IEEE Transactions On Microwave Theory and Techniques Vol 65 No 07 2017 07 7th Edition Microwave Theory and Techniques Society

IEEE Transactions on Microwave
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2017 07 7th Edition Microwave Theory
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JULY 2017 VOLUME 65 NUMBER 7 IETMAB (ISSN 0018-9480)
THIS ISSUE INCLUDES THE JOURNAL WITHIN A JOURNAL ON MICROWAVE SYSTEMS AND
APPLICATIONS
REGULAR PAPERS OF THE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

EM Theory and Analysis Techniques
Resonances in Axially Symmetric Dielectric Objects ......................................................... J. Helsing and A. Karlsson 2214
Modeling and Characterization of Slitted Parallel-Plate Waveguide With Applications for Slit-Based Planar
Structures ............................................................................................................. Y.-W. Hsu and Y.-C. Lin 2228
Finite Element Method for Resonant Cavity Problem With Complex Geometrical Structure and Anisotropic Fully Conducting
Media ............................................................................................ W. Jiang, J. Liu, X. Xiong, and Q. H. Liu 2240
A Finite-Element-Based Fast Frequency Sweep Framework Including Excitation by Frequency-Dependent Waveguide Mode
Patterns ...................................................................... R. Baltes, A. Schultschik, O. Farle, and R. Dyczij-Edlinger 2249
Devices and Modeling

Compact Modeling of Drain Current Thermal Noise in FDSOI MOSFETs Including Back-Bias Effect ................................
........................................................................... Y. Sahu, P. Kushwaha, A. Dasgupta, C. Hu, and Y. S. Chauhan 2261
Temperature-Dependent Access Resistances in Large-Signal Modeling of Millimeter-Wave AlGaN/GaN HEMTs ...................
.......................................................... X. Zhao, Y. Xu, Y. Jia, Y. Wu, R. Xu, J. Li, Z. Hu, H. Wu, W. Dai, and S. Cai 2271
Analytic Passive Intermodulation Model for Flange Connection Based on Metallic Contact Nonlinearity
Approximation .................................................... X. Zhao, Y. He, M. Ye, F. Gao, W. Peng, Y. Li, C. Bai, and W. Cui 2279
Passive Circuits
Bandpass-to-Bandstop Reconfigurable Tunable Filters with Frequency and Bandwidth Controls ........ T. Yang and G. M. Rebeiz 2288
Thin Bandstop Frequency-Selective Structures Based on Loop Resonator .................................... A. A. Omar and Z. Shen 2298
Substrate Integrated Waveguide L-Shaped Iris for Realization of Transmission Zero and Evanescent-Mode Pole ....................
................................................................................................................ M. Nosrati and M. Daneshmand 2310
An LC Decoupling Network for Two Antennas Working at Low Frequencies ................................. H. Meng and K.-L. Wu 2321
Compact and Multiband Electromagnetic Bandgap Structures With Adjustable Bandgaps Derived From Branched Open-Circuit
Lines ................................................................................................. Y. Kasahara, H. Toyao, and E. Hankui 2330
Multistate Multiresonator Spectral Signature Barcodes Implemented by Means of S-Shaped Split Ring
Resonators (S-SRRs) ....................................... C. Herrojo, F. Paredes, J. Mata-Contreras, S. Zuffanelli, and F. Martín 2341
Hybrid and Monolithic RF Integrated Circuits

Design of 6–18-GHz High-Power Amplifier in GaAs pHEMT Technology ................................ M. Meghdadi and A. Medi 2353
(Contents Continued on Page 2213)
(Contents Continued from Front Cover)
A 10-GHz Delay Line Frequency Discriminator and PD/CP-Based CMOS Phase Noise Measurement Circuit .......................
.................................................................................................................... S. Hao, T. Hu, and Q. J. Gu 2361
A Fully Integrated Broadband Sub-mmWave Chip-to-Chip Interconnect .... J. W. Holloway, L. Boglione, T. M. Hancock, and R. Han 2373
20-Mb/s GFSK Modulator Based on 3.6-GHz Hybrid PLL With 3-b DCO Nonlinearity Calibration and Independent Delay Mismatch
Control ......................................................................................... X. Li, S. Lv, W. Rhee, W. Jia, and Z. Wang 2387
An RF-Powered DLL-Based 2.4-GHz Transmitter for Autonomous Wireless Sensor Nodes .............................................
.................................................................................................. M. Stoopman, K. Philips, and W. A. Serdijn 2399
Waveform Engineering at Gate Node of Class-J Power Amplifiers ........................... A. Alizadeh, M. Frounchi, and A. Medi 2409
Instrumentation and Measurement Techniques
An Advanced Impedance Calibration Method for Nanoscale Microwave Imaging at Broad Frequency Range ........................
.................................................................................................... M. Kasper, G. Gramse, and F. Kienberger 2418
JOURNAL WITHIN A JOURNAL ON MICROWAVE SYSTEMS AND APPLICATIONS

JOURNAL WITHIN A JOURNAL PAPERS
Wireless Communication Systems
Modeling and Joint Mitigation of TX and RX Nonlinearity-Induced Receiver Desensitization ..........................................
......................................................... A. Kiayani, L. Anttila, M. Kosunen, K. Stadius, J. Ryynänen, and M. Valkama 2427
A Modified Decomposed Vector Rotation-Based Behavioral Model With Efficient Hardware Implementation for Digital Predistortion
of RF Power Amplifiers ................................................................................................. W. Cao and A. Zhu 2443
Digital Predistortion of Single and Concurrent Dual-Band Radio Frequency GaN Amplifiers With Strong Nonlinear Memory
Effects .................................................................................................. S. Amin, P. Händel, and D. Rönnow 2453
1-bit Observation for Direct-Learning-Based Digital Predistortion of RF Power Amplifiers ..............................................
....................................................................................... H. Wang, G. Li, C. Zhou, W. Tao, F. Liu, and A. Zhu 2465
Agile All-Digital DPD Feedback Loop ........................... A. Prata, J. C. Santos, A. S. R. Oliveira, and N. Borges Carvalho 2476
Wireless Power Transfer and RFID Systems
A Multiband Antenna Associating Wireless Monitoring and Nonleaky Wireless Power Transfer System for Biomedical
Implants ..................................................................................................................... R. Das and H. Yoo 2485
Efficient Four-Coil Wireless Power Transfer for Deep Brain Stimulation ....................................................................
........................................................................ C.-L. Yang, C.-K. Chang, S.-Y. Lee, S.-J. Chang, and L.-Y. Chiou 2496
Microwave Imaging and Radar Applications
A Phase Confocal Method for Near-Field Microwave Imaging ..... W. Shao, A. Edalati, T. R. McCollough, and W. J. McCollough 2508
Short-Range Wireless Localization Based on Meta-Aperture Assisted Compressed Sensing ..............................................
......................................................... T. Zhou, H. Li, D. Ye, J. Huangfu, S. Qiao, Y. Sun, W. Zhu, C. Li, and L. Ran 2516
Ultra-Wideband Joint Spatial Coding for Secure Communication and High-Resolution Imaging ........................................
........................................................................................ H. Aggrawal, R. Puhl, C. Studer, and A. Babakhani 2525
Generalized RF Time-Domain Imaging Technique for Moving Objects on Conveyor Belts in Real Time .............................
........................................................................................................ Z. Akhter, A. K. Jha, and M. J. Akhtar 2536
Patch-Probe Excitation for Ultrahigh Magnetic Field Wide-Bore MRI .......................................................................
.................................................... P. Bluem, A. Kiruluta, P.-F. Van de Moortele, A. Duh, G. Adriany, and Z. Popović 2547
Microwave Sensors and Biomedical Applications

A Metamaterial-Inspired Wideband Microwave Interferometry Sensor for Dielectric Spectroscopy of Liquid
Chemicals ....................................................................... A. P. Saghati, J. S. Batra, J. Kameoka, and K. Entesari 2558
Dual Mode Microwave Microfluidic Sensor for Temperature Variant Liquid Characterization ...........................................
........................................................................................... A. A. Abduljabar, N. Clark, J. Lees, and A. Porch 2572
Multipath Suppression With an Absorber for UWB Wind Turbine Blade Deflection Sensing Systems .................................
.................................................................... S. Zhang, O. Franek, P. C. F. Eggers, C. Byskov, and G. F. Pedersen 2583
Performance Evaluation of an Ultra-Wideband Transmit Diversity in a Living Animal Experiment .....................................
................................................. Y. Shimizu, D. Anzai, R. Chavez-Santiago, P. A. Floor, I. Balasingham, and J. Wang 2596
Peak-Power-Limited Frequency-Domain Microwave-Induced Thermoacoustic Imaging for Handheld Diagnostic and Screening
Tools ................................................................................................................. H. Nan and A. Arbabian 2607
Microwave Photonics
Low-Drift Optoelectronic Oscillator Based on a Phase Modulator in a Sagnac Loop ..... S. E. Hosseini, A. Banai, and F. X. Kärtner 2617
Tunable Low-Jitter Low-Drift Spurious-Free Transposed-Frequency Optoelectronic Oscillator ...........................................
.................................................................................................. S. E. Hosseini, A. Banai, and F. X. Kärtner 2625
Bias-Independent and Self-Calibrated Electrical Method for Microwave Characterization of Dual-Parallel
Mach–Zehnder Modulators Based on Two-Tone and Bias-Swing Modulation ...........................................................
................................................................................... H. Wang, S. Zhang, X. Zou, Y. Zhang, S. Liu, and Y. Liu 2636
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L UCA P ERREGRINI
S T ÉPHANE B ILA PATRICK FAY T ZYH -G HUANG M A M ARTIN VOSSIEK
Univ. of Pavia
XLIM Univ. of Notre Dame NTUST Univ. of Erlangen–Nürnberg
Pavia, Italy
Limoges, France Notre Dame, IN, USA Taipei, Taiwan Erlangen, Germany
J OSE C ARLOS P EDRO X UDONG C HEN A NDREA F ERRERO A RUN NATARAJAN J OHN W OOD
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Aveiro, Portugal Singapore Santa Rosa, CA, USA Corvallis, OR, USA Raleigh–Durham, NC, USA
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IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES 1
Resonances in Axially Symmetric Dielectric Objects

Johan Helsing and Anders Karlsson
Abstract— A high-order convergent and robust numerical materials [9] at microwave frequencies, but otherwise WGMs
solver is constructed and used to find complex eigenwavenumbers have been less exploited in microwave technology than in
and electromagnetic eigenfields of dielectric objects with axial optics.
symmetry. The solver is based on Fourier–Nyström discretization
of combined integral equations for the transmission problem and Common numerical methods for the determination of
can be applied to demanding resonance problems at microwave, electromagnetic resonances in dielectric objects include the
terahertz, and optical wavelengths. High achievable accuracy, finite-element method (FEM) [10], the boundary integral
even at very high wavenumbers, makes the solver ideal for equation (BIE) methods [11]–[13], the discrete dipole
benchmarking and for assessing the performance of general- approximation method [14], and the null-field method [15].
purpose commercial software.
The method used in this paper belongs to the category of BIE
Index Terms— Axial symmetry, body of revolution, boundary methods, which comprise a variety of formulations and tech-
integral equation (BIE), dielectric resonator, electric field inte- niques. In [16], the integral equations derived in [17, Sec. 23]
gral equation (EFIE), magnetic field integral equation (MFIE),
Nyström method, whispering-gallery mode (WGM). were applied to scattering from dielectric objects. We use
a related set of integral equations and a modification of the
Fourier–Nyström scheme of [13], which in turn draws on the
I. I NTRODUCTION
progress in [12] and [18]–[21].
T HIS paper is about the fundamental problem of deter-

mining resonances of axially symmetric homogeneous
dielectric objects in vacuum. The problem is formulated as
Most BIE methods for transmission problems use the
electric and magnetic surface current densities as unknowns.
A particular feature of this paper is that we also let the
an eigenvalue problem based on a combination of the electric surface charge densities be unknowns. There are two reasons
field integral equation (EFIE), the magnetic field integral for this: first, the problem of evaluating compact differences
equation (MFIE), and two charge integral equations (ChIEs). of hypersingular operators in the classical Müller formula-
It is solved numerically using a high-order convergent dis- tion is avoided. Second, numerical differentiation of surface
cretization scheme. A motivation for this paper is to be currents for the evaluation of eigenfields is avoided. As a
able to produce very accurate evaluations that can serve as result, our scheme can be made higher order and attain
benchmark tests for other methods. This aim has led us to use extraordinary accuracy. It can easily solve resonance prob-
a formulation that, with our scheme, gives the most accurate lems that, to our knowledge, have previously been essentially
evaluations. inaccessible.
In microwave technology, dielectric resonators are interest- We remark that the use of unknown surface charge densities
ing as they are cost-effective and lead to significant minia- to improve the performance of numerical schemes is not
turization, particularly of microwave integrated circuits. They new. It was introduced as a way to overcome the, so-called
give excellent performance to antennas [1] and filters [2]. low frequency breakdown problem of BIE methods in [22]
A nice review of dielectric resonators in microwave technology and was further developed for this purpose in [23] (see
is given in [3]. Resonant dielectric objects also play an impor- also [24, Appendix A]). In [12] and [13], it was recognized that
tant role in the recent progress in nano-optics. A good example the use of unknown surface charges is numerically favorable
is axially symmetric structures that exhibit whispering-gallery also at higher frequencies.
modes (WGMs) [4]. WGMs have large Q-factors (commercial This paper is organized as follows. Section II describes
micro-optical WGM resonators can have Q > 108 ) and their the geometry and formulates our problem in terms of partial
eigenfields are confined to a small volume in the outer part differential equations (PDEs). Section III introduces integral
of the dielectric object. These properties are very useful in representations of electric and magnetic fields in terms of
the design of microcavity lasers [5] and extremely sensitive surface densities, derives the integral equations, and discusses
sensors [6] and for the generation of frequency combs [7], [8]. their relation to the Müller integral equations. Section IV
WGMs have been used for determining electric properties of restricts the analysis to axially symmetric objects. Fourier
Manuscript received September 22, 2016; revised December 9, 2016 and series expansions are used to express the homogeneous system
January 8, 2017; accepted January 10, 2017. This work was supported by the of integral equations, from which wavenumbers and surface
Swedish Research Council under Contract 621-2014-5159. densities representing eigenfields are obtained in a form that
J. Helsing is with the Centre for Mathematical Sciences, Lund University,
221 00 Lund, Sweden (e-mail: helsing@maths.lth.se). is well-suited for discretization. Section V defines useful
A. Karlsson is with the Electrical and Information Technology, physical quantities and relates them to the surface densities.
Lund University, 221 00 Lund, Sweden (e-mail: anders.karlsson@eit.lth.se). The numerical method is described in Section VI. Some
Color versions of one or more of the figures in this paper are available
online at http://ieeexplore.ieee.org. challenging numerical examples, involving various types of
Digital Object Identifier 10.1109/TMTT.2017.2653773 resonant modes, are given in Section VII.
0018-9480 © 2017 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.
2 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES
The electric field is everywhere scaled with the free space

wave impedance η0 such that E = η0−1 E unsc , where E unsc is
the unscaled field. Then E and the magnetic field H have the
same dimensions.
Sources can be located in a bounded volume Vs1 in V1 and
Vs2 in V2 and generate time harmonic incident fields with
complex electric and magnetic fields E inc inc
1 and H 1 in V1 and
inc inc
E 2 and H 2 in V2 . These give rise to the scattered fields
E sca and H sca in V1 and V2 . We prefer to work with the total
electric and magnetic fields E and H, which are the sum of
the incident and scattered fields. From the Maxwell equations
it follows that the total fields satisfy the system of PDEs:
∇ × E(r) = ik j H(r) , r ∈ V j \ Vs j ; j = 1, 2 (4)
∇ × H(r) = −ik j E(r), r ∈ V j \ Vs j ; j = 1, 2 (5)
k2 = mk1 (6)
where k1 = ω/c and k2 are the wavenumbers in V1 and V2 ,
ω is the angular frequency, and c is the speed of light in
vacuum. We use the time dependence e−iωt . Then m{m} > 0,
since the material in V2 is assumed to be passive. From now
on we will, for the most part, omit the subscript of k1 and
Fig. 1. Geometry described in R3 and in R2 . (a) Outward unit normal ν write the (vacuum) wavenumber in V1 as k.
and tangent vector τ at a point r on . The volume outside is V1 and the The boundary conditions on are
volume inside is V2 . (b) Radial distance ρ, azimuthal angle θ , and height z of
a point r. The domain A and the generating curve γ . (c) Half-plane H with lim ν ◦ · E(r) = lim m 2 ν ◦ · E(r), r ◦ ∈ (7)
2-D vectors. V1 r→r ◦ V2 r→r ◦
lim ν ◦ × E(r) = lim ν ◦ × E(r), r ◦ ∈ (8)
V1 r→r ◦ V2 r→r ◦
II. P ROBLEM F ORMULATION lim ν ◦ × H(r) = lim ν ◦ × H(r), r ◦ ∈ (9)
V1 r→r ◦ V2 r→r ◦
A. Geometry lim ν ◦ · H(r) = lim ν ◦ · H(r), r ◦ ∈ (10)
V1 r→r ◦ V2 r→r ◦
The notation is the same as in [13]. In particular, is an
axially symmetric surface enclosing a body of revolution V2 and the radiation condition for the scattered field in V1 is
in R3 , the unbounded exterior to is V1
eik|r| 1
E (r) =
sca
F(r̂) + O , |r| → ∞,
r = r̂|r| = (x, y, z) = (ρ cos θ, ρ sin θ, z) (1) |r| |r|

θ is the azimuthal angle, ρ =
R3 , + (x 2 y 2 )1/2 , eik|r| 1
is a point in H sca (r) = r̂ × F(r̂)+O , |r| → ∞ (11)
and r̂ is the radial unit vector. The outward unit normal ν on |r| |r|
is where F is the electric far-field pattern (see [25, eq. (6.23)]).
Our resonance problem can now be formulated as follows:
ν = (νρ cos θ, νρ sin θ, νz ) (2)
we seek nontrivial solutions to (4)–(11) when the incident
and fields are zero. The solutions are the eigenwavenumbers k and
the eigenfields E and H.
ρ = (cos θ, sin θ, 0)
θ = (− sin θ, cos θ, 0)
C. Radiation Condition at Complex Wavenumbers
τ = (νz cos θ, νz sin θ, −νρ )
We shall solve (4)–(11) using a BIE method where the
z = (0, 0, 1) (3) integral equations are derived from integral representations of
are other unit vectors [see Fig. 1(a) and (b)]. E and H containing the Green’s function
The angle θ = 0 defines a half-plane H in R3 . The eik|r−r |
intersection of H and is the generating curve γ , points in H k (r, r )= . (12)
4π|r − r |
are denoted r = (ρ, z), the planar domain bounded by γ and
the z-axis is A, the outward unit normal on γ is ν = (νρ , νz ), The radiation condition (11) is then automatically satisfied and
and τ = (νz , −νρ ) is a tangent [see Fig. 1(c)]. says that, for real k and in the far zone, the scattered field is
an outward traveling spherical vector wave.
At resonances, the eigenwavenumbers k are complex with
B. PDE-Formulation a negative imaginary part. The condition (11) then says
The domain V2 is a homogeneous dielectric object with that the eigenfields grow exponentially at large distances.
constant complex refractive index m. In V1 there is vacuum. This is required for the fields to satisfy causality and for the
HELSING AND KARLSSON: RESONANCES IN AXIALLY SYMMETRIC DIELECTRIC OBJECTS 3
corresponding time domain fields to be exponentially decaying B. Integral Equations

as em{k}ct in time. Causality says that the fields of a resonance We now form a system of BIE on . It comes from
at a time t and at a distance |r| from an object left the object using (17) and (18) in the definitions (13)–(16) and taking the
at time t −|r|/c. The attenuation implies that at time t −|r|/c, limits r → r ◦ ∈ . Each definition gives rise to two BIEs:
the fields in the object were e−m{k}r times stronger than at one for r ∈ V1 and one for r ∈ V2 .
time t, in accordance with (11). The BIEs coming from r ∈ V1 are
The condition (11) is vital in the derivation of integral
representations of E and H in V1 . In [26, Sec. IIC], it is E + 2ν · (N E + KM s − ikS J s ) = 2ν · E inc
1
shown that such derivations also hold for eigenfields with M s − 2ν × (N E + KM s − ikS J s ) = −2ν × E inc
1
complex eigenwavenumbers, despite their exponential growth
J s − 2ν × (ikS M s + K J s − N M ) = 2ν × H inc
1
in the radial direction.
M − 2ν · (ikS M s + K J s − N M) = 2ν · H inc
1 . (22)
III. I NTEGRAL R EPRESENTATIONS AND E QUATIONS The BIEs coming from r ∈ V2 are
This section gives integral representations of E and H along E E + m K̃M s − im k S̃ J s )

− 2ν · (Ñ 2 2
= 2m 2 ν · E inc
2
with our system of BIEs for a general 3-D dielectric object. −2
M s + 2ν × (m Ñ E + K̃M s − ik S̃ J s ) = −2ν × E inc
2
The integral representations use four fictitious surface densities
J s + 2ν × (im 2 k S̃ M s + K̃ J s − Ñ M ) = 2ν × H inc
on : the magnetic and electric surface current densities M s 2
M + 2ν · (im k S̃ M s + K̃ J s − Ñ M ) = 2ν · H inc
2 .
2
and J s , and the electric and magnetic surface charge densities
E and M . The system of BIEs contains the EFIE, the MFIE, (23)
the electric ChIE (EChIE), and the magnetic ChIE (MChIE).
The order of the equations in (22) and (23) is from top to
bottom: EChIE, EFIE, MFIE, and MChIE.
A. Surface Densities and Integral Representations We collect the systems (22) and (23) in block operator form
The densities M s , J s , E , and M are defined from a Q1 σ = f 1 (24)
viewpoint in V1 . With r ◦ ∈
Q2 σ = f 2 (25)
◦ ◦ 2 ◦
E (r )≡ lim ν · E(r) = lim m ν · E(r) (13) where
V1 r→r ◦ V2 r→r ◦
◦ ◦ ◦ ⎡ ⎤ ⎡ ⎤ ⎡ ⎤
M s (r ) ≡ lim E(r) × ν = lim E(r) × ν (14) E ν · E inc
1 m 2 ν · E inc
2
V1 r→r ◦ V2 r→r ◦ ⎢ M s⎥ ⎢−ν × E inc ⎥ ⎢−ν × E inc ⎥
J s (r ◦ ) ≡ lim ν ◦ × H(r) = lim ν ◦ × H(r) (15) σ =⎢ ⎥
⎣ Js ⎦ f 1 =2 ⎢ 1 ⎥
⎣ ν × H inc ⎦ f 2 =2 ⎢ 2 ⎥
⎣ ν × H inc ⎦
V1 r→r ◦ V2 r→r ◦ 1 2
◦
M (r )≡ lim ◦
ν ◦ · H(r) = lim ν ◦ · H(r). (16) M ν · H inc
1 ν · H inc
2
V1 r→r V2 r→r ◦
(26)
The second equalities in (13)–(16) hold when the boundary
and where Q1 and Q2 are square block operator matrices.
conditions (7)–(10) are met.
The system (24) is modulo normalization constants, identical
Our integral representations of E(r) and H(r) are for r ∈
to [22, eq. (18)]. Our resonance problem means that we must
V1
find simultaneous nontrivial solutions to (24) and (25) when
E(r) = E inc f 1 = f 2 = 0.
1 (r) − N E (r) − KM s (r) + ikS J s (r),
H(r) = 1 (r) +
H inc ikS M s (r) + K J s (r) − N M (r) (17)
C. ChIE-Extended Formulation and Its
and for r ∈ V2 Relation to the Müller BIE
−2 We adopt a combination of (24) and (25), which we refer
E(r) = E inc
2 (r) + m Ñ E (r) + K̃M s (r) − ik S̃ J s (r)
to as the ChIE extended formulation as it contains the electric
2 (r) − im k S̃ M s (r) − K̃ J s (r) + Ñ
H(r) = H inc 2
M (r) (18) and magnetic surface charge densities as unknowns
where the integral operators S, N , and K are defined by their (Q1 + Q2 )σ = f 1 + f 2 . (27)
actions on scalar or vector surface densities g(r) and g(r) as
In Section VII-B, we make a benchmark comparison
S g(r) = k (r, r )g(r ) d (19) between a scheme based on (27) and a scheme based on the
combination of BIE presented by Müller in [17, p. 319]. The
N g(r) = ∇ k (r, r )g(r ) d (20) Müller combination is
Q3 σ M = f M (28)
Kg(r) = ∇ k (r, r ) × g(r ) d (21)
where
and S̃, Ñ , and K̃ are defined analogously, but with replaced Ms
k σM = (29)
by k2 . Js
and D. Physical Resonances

−ν × (E inc
1 + m E2
2 inc
Our goal is to find eigenwavenumbers k for the homoge-
fM = 2 . (30)
ν × (H 1 + H inc
inc
2 ). neous version of (27)
In accordance with [16], we refer to it as the classical Müller
combination. It can be modified to a version that is often (Q1 + Q2 )σ = 0 (37)
preferred for method of moment schemes
and to evaluate their corresponding eigenfields E and H from
Q4 σ M = f M . (31) (17) and (18) via σ . The eigenwavenumbers have m{k} < 0
and constitute an infinite countable set.
The matrix operators in (28) and (31) are given in
(32) and (33), as shown at the bottom of this page, where
IV. A XIAL S YMMETRY
Lg(r) = ∇ (∇ k (r, r )) · g(r )d
So far our analysis is valid for arbitrary dielectric objects.
P g(r) = ∇ k (r, r )∇ · g(r )d . (34) We now restrict it to objects with axial symmetry and perform
an azimuthal Fourier transformation of (24) and (25) and of
The combinations (27) and (31) are related via (17) and (18) to obtain modal integral equations and modal
i representations of E and H. The fields E and H are expressed
E (r) = − ∇s · J s (r) (35) in the cylindrical coordinates (ρ, θ, z) as
k
i
M (r) = − ∇s · M s (r) (36) E(r) = ρ E ρ (r) + θ E θ (r) + z E z (r)
k
where ∇s · () is the surface divergence. H(r) = ρ Hρ (r) + θ Hθ (r) + z Hz (r). (38)
The operators L and L̃ in (28) are hypersingular, but The densities M s and J s are decomposed into the two
the hypersingularities cancel out in the difference L − L̃. tangential directions τ and θ (see Fig. 1) as
By that (28) becomes a system of Fredholm second kind
integral equations with compact integral operators [17, p. 300]. M s (r) = τ Mτ (r) + θ Mθ (r)
The hypersingularities are still present in the integral repre- J s (r) = τ Jτ (r) + θ Jθ (r). (39)
sentations of the electric and magnetic fields and need to be
handled with care in the evaluation of the fields close to .
It is not straightforward to implement (28). This is one reason A. Fourier Series Expansions
why (31), which does not contain hypersingular operators,
Let g(r) represent a surface density or a right-hand side and
is an alternative. Our versions of Q1 and Q2 are free from
let G represent an integral operator of Section III-A or III-B
hypersingular integral operators, but they do contain singular
with rotationally invariant kernel G(r, r ). The azimuthal
operators defined only in the sense of the Cauchy principal
Fourier coefficients gn (r ) and G n (r, r ) of the functions g(r)
value and do not all cancel out in the sum Q1 + Q2 .
and G(r, r ) are
Müller showed two additional properties of his classical π
formulation under the condition that consists of only one 1
gn (r ) = √ e−inθ g(r)dθ (40)
closed regular surface. 2π −π
1) The system (27) has a unique solution σ for wavenum- 1 π
bers k with 0 ≤ arg{k} < π [17, Th. 68]. G n (r, r ) = √ e−in(θ−θ ) G(r, r )d(θ − θ ). (41)
2π −π
2) With σ as the unique solution to (27), the corresponding
fields E and H obtained from (17) and (18) are solutions The azimuthal index n takes values n = 0, ±1, ±2, . . .. Modal
to the Maxwell equations [17, Th. 69]. By that they also integral operators G n are defined in terms of the coefficients
satisfy (4)–(11). G n (r, r ) as
A conjecture is that the ChIE-extended formulation (27) also √
has these properties. Furthermore, in our numerical experi- G n gn (r ) = 2π G n (r, r )gn (r )ρ dγ . (42)
γ
ments with f 1 = f 2 = 0, we check that all nontrivial
solutions to (27) also solve (24) and (25) to the same precision The singularities of G(r, r ) are inherited by G n (r, r ) in the
and that (35) and (36) hold (with a few digits lost in the sense that weakly singular operators G on correspond to
numerical differentiation). We have not been able to detect weakly singular operators G n on γ , and that the same holds
any solution to (27) that violates these tests. for Cauchy-type singular operators.
(1 + m 2 )I − 2ν × (K − m 2 K̃) 2ikν × (S − m 2 S̃ + k −2 (L − L̃)

Q3 = (32)
−2ikν × (S − m 2 S̃ + k −2 (L − L̃)) −2ν × (K − K̃)
(1 + m 2 )I − 2ν × (K − m 2 K̃) 2ikν × (S − m 2 S̃ + k −2 (P − P̃)
Q4 = (33)
−2ikν × (S − m 2 S̃ + k −2 (P − P̃)) −2ν × (K − K̃)
B. Modal Integral Equations E zn (r ) = K 13n En − iK 9n Mτ n − K 10n Mθn

Using (39) and with the notation (40), the Fourier coef- + ik S11n Jτ n (49)
ficients of the vectors in (26) each gets six scalar entries
(transformed scalar surface densities) and
⎡ ⎤ ⎡ inc ⎤ ⎡ 2 inc ⎤
En E 1νn m E 2νn Hρn (r ) = ik S7n Mτ n + k S8n Mθn + iK 5n Jτ n
⎢ Mτ n ⎥ ⎢ E inc ⎥ ⎢ E inc ⎥ + K 6n Jθn + K 11n Mn
⎢ ⎥ ⎢ 1θn ⎥ ⎢ 2θn ⎥
⎢ Mθn ⎥ ⎢−E inc ⎥ ⎢ −E inc ⎥
σn = ⎢ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥ Hθn (r ) = k S9n Mτ n + ik S10n Mθn + K 7n Jτ n
⎥ f 1n = 2 ⎢−H inc ⎥ f 2n = 2 ⎢ inc ⎥ .
1τ n 2τ n
⎢ Jτ n ⎥ ⎢ 1θn ⎥ ⎢ −H2θn ⎥ + iK 8n Jθn + iK 12n Mn
⎣ Jθn ⎦ ⎣ H inc ⎦ ⎣ H inc ⎦
1τ n 2τ n
Mn
inc
H1νn inc
H2νn Hzn (r ) = ik S11n Mτ n + iK 9n Jτ n + K 10n Jθn
(45) + K 13n Mn . (50)
The modal counterpart of (24) and (25) becomes The modal representations of the fields in V2 are
Q1n σ n = f 1n (46) E ρn (r ) = −m −2 K̃ 11n En + i K̃ 5n Mτ n + K̃ 6n Mθn

Q2n σ n = f 2n . (47) − ik S̃7n Jτ n − k S̃8n Jθn
The block operator matrices Q1n and Q2n are given in E θn (r ) = −im −2 K̃ 12n En + K̃ 7n Mτ n + i K̃ 8n Mθn
(43) and (44), as shown at the bottom of this page, where I − k S̃9n Jτ n − ik S̃10n Jθn
is the identity, Sin and K in , with various indices i , are modal E zn (r ) = −m −2 K̃ 13n En + i K̃ 9n Mτ n + K̃ 10n Mθn
operators stemming from S, N , and K and generally defined − ik S̃11n Jτ n (51)
via (41) and (42), and the tilde symbol means the replacement
of k by k2 as explained in Section III-A. The operators Sin and
are weakly singular. The K in are weakly singular for i = ν,
1, 2, 3, 4 and Cauchy-type singular for i = 12, 24, 25, 26. Hρn (r ) = −im 2 k S̃7n Mτ n − m 2 k S̃8n Mθn − i K̃ 5n Jτ n
All modal operators in (43) and (44) are detailed − K̃ 6n Jθn − K̃ 11n Mn
in [13, Appendix A] except for K in , i = 24, 25, 26, which Hθn (r ) = −m 2 k S̃9n Mτ n − im 2 k S̃10n Mθn − K̃ 7n Jτ n
are given in the Appendix.
− i K̃ 8n Jθn − i K̃ 12n Mn
Hzn (r ) = −im 2 k S̃11n Mτ n − i K̃ 9n Jτ n − K̃ 10n Jθn
C. Modal Representations of E and H
− K̃ 13n Mn . (52)
Once the modal counterpart of (27)
Here the operators Sin and K in , with various indices i , are
(Q1n + Q2n )σ n = f 1n + f 2n (48)
detailed in [12] and [13, Appendix A].
has been solved for σ n , modal representations of E and H
can be constructed from modal counterparts of (17) and (18). D. Eigenwavenumbers, Eigenfields, and Fundamental Modes
The modal representations of the fields in V1 are
The eigenwavenumbers at a prescribed refractive index m
E ρn (r ) = K 11n En − iK 5n Mτ n − K 6n Mθn are wavenumbers k for which, for some azimuthal index n,
+ ik S7n Jτ n + k S8n Jθn there exist nontrivial solutions σ n to the homogeneous version
of (48)
E θn (r ) = iK 12n En − K 7n Mτ n − iK 8n Mθn
+ k S9n Jτ n + ik S10n Jθn (Q1n + Q2n )σ n = 0. (53)
⎡ ⎤
I + 2K νn −2iK 25n 2K 26n −2ik S5n 2k S6n 0
⎢ −2iK 12n I − K 1n −iK 2n 2k S3n −2ik S4n 0 ⎥
⎢ ⎥
⎢ 2K 24n −iK 3n I − K 4n 2ik S1n −2k S2n 0 ⎥
Q1n =⎢
⎢
⎥ (43)
⎢ 0 −2k S3n 2ik S4n I − K 1n −iK 2n 2iK 12n ⎥
⎥
⎣ 0 −2ik S1n 2k S2n −iK 3n I − K 4n −2K 24n ⎦
0 −2ik S5n 2k S6n 2iK 25n −2K 26n I + 2K νn
⎡ ⎤
I − 2 K̃ νn 2im K̃ 25n −2m K̃ 26n 2im k S̃5n −2m 2 k S̃6n
2 2 2 0
⎢ 2im −2 K̃ I + K̃ 1n −2k S̃3n ⎥
⎢ 12n i K̃ 2n 2ik S̃4n 0 ⎥
⎢ −2 ⎥
⎢−2m K̃ 24n i K̃ 3n I + K̃ 4n −2ik S̃1n 2k S̃2n 0 ⎥
Q2n =⎢ ⎥ (44)
⎢ 0 2m k S̃3n −2im k S̃4n
2 2 I + K̃ 1n i K̃ 2n −2i K̃ 12n ⎥
⎢ ⎥
⎣ 0 2im 2 k S̃1n −2m 2 k S̃2n i K̃ 3n I + K̃ 4n 2 K̃ 24n ⎦
0 2im 2 k S̃5n −2m 2 k S̃6n −2i K̃ 25n 2 K̃ 26n I − 2 K̃ νn
∞ Prad (0) + Pdiss (0)

Our resonance problem now means finding such numbers W (0) ≡ P(t)dt = . (61)
k, corresponding eigendensities σ n , and eigenfields E n (r), 0 2α
H n (r) represented by (49)–(52). We use the standard definition of the Q-factor which,
In [13], it was shown how to form the physical time-domain with (55), can be written as
fields E n (r, t) from the Fourier coefficient vector E n (r ). It
was shown that one can let E ρn (r ) = E ρ(−n) (r ). Then the W (t) e{k}
Q ≡ ωr =− (62)
physical component E ρn (r, t) becomes P(t) 2m{k}
1 and introduce
e{(E ρn (r )einθ + E ρ(−n) (r )e−inθ )eiωt }. (54)
E ρn (r, t) =
2 W (t)
Qrad = ωr (63)
Since ω = kc, we get Prad (t)
W (t)
ω ≡ ωr − iα = e{k}c + im{k}c (55) Qdiss = ωr (64)
Pdiss (t)
where ωr is the real angular frequency and α is the attenuation so that from (57) and (62)
constant. Then
1 1 1
E ρn (r, t) = e{E ρn (r )e−iωr t } cos nθ e−αt . (56) = + . (65)
Q Qrad Qdiss
This is a standing wave in the azimuthal direction. Also, The radiated power from V2 equals the real part of the
E zn (r, t) and Hθn (r, t) are proportional to cos nθ whereas Poynting vector integrated over
E θn (r, t), Hρn (r, t), and Hzn (r, t) are proportional to sin nθ .
If one lets E ρn (r ) = −E ρ(−n) (r ), then cos nθ and sin nθ are 1
Prad (t) = e ν · (E n (r ) × H ∗n (r ))ρdγ e−2αt
exchanged in all components. 2 γ

It is convenient to introduce the concept of the fundamental 1
mode. The fundamental mode, for a given n, is the resonance = e (Mθn (r )Jτ∗n (r )− Mτ n (r )Jθn
∗
(r ))ρdγ e−2αt .
2 γ
with the smallest value of | e{k}|. For large n, it has properties (66)
that distinguish it from other resonances: its electric and
magnetic fields are confined to a small volume in V2 and are From Gauss theorem and the Maxwell equations, it also
strongly attenuated in the proximity of that small volume. The follows that:
exponential growth of the fields, in concordance with (11),
is only seen at large distances. The ratio ωr /α is large. Prad (0) = −Pdiss(0)
Fundamental modes with large n are WGMs and are important − m{k} (|H n (r )|2 + e{m 2 }|E n (r )|2 )ρ d A
in optical applications as described in Section I. A
(67)
V. P OWERS , E NERGIES , AND FAR F IELDS
and due to (61)
There is no inner product under which the eigenfields are
1
orthogonal and it is also impossible to uniquely define a stored W (0) = (|H n (r )|2 + e{m 2 }|E n (r )|2 )ρ d A. (68)
energy, a radiated power of an eigenfield, and a normalization. 2c A
It is, nevertheless, relevant to introduce approximate expres- Apart from a scale factor η0 (see Section II), the expres-
sions for these quantities and to define the related Q-factor. We sion (68) is the standard expression for the electromagnetic
define the stored energy as the electromagnetic energy stored energy in a volume.
in V2 and define the radiated power as the power radiated The skin depth
from . The sharpness, or quality, of these definitions becomes
better as | e{k}|/|m{k}| increases. δ = (m{m} e{k})−1 (69)
Assume a single resonance with azimuthal index n that is
excited by an incident field for t < 0 and that there are no is a measure of m{m}. It is derived from the attenuation of
incident fields for t ≥ 0. According to (56), the physical a plane wave that impinges at normal incidence on a lossy
eigenfield then oscillates with the angular frequency ωr and half-space, but is also a measure of the attenuation of waves
attenuates as e−αt for t ≥ 0. For t ≥ 0 we let Prad (t) in dielectric objects. When
denote the radiated power through averaged over one period δ diam(V2 ) (70)
[t, t +T ], Pdiss(t) the dissipated power averaged over the same
period, and W (t) the stored electromagnetic energy in V2 at a number of approximations are valid. The electric and
time t. Conservation of energy and (56) lead to the relations magnetic eigenfields inside V2 and on are, to a high
degree, independent of m{m}. It then follows, from (66)
P(t) = Prad (t) + Pdiss (t) (57)
and (68) that Qrad is independent of m{m}. It also holds
−2αt
Prad (t) = Prad (0)e (58) that
Pdiss(t) = Pdiss (0)e−2αt (59) e{m}
Qdiss ≈ . (71)
W (t) = W (0)e−2αt (60) 2m{m}
The normalized far-field pattern of a mode with azimuthal of Qn− 1 (χ) as χ → 1+ ; a strategy for when to use forward
2
index n is the φ-dependent function or backward recursion for the evaluation of Qn− 1 (χ); tem-
2
|F n (φ)| porary mesh refinement (upsampling) coupled with temporary
(72) increase of the quadrature order on γ .
max |F n (φ)|
0≤φ≤π The discretization of the modal representation of E and H
where F n (φ) is the Fourier coefficient of F in (11), and by for r ∈ / γ in Section IV-C is done in analogy with the
that discretization of (53).
F n (φ) = lim e−ik|r| |r |E n (r ). (73)

|r|→∞ B. Modifications
The far-field pattern tells us in what directions the stored The discretization of a G (ns)
n becomes more difficult as
energy in V2 is radiated. By reciprocity, it also indicates what n grows. The domain where the known asymptotics of its
direction an incident wave should have in order to excite a kernel is useful becomes narrower and forward recursion
resonance. Far-field patterns are included in the numerical for Qn− 1 (χ) becomes increasingly unstable. In the previous
2
examples of Section VII. work, we let each quadrature panel along γ be temporarily
divided into at most four subpanels for the resolution of
VI. D ISCRETIZATION Qn− 1 (χ) at arguments close to unity and we used (expensive
2
The Fourier–Nyström discretization scheme for (53) is but stable) backward recursion whenever χ > 1.0005. Here,
adopted from [13]. This section gives a brief overview we allow up to six subpanels and use backward recursion, as
and describes some modifications that are appropriate when in [28], whenever χ > 1.0001.
solving (53) at high wavenumbers. Eigenwavenumbers are found with Broyden’s method,
which is one of the simplest and most effective secant updating
methods for solving nonlinear systems [29]: let λ(k) be the
A. Overview smallest magnitude eigenvalue of the system matrix in (53) at
Let G n be a generic modal integral operator of the type wavenumber k. We seek eigenwavenumbers k as solutions to
encountered in (53) and let G n (r, r ) and G(r, r ) be related the system
to G n as in Section IV-A. We split G n (r, r ) into a smooth
and a nonsmooth function e{λ(k)} = 0
m{λ(k)} = 0 (77)
G n (r, r ) = G (s) (ns)
n (r, r ) + G n (r, r ) (74)
(s) where e{k} and m{k} are considered as independent
where G n (r, r ) is zero when r and r lie close to each unknowns. For an initial guess k that is reasonably close to
other and G (ns)
n (r, r ) is zero otherwise. We also split G(r, r ) a zero of λ(k), Broyden’s method converges to almost full
analogously. The kernel split (74) corresponds to an operator achievable precision in about ten iterations.
(s) (ns)
split G n = G n + G n . WGMs with high indices n have eigendensities σ n with
The discretization of a G n in (42) results in a square numerically discernible support only on those parts of γ that
matrix whose entries are values of G n (r, r ), obtained from lie farthest away from the z-axis. We exploit this property to
G(r, r ) via (41), multiplied with suitable quadrature weights. reduce the number of unknowns when discretizing (53) in the
As underlying quadrature rules, we use the trapezoidal rule search for high-index WGMs.
in (41) and 16th-order panel-based Gauss–Legendre quadra-
ture in (42). This is sufficient for the accurate discretization
VII. N UMERICAL E XAMPLES
of the G (s)
n .
(ns) We have implemented our Fourier–Nyström scheme for (53)
The efficient discretization of a G n requires that a number
of techniques are activated, all of which are described in detail and (49)–(52) in MATLAB, release 2014a. We use a standard
in [12], [13], and [19]. The most important are: evaluation implementation and built-in functions. Our workstation has
of the integral over G (ns)(r, r ) in (41) via factorization and 64 GB of memory and an Intel Core i7-3930K CPU.
convolution; use of fast discrete Fourier transform techniques The examples we are about to present share some common
and half-integer degree Legendre functions of the second features.
kind [27] 1) The dielectric object is either the unit sphere or the
π object in Fig. 1 whose generating curve γ has the
cos(nt)dt
Qn− 1 (χ) = √ (75) parameterization
2 −π 8(χ − cos(t))
with r (s) = (1+0.25 cos(5s))(sin(s), cos(s)), 0 ≤ s ≤ π.
|r − r |2 (78)
χ =1+ (76)
2ρρ 2) The refractive index is either m = 1.5 or m = 1.5 + 5.5 ·
to evaluate the Fourier coefficients needed in this convolution; 10−12 i.
16th-order accurate product integration for singular integrals 3) The planar field plots show the absolute values of
on γ , constructed on-the-fly and based on known asymptotics some of the coefficients [Hρn (r ), Hθn (r ), Hzn (r )] and
Fig. 2. Planar field plots of the magnetic field for the fundamental n = 90 mode of a unit sphere with refractive index m = 1.5. The eigenwavenumber
is k = 65.09451518155630 − 1.3 · 10−13 i and 832 discretization points are used on γ . (a), (c), and (e) |Hρ90 (r)|, |Hθ 90 (r)|, and |Hz90 (r)|, respectively.
(b), (d), and (f) log10 of the estimated pointwise absolute error.
[E ρn (r ), E θn (r ), E zn (r )]. In each example, all six coeffi- containing 50% more quadrature panels on γ . The error
cients are evaluated and scaled with a common factor so plots use a logarithmic scale.
that the largest pointwise value of at least one coefficient Our examples cover two modal cases, both with high k:
is unity. The coefficients are evaluated at 5 · 105 points r fundamental modes with large n and a general resonance
on a Cartesian grid in a rectangle of height 2.6 and with a small n. In addition to finding eigenwavenumbers and
width 1.3 and with its left side coinciding with the showing field plots, we also do a convergence study, compute
z-axis in the half-plane depicted in Fig. 1(c). For ease of Q-values, and present far-field patterns. The convergence study
interpretation, we also show mirror images so that a field comprises a comparison between our formulation (53) and a
plot includes 106 points in a square of side length 2.6 homogeneous modal version of the Müller formulation (31).
in the x z plane.
4) The estimated errors in the field plots are taken as the
absolute value of the pointwise difference to a reference A. Fundamental Mode for Large n
solution. In the absence of semianalytic solutions, the 1) Unit Sphere: Our first example is the fundamental
reference solution is obtained with an overresolved mesh n = 90 mode of the unit sphere with m = 1.5 and is
Fig. 3. Same as in Fig. 2, but for the object in Fig. 1 and with m = 1.5 + 5.5 · 10−12 i. The eigenwavenumber is k = 54.72590089140112 − 1.9803 · 10−10 i
and 864 discretization points are used on γ .
intended as a verification of the solver. The reference solu- 2) Lossless Versus Lossy Object Materials: We now look at
tion is evaluated from a semianalytic solution given by Mie the fundamental n = 90 mode of the object in Fig. 1 and
theory [30]. The eigenwavenumber k = 65.09451518155629− compare converged eigenwavenumbers and eigenfields for two
1.3 · 10−13 i, found by the solver, corresponds to a sphere different object materials. The first material is lossless with
diameter of 20.7 vacuum wavelengths and agrees with the m = 1.5. The eigenwavenumber is k = 54.72590089140112−
value k = 65.09451518155630 − 1.3 · 10−13 i, obtained from 1.5 · 10−13 i, corresponding to a generalized object diameter
the semianalytic solution, to almost machine precision. of about 22.8 vacuum wavelengths. The Q-factor (62) is
Fig. 2 shows field plots of [|Hρ90(r )|, |Hθ90(r )|, |Hz90(r )|] Q = 1.8 · 1014 . The second material is lossy with m =
along with estimated absolute pointwise errors, which peak at 1.5 + 5.5 · 10−12 i and has k = 54.72590089140112 − 1.9803 ·
around 100mach . In passing, we mention that our numerical 10−10 i, which corresponds to a skin depth δ ≈ 1010 . The
tests revealed the following relations for the fundamental condition (70) is fulfilled and by that Qrad is independent of
modes of dielectric spheres: m{m} and (71) holds. A comparison of the eigenwavenum-
z bers reveals that e{k} is virtually unaffected by the losses.
E θn (r ) = iE ρn (r ) = i E zn (r ) (79)
ρ Since Qrad Qdiss, it follows from (62), (65), and (71) that
which we then also derived from the semianalytic solution. m{k}/ e{k} ≈ −m{m}/ e{m}. Now Q = 1.382 ·1011 and,
Fig. 4. Same as in Fig. 3, but for n = 450 and with m = 1.5. The eigenwavenumber is k = 258.059066513439 and 352 adaptively spaced discretization
points are used on γ .
since the lossless material has Q = 1.8 · 1014 , the dissipative 3) High Wavenumber WGM: Fig. 4 shows planar plots
Q-factor is Qdiss = 1.383 · 1011 according to (65). This and error estimates of the magnetic field for the fundamental
value agrees well with the approximate expression Qdiss ≈ n = 450 mode of the object in Fig. 1 with m = 1.5. The
1.364 · 1011 from (71). eigenwavenumber of this WGM is k = 258.059066513439,
The losses of the second material are the same as that corresponding to a generalized object diameter of about
of silica at the vacuum wavelength of 1550 nm, which is 107.6 vacuum wavelengths. This is in the regime where
the smallest known loss of any solid material at optical asymptotic methods for WGMs are applicable [31]. The imag-
wavelengths. It indicates that the physical limit for the Q- inary part of k is not identically zero, but it is too small to be
factor is approximately 1011 . To the eye, the field plots and the resolved in double precision arithmetic. The images in Fig. 4
corresponding error plots with the lossless material and with resemble those of the fundamental n = 90 mode in Fig. 3, but
the lossy material are indistinguishable. The images shown in with the fields confined to a smaller region and one digit of
Fig. 3 are thus valid for both object materials. We also tested precision lost. This case has been compared with an evaluation
our scheme for the large loss case with m = 1.5 + 5 · 10−3 i, in COMSOL Multiphysics 5.2, which is an FEM simulation
giving k = 54.72532533461791 − 0.17989547170087i, package. Since the field is confined to a small region, it was
without any problem. possible to reduce the computational domain in COMSOL to
Fig. 5. Planar field plots of the electric field for an n = 1 mode of the object in Fig. 1. The eigenwavenumber is k = 110.041232211051 − 0.404177078290i,
the refractive index is m = 1.5, and 1984 discretization points are used on γ . (a), (c), and (e) |E ρ1 (r)|, |E θ 1 (r)|, and |E z1 (r)|, respectively.
(b), (d), and (f) log10 of the estimated pointwise absolute error.
a square 0.25×0.25. By that, the eigenwavenumber and the it can also be understood from a phenomenological description
eigenfield could be evaluated using default meshes. The con- of WGMs in terms of internal reflections. The eigenfields with
vergence of the wavenumber evaluation was of order 1.41. The high k and small n vary rapidly both outside and, in particular,
default mesh referred to as extremely fine used 2557 degrees inside A and the problem is harder to resolve.
of freedom and gave the eigenwavenumber 258.1164 with a Fig. 5 shows an example for the object in Fig. 1 with
relative error of 2.2·10−4 . All of our attempts to analyze other n = 1 and m = 1.5. The converged eigenwavenumber
resonances than WGMs with FEM methods failed. This is in k = 110.041232211051 − 0.404177078290i corresponds to
contrast to our experience from perfectly conducting cavities a generalized object diameter of about 45.9 vacuum wave-
[12], [13], where FEM is an option also for other resonances. lengths. The large value of m{k} makes the exponential
growth of the eigenfields visible already in the object’s imme-
B. High k and Small n diate vicinity.
When m{m} = 0, resonances with high k and small n Fig. 6 confirms that our solver exhibits 16th-order conver-
have much smaller Q-factors than fundamental modes with gence and is stable under uniform overresolution. The average
similar e{k}. We have clearly seen this in numerical tests and pointwise accuracy in the field plots saturates at 12–13 digits,
Fig. 6. Convergence of the electric field plots shown in Fig. 5 and of the Fig. 8. Far-field patterns: curve 1 is for the WGM of the unit sphere of
corresponding magnetic field. The average pointwise accuracy has converged Section VII-A1; curves 2 and 3, which are almost identical, are for the WGMs
to between 12 and 13 digits at 1984 discretization points on γ , corresponding with lossless and lossy object materials of Section VII-A2; and curve 4 is for
to about 26 points per vacuum wavelength along γ . the n = 1 mode of Section VII-B.
C. Far-Field Patterns
Far-field patterns of resonant modes are defined by
(72) and (73). A necessary condition for their meaningful
evaluation when m{m} = 0 is that m{k} is known with
a relative accuracy better than 1%. This means that if Qrad ,
which for m{m} = 0 is equal to Q, is of the order of 10 p , then
k needs to be resolved with at least p+2 digits. This condition,
coupling the magnitude of Qrad to the precision required in k,
seems to hold also when m{m} = 0. The requirement of
p + 2 accurate digits in k is met in all our examples, except
for that of the high wavenumber WGM in Section VII-A3.
Fig. 8 shows that the far-field patterns of the WGMs are
smooth and resemble each other. Their radiated fields peak at
the equator, φ = π/2. The variation in the pattern of the n = 1
mode of Section VII-B is rapid, as expected.
Fig. 7. Same as in Fig. 6, but based on the Müller combination in (31). VIII. C ONCLUSION
The average pointwise accuracy has converged to almost 12 digits at
2640 discretization points on γ , corresponding to about 36 points per vacuum
Our solver, for the determination of resonant modes of
wavelength along γ . axially symmetric dielectric objects, uses integral equations,
related to the Müller formulation, and ChIEs. This, in com-
which compares favorably with the most accurate results we bination with a high-order convergent discretization, allows
have found in the literature for general transmission problems for exceptionally accurate results, and excludes the possibility
involving axially symmetric objects of nontrivial shapes [32]. of finding spurious solutions. Moreover, the solver extends
We have done the same convergence study for our the admissible size of objects for which high accuracy can
Fourier–Nyström scheme applied to (31). The result is given be obtained, based on the full vectorial Maxwell equations,
in Fig. 7. The convergence order is 15 for (31) compared into the regime where asymptotic methods for WGMs are
to 16 for our combination (53). The Müller combination (31) applicable. We stress the following capabilities of our solver
needs 36 discretization points per vacuum wavelength along γ up to such object sizes.
for saturated convergence, compared to 26 for (53). The 1) The evaluation of the entire spectrum and all eigen-
relative error of the largest absolute value of the evaluated field fields with e{k} in a given interval. This includes the
components in Fig. 5 is 1.3 · 10−12 for (31) and 3.7 · 10−13 computationally difficult resonances with small n and
for (53). The construction of the system matrix took 680 s for high k.
(31) and 350 s for (53). It took 45 s to find the solution to (31), 2) The evaluation of eigenfields at any point in space. This
compared to 70 s for (53). It took an average of 0.072 s to includes slowly evanescent and radiated fields.
evaluate the six field components at a point r for (31) and 3) The evaluation of far-field patterns of WGMs with
0.042 s for (53), with (49)–(52). radiative Q-factors up to 1013 .
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Johan Helsing was born in Huddinge, Sweden, Anders Karlsson was born in Gothenburg,
in 1961. He received the Ph.D. degree in theoretical Sweden, in 1955. He received the Ph.D. degree in
physics from the KTH Royal Institute of Technol- theoretical physics from the Chalmers University
ogy, Stockholm, Sweden, in 1992. of Technology, Gothenburg, in 1984.
From 1992 to 1996, he held post-doctoral positions During 1985–1987, he was a Post-Doctoral Fellow
with the Courant Institute, New York, NY, USA, with the Applied Mathematical Sciences, Ames,
with The University of Utah, Salt Lake City, UT, IA, USA. Since 2000, he has been a Professor of
USA, and with the Rensselaer Polytechnic Insti- electromagnetic theory with Lund University, Lund,
tute, Troy, NY, USA. From 1997 to 2000, he was Sweden. His current research interests include
with Uppsala University, Uppsala, Sweden, and with direct and inverse scattering, accelerators, and wave
KTH. Since 2001, he has been a Professor with propagation in dispersive materials.
the Centre for Mathematical Sciences, Lund University, Lund, Sweden. His
current research interests include scientific computing, fast algorithms, integral
equations, and potential theory.
Modeling and Characterization of Slitted

Parallel-Plate Waveguide With Applications
for Slit-Based Planar Structures
Yao-Wen Hsu, Student Member, IEEE, and Yi-Cheng Lin, Senior Member, IEEE
Abstract— This paper presents a rigorous scattering model of Containing slits on the upper plate of a PPW is an attractive
an infinite slit on a dielectric-loaded parallel-plate waveguide with feature as this type of deformation has the potential to become
an oblique incident TEM wave. The dyadic Green’s functions metal strip gratings [10] or leaky wave antennas [11], [12].
of an equivalent line source are derived first and then applied
to solve the scattered fields in terms of reflection, transmission, For problems of an incident TEM wave scattered by a slit on
and radiation. Special treatment with PEC/PMC symmetry is the PPW, the field expressions were derived in [13] and [14].
employed for fast and accurate calculation. The proposed model The reflection and transmission of TEM waves with a normal
was carefully validated by the full-wave simulator with excellent incidence were reported in [15], which furthermore provided
agreement. Some interesting scattering phenomena are found and the equivalent circuit parameters. Moreover, the coupling
emphasized, as they are crucial in explaining the special features
of slit-based planar structures. In this paper, we demonstrate problems related to a slitted PPW and a nearby conductor were
the presented model for the analysis and physical explanation of reported in [16] and [17]. In addition, a PPW with periodic slits
unique features found in a slitted substrate integrated waveguide, was also reported for leaky wave antennas’ applications [18].
grounded coplanar waveguide, and grounded coplanar stripline. To the best of our knowledge, all the previous models
The proposed model provides a simple and effective approach reported in the scattering of the slit-based PPWs were limited
for the design of potential slit-based planar circuits and antennas
based on the presented structures in this paper. to the normal incidence. The scattering of oblique incidence
for a slitted PPW involves more complicated Green’s functions
Index Terms— Parallel-plate waveguide (PPW), slitted with an additional dimension (a 2-D problem). However,
structure.
understanding fundamental mechanisms in the scattering of
I. I NTRODUCTION oblique incidence is crucial in the design of many slit-based
planar structures for PCB circuits and antenna applications.
A PARALLEL-plate waveguide (PPW) is the simplest type

of guided wave structure of which the fundamental
TEM mode has no cutoff frequency [1]. PPWs support
On the other hand, using the full-wave simulator to solve slit-
based planar structures usually requires a long computing time
for the convergence issue because of the fine structure of thin
higher order TE or TM modes when the frequency goes slits.
higher than the specific cutoff frequencies [2]. The research In this paper, we address the scattering problem of
and applications of PPWs have been quite popular since an oblique incidence for an infinite slit on a dielectric-
the low-cost printed circuit board (PCB) technology became loaded PPW. In Section II, the presented model employs
prominent. The works in [3] and [4] focused on the field dyadic Green’s functions and utilizes the PEC/PMC symmetry
analysis in a PPW excited by a loaded coaxial probe. The for fast and accurate calculation in Section III. The scatter-
discontinuity problem of a junction between two different ing characterization in terms of the transmission, reflection,
PPW segments was investigated in [5]. The study in [6] even and radiation is carefully calculated and validated by the
used a truncated PPW to launch a surface wave. Recently, full-wave simulation in Section IV. Furthermore, we apply
PPW structures have further gained increasing interest in a the presented model to slit-based planar structures including
variety of aspects. An efficient calculation for a substrate the SIW, conductor-backed coplanar waveguide (CPW), and
integrated waveguide (SIW) of arbitrary shapes based on grounded coplanar stripline in Section V. In addition, we pro-
PPW Green’s functions was proposed in [7]. The works vide a physical explanation for the interesting phenomena
in [8] and [9] solved the scattering from the coupled multiple found in a slitted PPW and the highly correlated features in
vias in multilayered PPWs for PCB packaging. the illustrated slit-based planar structures.
Manuscript received November 22, 2016; revised February 4, 2017; II. G ENERAL F ORMULATION OF G REEN ’ S F UNCTIONS
accepted February 16, 2017. This work was supported by the Ministry of
Science and Technology, Taiwan, under Grant MOST-104-2221-E-002-059. Fig. 1 depicts the scattering problem of an infinite slit
Y.-W. Hsu is with the Graduate Institute of Communication Engineering, on a PPW. A TEM wave propagating in the yz plane is
National Taiwan University, Taipei 10617, Taiwan.
Y.-C. Lin is with the Department of Electrical Engineering, Graduate incident on the slit with an arbitrarily oblique angle. The
Institute of Communication Engineering, National Taiwan University, dielectric filled PPW is sufficiently thin such that the higher
Taipei 10617, Taiwan (e-mail: yichenglin@ntu.edu.tw). order modes are effectively out of the scope of the interested
online at http://ieeexplore.ieee.org. frequency range. Therefore, we regard the scattered fields as
Digital Object Identifier 10.1109/TMTT.2017.2682864 TEM-mode dominant, represented by the reflected and
Using dyadic notations of the source-to-field relation,

we rewrite the above equation as
s
x̂ × −
2
¯ )d y + Hinc(y)
Ḡ (y|y ) · M(y
hm
(2)
− 2s

s
= x̂ ×
2
¯ hm
Ḡ (1) (y|y ) · M(y )d y . (2)
− 2s x=0,y∈[− 2s , 2s ]
Here, the representations Ḡ¯ hm ¯ hm

(1) and Ḡ (2) are 3×3 tensors
denoting the dyadic Green’s functions converting the magnetic
currents to the magnetic fields in Region 1 and Region 2,
respectively. Note that the negative sign on the left-hand side
originates from the different sign of magnetic currents in
Fig. 1. Configuration and coordinates of an infinite slit on a PPW and Region 2. In general, a complete dyadic Green’s function
the definition of reflection and transmission coefficients based on an incident
TEM wave of an oblique incident angle θ . tensor contains nine elements of scalar Green’s functions.
However, only two components of magnetic currents and
fields are involved in this paper, which are the tangential
fields (Hz and H y ) and current (Mz and M y ). That is, only four
scalar Green’s functions are required. Hence, the boundary
condition of the continuity of tangential magnetic fields over
the slit area can be reduced to the following two scalar
equations:
s
2

Hz,inc = G hm hm
zy(1) + G zy(2) M y d y
− 2s
s
2

+ zz(1) + G zz(2) Mz d y
G hm hm
(3)
− 2s
Fig. 2. Equivalent method with magnetic currents on the slit area. (a) Original
s
2

problem. (b) Equivalent problem. H y,inc = yz(1) + G yz(2) Mz d y
G hm hm
− 2s
s
2
transmitted waves containing only TEM-mode plane waves,
+ yy(1) + G yy(2) M y d y .
G hm hm
(4)
denoted by a reflection coefficient and a transmission − 2s
coefficient τ , respectively, as shown in Fig. 1.
Here, the dyadic element of notation G hm yz(1) means the mag-
We applied the equivalence principle to the slit and intro-
netic field in the y-direction generated by the magnetic current
duced equivalent magnetic currents in the slit area, as depicted
= E × n̂ in the z-direction in Region 1 and the other notations follow
in Fig. 2. Following [1], the magnetic currents M
a similar rule.
are applied on the slit layer with opposite signs for the top
Since Region 1 is half of the free space and the slit is
and interior surface. Now that the slit is sealed, the original
assumed to be infinite, the four scalar Green’s functions in
problem can be divided into two isolated regions. Region 1 is
Region 1 can be expressed in terms of Hankel functions for
a half free space containing radiated fields generated from the
cylindrical waves
top magnetic currents. Region 2 is a confined dielectric region
j k z kρ (2)
within the PPW containing the TEM incident waves, reflected
yz(1) = −
G hm H (kρ ρ) sin φe− j kz z (5)
waves, and transmitted waves. 2ωμ0 1
Incorporating both components of the tangential magnetic kρ2
zz(1) = −
G hm H (2)(kρ ρ)e− j kz z (6)
fields and currents over the slit area is an important core of 2ωμ0 0
our model. For the case of normal incidence [15], the magnetic kρ2 ω0 (2)
field and current exist only in the z-direction (along the slit G hm
yy(1) = sin2 φ − H0 (kρ ρ)e− j kz z
2ωμ0 2
line). However, for the oblique incident case, the magnetic
kρ (1 − 2 sin2 φ) (2)
fields and currents also involve the y-component, leading to + H1 (kρ ρ)e− j kz z (7)
a 2-D problem. Therefore, all four components of the source- 2ωμ0 ρ
to-field relations ( M z → Hz , M z → H y , M
y → Hz , and G hm
j k z kρ (2)
H (kρ ρ) sin φe− j kz z
zy(1) = − (8)

M y → H y ) in both regions should be considered to match all 2ωμ0 1
boundary conditions. where
To obtain the magnetic field integral equation, we use the y − y
continuity of the tangential magnetic field on both sides over sin φ =
x 2 + (y − y )2
the slit area, that is,
kρ = k0 − k z2
2 2

x̂ × ( Hsca(1)) = x̂ × ( Hsca(2) + Hinc)x=0,y∈− s , s . (1) ρ = x 2 + (y − y )2 .
2 2
HSU AND LIN: MODELING AND CHARACTERIZATION OF SLITTED PPW 3
Note that an additional phase variation term with a wavenum-

ber k z is applied to the Green’s functions for the problem of
oblique incidence.
For Region 2, besides the same phase variation with a
wavenumber k z , we incorporate extra boundary conditions for
the tangential electric fields that vanish at x = 0 and x = −d
and express the x-variable wave function in sinusoidal form.
Using a similar approach to that reported in [19], we obtain
the following four scalar Green’s functions for Region 2:
∞
k z e − j kz z > y
G hm
yz(2) = ± γn gn for y (9)
ωμ0 n=−∞ < y
∞
k z2
− j kz z
G hm = − je ωr 0 − gn (10) Fig. 3. Illustration of the PMC/PEC symmetry with the corresponding image
zz(2)
ωμ0 n=−∞ source. (a) PMC symmetry with the image source of equal phases. (b) PEC
∞
j e− j kz z nπ 2
symmetry with the image source of 180° out of phases.
G hm =− + k z2 gn (11)
yy(2)
ωμ0 n=−∞ d
∞
k z e − j kz z > y
zy(2) = ±
G hm γn gn for y
< y
(12)
ωμ0 n=−∞
where the nth mode function gn and γn are defined as
nπ x 1 −γn |y−y |
gn = cos e (13) Fig. 4. Special problem with a symmetry plane in the center of the slit.
d 2dγn (a) PMC case. (b) PEC case.
nπ 2
γn2 = + k z2 − r k02 . (14)
d the center of the slit, both the original incident wave and the
One can immediately recognize from the above equations that image incident wave should experience the same reflection
the scattered fields are inherently the summation of infinite and transmission. As illustrated in Fig. 3(a), the backward
discrete modes related to the x-variable function in (13) and waves (propagating in the +y direction) in the y > 0
determined by the PPW thickness d. In this paper, n = 0 is the region contain the reflected wave from the original source
fundamental mode of TEM waves that dominate the scattered and the transmitted wave of the image source. By uniqueness
fields. theorems [1], if we solve an equivalent problem with a PMC
For the problem depicted in Fig. 1, the magnetic fields of boundary added in the slit center of the original problem,
a TEM wave Hinc coming from Region 2 are incident on as illustrated in Fig. 4(a), the reflection coefficient in such
a slit and the scattered fields Hsca exist in both Region 1 a case, denoted by H , is exactly equal to the sum of
and Region 2. The boundary conditions that the tangential the reflection and transmission coefficients of the original
magnetic fields must be continuous on both sides of the problem, expressed by
slit area yield the integral equations (3) and (4). To solve
integral equations (3) and (4), we are to find the unknown H = + τ. (15)
magnetic currents over the slit area. Using the method of Similarly, for the case with the PEC wall at in the center of the
moments (MoM), we expand the magnetic currents with slit, the reflection coefficient in Fig. 4(b) is the difference of
distributed basis functions and apply the point matching tech- the reflection and transmission coefficients in Fig. 1, expressed
niques with sufficient sampling points over the slit area. by
III. FAST C ALCULATION W ITH PMC E = − τ. (16)

AND PEC S YMMETRIES
Combining these two equations, we readily obtain the reflec-
The original problem in Fig. 1 is a generic problem of tion and transmission coefficients of the original problem
reflection and transmission of an incident TEM plane wave in Fig. 1
from the y > 0 region. By symmetry, it is helpful if we apply
an image TEM wave incident from the y < 0 region with 1
( H + E )
= (17)
the same oblique angle. As illustrated in Fig. 3(a), an image 2
TEM wave with an equal amplitude and equal phase is excited 1
τ = ( H − E ). (18)
in the y < 0 region, equivalently representing a virtual PMC 2
wall at the center of the slit. In Fig. 3(b), similarly, the image Note that the symmetry approach is valuable because the
plane wave with equal amplitude but out of phase is excited calculation efficiency is significantly improved in this paper.
in the y < 0 region, equivalently representing a virtual PEC By dividing the original problem into two separate problems
wall at the slit center. Since the slitted PPW is symmetric at with symmetric PEC/PMC planes, we successfully divided the
s
j kρ k z 2l + 1
π y H1(2)(kρ (yi − y ))d y
2
large original problem into two small equivalent problems. yz
Hil = − sin
That is, the original 2N × 2N inverse matrix issue was 2ωμ0 − 2s s
reduced to two N × N inverse matrix problems. The number ∞ 2l+1 2l+1
kz s π cos s π yi
of required matrix elements was reduced to a quarter of the + 2
dωμ0 n=−∞ γn2 + 2l+1
original number and the CPU time required for solving the s π

inverse matrices was considerably shortened. (−1)l γn cosh(γn yi )
− 2 (27)
γn2 + 2l+1 s π
A. PMC Symmetry s
yy 1 2 2m + 1
In the PMC symmetry, we combine the combined incident Him =− cos πy
fields of the original plane wave and the image plane wave 2ωμ0 − 2s s

and obtain 2 (2) kρ (2)
· k z H0 (kρ |yi − y |)+ H (kρ (yi − y )) d y

E x = (e j ky cos θ + e− j ky cos θ )e− j kz sin θ yi − y 1

∞

= 2 cos(k y y)e− j kz z (19) j nπ 2
− + k z2
2k z dωμ0 n=−∞ d
Hy = cos(k y y)e− j kz z (20)
ηk cos 2m+1 s π yi + (−1)
m 2m+1 π cosh(γ y )
γn s n i
2 j ky · 2 .
Hz = sin(k y y)e− j kz z . γn2 + 2m+1 s π
(21)
ηk
(28)
Next, under PMC symmetry, we expand the magnetic current
as The vector elements H̄zi and H̄ yi denote the incident magnetic

L−1 field of z and y components, respectively, at each sampling
2l + 1
Mz = Mzl sin πy (22) point yi , that is,
s
l=0
2 j ky
M
2m + 1 Hzi = sin(k y yi )
My = M ym cos πy . (23) ηk
s 2k z
m=1 H yi = cos(k y yi ). (29)
ηk
From (22) and (23), we have L + M unknown coefficients
denoted by Mzl and M ym . Therefore, we select I = (L + M)/2 Once the magnetic sources are obtained, we may con-
for the sampling points for Hz and H y (that is, total L + M sider them as the secondary source and readily calculate the
equations) to solve the unknown magnetic currents. Therefore, reflected and transmitted fields for Region 2 and the radiated
(3) and (4) can be written into a matrix form fields for Region 1. For the problem of oblique incidence,

zy the reflection/transmission coefficient is defined on the electric
H̄¯ ilzz H̄¯ im M̄zl H̄zi field as the ratio of the backward/forward wave to the incident
= (24)
H̄¯ il H̄¯ im M̄ ym H̄ yi
yz yy
wave. Hence, it is necessary to solve the Green’s function for
the electric field of x-component generated by the tangential
where H̄¯ ilzz and H̄¯ il are I × L matrixes and H̄¯ im and H̄¯ im are
yz zy yy
magnetic sources, expressed by
I × M matrices. M̄zl is a vector of length L and M̄ ym is a ∞
vector of length M representing the unknown magnetic current > y
− j kz z
x z(2) = ±e
G em γn g n , for y
< y
(30)
coefficients of the z and y components, respectively. H̄zi and n=−∞
H̄ yi are vectors of length I representing the magnetic field of ∞

the incident wave at each sampling points. The elements of − j kz z
x y(2) = − j k z e
G em gn . (31)
theses matrixes are expressed as n=−∞
s
kρ2 2 2l + 1 (2) Note that these Green’s functions generally take into account
zz
Hil = − sin π y H0 (kρ |yi − y |)d y
2ωμ0 − 2s s the fundamental TEM mode and other higher order modes.
∞ However, according to the interested frequency range in this
j k 2y s π yi − (−1) e
sin 2l+1 l −γn 2s sinh(γ y )
n i
− paper, only the fundamental mode is considered in the calcu-
dωμ0 n=−∞ 2l+1 2
γ2 + π
n s
lation of reflection and transmission coefficients in the slitted
(25) PPW structure. Therefore, the expressions of (30) and (31)
s can be individually reduced to a single term (for n = 0) as
zy j kρ k z 2 2m + 1
Him =− cos πy follows:
2ωμ0 − 2s s
∞ − kz2 −r k02 |y−y |
πk z 2m + 1 e − j kz z e > y
·H1(2)(kρ (yi
− y ))d y −
x z(2) = ±
G TEM , for y
< y
(32)
dωμ0 n=−∞ s 2d
2m+1 − kz2 −r k02 |y−y |
sin s π yi − (−1) sinh(γn yi )
m
e − j kz z e
· 2 (26) G TEM
x y(2) = − j kz . (33)
γn2 + 2m+1
s π 2d k z2 − r k02
s
Convoluting the magnetic currents solved by (24) and the yy 1 2 2mπ
Him = − sin y
Green’s functions (32) and (33), the fundamental mode com- 2ωμ0 − 2s s
ponent of the scattered fields can be determined. By comparing
kρ
the ratio of the backward wave to the incident wave at the · k z2 H0(2)(kρ |yi − y |)+ (2)
H (kρ (yi − y )) d y

yi − y 1
slit edge where the reference plane is defined, we completely ∞
obtain the reflection coefficient of the PMC symmetry as j nπ 2
⎡ − + k z2
dωμ0 n=−∞ d
(−1)l j k y Mzl
cos k y 2s L−1
− j ky s ⎣
H = e 1− 2l+1 2 s yi −(−1) γn s sinh(γn yi )
sin 2mπ m 2mπ
d
l=0 s π − k 2y · 2 .
γn2 + 2mπ
M−1 ⎤ s
(43)
π sin k y 2s 2m + 1 (−1)m k z M ym
− ⎦.
d k y s 2m+1 π 2 − k 2 In the PEC case, the combined incident magnetic fields at
m=0 s y
the i th sampling point are represented as
(34)
2k y
Hzi = cos(k y yi )
ηk
B. PEC Symmetry
2 j kz
For the PEC symmetry, we can modify the combined H yi = sin(k y yi ). (44)
ηk
incident waves and the magnetic currents with the following
expressions: Similarly, once the magnetic currents are solved, we may
convolute with (32) and (33) for the scattered fields and accu-
E x = (e j ky cos θ − e− j ky cos θ )e− j kz sin θ rately obtain the reflection coefficient of the PEC symmetry
= 2 j sin(k y y)e− j kz z (35) expressed by
L−1
2 j kz sin k y 2s (−1)l k y Mzl
Hy = sin(k y y)e− j kz z (36) E = e − j ky s
−1+ 2lπ 2
ηk d
l=0 s − k 2y
2k y s M
Hz = cos(k y y)e− j kz z (37) cos k y 2 2mπ (−1)m j k z M ym
ηk − .
d k y s 2mπ 2 − k 2

L−1
2l m=1 s y
Mz = Mzl cos πy (38) (45)
s
l=0

M−1
2m IV. M ODEL VALIDATION BY F ULL -WAVE S IMULATION
My = M ym sin πy . (39) We validated the presented model with the full-wave simu-
s
m=0
lation tool ANSYS HFSS. The illustrated PCB substrate is
Substituting (36)–(39) into (24), the individual matrix elements 1.6 mm thick with a relative dielectric constant of r =
can be expressed as 4.4, assumed lossless for simplicity. We evaluated various
s parametric effects in terms of frequency dispersion, slit widths,
kρ2 2lπ
y H0(2)(kρ |yi − y |)d y
2
zz
Hil = − cos and incident angles. We conducted the comparison through a
2ωμ0 − 2 s s normal incident case and then an oblique incident case.
∞ Fig. 5 shows the reflection and transmission of a slitted
j k 2y s π yi − (−1) e
cos 2lπ l −γn 2s cosh(γ y )
n i
− 2
PPW in the normal incident case. We set the frequency
dωμ0 n=−∞ γ2 + 2lπ
window from 1 to 10 GHz in view of fundamental TEM
n s
(40) mode of our interest under the PPW dimensions, where the
s cutoff frequency of the next higher mode is 45 GHz. That
j kρ k z 2mπ 2 (2)
y H1 (kρ (yi − y ))d y
zy
Him = − sin is, the reflected and the transmitted waves can be regarded
2ωμ0 s
− 2s as only TEM plane waves. From Fig. 5(a), a wide slit has
∞ a lower transmission and higher reflection than a narrow
k z π 2m cos 2mπ
s yi − (−1) cosh(γn yi )
m
+ 2 slit, as expected. However, the reflection magnitude decreases
dωμ0 n=−∞ s γ 2 + 2mπ and the transmission magnitude increases as the frequency
n s
(41) increases. This phenomenon can be explained by a similar
s behavior of a grounded dielectric slab. The slit region in
j kρ k z 2l 2 (2)
π y H1 (kρ (yi − y ))d y
yz
Hil = − cos this problem can be considered as a grounded dielectric slab
2ωμ0 − 2s s in which the fundamental mode of a TM surface wave has
∞ 2lπ no cutoff frequency. At higher frequencies, the TM surface
k z 2lπ s sin s yi + (−1) γn sinh(γn yi )
l
− 2
waves are relatively more confined in the substrate than in the
dωμ0 n=−∞ γn2 + 2lπ air, leading to its characteristic wave impedance approaching
s
(42) the homogeneous limit of the substrate. Therefore, higher
Fig. 7. Reflectivity, transmissivity, and radiation leakage of the slitted PPW

against the slit width in the normal incident case. (a) Normalized power
allocation. (b) Phase variation of the reflection and transmission coefficients.
As shown in Fig. 6, the radiation leakage is small at low fre-

quencies since most of the incident power is reflected, as seen
in Fig. 5(a). Interestingly, [20] observed a similar result in
that the radiation power approaches to zero at low frequencies
in a dielectric-loaded PPW. However, the radiation leakage
does not monotonically grow as the frequency increases.
In fact, the radiation power reaches a maximum at a certain
frequency and then gradually decreases, as can be observed
in Fig. 6, when the slit width becomes narrower. This may be
explained again by the grounded dielectric slab model. As the
frequency increases, the incident wave is mostly confined in
the dielectric layer, experiencing extremely limited scattering
from the slit; therefore, the radiation leakage stops growing.
Note that the full-wave simulation results were denoted by
symbols, as shown in Figs. 5 and 6. In general, the predictions
of the presented model were quite consistent with the full-wave
Fig. 5. Reflection and transmission coefficients of the slitted PPW in the simulation results.
normal incident case. (a) Magnitude. (b) Phase (d = 1.6 mm).
Fig. 7 shows the effects of the slit width on the overall
scattering in terms of reflectivity, transmissivity, and radiation
leakage with power units. The simulation was conducted with
the slit width varying from 10 μm to 10 mm at a fixed
frequency of 5 GHz. Again, a wider slit contributes to a higher
reflection and a lower transmission. However, the reflectivity
and transmissivity intersected around s = 0.8 mm where
the value is read slightly lower than 50%, implying that
some energy was radiated from the slit. The radiation leakage
grows as the slit width increases but still less than 20% even
the slit goes extremely wide. Meanwhile, the transmissivity
continuously decreases to zero, but the reflectivity seems to
saturate to a certain value less than unity. Note that the limit of
the reflection from a wide slit should be close to that of a semi-
Fig. 6. Radiation leakage of the slitted PPW in the normal incident case (d = infinite PPW with an extended grounded dielectric slab [20],
1.6 mm and s = 1, 0.3, or 0.1 mm). of which the nonunity reflectivity was also confirmed. Further-
frequency incident waves would be easier to pass through more, using the thin substrate approximated formula in [21],
the slit junction, resulting in less reflection and a higher we obtained corresponding values of a reflectivity of 85%
transmission. At low frequencies, the surface waves are likely and a reflection phase of −27°, which are quite consistent
to spread outside the substrate, leading to a more different with our model in the case of s = 10 mm, as depicted
wave impedance and a greater mismatch at the slit junction. in Fig. 7(a) and (b). In general, the model results were
That is, the incident wave is more difficult to pass through. consistent with the full-wave simulation results except some
As shown in Fig. 5(b), the reflection phase was negative discrepancy appeared in the region of an extremely narrow slit.
and the transmission phase was positive, where both decrease It was because the convergence criteria became very difficult
about 45° in the presented frequency range. when meshing an object with fine structures in the full-wave
Fig. 6 shows the radiation leakage of the slitted PPW. The simulation tool.
radiation leakage in this paper was defined as For the case of oblique incidence, Fig. 8 shows the reflection
and transmission coefficients as a function of the angles of
Radiation Leakage = 1 − ||2 − |τ |2 . (46) incidence. The reflection magnitude increases as the incident
Fig. 9. SIW with a finite slit on its upper plate and the illustration of the
equivalent resonant TEM mode for the propagating TE10 mode.
increases. Note that, at a certain angle, the radiation leakage

drops to zero and remains at zero in the “nonradiated region.”
We call this special angle the “material” critical angle θmc as
it is related to only the material permittivity, regardless of the
structural dimensions. The angle is written as
1
θmc = sin−1 √ . (47)
r
Fig. 8. Reflection and transmission coefficients with varying incident angles. When the incident angle is greater than the material critical
(a) Magnitude. (b) Phase. (c) Radiation ( f = 5 GHz, s = 1 mm, and angle, the scattered wave along the slit direction (z-axis)
d = 1.6 and 3.2 mm).
becomes a slow wave; therefore, no radiation may occur. These
angle increases from zero (normal incidence). Interestingly, same phenomena also exist in a grounded dielectric slab-
at a certain angle, the reflection magnitude increases to unity loaded semi-PPW, as mentioned in [20]. The material critical
while the transmission drops to zero, as shown in Fig. 8(a). angle calculated from the proposed equation (47) is 28°, which
We call this total reflection angle the “structural” critical is in total agreement with the presented model, as shown
angle θsc , as it is related to the structural parameters, such in Fig. 8(c).
as s, d, and r . As the substrate thickness increases from
1.6 to 3.2 mm, the reflection magnitude decreases and trans- V. A PPLICATIONS FOR S LIT-BASED P LANAR S TRUCTURES
mission increases and the structural critical angle shifts from To illustrate the usage and applications of the proposed slit-
37° to 42°. Fig. 8(b) shows that the reflection phase slowly based PPW model, we present three case studies for the planar
increases as the incident angle increases. The transmission transmission lines and waveguide structures that are widely
phase follows a similar trend, but experiences a 180° jump used in modern RF/antenna PCB modules.
at the structural critical angle.
The reason for the total reflection can be illustrated by A. Transverse Slit on a SIW
Fig. 2(b). According to our formulation, the transmitted wave Fig. 9 shows a typical SIW [22]. Two parallel side walls
is the summation of the incident TEM wave and the scattered are applied to form a PCB waveguide. In this paper, the SIW
wave while the reflected wave involves by the scattered wave was loaded by a relative dielectric constant of r = 4.4,
only. At θsc , the scattered field is exactly of the same magni- while a narrow slit perpendicular to the propagating direction
tude but opposite phase with respect to the incident field in the was etched on the top layer. The waveguide width of a =
transmission region (the left-hand side of the slit in Fig. 2). 75 mm (with a cutoff frequency 953 MHz) and two different
Meanwhile, generated by the same slit (or an equivalent waveguide heights of 1.6 and 3.2 mm are simulated.
magnetic current), the scattered wave has the same magnitude Although the fundamental mode in the SIW is a TE10
but opposite propagating direction in the reflection region, mode instead of a TEM mode, we may model the TE10
creating a backward wave with its magnitude equal to the wave as an equivalent TEM wave bouncing back and forth
incidence, so-called total reflection in brief. This explanation between the two side walls with a specific oblique angle θinc ,
also suggests that if some energy is leaking out through the slit, as depicted in Fig. 9. Therefore, the reflection and transmission
it is impossible for the equivalent magnetic current to generate coefficients of a TE10 wave incident on a finite slit on an
the scattered field of sufficient magnitude to cancel the incident SIW should be equivalent to those of a TEM wave incident
field. It provides a crucial clue for explaining why the total on an infinite slit on a PPW (the problem in Fig. 1) under a
reflection occurs only in the nonradiative region, which is corresponding incident angle, expressed by
another interesting phenomenon to be discussed in Fig. 8(c).
π
Fig. 8(c) shows the radiation leakage in the oblique incident θinc = sin−1 √ . (48)
case. The radiation leakage decreases as the incident angle ak0 r
Fig. 11. Reflection and transmission coefficients of an air-filled slitted

waveguide as a = 75 mm and s = 1 mm.
Fig. 12. Radiation leakage of a dielectric-loaded and an air-filled slitted

waveguide (a = 75 mm and d = 1.6 or 3.2 mm).
Fig. 11 shows the results with an air-filled slitted waveguide

for comparison. Fig. 12 shows the radiation leakage properties
for both the dielectric-loaded and air-filled slitted waveguides.
These results show excellent consistency between the pre-
sented model and the full-wave simulation. This suggests that,
through some associated equivalent resonance conditions, our
model can be extended for applications of non-TEM type
waveguide structures.
To describe and explain some interesting phenomena found
in Fig. 10, we define some characteristic frequencies here. The
first one is the “loaded cutoff frequency” of SIW, expressed
as
Fig. 10. Reflection and transmission coefficients of TE10 mode in a slitted
c
SIW. (a) Magnitude. (b) Detail results from 0.95 to 2 GHz (nonlinear scale). flc = √ (49)
(c) Phase (a = 75 mm, s = 1 mm, and d = 1.6 and 3.2 mm). 2a r
which represents the minimum frequency that the TE10 mode
For example, for an SIW of TE10 mode with a = 75 mm,
can propagate in SIW. In this case study, f c = 935 MHz.
r = 4.4, and f = 1/10 GHz in Fig. 9, the corresponding
The second one is “transmission zero frequency,” expressed
incident angle should be equal to θ = 72°/5° in Fig. 1. Note
as
that for a higher frequency, the corresponding incident angle
c
is closer to zero, the normal incidence of the slit. ft z = √ (50)
We compared the full-wave simulation on the slitted SIW 2a r sin θsc
of a TE10 incident mode for various frequencies and the evaluated from the “structural critical angle θsc ” in the pre-
calculation of the presented slitted PPW model of an equiv- vious section. We expect a total reflection or transmission
alent oblique TEM wave for various corresponding incident zero at this frequency. In this case, ft z = 1.63 GHz when
angles. Fig. 10 shows the transmission and reflection coeffi- d = 1.6 mm and 1.5 GHz for d = 3.2 mm. The third one
cients of a slitted SIW in terms of the magnitude and phase. is the “radiation cutoff frequency,” which can be evaluated by
comparing (47) and (48), expressed by TABLE I

C OMPARISON OF THE P RESENTED SPPW M ODEL AND HFSS IN
c T ERMS OF CPU T IME AND M EMORY C ONSUMPTION
frc = . (51)
2a
This means that the structure starts to radiate when the
frequency is higher than frc , referring to the radiation region
in Fig. 8(c). Interestingly, this frequency is independent of
material and it reads frc = 2 GHz in this paper. Note that for a
dielectric-loaded slitted waveguide (slitted SIW), the described
frequencies have an order of flc < f t z < frc .
To verify the above described frequencies, we may
re-examine Figs. 10–12. Fig. 10(b) shows the details of the
frequency range of interest. Interestingly, the TE10 mode starts
to propagate from a total transmission at the loaded cutoff fre-
quency flc (953 MHz). As the frequency increases, the trans-
mission drops and the reflection grows. The transmission and
reflection intersect at 966/996 MHz for d = 1.6/3.2 mm,
where the value of both intersections reads exactly 0.707,
implying that no radiation occurs at this frequency, consistent
with Fig. 12. The transmission continuously decreases to zero
at the frequency f t z , where we observe a transmission zero and
a total reflection and an associated 180° phase discontinuity as
shown in Fig. 10(c), which correlates with what we observed
previously in Fig. 8. When the frequency is higher than f t z ,
the transmission starts to grow and the reflection starts to
drop, but the SIW remains nonradiative until the frequency Fig. 13. Grounded CPW with illustrated equivalent TEM mode resonance
reaches frc . The radiations of the slitted SIW are depicted for the propagating mode in the z-direction.
in Fig. 12. The radiations do not monotonically increase with
frequency, similar to what we observed in Fig. 6. 11-GB RAM for the case of d = 1.6 mm because of the
The above phenomena are unique and only found in the lower convergent rate. Applying a PMC symmetry at the SIW
dielectric-loaded waveguide, not in the air-filled waveguide, center could reduce the CPU time and memory consumption
as shown in Fig. 11. For an air-filled waveguide, the total to nearly a quarter (for the d = 1.6-mm case); however,
reflection is observed at the cutoff frequency, unlike the total it still took considerable computing resource when compared
transmission observed in a dielectric-loaded waveguide. The with the presented model that has no difference for different
TE10 mode in an air-filled waveguide can radiate through thicknesses d.
the transverse slit as long as the mode can propagate. Note Unlike the finite-element method-based HFSS, the proposed
that the three frequencies flc , f t z , and frc merge into one SPPW model was based on the MoM that specified the
frequency f c (2 GHz) in an air-filled waveguide. For a unknown variables for magnetic currents only on the slit
dielectric-loaded waveguide, flc and f t z shift to lower fre- region. For the mentioned case, the MoM required only
quencies, extending a nonradiative bandgap and creating a two 4x4 matrices and eight unknown variables [L = 2 in
transmission zero frequency within the band. Fig. 12 also (22) and (38), and M = 2 in (23) and (39)] to obtain the
confirms that the radiation frequency is independent of loaded sufficient accuracy in Fig. 10(a). As a result, we achieved an
material, and only related to the waveguide width. Air-filled excellent computation efficiency of CPU time less than 20 s
waveguides tend to radiate more energy than dielectric-loaded and the memory consumption below 4 MB.
waveguides because the junction between materials can help
to confine the energy in the substrate. In addition, the total
reflection in the SIW suggests that a transverse slit can act as B. Grounded CPW
an ideal band-notch filter at ft z without any energy leakage to In the second illustration, we applied the presented model to
the air. solve a modal problem for grounded CPW structures. Fig. 13
To compare the computation efficiency between the pre- shows a typical grounded or conductor-backed CPW that can
sented model and commercial full-wave simulator (HFSS), be considered a PPW with two parallel slits. To solve the
we summarize the computing time and memory consumption propagating modes of the grounded CPW along the z-axis,
in Table I. Through the example of the case in Fig. 10(a), we may consider a TEM wave bouncing between the two slits,
we defined the simulating time as “CPU time” and the maxi- as shown in Fig. 13, similar to the approach employed in the
mum memory consumption during the calculation as “memory previous SIW problem. However, the dispersion relation of the
consumption.” To achieve the required convergence of all data existing propagating modes must satisfy a resonant condition
points in Fig. 10(a), HFSS took about 30 min with 2.4-GB that a TEM wave remains at the same status (magnitude
RAM for the case of d = 3.2 mm and over 2 h with and phase) after traveling and bouncing twice between the
Fig. 15. Phase and attenuation constants of an even-mode grounded CPW

as a function of strip width ( f = 5 GHz, d = 3.2 mm, and s = 1 mm).
a guided slow wave with only a slight attenuation. Overall,

the results of the presented slitted PPW model were quite
consistent with those of the full-wave simulator with the
exception of the odd-mode attenuation in the low band. Note
that in the full-wave simulation, we calculated the attenuation
constant α by applying the curve fitting to the electric field
distribution along the slit. This implies that the accuracy is
less reliable when the attenuation α is larger.
It is worth investigating the characteristics of the even mode
of grounded CPW as it is the desired operating mode for
guided-wave applications. We examined Fig. 14(b) and found
that the β is in the slow-wave region where no radiation
occurs theoretically; however, there is still a nonzero α found
Fig. 14. Wavenumber in terms of the phase constant β and the attenuation
constant α against frequencies for a grounded CPW in (a) odd mode and in Fig. 14(b). Now that the dielectric is assumed to be lossless
(b) even mode (d = 1.6 mm, s = 1 mm, and w = 9 mm). in this paper, it implies that the attenuation is caused by
the sideward (±y direction) leakage. This leakage loss of a
two slits. In others words, the following resonant equation conductor-backed CPW was confirmed and discussed in [23].
should be satisfied: It is possible to eliminate the undesired parallel-plate
mode (PPM) leakage using the presented model. As the
(k y )2 e−2 j k y w = 1. (52) leakage is caused by the partial transmission in a fundamental
Here (k y ) stands for the reflection coefficient of the slitted structure of a slitted PPW, we may apply the zero transmis-
PPW defined in (17) and (18) in which the oblique incidence sion (or total reflection) phenomenon illustrated in Fig. 8 to
is generalized to a complex wave with a wavenumber k y . Since the design of a grounded CPW. Substituting the corresponding
the grounded CPW is symmetrical with respect to the y = 0 structural critical angle θsc of total reflection into the even-
plane, we further decomposed (52) as mode k y of (53), we obtained the following relation:
√
(k y )e− j k y w = ±1 (53) (θsc ) − k 0 r cos θsc w = 2nπ. (55)
where the positive sign in (53) leads to the solution of even For example, the transmission zero occurs at an incident
modes and the negative sign to that of odd modes. Once angle of θsc = 42° for d = 3.2 mm in Fig. 8. From (55),
the complex k y is found for individual propagating modes, the PPM leakage is expected to vanish at a (minimum) strip
the corresponding longitudinal wavenumber of the grounded width w = 37 mm. To validate this point, Fig. 15 shows
CPW can be obtained by the even-mode attenuation and propagation constants of the
cpw
kz = r k02 − k 2y = β − j α. (54) grounded CPW as a function of the strip width at 5 GHz.
It is observed that the attenuation vanishes at 37 mm and still
Fig. 14 shows the dispersive longitudinal wavenumber of remains very small to some extent. The full-wave simulation
the grounded CPW with the phase constant β in the left axis also confirms this phenomenon. Hence, we have proposed a
and the attenuating constant α in the right axis. Compared new approach to designing a conductor-backed CPW with
with the light speed line in Fig. 14(a), the odd mode becomes zero PPM leakage. The new approach is desirable as the
a radiated fast wave in the frequency range extending from conventional method requires side shielding walls (periodic
2.35 to 7.5 GHz, resulting in a significant attenuation. On the grounding vias) or truncated substrates [24], increasing the
other hand, Fig. 14(b) shows that the even mode appears as manufacturing complexity and costs.
Fig. 16. Grounded coplanar stripline with illustrated equivalent TEM mode
resonance for the propagation mode in the z-direction (w = 5 mm, s =
0.1 mm, and d = 1.6 mm). (a) Geometry. (b) Phase constant.
C. Grounded Coplanar Stripline

For the third illustration of planar structure applica-
tions, we present a grounded coplanar stripline, as shown
in Fig. 16(a). Two parallel striplines are printed on the top
layer of the grounded dielectric slab. Similar to the analysis
in the previous sections, we employed both PMC and PEC
symmetries at the slit center representing even and odd modes,
respectively. The resonant condition for the even mode is given
by
H (k y )tr (k y )e− j 2k y w = 1 (56)
and for odd mode, the resonant equation is
E (k y )tr (k y )e− j 2k y w = 1 (57)
where H and E are the two special reflection coefficients
obtained from (34) and (45), respectively. tr is the reflection
coefficient at the junction of a PPW and an extended grounded Fig. 17. Phase constant of the grounded coplanar stripline as a function
substrate, which can be calculated from the approximated of (a) slit width ( f = 5 GHz, d = 1.6 mm, and w = 5 mm) and (b) strip
width ( f = 5 GHz, d = 1.6 mm, and s = 0.1 mm).
formula for a thin substrate reported in [21]. Once the complex
wavenumber k y is solved, (54) is applied to evaluate the
width effect was taken into account. Systematically speaking,
longitudinal propagating wavenumber.
Figs. 17(b) and 15 confirm our expectation on the model limits
Fig. 16(b) shows the dispersive results of the propagating
that the errors do increase as the strip width decreases.
modes in the illustrated grounded coplanar stripline. The phase
constants for the even and odd modes only slightly differ. The
presented slitted PPW model still produces accurate results VI. C ONCLUSION
compared with the full-wave simulation. In this paper, we have presented the electromagnetic basics
To discuss the limitations of the presented model, we inves- for the scattering of an infinite slit on a PPW with oblique
tigated the effects of the slit width and the strip width, incident TEM waves. In this slitted PPW model, we derived
as depicted in Fig. 17. From Fig. 17(a), the phase constant dyadic Green’s functions for the equivalent sources on the
is almost independent of the slit width for the even mode, but slit and utilized the PMC/PEC symmetry for fast and accu-
appears slightly lower as the slit width narrows. Compared rate calculation. Scattering characterization in terms of the
with the commercial full-wave simulation, a greater difference reflection, transmission, and radiation was simulated and
appears in the odd mode solution but still within 3%. For validated by the full-wave simulator HFSS, achieving excel-
further investigation, Fig. 17(b) shows the phase constant as lent agreement. From the fundamental scattering of slitted
a function of the strip width. Apparently, as the strip width PPW, we discovered several interesting phenomena such as
decreases, the difference between the model prediction and the structural critical angle for zero transmission and the
commercial full-wave simulation becomes greater, especially material critical angle for zero radiation. Both provide vital
for the odd mode. The reason is that we individually calculated clues in the explanation of the unique features found in the
the reflection coefficients at the two edges of the strip and slit-based planar structures. For the slitted SIW structure,
independently combined them in (56) and (57). Both the we characterized the unique transmission property through
SPPW model and the solution in [21] are under the semi- definitions of the loaded cutoff frequency, the transmission
infinite PPW assumption. This assumption implies that the zero frequency, and the radiation cutoff frequency. For the
model becomes less accurate as the strip width decreases and grounded CPW structure, we illustrated a leakage-free design
the two-edge coupling increases. A similar finding was also using the transmission zero phenomenon that the PPM leakage
stated in [20] for a microstrip problem in which the strip is perfectly eliminated. We also solved the coplanar stripline
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Symp., Oct. 1976, pp. 404–407. Taiwan University, Taipei, Taiwan, and the Ph.D.
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Eng.—Microw., Antennas Propag., vol. 139, no. 2, pt. H, pp. 193–201, nication Engineering, National Taiwan University, where he is currently a
Apr. 1992. Professor. From 2014 to 2015, he was a Visiting Scholar with the Center
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New York, NY, USA: Wiley, 1991, ch. 2. of Taiwan in 2008.
Finite Element Method for Resonant Cavity

Problem With Complex Geometrical Structure
and Anisotropic Fully Conducting Media
Wei Jiang, Jie Liu, Xiaoping Xiong, and Qing Huo Liu, Fellow, IEEE
Abstract— In this paper, the resonant cavity problem with results. Nédélec [4] has proposed the edge element, which is
anisotropic fully conducting media, complex geometrical struc- a curl-conforming element. This edge element can preserve
ture and perfect electric conductor walls is investigated. We solve the tangential continuous property of electric field E on the
this problem based on the finite element method (FEM) with
tangential and linear normal (CT/LN) element and standard interface, and hence, the edge element is widely applied in
linear element. An effective numerical method is proposed by computational electromagnetics. For example, in the first place
us such that it is free of nonphysical modes. After the FEM Lee et al. [5] have made use of tangential vector finite
discretization, we need to solve a quadratic algebraic eigenvalue elements to solve dielectric waveguide problems, and provided
problem with a linear constraint condition. In order to overcome a posteriori error estimates. Early literatures on the edge
this difficulty in the field of numerical algebra, we change
this algebraic eigenvalue problem into a generalized eigenvalue elements claim that the edge elements do not introduce the
problem by introducing an auxiliary zero eigenvector. Moreover, any spurious modes to solve the resonant cavity problem.
when the permittivity and conductivity are two constants, both However, this conclusion is not correct, please see [6, Ch. 9,
the eigenmodes of infinite algebraic multiplicity and all the pp. 306–309], because if we use the edge element to solve
nonphysical modes are also removed by linearization method. the resonant problem and ignore divergence-free condition
Several numerical experiments show that computational method
in this paper can suppress all the spurious modes. in the numerical calculation, then spurious zero modes will
be present in the numerical results [7]. The eigenfunctions
Index Terms— Edge element, nonlinear Maxwell’s eigenvalue associated with these spurious zero modes do not have
problem, nonphysical modes, quadratic algebraic eigenvalue
problem, resonant cavity problem. property of divergence-free condition. How to enforce
divergence-free condition in numerical computation is an
important problem. We must make the eigenfunctions be
I. I NTRODUCTION divergence-free such that numerical solution cannot introduce
any nonphysical modes. For the perfect electric conduc-
F OR a microwave resonator, resonant frequency is a very
important physical parameter. It is very difficult to find
analytical solution of resonant frequency when the resonator
tor (PEC) resonant cavity problem filled with a homogeneous
isotropic medium, in the first place, Kikuchi [8] has introduced
is with complex geometrical structure and/or inhomogeneous a Lagrange multiplier to enforce Gauss’ law, and numerical
media. Therefore, we usually turn to the help of numerical computational method proposed by Kikuchi is free of the
methods to obtain approximate resonant frequencies, for exam- any spurious modes. This numerical method is based on
ple, finite element method (FEM) [1] and finite difference the idea of mixed FEM. About theoretical foundation of
method [2]. mixed FEM (please see the monograph written in [9]). An
According to classic electromagnetic theory [3], it is known efficient numerical method must have ability in removing all
that electric field E is tangential continuous on the interface the nonphysical modes together.
between two different media, while the electric field E is not When the medium in the whole cavity is anisotropic lossless
normal continuous on this interface. If the numerical method and the cavity is with PEC boundary condition, this problem
cannot preserve interface condition of the electric field E, then is a linear vector Maxwell’s eigenvalue problem in 3-D [10].
many spurious nonzero modes will be present in the numerical Venkatarayalu and Lee [11] have proposed a novel computa-
tional method to solve this problem successfully. Their method
Manuscript received September 17, 2016; revised November 7, 2016, needs to solve a generalized matrix eigenvalue problem with
December 19, 2016, and January 14, 2017; accepted January 18, 2017. This a linear constraint condition after the FEM discretization.
work was supported by the National Natural Science Foundation of China
under Grant 11371357, Grant 11101381, and Grant 41390453. (Corresponding In mathematics, this problem is a linear eigenvalue problem
author: Wei Jiang.) about self-adjoint compact operator. On the basis of the spec-
W. Jiang is with the Institute of Geophysics and Geomatics, China Univer- tral theory of self-adjoint compact operator [12], we know that
sity of Geosciences, Wuhan 430074, China (e-mail: jwmathphy@163.com).
J. Liu and X. Xiong are with the Department of Electronic Science, Institute the eigenvalues of self-adjoint compact operator are a series of
of Electromagnetics and Acoustics, Xiamen University, Xiamen 361005, real numbers, which is in accordance with the conclusion that
China (e-mail: liujie190484@163.com; iema@xmu.edu.cn). this cavity problem has real resonant frequencies. By virtue of
Q. H. Liu is with the Department of Electrical and Computer Engineering,
Duke University, Durham, NC 27708 USA (e-mail: qhliu@duke.edu). mixed FEM, Jiang et al. [13] have solved this resonant cavity
Digital Object Identifier 10.1109/TMTT.2017.2661740 problem, and it is shown that mixed FEM cannot introduce
the nonphysical modes. Based on mixed spectral element vector on the boundary ∂. Let E and H be the electric field
method (SEM), Liu et al. [14] have also solved this problem, phasor and magnetic field phasor, respectively. ω is angular
and mixed SEM cannot also introduce the nonphysical modes. frequency of time-harmonic electromagnetic wave.
In fact, the idea of mixed SEM and mixed FEM is almost the Permittivity and permeability in vacuum is usually denoted
same, because these two numerical methods all employ the by 0 and μ0 , respectively. Let r be relative permittivity
same mixed variational form. The unique difference between tensor in the medium. Relative permeability tensor in the
mixed SEM and mixed FEM is that the constructions of medium is usually denoted by μr . Suppose that r and μr
basis functions in these two methods are different. When are two piecewise constant tensors, and they satisfy
the eigenfunction for the linear vector Maxwell’s eigenvalue † †
problem about curl–curl operator is very smooth, the numerical r = r μr = μr (1)
eigenvalue obtained by mixed SEM has spectral accuracy, but and
the numerical eigenvalue obtained by mixed FEM of low order
does not have spectral accuracy. But for practical resonant ξ † r ξ > 0 ∀ ξ ∈ C3 and ξ = 0 (2)
cavity problem with complex geometry, the corresponding ξ μr ξ > 0 ∀ ξ ∈ C
† 3
and ξ = 0 (3)
eigenfunction is usually not smooth, which will lead to the lack
of spectral accuracy of numerical eigenvalue if we use mixed where the superscript † denotes conjugate transpose of a
SEM to solve this resonant cavity. In this case, superiority tensor. From (1)–(3), we know that r and μr are two
of mixed FEM is much better than the one of mixed SEM, second-order positive definite Hermitian tensors, which are
because mixed FEM can adopt an unstructured grid to deal the conditions for an anisotropic lossless medium according to
with a very complex geometrical structure. electromagnetic theory [3], [15]. Let σ e be conductivity tensor
To our best knowledge, the research about the computational in the medium. Moreover, suppose that the medium is fully
method without any nonphysical mode for the resonant cavity conducting in the whole cavity. In this case, the conductivity
problem with complex geometrical structure and anisotropic σ e in the whole cavity is also a second-order positive
fully conducting media has not appeared yet in existing liter- definite Hermitian tensor, that is,
†
ature until now. This problem is a nonlinear vector Maxwell’s σe = σe
eigenvalue problem, which is a much more difficult problem
than the liner vector Maxwell’s eigenvalue problem. This and
paper proposes an efficient numerical method to solve it. It is ξ † σ e ξ > 0 ∀ ξ ∈ C3 and ξ = 0.
known that CT/LN edge element space can approximate curl-
conforming space very well, and standard linear element space Note that σ e may not be a constant tensor in the cavity .
can approximate grad-conforming space very well. Therefore, According to the Maxwell’s equations with source-free we
CT/LN edge element space and standard linear element space arrive at
⎧
are adopted in this paper such that Gauss’ law and charge ⎪
⎪ ∇ × E = − j ωμ0 μr H, in (4a)
⎪
⎪ ρec
conservation law are satisfied in the weak sense together. ⎪
⎪ ∇ · ( r E) = , in
⎪
⎪ (4b)
Moreover, numerical experiments show that the computational ⎪
⎪ 0
method in this paper does not introduce the any nonphysical ⎪
⎪
⎨ ∇ · (σ e E) = − j ωρec , in (4c)
modes.
The outline of this paper is as follows. Variational formula- ⎪ ∇ × H = j ω0 r E + σ e E, in
⎪
(4d)
⎪
⎪
⎪
⎪ ∇ · (μr H) = 0, in (4e)
tions for the resonant cavity problem filled with anisotropic ⎪
⎪
⎪
⎪ n̂ × E = 0, on ∂
fully conducting media are given in Section II. The FEM ⎪
⎪ (4f)
discretizations corresponding to the variational forms of con- ⎩
n̂ · (μr H) = 0, on ∂ (4g)
tinuous problem are given in Section III. In Section IV, we
recall how to solve a quadratic algebraic eigenvalue prob- where ρec is the conduction electric charge density in the
lem, and give an effective algorithm about how to solve a cavity . We want to seek a quaternion (ω, E, H, ρec ) with
quadratic algebraic eigenvalue problem with a linear constraint (ω, E, H, ρec ) = (0, 0, 0, 0), such that (4) is valid.
condition. Finally, several numerical experiments verify that From Maxwell’s system (4), eliminating the scalar field ρec
numerical algorithm in this paper can solve the resonant and the vector magnetic field H, we achieve the following
cavity with anisotropic fully conducting media and PEC walls, partial differential equations (PDEs): seek k0 ∈ C and E = 0
such that
and our proposed numerical algorithm can remove all the ⎧ −1
nonphysical modes. ⎪
⎨ ∇ × (μr ∇ × E) = k0 (k0 r − j η0 σ e )E, in (5a)
⎪ ∇ · ((k0 r − j η0 σ e )E) = 0, in (5b)
II. G OVERNING E QUATIONS ⎩
n̂ × E = 0, on ∂ (5c)
A. Preliminaries where k0 = ω(0 μ0 )1/2 is the wavenumber in vacuum, and
Assume that ⊂ R3 is a bounded connected domain. ∂ is η0 = (μ0 /0 )1/2 is the wave impedance in vacuum. It is clear
the boundary of the cavity . Note that the boundary ∂ can that when k0 = 0, (5b) is the conclusion of (5a). But (5b) is
be disconnected. In this case, the cavity has multiple perfect not omitted, otherwise nonphysical zero modes (0, ∇ϕ) will
electric conductors. Suppose that n̂ is the outward normal unit be introduced in the eigenmodes. In order to suppress these
JIANG et al.: FEM FOR RESONANT CAVITY PROBLEM 3
nonphysical zero modes, we must consider divergence-free associates with a linear eigenvalue problem about self-adjoint
condition (5b) in numerical simulation. compact operator. PDEs (7) can be solved by mixed FEM
Now we prove that the nonzero eigenmodes between successfully [13].
PDEs (5) and PDEs (4) are the same. Obviously, a nonzero However, PDEs (5) is a nonlinear vector Maxwell’s eigen-
eigenmode to PDEs (4) is a nonzero eigenmode to PDEs (5). value problem in 3-D, which is a much more difficult problem
Conversely, we prove that a nonzero eigenmode to PDEs (5) than linear vector Maxwell’s eigenvalue problem (7) in 3-D.
is also a nonzero eigenmode to PDEs (4). When k0 = 0, then PDEs (5) is a nonlinear eigenvalue problem about a noncom-
ω = 0, set pact operator, because from numerical experiments we find
−1 that the spectrum of PDEs (5) has a nonzero accumulation
μ ∇×E point or a continuous spectrum. This will lead to the difficulty
H= r . (6)
− j ωμ0 of the numerical simulation. In mathematics, it is known that
It is clear that (4a) holds. Substituting (6) into (5a), we can research about the spectral theory of compact operator in
achieve functional analysis is very thorough [12], but the research
achievements about the spectral theory of noncompact operator
k02 r E − j η0 k0 σ e E
∇×H= = j ω0 r E + σ e E in functional analysis are very limited. Therefore the spectrum
− j ωμ0 properties of the operator associated with PDEs (5) are almost
which is just (4d) unknown in theory.
1 −1
∇ · (μr H) = ∇ · (μr μr ∇ × E) = 0 B. Linearized Method
− j ωμ0
which is just (4e) Specially when σ e = σe I and r = r I , where σe and r
are two positive constants in , and I is the identical tensor,
1 then ( j σe r−1 0−1 , −∇ϕ, 0, −0 ∇ ·(r ∇ϕ)) is an eigenmode to
n̂ · (μr H) = ∇ · (n̂ × E) = 0, on ∂
j ωμ0 Maxwell’s system (4), where ϕ ∈ H01(). In this case, ω =
which is just (4g). Finally, we verify Gauss’ law for electric j σe r−1 0−1 is an eigenvalue of infinite algebraic multiplicity,
field E (4b) and charge conservation equation (4c), which can and E = −∇ϕ belongs to function space ∇ H01(), which is
be deduced from (5b). In fact, from (5b), we obtain a function space with infinite dimension. In mathematics, the
√ eigenvalue j σe r−1 0−1 is called an essential spectral point. But
ω 0 μ0
∇ · (σ e E) = ∇ · ( r E) = − j ω0 ∇ · ( r E). these eigenmodes do not contain magnetic energy, therefore
j η0
we are not interested in these eigenmodes. This paper can
Set ρec = 0 ∇ · ( r E), then we have suppress them by virtue of the method based on solving a
quadratic algebraic equation.
∇ · (σ e E) = − j ωρec
First, using mixed FEM to solve a linear vector Maxwell’s
which are just (4b) and (4c). eigenvalue problem: seek ∈ R and E = 0 such that
⎧ −1
When the cavity is simply connected, it is easy to prove ⎪
⎨ ∇ × μr ∇ × E = E, in
2
(8a)
that ω = 0 is not an eigenvalue for Maxwell’s system (4).
In fact, if ω = 0 is an eigenvalue for Maxwell’s system (4), ⎪ ∇ · E = 0, in (8b)
⎩
then Maxwell’s system (4) will have a trivial solution. By (4a), n̂ × E = 0, on ∂. (8c)
we get ∇ × E = 0 in , since is simply connected, then Next, solve the roots to a quadratic algebraic equation: seek
E = −∇ϕ can be deduced. Substituting this into (4c), we can k0 ∈ C, such that
get −∇ · (σ e ∇ϕ) = 0. Since σ e is a second-order positive
k02 r − j η0 σe k0 − 2
= 0. (9)
definite Hermitian tensor in the whole cavity and (4f), then
it is very easy to prove that ∇ϕ = 0, thus E = 0 in . In It is clear that the solutions to (9) are
terms of (4b), we get ρec = 0 in . Similarly, we can prove
H = 0 in . ± 4r 2 − η02 σe2 + j η0 σe
k0 = .
When σ e = 0 in the whole cavity , we have ρec = 0 2r
in . In this case, charge conversation law (4c) holds spon- If we employ mixed FEM to solve PDEs (8), next
taneously. Therefore we do not need to consider charge using (9) to obtain approximate wavenumber, then this lin-
conversation law (4c) in the numerical simulation. In this earized method can not only suppress all the spurious zero
case, the governing equations about the electric field E are and nonzero modes successfully, but it can also suppress the
the following: find k0 ∈ R and E = 0 such that physical modes ( j σe r−1 0−1 , −∇ϕ, 0, −0 ∇·(r ∇ϕ)) in which
⎧ −1
⎪ we are not interested. Notice that numerical simulation about
⎨ ∇ × μr ∇ × E = k0 r E, in
2
(7a)
the modes ( j σe r−1 0−1 , −∇ϕ, 0, −0 ∇ · (r ∇ϕ)) will spend
⎪ ∇ · ( r E) = 0, in (7b) a lot of CPU time. Note that PDEs (8) and (9) can also
⎩
n̂ × E = 0, on ∂. (7c) simulate the resonant cavity problem with σ e = σe I and
Obviously, when k0 = 0, (7b) is the conclusion of (7a). r = r I , where σe and r are two positive constants in the
PDEs (7) is investigated in [13]. PDEs (7) is a linear PDE whole domain , but μr may be inhomogeneous anisotropic
eigenvalue problem about curl–curl operator in 3-D, which in .
III. F INITE E LEMENT D ISCRETIZATION edge in mesh Th . We usually employ CT/LN edge element
Because it is very difficult to establish the mixed variational space Wh to approximate curl-conforming space H(curl, ),
form for PDEs (5), we plan to give the variational form for and standard linear element space S h to approximate the
PDEs (5) according to the Green’s formulas directly. Hilbert space H 1(). From [17], it is known that Wh is
First, we introduce some important function spaces over C a finite element subspace of curl-conforming function space
in FEM associated with PDEs (5) H(curl, ); from [16], it is known that S h is a finite element
subspace of the Hilbert space H 1(). Set W0h = Wh V
L 2 () = f : | f (x, y, z)|2 dxdydz < +∞ and S0h = S h H01(). For the definitions of both CT/LN
edge element space W0h and linear element space S0h (please
H 1() = { f ∈ L () : ∇ f ∈ (L 2 ())3 }
2 see [13]). Suppose that
H01() = { f ∈ H 1() : f |∂ = 0} W0h = span{N1 , N2 , N3 , . . . , Nn }
H(curl, ) = {M ∈ (L 2 ())3 : ∇ × M ∈ (L 2 ())3 } S0h = span{φ1 , φ2 , φ3 , . . . , φm }
H0 (curl, ) = {M ∈ H(curl, ) : n̂ × M|∂ = 0}
where Ni , i = 1, 2, 3, . . . , n (n = dim W0h ) are the global basis
Set V = H0 (curl, ). functions in W0h , and φi , i = 1, 2, 3, . . . , m (m = dim S0h ) are
Second, denote the continuous sesquilinear forms the global basis functions in S0h .
Now, we give discrete variational forms corresponding
a: V×V → C to variational forms (10): seek kh ∈ C, Eh ∈ W0h with
(E, M) →
−1
μr ∇ × E · ∇ × M∗ d x d ydz Eh b1 = 1, such that

kh2 b1 (Eh , M) − j η0 kh b2 (Eh , M) − a(Eh , M) = 0 ∀M ∈ W0h
b1 : (L 2 ())3 × (L 2 ())3 → C
(11a)
(E, M) → r E · M∗ d x d ydz kh c1 (Eh , q) − j η0 c2 (Eh , q) = 0 ∀q ∈ S0h

b2 : (L 2 ())3 × (L 2 ())3 → C (11b)
(E, M) → σ e E · M∗ d x d ydz where kh in (11) is the approximate wavenumber in vacuum.
The notation kh is in order to distinguish the exact wavenum-
c1 : V × H01() → C ber k0 . Write
(M, q) → r M · ∇q ∗ d x d ydz n
Eh = ξi Ni = [N]ξ ξ T = [ξ1 , ξ2 , . . . , ξn ].
c2 : V × H01() →C i=1
Taking M = Ni , q = φi in (11), then we obtain the algebraic
(M, q) → σ e M · ∇q ∗ d x d ydz
eigenvalue problem

where ∗ stands for complex conjugate. kh2 B1 − j η0 kh B2 − A ξ = 0 (12a)
Define M b1 = (b1 (M, M))1/2 . It is easy to prove that
kh C1 − j η0 C2 ξ = 0 (12b)
· b1 is a norm in (L 2 ())3 . This norm is equivalent to the
usual norm · 0 in (L 2 ())3 . In our numerical experiments, where
we normalize the numerical eigenfunction according to the
A = (ai j ) ∈ Cn×n ai j = a(N j , Ni )
norm · b1 . (1) (1)
Finally, we give variational form of PDEs (5) by using B1 = bi j ∈ Cn×n bi j = b1 (N j , Ni )
Green’s formulas: seek k0 ∈ C and E ∈ V with E b1 = 1,
B2 = bi(2)
j ∈ Cn×n bi(2)
j = b2 (N j , Ni )
such that (1) (1)
C1 = ci j ∈ Cm×n ci j = c1 (N j , φi )
k02 b1 (E, M) − j η0 k0 b2 (E, M) − a(E, M) = 0 ∀M ∈ V
C2 = ci(2)
j ∈ Cm×n ci(2)
j = c2 (N j , φi ).
(10a)
k0 c1 (E, q) − j η0 c2 (E, q) = 0 ∀q ∈ H01(). If we do not consider constraint (5b), finally one will only
(10b) obtain a quadratic algebraic eigenvalue problem (12a).
According to the continuous sesquilinear forms above, it is
Now we already know that edge element space can approx- known that A is a positive semidefinite Hermitian matrix, and
imate curl-conforming space V very well, and the function B1 and B2 are two positive definite Hermitian matrices. It is
space based on nodal-basis functions can approximate the clear that kh = 0 is an eigenvalue with finite algebraic multi-
Hilbert space H 1() very well. Moreover, edge element space plicity to problem (12a) because A is a positive semidefinition
has ability in dealing with linear electromagnetic eigenvalue Hermitian matrix. But most of these eigenvalues kh = 0 are
problem with discontinuous media, and it will not introduce nonphysical zero eigenvalues for original PDEs (4). In order
nonphysical nonzero modes. to eliminate these nonphysical zero eigenvalues, we have to
Let Th be a regular tetrahedral partition [16] of with solve problem (12), which is a difficult numerical algebraic
mesh parameter h, where h is the length of the longest eigenvalue problem in the field of numerical algebra. In the
next section, we will deal with this troublesome numerical Since φ ∈ H01(), then
algebraic problem.
M = ∇φ ∈ H0 (curl, ). (16)
IV. A LGEBRAIC E IGENVALUE P ROBLEMS Substituting (16) into the continuous sesquilinear form
Problem (12a) is a quadratic algebraic eigenvalue prob- about c1 , and taking q = φ in the continuous sesquilin-
lem, which is the easiest nonlinear algebraic eigenvalue prob- ear form about c1 , from (15) we achieve c1 (∇φ, φ) = 0.
lem, while problem (12) is a quadratic algebraic eigenvalue According to the positive definiteness of relative permittivity
problem with a linear constraint condition. About review paper tensor r , we can infer that ∇φ = 0 in . Thanks to
for how to solve the quadratic algebraic eigenvalue problem, the Poincaré inequality [16] in Hilbert space H01(), i.e.,
we are glad to recommend [18]. The most common way of φ 1 ≤ C ∇φ 0 = 0 in , then φ = 0 in . Since the basis
dealing with the quadratic algebraic eigenvalue problem is to functions φi (i = 1, 2, 3, . . . , m) are linear independent, thus
transform it into a linear generalized eigenvalue problem [19]. di∗ = 0 (i = 1, 2, 3, . . . , m), i.e., di = 0 (i = 1, 2, 3, . . . , m),
But this linearized method will double the matrix size. This this implies that ζi (i = 1, 2, 3, . . . , m) are linear independent.
paper adopts this linearized method to solve the quadratic alge- Therefore Rank(C1 ) = m, this also implies Rank(C1† ) = m.
braic eigenvalue problem. The algebraic eigenvalue problem Similarly, we can also prove that Rank(C2† ) = m. Note that in
(12a) can be changed into a generalized eigenvalue problem the proof we need to use positive definiteness of conductivity
tensor σ e , this is why we assume that the medium in the cavity
j η0 B2 A kh ξ B1 O kh ξ
= kh (13) is fully conducting. By virtue of linear algebra theory [20], the
In O ξ O In ξ
solution spaces to linear algebraic equations (14a) and (14b)
where In is the identity matrix of order n. are two trivial spaces. Hence D = {0}.
Obviously, problem (13) has dim (Null(A)) zero eigenval- Next we can change the algebraic eigenvalue problem (12)
ues, where Null stands for taking kernel space of a matrix. into the following generalized eigenvalue problem:
Most of these zero eigenvalues are nonphysical zero eigenval- ⎡ ⎤⎡ ⎤
ues. We want to suppress these nonphysical zero eigenvalues j η0 B2 A C1† kh ξ
in the numerical computation. ⎣ In O j η0 C2† ⎦ ⎣ ξ ⎦
Commercial softwares COMSOL Multiphysics 4.2a and C1 − j η0 C2 O α
HFSS (High Frequency Structure Simulator) 10.0 usually ⎡ ⎤⎡ ⎤
B1 O O kh ξ
employ eigenvalue problem (13) to solve (5). It is clear that = k h ⎣ O In O ⎦ ⎣ ξ ⎦ . (17)
this method will introduce many nonphysical zero modes. O O O α
Now let us consider how to solve the algebraic eigenvalue
problem (12). First, we consider the following linear algebraic From the proof above, we know that α = 0 in the general-
equations: ized eigenvalue problem (17). The numerical algebraic prob-
lem (17) can suppress all the nonphysical modes, including
C1† α = 0 (14a) nonphysical zero modes, because we have already considered
C2† α = 0. (14b) Gauss’ law (4b) and charge conversation law (4c) for the
electric field E in the numerical computation.
It is well-known that the solutions to linear algebraic equations
(14a) and (14b) are two linear subspaces in Cm , respectively.
V. N UMERICAL E XPERIMENTS
Assume that solution spaces to (14a) and (14b) are D1 and D2 ,
respectively. Define the sum spaces D = Null(C1† )+Null(C2† ). In this section, five numerical experiments are carried out
In fact, D1 = Null(C1† ) and D2 = Null(C2† ). Now, we prove in order to examine the effectiveness of the proposed com-
that Rank(C1† ) = Rank(C2† ) = m. We can divide into row putational method. Our aim is to confirm that the proposed
(1) (1) (1) algorithm cannot introduce the any spurious modes. In these
groups to the matrix C1 , i.e., set ζi = [ci1 , ci2 , . . . , cin ],
five numerical experiments, we shall take the numerical
i = 1, 2, . . . , m. Suppose that
wavenumber kh in vacuum as the eigenvalue. We do not list the
m
continuous spectrum in our numerical results, because the task
d i ζi = 0 of listing the continuous spectrum is very difficult. We plan to
i=1
list the first eight numerical eigenvalues in all the examples. By
then we have the way, if we adopt the generalized eigenvalue problem (17)
m to solve PDEs (5), we will validate the auxiliary eigenvector
di ci(1)
j = 0, j = 1, 2, . . . , n α = 0 corresponding to the numerical eigenvalue kh =
i=1 a +bj (a > 0), and record the size of the matrix in generalized
that is, eigenvalue problem (17) and the number of nonzero matrix
m entries in problem (17). Recall that α = [α1 , α2 , . . . , αm ]T ,
c1 (N j , di∗ φi ) = 0, j = 1, 2, . . . , n. where αi = ai + j bi , ai ∈ R and bi ∈ R (i = 1, 2, . . . , m).
i=1 Define the norm: α = max1≤i≤m (ai2 + bi2 )1/2 . Let #1 be the
m ∗ size of the matrix in generalized eigenvalue problem (17). Let
Set φ = i=1 di φi , then
#2 and #3 be the number of nonzero entries in the left and
c1 (N j , φ) = 0, j = 1, 2, . . . , n. (15) right matrix in problem (17), respectively.
TABLE I
D ISCRETE E IGHT E IGENVALUES F ROM THE R ECTANGULAR C AVITY F ILLED W ITH A H OMOGENEOUS M EDIUM
TABLE II
D ISCRETE E IGHT E IGENVALUES F ROM THE R ECTANGULAR C AVITY F ILLED W ITH AN I NHOMOGENEOUS M EDIUM
A. Rectangle Cavity Next we consider a particular example that is the relative

Rectangle cavity is with length π m, width π/2 m, and permeability μr = μr I is not a constant tensor, but it is
(1)
height π/4 m. Suppose that the medium in this cavity is a tensor dependent on the position. Assume that μr =
homogeneous isotropic, and r = μr = 1 and σe = diag(1, 1, 2) in the domain (0, π/2) × (0, π/2) × (0, π/4) and
(2)
0.001 S/m. Obviously k0 = j η0 σe r−1 is an eigenvalue of μr = diag(1, 2, 3) in the domain (π/2, π) × (0, π/2) ×
infinite algebraic multiplicity. Set 2kpq = k 2 +4 p2 +16q 2(k = (0, π/4). The other medium parameters have no change.
1, 2, 3, 4, . . . , p, q = 0, 1, 2, 3, . . . and p = q = 0), then We use linear PDEs (8) and (9) to solve PDEs eigenvalue
2
kpq are eigenvalues for PDEs eigenvalue problem (7) [3]. problem (5), and list the numerical eigenvalues of finite dimen-
Other exact eigenvalues of PDEs (4) are sional algebraic multiplicity in Table II. There do not exist
the numerical eigenvalues j η0 σe r−1 of infinite dimensional
j η0 σe ± 4r 2kpq − η02 σe2 algebraic multiplicity in the numerical results.
k0 = .
2r From Table II, one can see the real part of these numerical
eigenvalues swing to the one of the exact eigenvalues as the
If we employ generalized eigenvalue problem (17) to
mesh parameter h decreases. Here we would like to point out
solve (5), then numerical eigenvalue kh ≈ j η0 σe r−1 will be
the numerical eigenvalues with the positive real part obtained
present in the numerical results, and the number of numerical
from PDEs (8) and (9) are the same as the ones from the
eigenvalues j η0 σe r−1 is equal to interior nodal number N p .
generalized eigenvalue problem (17).
Moreover, the finer the grid is, the more eigenvalues j η0 σe r−1 .
From the above examples, one can see that the linearized
If we would like to know the first eight eigenvalues that are
method cannot introduce the any nonphysical eigenvalues, and
different from the eigenvalues j η0 σe r−1 , we need to compute
can remove the eigenvalues of infinite dimensional algebraic
N p + 8 numerical eigenvalues, therefore a lot of CPU time
multiplicity. This linearized method is only suitable for the
will be spent.
case in that the relative permittivity r and the conductivity σe
If we use linear PDEs (8) and (9) to solve (5), then
are two constants, but the relative permeability μr may not be
the eigenvalue j η0 σe r−1 will not be presented in numerical
a constant tensor.
results. We only need to solve the first eight numerical eigen-
values, which will reduce CPU time greatly. Moreover, these B. Toric Cavity
eight numerical eigenvalues are the same as the ones obtained
Assume that major radius of the torus is a = 1 m and minor
from generalized eigenvalue problem (17). The approximate
radius is b = 0.5 m. Fig. 1 shows the geometrical shape of
eigenvalues in Table I are adopted in the linearized method,
this cavity. Medium messages are
which can suppress the eigenvalue j η0 σe r−1 of infinite alge- ⎡ ⎤ ⎡ ⎤
braic multiplicity. 4 1 + 2 j −1 1 0 0
⎢ 1 ⎥ ⎢ ⎥
From Table I, we can see that the imaginary part of all the r = ⎣ 1 − 2 j 5 ⎦ μr = ⎣ 0 2 0 ⎦
numerical eigenvalues is equal to one of the exact eigenvalues, −1 1 4 0 0 2
and the real part of all the numerical eigenvalues is convergent
to one of the exact eigenvalues. Further, the real part of and

numerical eigenvalues appears in pairs, and the symbol of 2 1 0
imaginary part of all the numerical eigenvalues is positive, σ e = 1 2 0 × 10−3 S/m.
which implies that electromagnetic energy in the resonant 0 0 3
cavity is damped, because this electromagnetic energy will In Table III, we list the numerical eigenvalues obtained
transform into Joule heat. The next numerical experiments also from the generalized eigenvalue problem (17) and α in each
support this viewpoint. eigenvector.
TABLE III
D ISCRETE E IGHT E IGENVALUES F ROM THE T ORIC C AVITY
The medium parameters are

2 0 0 2 1−2j −j
r = 0 1 0 μr = 1+2j 4 j
0 0 2 j −j 4
and

3 1−2j 1− j
σe = 1+2j 4 2+ j × 10−3 S/m.
1+ j 2− j 4
Fig. 1. Toric cavity.
Here, we also adopt the generalized eigenvalue problem (17)
to solve PDEs (5), and show the computational results in
Table IV.
Table IV implies that our method is free of nonphysical
modes. In this example, there does not exist a physical zero
mode. However, for the case in anisotropic lossless media,
there exists a physical zero mode. This is because this cavity
has two disconnected PEC boundaries [13]. From Table IV,
one can observe that numerical eigenvalues are convergent
to the corresponding exact eigenvalues as mesh parameter h
decreases, and α (i) ≈ 0 (i = 1, 2, 3, 4) in , which is in
agreement with the theory in Section IV.
Fig. 2. Cavity with one hole.

D. Cavity With Two Holes
As Table III observation, we can find that the generalized
eigenvalue problem (17) can eliminate nonphysical zero and Finally we simulate a complex numerical example. Assume
nonzero modes together, which implies that this method is that
a useful and important method for numerical simulation for
the cavity problem with a homogeneous anisotropic fully D1 = (0, π) × (0, π) × (0, π)
conducting medium and PEC walls. In this numerical result D2 = (π, 2π) × (0, π) × (0, π)
π 2 π 2 π 2
there does not exist a physical zero mode. Moreover, α (i) ≈ D3 = (x, y, z) : x − + y− + z− ≤1
0 (i = 1, 2, 3, 4) in , which is in agreement with the theory 2 2 2

in Section IV. 3π 2 π 2 π 2
D4 = (x, y, z) : x − + y− + z− ≤1
2 2 2
C. Cavity With One Hole (1) = D1 \ D3 (2) = D2 \ D4 .
Assume that 1 = (−π, π) × (−π, π) × (−π, π), 2 =
{(x, y, z) : x 2 + y 2 + z 2 ≤ π 2 /4}, and = 1 \ 2 . Fig. 2 Obviously, this geometry is not homeomorphic to all the above
(1) (1)
shows the geometrical shape of this cavity. It is clear that geometries. The medium parameters in (1) are r , μr and
(1) (2) (2) (2)
this geometry is not homeomorphic to the geometry in all the σ e ; the medium parameters in (2) are r , μr , and σ e .
examples above. Fig. 3 shows the geometrical shape of this cavity. Medium
TABLE IV
D ISCRETE E IGHT E IGENVALUES F ROM THE C AVITY W ITH O NE H OLE
TABLE V
D ISCRETE E IGHT E IGENVALUES F ROM THE C AVITY W ITH T WO H OLES
⎡ ⎤
3 2+ j j
(1) ⎢ 0⎥ −3
σe = ⎣2− j 2 ⎦ × 10 S/m,
−j 0 4
⎡ ⎤
4 2+3j 0
(2) ⎢ 0⎥ −4
σe = ⎣2− 3j 4 ⎦ × 10 S/m.
0 0 1
Here, we also employ generalized eigenvalue problem (17)

to solve PDEs (5), and list the numerical eigenvalues in
Fig. 3. Cavity with two holes. Table V.
Table V shows that our numerical algorithm can be free
of nonphysical modes. There does not exist a physical zero
mode in this model. Numerical eigenvalues are convergent
parameters are
to the corresponding exact eigenvalues as mesh parameter h
⎡ ⎤ ⎡ ⎤ decreases, and α (i) ≈ 0 (i = 1, 2, 3, 4) in , which is also in
2 j −j 4 3j 2 − j accordance with the theory in Section IV.
(1) ⎢ 0 ⎥ (1) ⎢ j ⎥
r = ⎣−j 3 ⎦ μr = ⎣ −3 j 5 ⎦
j 0 3 2 + j −j 6
⎡ ⎤ ⎡ ⎤ VI. C ONCLUSION
1 0 0 4 3j 0
(2) ⎢ 1− j⎥ (2) ⎢ ⎥ FEM is an efficient numerical method for solving the res-
r = ⎣0 3 ⎦ μr = ⎣ −3 j 4 0 ⎦
onant cavity problem with complex geometry and anisotropic
0 1+ j 3 0 0 1 fully conducting media. The proposed method has to solve
a quadratic algebraic eigenvalue problem with a linear con- Wei Jiang received the B.S. degree in mathematics
straint condition. This difficult numerical algebraic eigenvalue and applied mathematics from Hubei Normal Uni-
versity, Huangshi, China, in 2008, the M.S. degree
problem can be reduced to a generalized eigenvalue problem in computational mathematics from Guizhou Normal
by introducing an auxiliary zero eigenvector. The proposed University, Guiyang, China, in 2011, and the Ph.D.
method can eliminate nonphysical zero and nonzero modes degree in radio physics from Xiamen University,
Xiamen, China, in 2016.
together. Moreover, when the permittivity and conductivity are He is currently a Post-Doctoral Researcher with
two constants, the linearization method can remove both the the Institute of Geophysics and Geomatics, China
nonphysical modes and the eigenmodes of infinite algebraic University of Geosciences, Wuhan, China. His
current research interests include the finite ele-
multiplicity. The proposed method only employs the easiest ment method for PDE eigenvalue problems, applied numerical algebra,
CT/LN edge element space and standard linear element space, and computational electromagnetics, especially for eigenvalue problems in
but it is very easy to extend our proposed method to higher electromagnetics.
order FEM. Unfortunately, the proposed method in this paper Jie Liu received the B.S. degree in mathematics and
cannot be extended to solve the resonant cavity problem with applied mathematics and M.S. degree in computa-
tional mathematics from Guizhou Normal Univer-
anisotropic partially conducting media and PEC walls. In the sity, Guiyang, China, in 2008 and 2012, respectively.
future, we would like to develop a new numerical algorithm He is currently pursuing the Ph.D. degree at the
to solve this difficult problem successfully. Institute of Electromagnetics and Acoustics and the
Department of Electronic Science, Xiamen Univer-
The PEC walled resonant cavity problem with complex sity, Xiamen, China.
geometry structure and anisotropic fully conducting media From 2012 to 2015, he was a Lecturer with
may have a continuous spectrum. Continuous spectrum is the School of Mathematics and Statistics, Guizhou
√ University of Finance and Economics, Guiyang. His
(a, b) j , where 0 < a < b and j = −1, but it is very current research interests include the numerical solution of partial differential
difficult to find sup{a} and inf{b} in theory. equations, numerical algebra, and computational electromagnetics.
R EFERENCES Xiaoping Xiong received the B.S. degree in
mechanical design, manufacturing, and automation
[1] G. Strang and G. J. Fix, An Analysis of the Finite Element Method. from the Hefei University of Technology, Hefei,
Englewood Cliffs, NJ, USA: Prentice-Hall, 1973. China, in 2010, and the M.S. degree in electronics
[2] G. D. Smith, Numerical Solution of Partial Differential Equations: Finite and communication engineering from Xiamen Uni-
Difference Methods. New York, NY, USA: Oxford Univ. Press, 1985. versity, Xiamen, China, in 2015.
[3] C. A. Balanis, Advanced Engineering Electromagnetics. New York, NY, Since 2015, she has been with the Department
USA: Wiley, 1989. of Electronic Science, Xiamen University, as an
[4] J. C. Nédélec, “Mixed finite elements in R3 ,” Numer. Math., vol. 35,
Assistant Engineer. Her current research interests
no. 3, pp. 315–341, 1980.
[5] J.-F. Lee, D.-K. Sun, and Z. J. Cendes, “Full-wave analysis of dielec- include planar antenna design.
tric waveguides using tangential vector finite elements,” IEEE Trans.
Microw. Theory Techn., vol. 39, no. 8, pp. 1262–1271, Aug. 1991. Qing Huo Liu (S’88–M’89–SM’94–F’05) received
[6] D. B. Davidson, Computational Electromagnetics for RF and Microwave the B.S. and M.S. degrees in physics from
Engineering. Edinburgh, U.K.: Cambridge Univ. Press, 2010. Xiamen University, Xiamen, China, in 1983 and
[7] S. G. Perepelitsa, R. Dyczij-Edlinger, and J.-F. Lee, “Finite-element 1986, respectively, and the Ph.D. degree in elec-
analysis of arbitrarily shaped cavity resonators using H1 (curl) elements,” trical engineering from the University of Illinois at
IEEE Trans. Magn., vol. 33, no. 2, pp. 1776–1779, Mar. 1997. Urbana–Champaign, Champaign, IL, USA, in 1989.
[8] K. Fumio, “Mixed and penalty formulations for finite element analysis He was with the Electromagnetics Laboratory,
of an eigenvalue problem in electromagnetism,” Comput. Methods Appl. University of Illinois at Urbana–Champaign, as a
Mech. Eng., vol. 64, nos. 1–3, pp. 509–521, Oct. 1987. Research Assistant from 1986 to 1988, and as a Post-
[9] F. Brezzi and M. Fortin, Mixed and Hybrid Finite Element Methods. Doctoral Research Associate from 1989 to 1990.
New York, NY, USA: Springer-Verlag, 1991. He was a Research Scientist and Program Leader
[10] J. Jin, The Finite Element Method in Electromagnetics. New York, NY, with Schlumberger-Doll Research, Ridgefield, CT, USA, from 1990 to 1995.
USA: Wiley, 1993. From 1996 to 1999, he was an Associate Professor with New Mexico State
[11] N. V. Venkatarayalu and J.-F. Lee, “Removal of spurious DC modes University, Las Cruces, NM, USA. Since 1999, he has been with Duke
in edge element solutions for modeling three-dimensional resonators,” University, Durham, NC, USA, where he is currently a Professor of electrical
IEEE Trans. Microw. Theory Techn., vol. 54, no. 7, pp. 3019–3025, and computer engineering. He has authored over 300 papers in refereed
Jul. 2006. journals and 400 papers in conference proceedings. His current research inter-
[12] F. Chatelin, Spectral Approximation of Linear Operators. New York, ests include computational electromagnetics and acoustics, inverse problems,
NY, USA: Academic, 1983. and their application in nanophotonics, geophysics, biomedical imaging, and
[13] W. Jiang, N. Liu, Y. Yue, and Q. H. Liu, “Mixed finite-element method
electronic packaging.
for resonant cavity problem with complex geometric topology and
Dr. Liu is a Fellow of the Acoustical Society of America, a member of Phi
anisotropic lossless media,” IEEE Trans. Magn., vol. 52, no. 2, pp. 1–8,
Kappa Phi and Tau Beta Pi, and a full member of the U.S. National Committee
Feb. 2016.
of the URSI Commissions B and F. Currently, he serves as the Deputy Editor-
[14] N. Liu, L. Tobón, Y. Zhao, Y. Tang, and Q. H. Liu, “Mixed spectral-
in-Chief of Progress in Electromagnetics Research, an Associate Editor of
element method for 3-D Maxwell’s eigenvalue problem,” IEEE Trans.
the IEEE T RANSACTIONS ON G EOSCIENCE AND R EMOTE S ENSING, and
Microw. Theory Techn., vol. 64, no. 2, pp. 317–325, Feb. 2015.
[15] W. C. Chew, Waves and Fields in Inhomogeneous Media. New York, the Editor of the Journal of Computational Acoustics. He also served as a
NY, USA: Van Nostrand, 1990. Guest Editor of the P ROCEEDINGS of the IEEE. Since 2015, he has been the
[16] P. G. Ciarlet, The Finite Element Method for Elliptic Problems. Editor-in-Chief of the IEEE J OURNAL ON M ULTISCALE AND M ULTIPHYSICS
Amsterdam, The Netherland: North Holland, 1978. C OMPUTATIONAL T ECHNIQUES . He was a recipient of the 1996 Presidential
[17] R. Hiptmair, “Finite elements in computational electromagnetism,” Acta Early Career Award for Scientists and Engineers from the White House,
Numer., vol. 11, pp. 237–339, Jan. 2002. the 1996 Early Career Research Award from the Environmental Protection
[18] F. Tisseur and K. Meerbergen, “The quadratic eigenvalue problem,” Agency, and the 1997 CAREER Award from the National Science Foundation.
SIAM Rev., vol. 43, no. 2, pp. 235–286, 2001. He was an elected Fellow of the IEEE for his contributions to computational
[19] Y. Saad, Numerical Methods for Large Eigenvalue Problems. electromagnetics and to subsurface sensing applications, and a Fellow of
Philadelphia, PA, USA: SIAM, 2011. the Acoustical Society of America for his contributions to computational
[20] G. Strang, Linear Algebra and Its Applications, 4th ed. Pacific Grove, acoustics and elasticity. He served as an IEEE Antennas and Propagation
CA, USA: Brooks/Cole, 2006. Society Distinguished Lecturer during 2014–2016.
A Finite-Element-Based Fast Frequency Sweep

Framework Including Excitation by
Frequency-Dependent Waveguide
Mode Patterns
Rolf Baltes, Alwin Schultschik, Ortwin Farle, and Romanus Dyczij-Edlinger, Member, IEEE
Abstract— This paper presents a frequency-sweep technique propagating and slowly decaying WG modes at the operating
based on model-order reduction and finite elements, for the frequency [1]–[4], and utilize the mode patterns both as
broadband analysis of structures fed by waveguides (WGs) excitations of the FE model of the device and for expanding
possessing frequency-dependent modal field patterns. Stan-
dard order reduction requires the matrices and right-hand the resulting fields at the ports into WG modes. Two widely
sides (RHSs) to exhibit affine frequency parameterization. This used FE implementations differ in the kind of boundary
precondition is violated when the transverse fields of the condition (BC) imposed at the WG ports and, in consequence,
WG modes vary with frequency. The proposed solution involves the resulting network matrix: the impedance (Z ) formula-
two steps. First, a reduced-order model (ROM) for the WG is tion uses perfect magnetic conductors (PMCs) for nonexcited
constructed. It enables the accurate yet inexpensive computation
of propagation characteristics. Second, order reduction is applied modes and leads to a modal impedance matrix Z, whereas
to the driven problem, wherein the reduced WG model is utilized the scattering (S) formulation, realized by the transfinite
to construct affine approximations to the matrices and RHSs. element (TFE) approach, employs mode-specific transparent
Since this process requires operations on reduced-order matrices BCs [5], [6] and leads to a modal scattering matrix S. The
only, it is computationally cheap and enables offline/online Z formulation is easier to implement but bears the risk of
decomposition. Both impedance and scattering formulations are
considered. For the latter, an alternative to the transfinite element artificial interior resonances [7] (see Section II). In contrast,
method is proposed, which does not employ modal field patterns the S formulation is free of interior resonances and provides a
as shape functions. It avoids interior resonances and computes more efficient way of computing S parameters when structures
scattering parameters more efficiently when only a limited set with large numbers of ports are considered, but only a limited
of excitations is of interest. The resulting algebraic system is of set of inputs is of interest, e.g., clock trees in integrated
somewhat larger dimension but easier to assemble. Its simple
structure greatly facilitates the construction of the ROM. circuits or EM compatibility analysis of high-current paths on
printed circuit boards. In such applications, the responses to
Index Terms— Finite-element (FE) analysis, reduced-basis the relevant excitations suffice, whereas using the Z approach,
methods, reduced-order systems.
the FE solutions for all excitations are needed to obtain S
from Z.
I. I NTRODUCTION Broadband analysis generally requires that the system
response be evaluated at a large number of frequency samples;
T HE subject of this paper is the numerical characterization
of linear time-invariant microwave devices fed by electro-
magnetic (EM) waveguides (WGs). The considered structures
this insures that sharp resonances do not get missed. The
traditional approach is to set up and solve the frequency-
may exhibit complicated shape and inhomogeneous, possibly dependent FE system at each sampling point. Since FE matri-
frequency-dependent, material properties. The analysis is to ces are typically of high dimension, this procedure becomes
be performed at the level of EM fields, by the method of computationally expensive, or even impracticable.
finite elements (FEs) in the frequency ( f ) domain. The general Model-order reduction (MOR) provides highly effective
procedure is to define port cross sections by cutting the WGs tools for reducing the compute times of frequency sweeps.
some distance away from all discontinuities, compute the In the FE context, projection-based MOR [8]–[14] is partic-
ularly suitable because of its capabilities of handling large-
Manuscript received October 18, 2016; revised January 30, 2017; accepted scale systems and preserving the system structure. One critical
February 16, 2017. This work was supported by the Deutsche Forschungsge-
meinschaft under Grant DY 112/1-2. limitation of projection-based MOR is that the parameteriza-
R. Baltes and R. Dyczij-Edlinger are with the Chair of Electromag- tion of the FE matrices must be affine. This holds true when
netic Theory, Saarland University, D-66123 Saarbrücken, Germany (e-mail: the transverse modal field patterns of the feeding WGs are
r.baltes@lte.uni-saarland.de).
A. Schultschik and O. Farle were with the Chair of Electromagnetic Theory, frequency-independent, i.e., for WGs of homogeneous mate-
Saarland University, D-66123 Saarbrücken, Germany. They are now with rial, which support transverse electric, transverse magnetic,
CST-Computer Simulation Technology AG, D-64289 Darmstadt, Germany. and—in case of multiple electrodes—transverse EM (TEM)
online at http://ieeexplore.ieee.org. modes. Moreover, the propagation coefficients of these types
Digital Object Identifier 10.1109/TMTT.2017.2679181 of modes, which are required as scaling factors [10], are easily
obtained from the material properties and respective cutoff

frequency.
In contrast, the modes of transversally inhomogeneous
WGs do depend on frequency. In general, their parameteri-
zation is of nonaffine type, and analytical formulas for the
propagation coefficients are not available. Hence, standard
MOR methods [8]–[14] do not apply. A simple remedy, which
is mainly applied to the important class of quasi-TEM modes,
is to consider the mode patterns as constant, i.e., to rely on
the solutions at the center frequency [15]. While this approach
has proved to work well in the narrowband case, it may
lead to significant errors when the frequency band is broad,
Fig. 1. PP-WG: |S11 | versus frequency for (a) TFE method and (b) Z method
as will be demonstrated in Section VIII. The only attempt exhibiting an interior resonance. Inset: dimensions in mm.
known to the authors to take frequency-dependent mode
patterns into account was presented in [16] and [17]. These
works apply polynomial interpolation to the system matrix to
obtain affine frequency dependence, followed by a single-point
MOR method based on inexact moment matching, i.e., the
projection basis of the reduced-order model (ROM) is based on
a modified damping matrix and neglects frequency-dependent
terms of order larger than two. Thus, the results are not always
accurate. In a recent paper [18], the authors presented an
adaptive MOR technique for the Z formulation that overcomes
the shortcomings of earlier approaches. It exploits the fact that
nonaffine parameterization enters the right-hand side (RHS)
of the system only. Yet, as with all immittance formulations,
the output may become unbounded, and there are potential Fig. 2. PP-WG. (a) Time-average EM energy. (b) l2 condition number of
stability issues related to artificial interior resonances [7] diagonally scaled FE matrix versus frequency for the Z and TFE method.
(see Section II).
This paper presents a general framework that comprises the Its key feature is to resolve nonaffine parameter dependences
Z formulation of [18] and a new S-based approach, for both efficiently at each solution frequency, with the help of a
constant and frequency-dependent WG mode patterns. The modal WG-ROM.
underlying idea is to describe the driven structure as well as the
feeding WGs by ROMs that make no simplifying assumptions II. A RTIFICIAL I NTERIOR R ESONANCES
about frequency dependences. Moreover, they support user- To clarify the origins and effects of interior resonances,
defined residual thresholds over the considered frequency a section of a parallel plate WG (PP-WG) is considered [see
range. The suggested S approach offers the advantage of being Fig. 1(a)]. From the analytical solution, |S11 | is expected to
inherently free of interior resonances. However, as with the vanish. The TFE results of Fig. 1(a) agree well, while Fig. 1(b)
original TFE method, frequency-dependent WG mode patterns shows that the Z method leads to a steep artificial resonance
affect not only the RHS but also the system matrix, which at approximately 7.49 GHz, which is explained as follows.
greatly complicates projection-based MOR. The solution pro- The PMC BC at the output port imposes an open circuit,
posed in this paper is a two-step approach. which leads to a standing wave on the line. When one of
First, an alternative S formulation is introduced, which its current nodes is approaching the input port where the
exhibits a special structure and is much easier to imple- excitation current is to be injected, the fields and stored energy
ment than the original TFE approach. It is obtained from grow without bound [see Fig. 2(a)]. This happens the first
the Z method by simply augmenting scaled versions of the time at half a wavelength, i.e., 7.5 GHz. In contrast, the port
RHS vectors to the system matrix, i.e., on a purely algegraic BCs of the TFE approach are transparent. So there is no
basis, without having to access the FE core [see (28) and standing wave, and the energy remains bounded [see Fig. 2(a)].
(55)]. Thus, the method may also be of interest to those Mathematically, the Z system exhibits a singularity, whereas
fellow scientists who are extending commercial or public- the TFE system remains regular, as indicated by the behavior
domain FE packages to serve their research needs. The price of the l2 matrix condition number in Fig. 2(b).
for these benefits is a slight increase in unknowns which, when Thus, interior resonances are undamped or weakly damped
properly handled, has little impact on memory consumption cavity resonances (lossless or lossy case) which arise when the
and runtime (see Sections VII-A3 and VIII). WG ports, which in nature are transparent to outgoing waves,
Second, an MOR method for the driven problem is pro- are modeled by PMCs, which are perfectly reflecting. The
posed, which enables offline–online decomposition even in locations of interior resonances may be predicted by solving
presence of frequency-dependent WG modes, i.e., the solu- the modal cavity problem (see Table II). For practical use, this
tion involves operations on reduced-order matrices only. is numerically too expensive, and one would still need some
BALTES et al.: FE-BASED FAST FREQUENCY SWEEP FRAMEWORK INCLUDING EXCITATION 3
Equation (2) provides a simple way of extracting the modal

coefficients u k and i k from given field distributions
u k = b(ĥk , E) (7)
i k = b(H, êk ). (8)
Various FE formulations for the modal analysis of WGs have
been proposed. They differ in the field to be discretized, e.g.,
E [1], H [2], or potentials [3], [4], but lead to a common type
of generalized algebraic eigenvalue problem (EVP)

Fig. 3. WG-fed structure. (a) Geometry. (b) Equivalent multiport circuit.
nl (k0 )Al vk = λk m l (k0 )Cl vk . (9)
method for correcting the frequency response of the driven l l
system. Let the dimension of the EVP be denoted by N E . It is
III. P ROTOTYPE M ODEL AND N OTATION characteristic of (9) that only the scalar-valued functions
Let E denote the electric field, H the magnetic field, nl (k0 ) and m l (k0 ) depend on k0 , whereas the matrices Al ,
k0 the free-space wavenumber, η0 the free-space characteristic Cl ∈ C N E ×N E are constant. Thus, the EVP (9) exhibits
impedance, εr the relative electric permittivity, νr the relative affine parameter dependence. The eigenvector vk yields the
magnetic reluctivity, and σ the electric conductivity. The field patterns êk and ĥk , and the eigenvalue λk the prop-
considered domain is source-free, and its boundary ∂ agation coefficient γk ; usually, λk equals γk [20] or its
consists of an electric boundary E and a WG cross section P square [1]–[4].
[see Fig. 3(a)]. The outward unit normal on ∂ is denoted
by n̂, and the unit vector along the WG axis pointing toward V. D RIVEN P ROBLEM
by ẑ. The material properties may be inhomogeneous within Assuming that the structure is excited by the tangential
and over the WG cross section. For ease of presentation, magnetic field HT on P , the time-harmonic EM boundary
they are considered frequency-independent and isotropic. The value problem (BVP) in terms of E reads
WG is assumed to be uniform in the axial direction, reciprocal,
and of bounded cross section. curl νr curl E + j k0η0 σ E − k02 εr E = 0 in (10)
IV. WAVEGUIDE M ODES E × n̂ = 0 on E (11)
Following [19, Ch. 6], the WG supports an infinite set of (νr curl E) × n̂ = − j k0 η0 HT on P
eigenmodes, with specific transversal electric and magnetic . (12)
field patterns êk and ĥk , and propagation coefficients γk .
For each incident wave (êk , ĥk ; γk ) propagating or decaying Given the Hilbert space Hcurl
E [21]
in +ẑ direction, there exists a reflected wave of the form
Hcurl
E = {E ∈ H
curl
()|n̂ × E = 0 on E } (13)
(êk , −ĥk ; −γk ). The spectrum {γk } is discrete, and only a finite
number of modes is propagable or weakly decaying. the weak form of the BVP (10)–(12) takes the form
Let the bilinear form b(·, ·) be defined by
a(E, w) = j k0η0 b(HT , w) ∀w ∈ Hcurl
E (14)
b(H, E) = (E × H) · ẑd. (1)
P wherein the bilinear form a(·, ·) decomposes into
Assuming proper normalization, the modal fields posses the
a(u, w) = sν (u, w) + j k0η0 tσ (u, w) − k02 tε (u, w) (15)
generalized orthogonality property [19, p. 174]
b(ĥi , êk ) = δik (2) with

where δik is the Kronecker delta. By completeness, any sν (u, w) = curl w · νr curl ud, u, w ∈ Hcurl
E (16)
transversal field distribution (E, H) on P can be expanded

in terms of modes tσ (u, w) = w · σ ud, u, w ∈ Hcurl (17)
∞ ∞ E

E= u k êk = (ak + bk )êk (3)
k=1 k=1 tε (u, w) = w · εr udu, w ∈ Hcurl
E . (18)
∞ ∞

H= i k ĥk = (ak − bk )ĥk (4) As shown in Section IV, the WG feed is representable by
k=1 k=1 an infinite set of dispersive transmission lines, which suggests
using normalized modal voltages and currents u k and i k or, a multiport representation of by some modal circuit matrix,
alternatively, incident and reflected waves ak and bk as shown in Fig. 3(b). For numerical analysis, the number
of modes M is rendered finite by placing the port cross
u k = ak + bk (5)
section P some distance away from all discontinuities and
i k = ak − bk . (6) discarding all rapidly decaying waves.
A. FE Calculation of Modal Impedance Matrix Z The use of the modal basis on p reduces the number
The entry Z ik is computed by exciting the structure by a of DOFs in (24) but greatly complicates MOR when the
single modal current i k of unit amplitude, terminating all other WG mode patterns become frequency-dependent. Then, all
modes by open circuits (OCs), and measuring the resulting submatrices in (24) that involve P will exhibit nonaffine
modal voltages u i via (7). Thus, the BC (12) takes the form parameter dependence.
2) Proposed Formulation: To facilitate MOR, the goal is to
(νr curl E) × n̂ = − j k0 η0 ĥk (k0 ) on P (19) isolate the effects of frequency-dependent WG mode patterns
and the weak form (14) together with the output Z ik (7) yield within the system matrix and simplify matrix assembly when
k0 is varying. The key idea is to employ conventional FE basis
a(E, w) = j k0 η0 b(ĥk (k0 ), w) ∀w ∈ Hcurl
E functions and solve for the total field on P . For this purpose,
(20)
Z ik = b(ĥi (k0 ), E). the BC (22) is reformulated as
⎛ ⎞
The discrete formulation is obtained by considering a finite
number of modes M and restricting (20) to an N-dimensional (νr curl E) × n̂ = − j k0η0 ⎝2ĥk − (δ j k + b j )ĥ j ⎠
FE space V ⊂ HcurlE . The resulting FE system reads j
⎛ ⎞

Sν + j k0η0 Tσ − k02 Tε x E = j k0η0 bk (k0 )
(21) = − j k0η0 ⎝2ĥk − u j ĥ j ⎠
Z ik = biT (k0 )x E j
⎛ ⎞
with x E , bi , bk ∈ C N and Sν , Tσ , Tν ∈ C N×N ; the
entries of the system matrices and vectors are given by (1) = − j k0η0 ⎝2ĥk − b(ĥ j , E)ĥ j ⎠ . (26)
.
and (16)–(18). FE formulations for immittance matrices have j
been in use for a long time [22]–[24]. Their advantages The corresponding weak form and output are given by
include simplicity and that the system matrix is real valued ⎧
in the lossless case. A potential disadvantage is that Z will ⎪
⎪ a(E, w) + j k η b b( ĥ , E) ĥ , w
⎨ 0 0 j j
become unbounded when the structure behaves as an OC.
Moreover, the formulation may give rise to artificial interior ⎪ = 2 j k0η0 b(ĥk , w) ∀w ∈ Hcurl (27)
⎪
⎩ S = b(ĥ , E) − δ
E
resonances [7]. ik i ik
and the resulting FE system reads

B. FE Calculation of Modal Scattering Matrix S
The entry Sik is computed by exciting by a single (R + j k0η0 BBT )x E = 2 j k0η0 bk
(28)
incident wave ak of unit amplitude, providing reflecting-free Sik = biT x E − δik .
BCs on P , and measuring the outgoing waves bi via (7).
In view of (5) and (6), the BC (12) is to be replaced by Herein, B ∈ C N×M is built from the excitation vectors bi

(δ j k + b j )(νr curl ê j ) × n̂ = − j k0η0 (δ j k − b j )ĥ j . B = [b1 , . . . , b M ]. (29)
j j
The matrix B is computationally cheap, because its column
(22)
count M, i.e., the number of WG modes, is typically low.
1) Original TFE Method [5]: The BC (22) is implemented Using the nonfactorized form of BBT in (28), however,
by replacing the FE basis on P by global basis functions pi may impose a great computational burden. Especially when
which are given by the FE representations of the WG modes. direct solvers are in use, the large NNZs in that matrix will
The mode matrix P(k0) defined by significantly increase runtime and memory consumption for
the matrix decomposition. To overcome this deficiency, let the
P(k0 ) = [p1 (k0 ), . . . , p M (k0 )] (23) auxiliary vector x̂ be defined by
and the excitation vector ak = col[δ j k ] leads to the FE system
x̂ := j BT x E (30)
R I,I R I, p P xI ⇒ k0 η0 BT x E + j k0 η0 x̂ = 0. (31)
P T R p,I P T R p, p P + j k0 η0 I b
R I, p P Plugging (31) into (28) leads to an equivalent system that
=− ak . (24) avoids the occurrence of BBT and preserves the symmetry
PT R p, p P − j k 0 η0 I
of the system matrix
where R stands for the system matrix of (21) ⎧
⎪
⎨ R k0 η0 B xE 2 j k0 η0 bk
R = Sν + j k0 η0 Tσ − k02 Tε (25) =
k0 η0 BT j k0 η0 I x̂ 0 (32)
and I is the identity matrix. The indices I and p denote degrees ⎪
⎩
Sik = bi x E − δik .
T
of freedom (DOF) associated with the interior of and P ,
respectively. The solution vector b = col[b j k ] ∈ C M contains In contrast to the TFE method [5] (24), the effects of fre-
the coefficients of the outgoing waves, i.e., the method solves quency-dependent WG mode patterns on the system matrix of
for the scattered fields on P . See [5] for a detailed derivation. (28) are closely confined: to B (32) or BBT (28), respectively.
Moreover, assembling (28) or (32) is easier, because the origi- A = AT and c = b, the preferred choice is one-sided
nal FE matrix R remains unchanged. Since FE basis functions projection [8], with
are used everywhere, standard FE postprocessing tools are
immediately applicable. For the same reason, the number V = U. (41)
of DOFs is somewhat larger than in (24). Another, subtle,
By (34), also the EVP (9) exhibits affine k0 -dependence
difference emerges from the way the BC (22) is implemented.
and is thus suitable for MOR [25]–[27]. In [27], even the
For higher order WG modes that are truncated from the series
projection matrix W was affinely parameterized, to incorporate
expansion, i.e., for j > M, the port cross section P presents
a constraint. Thus, the general framework is as follows. Let
a perfect electric conductor (PEC) in (24), whereas it behaves
Ñ E N E denote the ROM dimension. Given scalar functions
as a PMC in the present approach, as can be seen from (26).
A numerical comparison of the formulations (21), (24), (28), wq (k0 ) and constant matrices Wq ∈ C N E × Ñ E such that
and (32) is given in Section VIII.
W(k0 ) = wq (k0 )Wq (42)
v(k0 ) ≈ W(k0 )ṽ(k0 ) (43)
VI. P ROJECTION -BASED MOR
The parameter dependence of vectors t(k0 ) ∈ C N or the ROM resulting from the EVP (9) reads
matrices M(k0 ) ∈ C N×N is said to be affine, if they decom-
pose into finite sums nl (k0 )Ãl ṽ = λ̃ m l (k0 )C̃l ṽ (44)

Nt A
wherein the ROM matrices M̃ ∈ {Ãl , C̃l } are given by
t(k0 ) = τi (k0 )ti , Nt A N (33)
i=1 M̃(k0 ) = W∗ (k0 )MW(k0 )

N
wq∗ (k0 )wr (k0 )Wq∗ MWr .
MA
M(k0 ) = μ j (k0 )M j , NM A N (34) = (45)
j =1
Various approaches to constructing the projection matrices
wherein τ j (k0 ) and μi (k0 ) are scalar functions of k0 , whereas are available from the literature [8], [9], [11], [12]. Adaptive
the vectors ti and matrices M j do not depend on k0 . methods employ error indicators that are commonly based on
Given the affinely parameterized linear system the norm of the ROM residual r(k0 ), defined by

f (k )A x = g j (k0 )b j u AUx̃ − b, for driven problems
i0 i (35) r= (46)
y= h k (k0 )ckT x + d(k0 )u (A − λ̃C)Wṽ, for eigenvalue problems.
with input u, output y, scalar functions f i , g j , h k , and constant As will be exemplified in Section VII-B3, computing r 2 is
matrices Ai ∈ C N×N and vectors b j , ck ∈ C N . The general inexpensive, because it requires operations on ROM quantities
approach of projection-based MOR is to construct suitable trial only. Implementation issues are discussed in [28] and [29].
and testing matrices U, V ∈ R N× Ñ , with Ñ N, which are
taken to be orthogonal for numerical stability, and to seek an
VII. FAST F REQUENCY S WEEPS FOR D RIVEN S YSTEMS
approximate solution in the column space of U
A. Frequency-Independent WG Mode Patterns
x ≈ Ux̃, with x̃ ∈ C Ñ (36)
The modes supported by WGs of homogeneous material
by projecting the first equation of (35) on the column space properties possess k0 -independent transverse fields, and their
of V. The ROM reads dispersion characteristics are fully characterized by the respec-
tive cutoff wavenumber kc,i [19, p. 171]. It thus suffices to
f (k )Ã x̃ = g j (k0 )b̃ j u
i0 i (37) compute the WG modes at an arbitrary reference freespace
ỹ = h k (k0 )c̃kT x̃ + d(k0 )u wavenumber k R = kc,i . As suggested in [10], normalization
in (2) may be preserved by scaling factors di (k0 ) of the
wherein reduced-order quantities are denoted by tilde. Thus
form
Ãi = VT Ai U (38) ⎧ 2 2
⎪
⎪ k R kc,i −k0
b̃ j = V b j T
(39) ⎪
⎪ , for TE modes
⎪
⎪
⎪
⎪ k k 2 −k 2
c̃k = UT ck . (40) ⎨ 0 c,i R
di (k0 ) =
k0 kc,i
2 −k 2 (47)
The method comprises an offline stage for compu- ⎪
⎪ R
⎪
⎪
, for TM modes
ting (38)–(40) once, and a fast online stage for solving the ⎪
⎪
2 −k 2
k R kc,i
⎪
⎪
0
ROM (37) for arbitrary values of k0 . Thanks to the affine ⎩
1, for TEM modes.
structure of (35), the procedure is online efficient in the
sense that assembling and solving (37) for given k0 requires The corresponding scaling matrix D(k0 ) ∈ C M×M is given by
operations on quantities of reduced order only. Since the
systems (21), (24), and (28) are all complex symmetric, with D(k0 ) = diag(d1 (k0 ), . . . , d M (k0 )). (48)
In the following, subscript (·) R denotes values at k R . One FE discretization of and solve the EVP (9). Depending on
obtains the WG formulation chosen in (9), the linear mapping from
vi to (êi , ĥi ) may exhibit affine dependence on k0 and/or λi .
ĥi (k0 ) = di (k0 )ĥi (k R ) (49)
Thus, by (1), (20), and (21), the excitation vector bi takes the
bi (k0 ) = di (k0 )bi (k R ) = di (k0 )b R,i (50) general form
B(k0 ) = B(k R )D(k0 ) = B R D(k0 ) (51)
bi (k0 ) = α p (k0 , λi (k0 ))Q p vi (k0 ) (58)
P(k0 ) = P(k R ) D−1 (k0 ) = P R D−1 (k0 ). (52) p
1) Impedance Formulation: Thanks to (50), the Z for- with scalar functions α p and constant matrices Q p ∈ C N×N E ,
mulation (21) exhibits affine k0 -dependence and is therefore the specifics of which depend on the WG formulation
accessible to projection-based MOR. The resulting ROM reads in (9). Similar equations hold for the basis functions pi
of Section V-B1.
S̃ν + j k0η0 T̃σ − k02 T̃ε x̃ E = j k0 η0 dk (k0 )b̃ R,k Assembling and solving the FE system (9) at each sampling
(53)
Z̃ ik = di (k0 )b̃TR,i x̃ E point are too slow for fast frequency sweeps. We suggest to
replace the eigenpair (λi , vi ) in (58) by the solution (λ̃i , ṽi )
wherein the vectors and matrices are defined by (38), (40), of the ROM (44), which is cheap to compute. Plugging (43)
and (41). into (58) yields an affine approximation b̂i ≈ bi
2) TFE Method [5]: Applying (52) to (24) leads to the
rescaled TFE formulation b̂i (k0 ) = α p (k0 , λ̃i (k0 ))wq (k0 )Q p Wq ṽi (k0 ). (59)
p q
R I,I R I, p P R 0 0 xI
+ j k η
P TR R p,I P TR R p, p P R 0 0
0 D2 D−1 b 1) Impedance Formulation [18]: Since the k0 -dependent
WG mode patterns do not affect the system matrix of (21),
R I, p P R 0
=− − j k0η0 2 D−1 ak . (54) it suffices to build a WG-ROM after (44), substitute (59) for
P TR R p, p P R D
the RHS vectors of (21), and apply the MOR of (37) to (21),
Since R is affinely parameterized by (25), and D is of small using a projection matrix U and (41). The resulting ROM reads
dimension independent of N, (54) is suitable for projection-
based MOR, and the resulting ROM is online efficient. Since S̃ν + j k0η0 T̃σ − k02 T̃ε x̃ E = j k0η0 b̃i (k0 )
(60)
its structure is the same as (54), the formula is omitted. Z̃ ik = b̃kT x̃ E
3) Proposed S Formulation: Plugging (51) into (32) yields
⎧ with S̃ν , T̃σ , T̃ε ∈ C Ñ × Ñ according to (38) and (41). By (39)
⎪
⎨ R k0 η0 B R D x E 2 j k0η0 dk b R,k and (59), the reduced vectors b̃ = UT b̂ take the form
=
k0 η0 DBTR j k0η0 I x̂ 0 (55)
⎪
⎩ b̃i (k0 ) = α p (k0 , λ̃i (k0 ))wq (k0 )Q̃ p,q ṽi (k0 ) (61)
Sik = di b R,i x E − δik .
T p q
For the same reasons as in Section VII-A2, MOR is applicable. with constant matrices Q̃ p,q ∈ C Ñ × Ñ E given by
Since ROM matrices according to (38) are fully populated,
the simpler structure of (28) is preferable over (32). Starting Q̃ p,q = UT Q p Wq . (62)
from a projection matrix U for x E , the augmented matrices The WG-ROM matrices Ãl and C̃l of (44), the driven ROM
I matrices S̃ν , T̃σ , and T̃ε of (60), as well as excitation
Va = Ua = U (56) matrices Q̃ p,q of (62) are computed upfront, during the offline
j DBTR
stage of the method. The online stage serves to evaluate
map (55) to the sought ROM Z̃ ik (k0 ). For every k0 , this involves assembling and solving the
⎧
⎪ WG-ROM (44), building b̃i from the resulting (λ̃i , ṽi ) and,
⎨ S̃ν + j k0η0 T̃σ − k0 T̃ε
2
finally, assembling and solving the driven ROM (60). Thanks
+ j k0η0 B̃ R D2 (k0 )B̃TR x̃ E = 2 j k0 η0 dk (k0 )b̃ R,k (57)
⎪
⎩ to the affine parameterizaton present in (44) and (61),
S̃ik = di (k0 )b̃TR,i x̃ E − δik the online stage requires operations on ROM matrices only
wherein the vectors and the matrices are defined by (38), (39), and is therefore computationally cheap.
and (41), using U. Since B̃ R = UT B R ∈ C Ñ ×M is constant 2) Scattering Formulation: The main challenge with the
and of small dimension independent of N, the critical matrix S approach is that, in contrast to immittance formulations (60),
B̃ R D2 (k0 )B̃TR is computed effiently during the online phase. frequency-dependent WG mode patterns enter not only the
RHS but also the system matrices.
As for the original TFE method [5], Section V-B1, it is
B. Frequency-Dependent WG Mode Patterns certainly possible to construct affine approximations p̃i ≈ pi
If the WG feeding contains inhomogeneous materi- to the columns of the mode matrix P(k0 ) of (23) from the
als, its transverse modal field patterns will generally exhibit WG-ROM, similar to (59). Let the linear mapping vi → pi ,
nonaffine frequency dependence, and analytical formulas for reflecting changes in numbering and formulation between the
the propagation coefficients will not be available. To obtain WG and driven case, be given by
numerical approximations to the eigenpairs (vi , γi ), the usual
procedure is to extract the surface mesh on P from the pi (k0 ) = ζ p (k0 , λi )N p vi (k0 ) (63)
p
with scalar functions n p and constant matrices N p ∈ C N×N E . matrices S̃ν , T̃σ and T̃ε in (69) are fully populated already, the
Then, by (42) and (43), p̃i (k0 ) takes the form occurence of B̃B̃T does not lead to a significant increase of the
numerical costs for solving (69). The derivation of (69) shows
p̃i (k0 ) = ζ p (k0 , λi )wq (k0 )N p Wq ṽi (k0 ). (64) that the ROM approximation error in the excitations b̃ and
p q
driven solutions x̃ E may be controlled individually, by adjust-
However, (24) reveals that the resulting approximation P̃ ≈ P ing the column spaces of W and U, respectively.
needs to be plugged into system matrices of the form RP 3) Error Indicator: The MOR framework presented in this
and P T RP, wherein R contains terms that are constant, linear, paper does not prescribe a specific way of constructing the
and quadratic in k0 [see (25)]. In consequence, the number of projection matrix U. If an iterative method for ROM generation
coefficient matrices in the approximate system will become is used, some error indicator is required for use as termination
very large. This will not only affect the offline runtime for criterion. In adaptive multipoint methods, such error indicator
construcing the corresponding reduced-order matrices, but also is also utilized for guiding the placement of expansion fre-
the online runtime for scaling all of them by their respec- quencies. One popular choice is to evaluate the residual of
tive k0 -dependences and assembling them to a single system the ROM solution with respect to the full-order system on a
matrix, for each considered value of k0 . Since the approach of dense sampling of the frequency interval under investigation.
Section V-B2 will lead to a more efficient solution, no further The key point is that the 2-norm of the residual is computable
details are given. at low cost from ROM quantities only, without referring to the
In the S formulation proposed in Section V-B2, as real- underlying full-order system.
ized by (28) and (32), only the vectors bi and thus the In the following, an error indicator for the S formulation
matrix B = [b1 , . . . , b N ] are affected by frequency-dependent with frequency-dependent WG mode patterns will be devel-
WG mode patterns. This allows for an MOR technique similar oped. It does not account for the approximation error in B̂,
to Section VII-A3. According to (61), the WG-ROM yields i.e., the WG-ROM is assumed to be exact. Error indicators for
affine approximations b̂m to the excitation vectors and, in con- the WG-ROM are found in [30]; the Z formulation is treated
sequence, an approximate excitation matrix B̂ ≈ B, with in [18]. For clarity, the calculation of the relative residual
B̂(k0 ) = [b̂1 (k0 ), . . . , b̂ M (k0 )]. (65) will be presented in a way that is known to saturate [31] at
approximately the square root of the machine epsilon, which
Substituting b̂ for b and B̂ for B leads to affine representations the authors deem good enough for typical applications. Still,
for the FE system (28) the following equation (72) allow for more robust numerics,
along the lines of [29].
(R + j k0 η0 B̂B̂T )x E = 2 j k0η0 b̂k
(66) By (46) and (66), the residual r of x̃ E is given by
Sik = b̂iT x E − δik
r(k0 ) = Sν + j k0 η0 Tσ − k02 Tε + j k0η0 B̂(k0 )B̂T (k0 ) Ux̃ E
and for the augmented FE system (32), respectively,
⎧ − j 2k0η0 b̂k (k0 ). (71)
⎪
⎨ R k0 η0 B̂ xE 2 j k0η0 b̂k
= Let ¯ denote the complex conjugate and ∗ the complex conju-
k0 η0 B̂T j k0η0 I x̂ 0 (67) gate transpose. Then, the relative residual norm ρ of r reads
⎪
⎩
Sik = b̂i x E − δik .
T
1 ||r(k0 )||2 1 r∗ r(k0 )
As in Section VII-A3, the projection matrix U is constructed ρ(k0 ) = = . (72)
2k0 η0 ||b̂(k0 )||2 2k0 η0 b̂∗ b̂(k0 )
from solutions x E (k0 ) of the augmented FE system (32). The
augmented projection matrices Va and Ua defined by By (59), we have

Va = Ua =
I
U (68) b̂∗ b̂ = α m wn αk wq ṽ∗ Wn∗ Q∗m Qk Wq ṽ. (73)
j B̂T m n k q
map (67) to an ROM of (66) which takes the form The square matrices (Wn∗ Q∗m Qk Wq ) are of the dimension of
⎧ the WG-ROM Ñ E . Similarly, r∗ r may be expanded term by
⎪
⎨ S̃ν + j k0 η0 T̃σ − k0 T̃ε
2
term via (59), (65), and (71). This lengthy, but elementary,
+ j k0 η0 B̃(k0 )B̃T (k0 ) x̃ E = j 2k0η0 b̃k (k0 ) (69) procedure reveals that, again, all the matrices involved are
⎪
⎩
S̃ik = b̃iT (k0 )x̃ E − δik . of reduced order. For paper length constraints, the results are
omitted.
Herein, S̃ν , T̃σ , T̃ε , and x̃ E are defined by (38) and (41), 4) Computer Implementation: We employ multipoint
using U, the vectors b̃i and b̃k are given by (61), and MOR methods [28], [30] with adaptive expansion point place-
B̃(k0 ) = [b̃1 (k0 ), . . . , b̃m (k0 ), . . . , b̃ M (k0 )]. (70) ment for both the WG modes [32] and the driven case. The
WG eigenmode problem is stated in terms of a magnetic
A few comments are in order. As in the case of the Z vector potential and an electric scalar potential (see [4] for
formulation, the structure of (69) allows for online/offline details). The corresponding WG-ROM is constructed by the
decomposition. The fact that the b̃m values are in terms MOR method of [30]. The FE system for the driven case
of ROM quantities only, and M N, enables the effi- is based on the augmented form (32) of the proposed S
cient computation of B̃ during the online phase. Since the formulation.
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Long Island Sound Line, 40
Longitudinal system of ship construction, 268, 348
Louis Philippe of France, escape of, 113
Louvre Museum, Kirkaldy’s designs in, 246
Lund, Mr. W., 297
Lungley, Mr., ship built by, 264
Lyttleton, Wm., 207
McDougall, Capt., 55
McGregor, Mr. John, and early Chinese paddle-wheels, 4
McGregor, Laird & Co., 196
MacIver, Mr. David, and Mr. S. Cunard, 150
McKean, McLarty, and Lament, 254
Mackenzie, William, master of the Comet, 63
McKinnon & Co., Glasgow, 181
MacLachlan, Archibald, 66
McQueen, Robert, 39, 52
Mahmoudieh Canal, 179
Mails, officer in charge of, to West Indies, 190
Mails to America, 149; to India, 176, 177; to Ireland, 102
Makaroff, Vice-Admiral, 367
Malcomson’s London and Dublin Line, 99
Malta floating dock, 363
Man, Isle of, first steamers at, 88; first built there, 89; history of the Manx
service, 87-94; Barrow service, 96
Manby, Mr., 195
Maples and Morris, Messrs., 106, 107
Mare’s Shipyard, Blackwall. See Ditchburn and Mare
Marine engines. See Engines
Marinsky Canal, 364
Maryland Steel Co., Baltimore, floating docks, 358, 362
Maschinenbau-Gesellschaft, 303
Mason, Mr., 262
Masts on steam-ships, 41; used as funnels, 212, 218; tripod, 332; on
warships, 338
Mastless steamers, 346
Maudslay, Sons & Field, founder of the firm, 70; engines by, 148, 201, 202,
233, 253, 319, 372; connection with the Royal Navy, 311; yards of, 234
Maury, Lieut., 241
Mediterranean ports, 111
Mediterranean service, 267
Merchants’ Shipping Co., 47
Mersey ferries, 366
Messageries Maritimes de France, 267
Mexican Government and iron frigate, 316
Mexican War, 174
Middleton Yard, Hartlepool, 305
Midland Railway Co.’s steamers, 121
Milford-Rosslare service, 116
Millard and Kirby, Messrs., and Fulton’s Clermont, 50
Miller and Ravenhill, engines by, 187, 372
Miller, Patrick, 57, 58, 388
Mills, Mr. Edward, 154
Mississippi River steamers, 53; Fitch’s steamboat, 23; Fulton’s steamboat,
32; Moselle and Oroonoko blown up, 53; intentional collisions, 53
Mitchell, Mr. Charles, 212
Monaco, Prince of, yacht of, 373
“Monitors,” 334
Monroe, President, 123
Moore, Admiral Sir Grayham, 217
Moray, John, on James Rumsay as inventor of steamboats, 19
Morey, Samuel, invents a steamboat, 24
Morgan Combine, 228
Morisot’s “Orbis Maritimi,” 6
Morland, Sir S., 10
Motor-boats (hydroplane), 385; (hydrocurve), 385
Napier, Admiral Sir Charles, 195
Napier, David, and the boiler of the Comet, 63; and the shape of bows of
steamers, 71; provides engines, 72
Napier, Robert & Sons, engines by, 72, 88, 89, 147, 151, 157; and Mr. S.
Cunard, 149; present engine of the Comet to South Kensington Museum,
64; and David Kirkaldy, 243; and high-pressure boilers of steel, 279
Napoleon III., yacht of, 373
National Line, 254
Naval Construction Co., Barrow, 99
Navy, Royal, steam-power and the, 311-340; last wooden battleship, 319;
first twin-screw boat, 328; ironclads without masts, 333; torpedo boats,
336; destroyers, 336; development, 336
Neilson, Walter N., 229
New England Ocean Steamship Co., 155
New York celebrates the arrival of early steamers, 141
New York-Aspinwall mails, 188
New York-Bremen service, 154
New York-Chagres line, 188
New York-Havana service, 189
New York-Liverpool, lines in 1850, 155
New York and Havre Steam Navigation Co., 154
New York Shipbuilding Co., Camden, N.J., 51
New Zealand Government subsidy, 185; service to, 298
New Zealand Shipping Co., 310
Newcomen and Savery, 11
Newfoundland Government and mails, 162
Newhaven-Dieppe service, 106
Newport News Shipbuilding, &c., Co., 340
Niger exploration, 280
Norddeutsche Werft, 303
Norddeutscher Lloyd, 267, 302, 303-305
Normand, A, Havre, 373
North Lancashire Railways, 102, 103
North Sea, 84
Northumberland Straits passenger service, 370
Oak, scarcity of, and use of iron for ships, 195
Ocean liner, express, modern type of, 252
Ocean Steam Navigation Co., 154
Oceanic Steam Navigation Co., 252
Ogden, Mr., American Consul, 219
Oil-tank steamers, 348, 351
Oldham’s revolving bars, 195
Orient Line, 264, 291, 294-296
Orient-Pacific Line, 295
Orient Royal Line, 295
Original Steam Packet Co., 72
Ostend-Dover service, 309
Oude, Rajah of, generosity of, 165
Ouseburn engine works, 306
Overcrowding passenger steamers, 79
“Overland Route” to India. See Suez
Pacific coast of S. America trade, 187
Pacific and Australasian Co., 239
Pacific Mail Line, 188
Pacific Steam Navigation Co., 186, 187, 189, 191, 229, 263, 291, 294, 295
Paddle-wheels, evolution of, 1; motive-power, 1; animal-driven, 2; early
forms, 2, 4; early experiments, 10, 12; Jouffroy’s invention, 17; Morey’s
inventions, 24; Roosevelt’s invention, 25; Patrick Miller’s invention, 58;
vertical, 25; disconnecting, 33; Seward’s invention, 110; development in
construction, 197-199; duck-foot paddles, 207; elliptical, 208; horizontal
centrifugal, 208; superseded by screw, 191
Paddle v. screw races, 259; tests, 312
Paddle-boxes as lifeboats, 78
Palmer, Sir Charles, 214
Palmer Bros. & Co., ships built by, 114, 213, 247, 248; and rolled armour
plates, 385
Panama-Astoria service, 189
Panama-San Francisco mails, 188, 189
Panama, New Zealand, and Australian Royal Mail Co., 185
Panama Railway, 174, 187, 191, 262
Panama route, 187
Panciroli’s “Rerum memorabilium,” 6
Papal yacht, 372
Papin, Dr. Dennis, inventions of, 11
Paris Exhibition, 1878, traffic, 109
Parsee custom at launch, 202
Parsons, Hon. A. C., on turbines, 307
Parsons turbines, 118, 307, 338
Passengers carried by Sirius across Atlantic, 141; first steamer for
passengers and cargo, 72
Patersen, Capt. Robert, 86
Paterson of Bristol, 141, 221
Paul, Capt. Fred, R.N., 113
Paulding, James Kirke, 339
Peacock, Capt. George, and mechanical swan yacht, 383
Pearse & Co., Stockton-on-Tees, 205
Penarth floating dock, 359
Peninsular and Oriental (P. & O.) Co., incorporated, 178; first steamer to
India, 179; transport over Suez isthmus, 179; services to India and China,
180; subsidy for Indian mails, 180; Australian service, 180; difficulties on
opening of Suez Canal, 182; overland route through Egypt closed, 182;
ships, 260-261; increase of size of ships, 291, 293; and Australian trade,
294; acquires Blue Anchor Line, 297
Peninsular Steam Navigation Co., 176-178; becomes the P. & O. Co., 178
Penn, John, and Son, engines by, 226, 233, 260; oscillating engines, 201,
314; number of engines fitted by, 315; for the Crimean War, 319; and screw
bearings, 219
Périer’s fire pump, 16
Perkins’ tri-compound engines, 306
Peru, 189
Petroleum steamers, 351
Philadelphia Line, 43
Philippines, floating dock for, 362
Phillips, Sir Richard, 69
Pirrie, Lord, 298
Porter’s patent anchor, 223
Portsmouth-Ryde, 232
Potomac, early steamboats on the, 20
Powell (H. & Co.) Line, 99
Propeller, screw. See Screws
Propelling vessels by recoil from cannon, 8; by animals, 2; by steam, early
experiments, 10-11; by pumping water, 12; by screws, 29. See also
Paddle-wheels
Propelling without paddles, reward for, 210
Pyroscaphe, the, 15
Quebec and Halifax Steam Navigation Co., 134
Racing, Ocean, 247; steamboat, 53; paddle v. screw, 259
Railway companies and their steamships, 102-121
Railway trains, ferrying of, 363-366
Ramage and Ferguson, Ltd., Leith, 375
Rams, 329
Ramsay’s (David) patent boats (1618), 6
Ramus, Rev. C. M., and hydroplane, 386
Randolph, Charles, 229
Randolph, Elder & Co., 229
Rangoon wooden dock, 354
Rate wars, 74, 80, 94
Rateau turbines, 307
Red Cross Line, 231
Red Sea steamer service, 166; to the Mediterranean transport, 179
Red Star Line, 256
Refrigerators, 298
Registration of steamers, 77
Reid, Mr. E. J., designs Koenig Wilhelm, 333
Reid’s U bow, 332
Reiherstieg yard, Hamburg, 302, 303
Rennie, Capt. George, 183
Rennie’s “Aberdeen” Line, 183
Rennie, G. & J., engines by, 233, 313; and Ship Propeller Co., 216; floating
docks, 355, 363
Renwick, Dr. James, 29
Repairs to steam-ships, 300
Reversing machinery, 70
Richardson Bros. & Co., 238, 239
Rivalry between steam-ship companies, 73
Roberts, Lieut., R.N., 138, 145
Robertson, John, 62
Robertson, Robert, engineer, 63
Robinson and Russell, 232, 319
Roebuck, Dr., 86
Rogers, Capt., of the Savannah, 125
Rogers, Moses, pioneer steam navigator, 30, 123
Roosevelt, Nicholas J., invents paddle-boat, 25; associated with Fulton, 42;
experiments in steam propulsion, 208
Ropner & Sons, Ltd., 348
Rostock “Neptun” yard, 302
Rotterdam, railway round, 117
Rouss, Mr. W. P., yacht of, 374
Royal Academy, steam-ship designs exhibited at, 245
Royal Mail Steam Packet Co., 185, 189-191, 262-263, 291, 295, 299-300
Royal Netherlands Steamship Co., 91
Royal yachts, 371-374
Rubic and Blaker, Northam, 110
Rudders, bow, 106; balanced for turbine vessels, 105; submerged, 290
Rumsay, James, as the inventor of the steamboat, 19
Rumsay Society, 21
Rupert, Prince Palatine, and boat propeller, 11
Rushen, Mr. P. C., on Jonathan Hulls’ invention, 14
Russell & Co., clipper built by, 173
Russell, Robinson & Co., 107
Russell, Mr. Scott, and the Wave Queen, 107; and wave-line construction,
236, 316, 320; shipbuilding on the Thames, 204, 234; designs Victoria,
263; and the Great Eastern, 268, 278
Russian Government ice-breaker, 367; Navy floating dock, 363; royal yachts,
371, 373
Ruthven’s hydraulic propulsion, 208, 321-325
“Sag,” 46, 194, 268
Sail power on liners, 158
Sailing clippers, American, fast passages of, 153
Sailing vessels, engines put into, 135, 136; vessel with steam as auxiliary
crosses Atlantic, 122; steam auxiliary to, 164-192
St. George Steam Packet Co., 72, 94, 97, 100, 101
St. Lawrence River ice-breaker, 369
Saloons above deck first fitted, 206; oscillating, 253
Samuda Bros., 204, 234
San Francisco Union Iron Works, 340
Saône, paddle-steamer on the (1783), 17
Sassnitz-Trelleborg railway ferry, 365
Sault Ste. Marie Canal, 52
Savery, Thomas, invention of, 11
Scarborough and Isaacs, Messrs., 122
Schlick balancing of engines, 120
Schultz turbines, 388
Scott, Capt., of Rising Star, 131
Scott, Mr. John, figure-head of, 318
Scott, Russell & Co., Millwall, 204
Scott, Sinclair & Co., Greenock, 318
Screw propellers, invention of 29; first Manx steamer to use, 92; for sea-
going steamers, 97; supersede paddle-wheels, 191; tried in 1802, 192;
earliest attempts to apply, 206, 207; movement of vessels with single
screw, 209; twin-screws, 210; first ocean steamer with twin-screws, 265;
fantastic forms, 215; first sea-going vessel with screw, 216; definitely
adopted, 219; lifting propeller, 253; for long voyages, 256; adopted for mail
boats, 262; multiple screws, 310; first vessel in the Royal Navy with, 313;
removable screws, 318; twin screws, 325; tests of twin screws, 326
Sea-sickness, steamers to prevent, 253, 377-379
Sea voyage, first British steamer to make a, 64
Seamen, pay of, in 1821, 132
Seaward and Capel, Limehouse, 169
Seaward, J., & Co., Millwall, 373
Seaward’s vibrating paddles, 110
Seine, first iron steamer on the, 195
Sewall & Co., 194
Sewell and Faron, 158
Shaw, Savill & Albion Co., 297
Shelter deck, 344
Ship Propeller Co., 216
Shipbuilding, German competition, 302. See also Thames
Ships named:
Aaron Manby, 195
Aberdeen, 296, 307
Achilles, 315
Aconcagua, 264
Active, 311
Ada, 116
Adelaide, 269
Adirondack, 48, 170
Admiral Moorsom, 119
Adriatic, 161, 163, 253, 289
Aetna, 35
Africa, 153, 155
African, 176
Agamemnon, 315
Aguila, 112
Ajax, 315
Alabama, 175
Alaska, 172, 250
Alberta, 116
Alecto, 312
Alexandra (L. & S.W.R.), 116
Alexandra (L. & N.W.R.), 119
Alexandra (Royal Yacht), 371
Alice, 115
Alida, 49
Alliance, 113, 114
Alma, 114, 116
Amazon, 300
America (Cunard Co.), 152, 245, 286
America (National Line), 254
America (Yacht), 158
American Turtle, 376
Amerika, 305
Amethyst, 309, 335
Anglia, 104, 120
Anglo-Saxon, 255
Annette, 173
Antarctic, 157
Antelope, 235
Antrim, 121
Apollo, 110
Aquila, 107
Arabia, 153
Arago, 154
Aragon, 300
Araguaya, 300
Arcadia, 151
Archimedes, 216, 222
Arctic, 157-160
Argyle, 66
Ariadne, 110, 316
Arizona, 249
Arkansas, 340
Armenia, 51
Arrogant, H.M.S., 314
Arundel, 109
Asia, 153, 157
Assiniboia, 301
Assyrian, 316
Astarte, 255
Asturias, 300
Atalanta, 116, 110, 111, 166
Athenia, 255
Athole, 206
Atlantic, 156, 158
Atrato, 271
Augusta, 99
Aurania, 281
Aurora, 327
Austral, 295
Australasian, 296
Avoca, 99
Avon, 222, 300
Ayrshire Lassie, 106
Balmoral Castle, 292
Baltic, 157, 158, 181, 287, 288
Bann, 319
Banshee, 119
Barbarossa, 304
Baron Osy, 269
Barracouta, 175
Basilisk, 313
Bay State, 47
Belfast, 72
Belgic, 253
Bélier, 334
Bellerophon, 80, 315, 334
Ben-my-Chree, 89, 92, 93
Berenice, 166
Bertha, 116
Bessemer, 253, 379
Birkenhead, 317
Black Eagle, 314
Black Prince, 315
Bogota, 229
Borussia, 267, 305
Bremen, 267
Brighton, 109, 112
Bristol, 47, 337
Britannia, 151, 154
Britannic, 253
British Queen, 138, 145-147, 169, 216
Brittany, 109, 114, 115, 116
Brune, 319
Buenos Ayrean, 281
Buffalo, 35
C. Vanderbilt, 49
C. W. Morse, 48
Calais, 105
Calais-Douvres, 378
Caledonia, 64, 151
California, 188
Callao, 229
Caloric, 384
Calvados, 109
Cambria, 104
Cambria (Cunard Co.), 151
Cambria (L. & N.W.R.), 120
Camden, 35
Camilla, 110
Campania, 282, 287
Canada, 152, 245
Canadian, 254
Cape of Good Hope, 181
Captain, 334
Car of Neptune, 35, 36, 38, 44
Carbon, 235
Carmania, 282, 285, 309
Caronia, 282
Carpathia, 283
Carron, 79, 86, 176
Cassandra, 255
Castalia, 377
Cedric, 288
Celtic, 253, 288
Cerberus, 335, 376
Chancellor Livingston, 35, 42, 43
Charles Wetmore, 55
Charleston, 340
Charlotte Dundas, 28, 59, 135, 199
Cherbourg, 116
Chicago, 248
Chili, 187
Chimborazo, 264, 295
China, 246, 247, 293
Cincinnati, 305
City of Baltimore, 239
City of Belfast, 121
City of Berlin, 241, 242
City of Bristol, 242
City of Brussels, 241
City of Chicago, 243
City of Cleveland, 54
City of Dublin, 72
City of Edinburgh, 81
City of Glasgow, 96, 237
City of Limerick, 97
City of Manchester, 238
City of New York, 240, 256, 290
City of Paris, 241, 246, 256, 290
City of Philadelphia, 239
City of Pittsburg, 239
City of Rome, 242
City of Washington, 239
Claremont, 307
Clermont, 20, 29 et seq., 49, 135
Cleveland, 305
Clyde, 64
Cobra, 308
Coffee Mill, 66
Collier, 107
Collingwood, 55
Colombia, 176
Colombo, 181
Colorado, 248
Columbia, 114, 116, 151
Columbus, 288
Comet (Bell’s), 62, 135
Comet (Dawson’s), 70
Comet (French Co.), 112
Commerce, 73
Commonwealth, 48
Conde de Patmella, 122
Confiance, 176
Connector, 379
Connemara, 120
Coogee, 96
Copenhagen, 118
Cotopaxi, 295
Countess of Dublin, 98
Countess of Erne, 119
Countess of Strathmore, 214
Courier, 113
Craster Hall, 348
Crœsus, 233
Cuckoo, H.M.S., 110
Culloden, 106
Curaçoa, 133
Cuzco, 264, 295
Cyclops, 316
Cygnus, 112
Cymba, 99
Dakota, 248
Damascus, 296
Dane, 183
Daniel Drew, 51
Dantzig, 319
Dasher, H.M.S., 110
De Witt Clinton, 45, 46
Dee, 262
Defiance, 69
Delaware, 340
Delcomyn, 297
Delta, 260
Demologos, 35
Destroyer, 339
Deutschland, 305
Devastation, 333
Devonshire, 97
Diana, 115
Dieppe, 107, 109
Dispatch, 113
Dominion, H.M.S., 358
Doncaster, 207
Donegal, 121
Dora, 93
Douglas, 90, 93
Douro, 263
Dover, 105, 317
Dreadnought, 309, 315, 335
Drottning Victoria, 365
Duchess of Albany, 116
Duchess of Buccleuch, 96
Duchess of Connaught, 116
Duchess of Devonshire, 96, 121
Duchess of Edinburgh, 116
Duchess of Fife, 116
Duchess of Kent, 116
Duchess of Sutherland, 119
Duchess of York, 106
Duke of Cornwall, 97
Duke of Sutherland, 119
Duke of Wellington, 272
Dumbarton Castle, 70
Dumfries, 113
Duncannon, 75
Dundee, 87
Dwarf, 313
Eagle, 376
Earl Grey, 370
Earl of Hardwicke, 167
Earl of Liverpool, 82
Earl Spencer, 120
Echo, 176
Echunga, 347
Eclipse, 54
Eden, 309, 335
Edinburgh, 240
Edith, 119, 172, 328
Egypt, 293
Eleanor, 120
Elizabeth, 64
Ella, 115, 116
Ellan Vannin, 91
Empire, 48
Empire of Troy, 48
Empress, 105
Empress of Russia, 35
Empress Queen, 93
Encounter, H.M.S., 314
Endeavour, 201
Enterprise, 43, 165-166, 306
Ericsson, 384
Erin, 254
Ermack, 367, 368, 369
Esk, 262
Etna, 45
Etruria, 281, 282
Europa, 152, 245
Excellent, 325
Experiment, 328
Express, 113
F. P. Smith, 216
Faid Gihaad, 372
Fairy, 371
Falcon, 165
Falken, 373
Fannie, 115
Far East, 265
Fenella, 92
Firebrand, 176
Firefly, 35, 41, 44, 45
Flora, 325
Florida, 288
Forth, 191
Foyle, 98
Francis B. Ogden, 218
Franklin, 43, 154
Frederica, 116
Frolic, 96
Fulton, 35, 41, 154
Gaelic, 253
Galtee-More, 120
Garonne, 264, 295
Garry Owen, 196, 221
Gascony, 349
Gemini, 376
General Admiral Apraxine, 368
George Canning, 74
George Washington, 304
Georgia, 188
Germanic, 253
Geyser, 313
Glasgow, 86, 240
Glatton, 334
Glen Cove, 50
Gloire, 320
Gorgon, 316
Grace, 106
Grand Turk, 111
Great Britain, 217, 221, 256, 271
Great Eastern, 193, 230, 241, 268-278, 284, 288
Great Liverpool, 178
Great Western, 138, 141-144, 145, 147-148, 150, 169, 220, 238, 271
Greenock, 88, 318
Griffin, 115
Guadeloupe, 316
Guernsey, 116
Hansa, 301
Havre, 113, 114
Hazard, 331
Hebe, 315, 327
Helvetia, 254
Hendrick Hudson, 48, 49
Henry Bell, 73, 88, 100
Henry Clay, 170
Her Majesty, 232
Herald, 96
Hercules, 315, 332
Hermann, 154
Hermes, 176
Hibernia, 71, 102, 104, 120, 151
Hilda, 115, 116
Himalaya, 180, 260, 271
Hindostan, 179
Hohenzollern, 371
Ho-Nam, 206
Honfleur, 108, 116
Hope, 36, 38, 39, 45, 69, 107
Howe, 315
Hudson, 300
Hugh Lindsay, 166
Humber, 64
Humboldt, 154
Iberia, 177
Idaho, 248
Immacolata Concezione, 372
Immingham, 118
Inconstant, 315, 333
Independencia, 315
Indian, 254
Indian Empire, 162
Industry, 66
Invincible, 336
Iolanda, 375
Irishman, 100, 101
Iroquois, 351
Isa, 306
Isabella, 120
Italy, 109, 254
Ivernia, 283
James Joicey, 307
James Watt, 81, 100
Jerome Napoleon, 373
John Bowes, 211, 213
John Elder, 264
John W. Richmond, 46
Jumna, 202
Kaiser Wilhelm II., 287, 305
Kaiser Wilhelm der Grosse, 304, 305
Kaiserin Auguste Victoria, 305
Kangaroo, 239
Karamea, 298
Kate, 327
Kearsarge, 176, 340
Kentucky, 340
King Edward, 309
King Orry, 89, 92
Kingfisher, 83
Kite, 124
Koenig Wilhelm, 333
Koenig Wilhelm II., 305
Kronprinz Wilhelm, 305
Kronprinzessin Cecilie, 305
La France, 259
La Plata, 262
Lady de Saumarez, 110
Lady Derby, 233
Lady Eglinton, 98, 245
Lady Grey, 369
Lady Hudson-Kinahan, 99
Lady Martin, 99
Lady Olive, 99
Lady Roberts, 99
Lady Wodehouse, 98
Lady Wolseley, 99
Ladybird, 107
Lancashire Witch, 96
Larriston, 245
Laura, 116
Laurentic, 289
Le Nord, 105
Leinster, 204
Leven, 72
Leviathan, 270, 276
Lewis, 155
Lexington, 45, 46
Liffey, 73
Lightning, 264, 311, 336
Lily, 119
Lima, 229
Livadia, 373
Liverpool, 145

IEEE Transactions On Microwave Theory and Techniques Vol 65 No 07 2017 07 7th Edition Microwave Theory and Techniques Society

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IEEE Transactions on Microwave

Theory and Techniques Vol 65 No 07

IEEE Transactions on Microwave Theory and Techniques

IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

IEEE MTT V065 I11A 2017 11 Microwave theory and

Microwave Theory and Techniques V065 I10 2017 10 10th

RF and Microwave Circuit Design: Theory and

Advanced Control of Power Converters: Techniques and

Apprehend Me No Flowers Madison Night Cozy Mystery 07

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REGULAR PAPERS OF THE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

Devices and Modeling

Hybrid and Monolithic RF Integrated Circuits

JOURNAL WITHIN A JOURNAL ON MICROWAVE SYSTEMS AND APPLICATIONS

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Honorary Life Members Distinguished Lecturers Past Presidents

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Digital Object Identiﬁer 10.1109/TMTT.2017.2711100

IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES 1

Resonances in Axially Symmetric Dielectric Objects

T HIS paper is about the fundamental problem of deter-

2 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

The electric field is everywhere scaled with the free space

HELSING AND KARLSSON: RESONANCES IN AXIALLY SYMMETRIC DIELECTRIC OBJECTS 3

corresponding time domain fields to be exponentially decaying B. Integral Equations

This section gives integral representations of E and H along E E + m K̃M s − im k S̃ J s )

4 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

and D. Physical Resonances

(1 + m 2 )I − 2ν × (K − m 2 K̃) 2ikν × (S − m 2 S̃ + k −2 (L − L̃)

HELSING AND KARLSSON: RESONANCES IN AXIALLY SYMMETRIC DIELECTRIC OBJECTS 5

B. Modal Integral Equations E zn (r ) = K 13n En − iK 9n Mτ n − K 10n Mθn

Q1n σ n = f 1n (46) E ρn (r ) = −m −2 K̃ 11n En + i K̃ 5n Mτ n + K̃ 6n Mθn

6 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

∞ Prad (0) + Pdiss (0)

HELSING AND KARLSSON: RESONANCES IN AXIALLY SYMMETRIC DIELECTRIC OBJECTS 7

F n (φ) = lim e−ik|r| |r |E n (r ). (73)

8 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

HELSING AND KARLSSON: RESONANCES IN AXIALLY SYMMETRIC DIELECTRIC OBJECTS 9

10 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

HELSING AND KARLSSON: RESONANCES IN AXIALLY SYMMETRIC DIELECTRIC OBJECTS 11

12 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

HELSING AND KARLSSON: RESONANCES IN AXIALLY SYMMETRIC DIELECTRIC OBJECTS 13

14 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES 1

Modeling and Characterization of Slitted

A PARALLEL-plate waveguide (PPW) is the simplest type

2 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

Using dyadic notations of the source-to-field relation,

Here, the representations Ḡ¯ hm ¯ hm

HSU AND LIN: MODELING AND CHARACTERIZATION OF SLITTED PPW 3

Note that an additional phase variation term with a wavenum-

III. FAST C ALCULATION W ITH PMC E = − τ. (16)

4 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

E x = (e j ky cos θ + e− j ky cos θ )e− j kz sin θ yi − y  1

HSU AND LIN: MODELING AND CHARACTERIZATION OF SLITTED PPW 5

6 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

Fig. 7. Reflectivity, transmissivity, and radiation leakage of the slitted PPW

As shown in Fig. 6, the radiation leakage is small at low fre-

HSU AND LIN: MODELING AND CHARACTERIZATION OF SLITTED PPW 7

increases. Note that, at a certain angle, the radiation leakage

8 IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES

Fig. 11. Reflection and transmission coefficients of an air-filled slitted

E x = (e j ky cos θ + e− j ky cos θ )e− j kz sin θ yi − y 1