu, China, in 1991. He is
currently pursuing the master’s degree in physical
electronics with the University of Electronic Science
Yanshuai Wang was born in Shanxi, China, in 1986.
and Technology of China Chengdu, China.
He received the B.A. degree in applied physics from
His current research interests include
the University of Electronic Science and Technology
metamaterial-based vacuum electron devices.
of China, Chengdu, China, where he is currently
pursuing the Ph.D. degree with the National Key
Laboratory of Science and Technology on Vacuum
Electronics.
His current research interests include vacuum elec-
tron devices and metamaterials.

Yubin Gong (M’02) was born in Shandong, China,

Zhaoyun Duan (M’06–SM’10) was born in in 1967. He received the Ph.D. degree from the
Sichuan, China, in 1972. He received the University of Electronic Science and Technology of
Ph.D. degree in physical electronics from the China, Chengdu, China, in 1998.
University of Electronic Science and Technology of His current research interests include high-power
China, Chengdu, China, in 2004. vacuum electron devices and biomedical imaging.
He joined the Institute of High Energy Electronics
at UESTC from Dec. 2004. His current research
interests include the electromagnetic wave theory,
metamaterials and their important applications,
antennas, and high-power microwave/millimeter
wave vacuum electron devices.

Fei Wang was born in Anhui, China, in 1990. He is Jinjun Feng (M’94–SM’06) received the
currently pursuing the Ph.D. degree in physical B.S. degree from the Department of Electronics
electronics with the University of Electronic Science Engineering, Tsinghua University, Beijing, China,
and Technology of China, Chengdu, China. in 1988, and the M.Sc. and Ph.D. degrees
His current research interests include from the Beijing Vacuum Electronics Research
metamaterial-based devices and components. Institute (BVERI), Beijing, in 1990, and 2001,
respectively.
He has been the Deputy Director with the National
Key Laboratory of Science and Technology on
Vacuum Electronics, Beijing, since 2004, and a
Vice Chief-Engineer with BVERI since 2010.