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Coupled Mode Theory for Longitudinally Inhomogeneous Impedance

Waveguides

Conference Paper · June 2016

DOI: 10.1109/MSMW.2016.7538036

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 21-24 June 2016, Kharkiv, Ukraine

Coupled Mode Theory for Longitudinally

Inhomogeneous Impedance Waveguides
G.I. Zaginaylov1,2, A.V. Maksimenko1, K. Schünemann3
1
National Science Center “Kharkov Institute of Physics and Technology”,
2
V.N. Karazin Kharkov National University,
Kharkov, Ukraine
genzag@yahoo.com
3
Technishe Universität Hamburg-Harburg, Hamburg, Germany

Abstract—The well-known coupled mode theory is extended
to the case of irregular waveguides with impedance boundary
conditions on the walls. The developed theory is tested by
calculating mode conversion and quality factors of a typical THz
gyrotron cavity. High computational capabilities of the approach
developed are found and a good agreement with earlier results is
obtained.
Keywords—boundary value problems; Maxwell equations;
irregular waveguides; submillimiter wave technology; coupled
mode theory; gyrotrons.
I. INTRODUCTION
Longitudinally inhomogeneous waveguides with
impedance walls are frequently used for design and
optimization of mode conversion systems, resonators of
numerous electron devices (gyrotrons, TWT’s, BWO’s, etc.),
transmission lines, and other components of microwave
millimeter and sub-millimeter wave technique [1], [2].
Especially, it should be noted that a proper longitudinal
profiling of the cavity radius in THz gyrotrons operating at
higher cyclotron harmonics is used to suppress competition
with the lower cyclotron resonance excitations [3]. Such a
profiling should be performed with high accuracy. It is a
timely challenging design problem to improve THz gyrotron
operation.
Efficient tools for simulation of wave propagation in
irregular waveguides can be developed on the basis of cross-
section methods (CSM) which are direct generalization of
method of separation of variables.
The most widespread variant of CSM is based on vector
expansions of transverse fields [4], [5]. In this case transverse
fields of a reference waveguide (a regular waveguide with the
same cross-section as the irregular one at a current axial
position) serve as vector basis functions which are orthogonal
and complete [6]. Such a technique was widely and
successfully used for solution of different partial problems and
for creation of numerous computer codes for electronic device
convenient for numerical implementation along with the beam
dynamic equations.
Today due to the recent intense development of THz
technology and increasing applications of metamaterials in the
design of electron device components, investigations of
waveguides with impedance walls, which can model natural
ohmic losses and the electromagnetic properties of corrugated,
artificially structured or of randomly rough surfaces, are of
considerable interest. However, the direct extension of the
most widespread variant of the coupled mode theory [5], [6] to
inhomogeneous waveguides with impedance walls so far is
generally impossible without introducing simplifying
assumptions [8]. The only known possibility to develop such a
theory is to use curvilinear coordinates to transform the
irregular waveguide to the regular one (with non-uniform
anisotropic filling) and then to apply transverse expansions
[9], [10]. Such a procedure is associated with a tedious
analytical work, leads to the complicated set of coupled
differential equations and can be associated with other
mathematical and numerical difficulties.
The present paper extends the most widespread variant of
CSM to the case of irregular impedance waveguide. The
resulting set of coupling ordinary differential equations
(CODE) is derived directly after transverse expansions
without using the curvilinear coordinates and without any
simplifying assumptions. The method of derivation of CODE
utilizes ideas addressed in [11]-[14].
II. DERIVATION OF COUPLED MODE EQUATIONS
Consider a section of an irregular waveguide (see, Fig. 1)
with impedance conditions on its walls
[n ′E] = − Z [n ′[n ′H ]] , (1)
where the impedance Z may also depend on axial
coordinate z . Use the field representations [4], [5]
E ⊥ =  (V k′e ′k + V k′′e ′k′ ) , H ⊥ =  (I k′ h ′k + I k′′h ′k′ ) , (2)
k k

modeling [7], [8]. It allows us to convert Maxwell equations to
so-called generalized telegraphist’s equations. For waveguides
with ideal walls such a procedure can be performed without
any simplifying assumptions leading to a comparatively
simple set of ordinary differential equations which is
where e ′k and e ′k′ are normalized transverse electric fields
of TM and TE modes respectively of the reference waveguide
(regular waveguide with ideal walls), h ′k and h ′k′ are normalized
transverse magnetic fields of TM and TE modes of the

The work is supported in part by DAAD, Germany.

978-1-5090-2267-0/16/$31.00 ©2016 IEEE 1

 21-24 June 2016, Kharkiv, Ukraine

 
reference waveguide. A time dependence exp(−iωt ) is n′ n

assumed but omitted from now on. τ
Presentations (2) provide a uniform convergence of E r and θ

H ϕ inside S ( z ) (including C ( z ) ), and also a uniform  iz
iϕ
convergence of E ϕ and H r inside S ( z ) (without C ( z ) ). S (z )
Projecting Maxwell equations on the introduced vector C (z )
basis functions yields [9]
d
Vk =  TikVi + Δ k I k +  (ne ∗k )cos −1 θ Eτ dl , (3)
dz i C(z)
Fig. 1. A geometry of the irregular impedance waveguide. S ( z) is the
d
I k =  Tki I i + ΓkVk + (i / k )  (∇ ⊥ h ∗k ) Eϕ dl , (4) waveguide cross-section at axial position z , tgθ = dR ( z ) / dz ≡ R ′( z ) ,
dz i C(z)
n is the unit normal to the contour of the cross-section C ( z) lying in the
where k is the free space wavenumber, V k = {V k′, V k′′} , cross-section plane, n′ is the unit normal to the waveguide wall on C ( z) .
I k = {I k′ , I k′′} , expressions for Tik , Δ k , Γk , e k = {e ′k , e ′k′ } and
h k = {h ′k , h ′k′ } can be found in [8], [15], and i, k = 1,.., ∞ . d
V0 e imϕ = ∂Eϕ / ∂z + R′∂Eϕ / ∂r C ( z ) . (8)
dz
In the case of ideal walls ( E τ C(z)
= 0 , and E ϕ C (z)
= 0) eq. For E r and H ϕ we can use (2). Hence to transform (7) into an
(3), (4) become the well-known generalized telegraphist’s additional differential equation (to get a closed set of ordinary
equations [4], [5]. However, for impedance walls we cannot differential equations (3), (4) and (7)) it is necessary to express
use (2) directly to evaluate the surface integrals in (3), (4).
∂Eϕ / ∂r C ( z ) through the already introduced unknown functions
They would yield Eτ C ( z ) = sin θEn C ( z ) and E ϕ C ( z ) = 0 , what is
Vi , I i , V 0 and their derivatives. Proceeding similar as in [14],
incorrect since from (1) one follows
we start from the first Green formulas in the two-dimensional
Eτ = − ZH ϕ C ( z ) , Eϕ = ZH τ C ( z ) . (5) variant for functions exp(−imϕ) and E ϕ

∂Eϕ
 (e Δ ⊥ Eϕ + ∇ ⊥ (e −imϕ )⋅ ∇ ⊥ Eϕ )ds (9).
Due to this, to the best of our knowledge, there are no
e dl =
−imϕ −imϕ
methods known to transform (3), (4) equivalently into a set of C(z) ∂r S(z)
ordinary differential equations using (2). Just approximate
procedures are possible [8]. Below we suggest the solution of Then using Maxwell equations, it is possible to transform (9)
this problem. into
Using Maxwell equations H τ on C (z ) can be presented as ∂Eϕ 1  m2 +1 2 ∂ 2  2im 
=   −k − 2  Eϕ − 2 E r  ds .(10)
follows (for simplicity we will restrict ourselves to the case of ∂r 2πR S ( z )   r 2 ∂z  r 
a circular cross-section):
Due to the uniform convergence of (2) inside S (z ) , we
sin θ  im ∂E 
Hτ =  Ez − ϕ  + can substitute (2) into (8) and perform the integration term by
ik  r ∂z 
, (6) term. Also we can project (∂ 2 / ∂z 2 )E on the basis e k in the
+
cos θ  1 ∂
 ( )
rEϕ −
im 
Er  same manner as (∂ / ∂z )E at the derivative of (3) [4], [8], [15]
ik  r ∂r r  C(z) yielding
where m is the azimuthal index, and the azimuthal factor (∂ 2 / ∂z 2 ) E =  V~k e k =  Lˆ2V k e k , ( )
(11)
exp(imϕ) is assumed. k k

Substituting (6) into (5) one can get a relation on C (z ) : where L̂V ( ) k =
d
dz
V k −  Tik Vi , V = {Vi }i =1 .
i
∞

aE ϕ = bH ϕ − p(∂ / ∂z )E ϕ + q(∂ / ∂r )E ϕ , (7)

Hence performing the integration in (10) yields
where a = 1 − Z cos θ / ikR , p = Z sin θ / ik , b = −ξ Z , 2

′
ξ = mR / kR , and q = Z cos θ / ik .
∂Eϕ
∂r k
(
=  (ak − k 2 bk )Vk − bk Lˆ2V ( ) )e k
imϕ
, (12)

Introducing the new unknown function 1R

((m 2 + 1) e kϕ − 2ime kr ) r −1 dr , bk = 1  ekϕ rdr .
R

Eϕ C ( z ) ≡ Eϕ ( R ( z ), z , ϕ) = V0 ( z )e we have
imϕ where a k = 
R0 R0

2
 21-24 June 2016, Kharkiv, Ukraine

Substituting (11) into (7) and using (8) and (2) (for H ϕ and
E r ) one can transform it to the ordinary differential equation

pV 0′ − aV 0 − b I k hk −
( ( ) )= 0 , (13)
k

− (q + pR ′) (a k − k 2 bk )V k − bk Lˆ 2V k
k

where hk = hkϕ C(z)

. It is also not difficult to rewrite (3) and
(4) in terms of V 0

d ~
V k =  TkiVi +  Tki I i , (14)
dz i i

d ~
I k =  Tki I i + Γk V k + Γk V 0 , (15) Fig. 2. Field distributions of the operational and the largest spurious modes at
dz i
the first axial resonance (for better visuality the amplitudes of all modes in the
~
where Tki = Δ i δ ki + Zge k hi , g = 2πR cos −1 θ , e k = (ne ∗k ) C ( z ) , output uptaper section (the rectangle bounded by the dotted lines) are
increased fivefold).
~
Γk = 2πiRk −1 d k , d k = ∇ ⊥ h ∗k (
. ) C ( z) respect to the number of modes (propagating and
In many practical cases (gyrotron cavities, etc.) pV 0′ is of evanescent modes of both polarizations) and the number of
discretization points.
second or even third order of smallness and can be neglected
in (13), i.e. V 0 can be excluded resulting in a set of the same The accuracy of calculations has been controlled by
type as in the case with ideal walls, but with modified matrix inspecting the fulfillment of the energy conservation law
coefficients.
∂
− W = Pout + Pohm (17)
∂t
III. NUMERICAL EXAMPLE
To test the computational efficiency of the method 1   2  2
 dV is the electromagnetic
where W =  E + H
developed, we have calculated the resonant frequencies, 16 π V  
quality factors and field distribution inside the cavity of the energy stored inside the gyrotron cavity,
1THz gyrotron of [16] designed to operate on the TE4,12 mode
which has been analyzed earlier by other numerical methods с

 k
(I ′
k
2
k zk ) z = z out
+  V k′′ k zk
k
(* 2
) z = z out


and single mode approximation [17], [18]. P out = Re  
8π  k 
To consider a gyrotron cavity the set of equations (16)  
should be supplemented by the end conditions. Usually in is the output power, and
gyrotron theory, radiation condition are used which for our
case have the form P ohm =
Re [k δ ] + Im [k δ ]
8
R H
L
( ϕ
2
+ H τ
2
) C (z)
dz
kV k′ = k zk I k′ z = z out
, kI k′′ = k zk V k′′ z = z , V 0 z = z out
= 0 (16)
out
are the ohmic wall losses, and L is the cavity length.
where k zk are propagation constants of TM and TE modes
The field profiles for the operational and spurious modes
in the reference waveguide at z = z out , z out is the axial
are very similar to those obtained earlier in [17], [18] by the
coordinate of the output end of the cavity. other method based on the scalar expansions of Hertz
Impedance boundary conditions were used to model potentials [11]-[14]. The calculated operational frequency also
realistic wall losses: Z = (1 / 2)kδ(1 − i ) , where δ = c / 2πσω well agrees with the measured value [16].
is the skin depth of the wall material, σ is its conductivity
which has been assumed to be the same as in [17], [18], ω is TABLE I. THE FIRST AXIAL RESONANCE
the oscillation frequency, and c means speed of light in SMA with
SMA with losses SMA
vacuum. The coefficients a k and bk were calculated Multimode
considered self- presented
losses
approach considered non-
analytically, thus reducing them to the table integrals in e.g. consistently in [16]
self-consistently
[19]. Freq,
1013.65 1013.65 1013.67 1013.67
GHz
The infinite set of equations (13)-(15) with the end
conditions (16) was truncated and solved numerically by the Qtot 23821 23914 23720 21846
method of finite differences. Possible troubles concerning the Qohm 30348 29645 35324 26439
numerical analysis of the set of the first-order differential Q dif 103366 125359 72208 126712
equations were taken into account too (see, for example [15]).
Stable convergence of the numerical results was achieved with

3

The obtained results confirm a significant effect of the
ohmic losses on quality factor of a THz gyrotron cavity and
show a high level of mode conversion (in the output section
the amplitudes of the operational mode and its neighbor radial
satellites are comparable).
IV. CONCLUSION
The coupled mode theory has been developed for irregular
waveguides with impedance boundary conditions by
converting the Maxwell equations to a set of CODE. The
underlying mathematical approach is based on the cross-
section method in its most widespread formulation, i.e. using
two-dimensional expansions of the transverse fields. The
obtained set of differential equations is typically the same as
for waveguides with ideal walls, containing only one
additional differential equation. Hence the existing wide
experience concerning numerical analysis of such equations
can now be utilized.
The developed theory can be applied to the analysis of
numerous passive and active waveguide components, to the
transportation of electromagnetic radiation (especially in THz
range) and electron beams through waveguide structures, etc.
The difference of the developed approach compared to that
developed in [11]-[14] are as follows. First, the deferential
equations following from the boundary conditions are much
easier to be solved. Moreover, one of them can even be
excluded. Second, the developed theory can directly be
applied to problems of waveguide excitation by external
sources since the electron beam motion equations can be
formulated in terms of the same field expansions [15], while
some difficulties (mathematical and numerical ones) can
appear in adopting the approach of [11]-[14] for such
problems. Also the developed theory can serve as an
additional tool for independent control of the numerical
solutions of simulation problems. Such advantages can be vital
in the consideration of numerically complicated problems like
the optimization of overmoded sectioned or profiled cavities,
calculations of nonlinear mode competition in overmoded
cavities, etc.
Numerical tests were performed for the typical THz
gyrotron cavity [16]. The set of equations were solved by the
method of finite differences. Stable convergence with respect
to both the number of basis functions and the number of
discretization points was obtained as well as good consistence
with earlier results. Also it should be noted that our multimode
calculations are in satisfactory agreement with the results of
singe mode approximation on the basis of the same self-
consistent approach (except Q dif , which is lower on 20-25%)
but are more notably different from the SMA with ohmic
losses taken into account non-self-consistently and from the
SMA calculations addressed in [16].
ACKNOWLEDGMENT
Authors are very indebted to Prof. Yu.V. Gandel’ with the
Department of Mathematics and Informatics, V.N. Karazin
Kharkov National University, for consultations on
mathematical questions.
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21-24 June 2016, Kharkiv, Ukraine
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