You are on page 1of 286

AUGUST 2004 VOLUME 52 NUMBER 8 IETPAK (ISSN 0018-926X)

EDITORIAL
A Note From the Outgoing Editor-in-Chief . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A. W. Glisson 1926

PAPERS
Bandwidth Enhancement and Further Size Reduction of a Class of Miniaturized Slot Antennas. . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . N. Behdad and K. Sarabandi 1928
Miniature Built-In Multiband Antennas for Mobile Handsets . . . . . . . . . . . . . Y.-X. Guo, M. Y. W. Chia, and Z. N. Chen 1936
Miniature Reconfigurable Three-Dimensional Fractal Tree Antennas. . . . . . . . . . . . . . . . . J. S. Petko and D. H. Werner 1945
Investigations on Miniaturized Endfire Vertically Polarized Quasi-Fractal Log-Periodic Zigzag Antenna . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . S. K. Sharma and L. Shafai 1957
Compact Wide-Band Multimode Antennas for MIMO and Diversity . . . . . . . . . . . . . . C. Waldschmidt and W. Wiesbeck 1963
Ground Influence on the Input Impedance of Transient Dipole and Bow-Tie Antennas . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A. A. Lestari, A. G. Yarovoy, and L. P. Ligthart 1970
Adaptive Crossed Dipole Antennas Using a Genetic Algorithm. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .R. L. Haupt 1976
Modeling and Investigation of a Geometrically Complex UWB GPR Antenna Using FDTD . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .K.-H. Lee, C.-C. Chen, F. L. Teixeira, and R. Lee 1983
Radiation Properties of an Arbitrarily Flanged Parallel-Plate Waveguide . . . . . . D. N. Chien, K. Tanaka, and M. Tanaka 1992
Scan Blindness Free Phased Array Design Using PBG Materials. . . . . L. Zhang, J. A. Castaneda, and N. G. Alexopoulos 2000
Fractile Arrays: A New Class of Tiled Arrays With Fractal Boundaries . . . . D. H. Werner, W. Kuhirun, and P. L. Werner 2008
A New Millimeter-Wave Printed Dipole Phased Array Antenna Using Microstrip-Fed Coplanar Stripline Tee Junctions
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Y.-H. Suh and K. Chang 2019
Physical Limitations of Antennas in a Lossy Medium. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A. Karlsson 2027
Minimum Norm Mutual Coupling Compensation With Applications in Direction of Arrival Estimation . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .C. K. E. Lau, R. S. Adve, and T. K. Sarkar 2034
A Phase-Space Beam Summation Formulation for Ultrawide-band Radiation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A. Shlivinski, E. Heyman, A. Boag, and C. Letrou 2042

(Contents Continued on Page 1925)


(Contents Continued from Front Cover)

Theoretical Considerations in the Optimization of Surface Waves on a Planar Structure . . . . . . . . . . . . . . . . . . . . . . . .


. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . S. F. Mahmoud, Y. M. M. Antar, H. F. Hammad, and A. P. Freundorfer 2057
Generalized System Function Analysis of Exterior and Interior Resonances of Antenna and Scattering Problems . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . L. Li and C.-H. Liang 2064
MIMO Wireless Communication Channel Phenomenology. . . . . . . . . . . . . . .D. W. Bliss, A. M. Chan, and N. B. Chang 2073
Service Oriented Statistics of Interruption Time Due to Rainfall in Earth-Space Communication Systems . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E. Matricciani 2083
Full-Wave Analysis of Dielectric Frequency-Selective Surfaces Using a Vectorial Modal Method . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A. Coves, B. Gimeno, J. Gil, M. V. Andrés, A. A. San Blas, and V. E. Boria 2091
On the Interaction Between Electric and Magnetic Currents in Stratified Media . . . . . D. Llorens del Río and J. R. Mosig 2100
Scattering by Arbitrarily-Shaped Slots in Thick Conducting Screens: An Approximate Solution . . . . . . . . . . J. R. Mosig 2109
Double Higher Order Method of Moments for Surface Integral Equation Modeling of Metallic and Dielectric Antennas
and Scatterers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . M. Djordjević and B. M. Notaroš 2118
Loop-Tree Implementation of the Adaptive Integral Method (AIM) for Numerically-Stable, Broadband, Fast
Electromagnetic Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . V. I. Okhmatovski, J. D. Morsey, and A. C. Cangellaris 2130
A Single-Level Low Rank IE-QR Algorithm for PEC Scattering Problems Using EFIE Formulation . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . S. M. Seo and J.-F. Lee 2141
Accelerated Gradient Based Optimization Using Adjoint Sensitivities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . N. K. Nikolova, R. Safian, E. A. Soliman, M. H. Bakr, and J. W. Bandler 2147
A Theoretical Study of the Stability Criteria for Hybridized FDTD Algorithms for Multiscale Analysis . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . M. Marrone and R. Mittra 2158

COMMUNICATIONS
Full-Wave Analysis of a Waveguide Printed Slot . . . . . . . . . . . . . . . . . . . . . . . . . . . . . G. Montisci and G. Mazzarella 2168
Dual Polarized Wide-Band Aperture Stacked Patch Antennas . . . . . . . . . . . . . . . . . .K. Ghorbani and R. B. Waterhouse 2171
Resonant Frequency of Equilateral Triangular Microstrip Antenna With and Without Air Gap. . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .D. Guha and J. Y. Siddiqui 2174
Effect of a Cavity Enclosure on the Resonant Frequency of Inverted Microstrip Circular Patch Antenna. . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .D. Guha and J. Y. Siddiqui 2177
Design and Development of Multiband Coaxial Continuous Transverse Stub (CTS) Antenna Arrays . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . R. Isom, M. F. Iskander, Z. Yun, and Z. Zhang 2180
Near-Field, Spherical-Scanning Antenna Measurements With Nonideal Probe Locations . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . R. C. Wittmann, B. K. Alpert, and M. H. Francis 2184
Resonance Series Representation of the Early-Time Field Scattered by a Coated Cylinder. . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . H. Vollmer and E. J. Rothwell 2186
High Order Symplectic Integration Methods for Finite Element Solutions to Time Dependent Maxwell Equations . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .R. Rieben, D. White, and G. Rodrigue 2190

CORRECTIONS
Corrections to “Phased Arrays Based on Oscillators Coupled on Triangular and Hexagonal Lattices” . . . R. J. Pogorzelski 2196

CALLS FOR PAPERS


Special Issue on Multifunction Antennas and Antenna Systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2197
IEEE ANTENNAS AND PROPAGATION SOCIETY
All members of the IEEE are eligible for membership in the Antennas and Propagation Society and will receive on-line access to this TRANSACTIONS through IEEE Explore upon payment of
the annual Society membership fee of $24.00. Print subscriptions to this TRANSACTIONS are available to Society members for an additional fee of $50.00. For information on joining, write
to the IEEE at the address below. Member copies of Transactions/Journals are for personal use only.
ADMINISTRATIVE COMMITTEE
J. L. VOLAKIS, President R. W. ZIOLKOWSKI, Vice President M. SHIELDS, Secretary-Treasurer
2003 2004 2005 2006
S. D. GEDNEY W. C. CHEW T. S. BIRD M. ANDO
J. S. HERD *T. MILLIGAN S. C. HAGNESS J. T. BERNHARD
A. Q. MARTIN J. ROCKWAY M. THORBURN *M. F. ISKANDER
*D. H. SCHAUBERT J. A. MOELLERS N. ENGHETA M. SALAZAR-PALMA
P. F. WAHID J. L. YOUNG *P. L. E. USLENGHI D. H. WERNER
Honorary Life Member: R. C. HANSEN
*Past President

Committee Chairs and Representatives


Antenna Measurements (AMTA): E. S. GILLESPIE Finance: M. SHIELDS R&D Committee—Aerospace: G. HYDE
Applied Computational EM Society (ACES): Historian: K. STEPHAN R&D Committee—Defense: A. C. SCHELL
A. F. PETERSON IEEE Magazine Committee: W. R. STONE R&D Committee—Engineering: A. C. SCHELL
Asian Representative: H. NAKANO IEEE Press Liaison: R. J. MAILLOUX Society of Social Implications of Technology:
Awards and Fellows: A. SCHELL IEEE Transactions Committee: P. L. E. USLENGHI M. J. PIKET-MAY
CAEME Board: D. H. SCHAUBERT International Radio Consultative Cmte (CCIR): E. K. SMITH Standards Board: M. H. FRANCIS, D. V. THIEL
Chapter Activities: D. R. JACKSON Institutional Listings: C. C. ALLEN Standards—Antennas: M. H. FRANCIS
Committee on Communications and Information Policy: Joint Committee on High-Power Electromagnetics: C. E. BAUM Standards—Propagation: D. V. THIEL
A. I. ZAGHLOUL Long-Range Planning: A. C. SCHELL Superconductivity Committee: K. MEI, J. WILLIAMS
Committee on Man and Radiation: R. D. NEVELS Magazine Editor: W. R. STONE TAB Magazines Committee: W. R. STONE
Computer Applications in EM Education (CAEME): Meetings: S. A. LONG TAB New Technology Directions Committee:
M. F. ISKANDER Meetings Coordination: S. A. LONG A. I. ZAGHLOUL
Constitution and Bylaws: R. I. WOLFSON Meetings Workshops: W. G. SCOTT TAB Public Relations Committee: W. R. STONE
Distinguished Lecturers: P. H. PATHAK Membership: S. D. GEDNEY TAB Transactions Committee: P. L. E. USLENGHI
Education: S. R. RENGARAJAN New Technology: A. I. ZAGHLOUL USAB Aerospace Policy Committee: G. HYDE
EAB/TAAC: E. K. MILLER Nominations: L. W. PEARSON USAB Defense R&D Committee: A. C. SCHELL
Energy Committee: J. F. LINDSEY, III Professional Activities (PACE): J. MICHAEL JOHNSON USAB Enginerring R&D Committee: A. C. SCHELL
European Representatives: P. J. B. CLARRICOATS, Publications: R. J. MARHEFKA Transnational Committee: J. MOSIG
A. G. ROEDERER RAB/TAB Transnational Committee Liaison: USNC/URSI: P. L. E. USLENGHI
P. S. KILDAL

AP Transactions web site: http://aps.ee.olemiss.edu AP Transactions Manuscript Central web site: http://tap-ieee.manuscriptcentral.com
Chapter Chairs
For current Chapter Chairs information, visit the APS website (http://www.ieee.aps.org) and look under “Local Chapters.”

IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION


is a publication devoted to theoretical and experimental advances in antennas including design and development, and in the propagation of electromagnetic waves including scattering, diffrac-
tion, and interaction with continuous media; and applications pertinent to antennas and propagation, such as remote sensing, applied optics, and millimeter and submillimeter wave techniques.

See inside back cover for Editorial Board.


THE INSTITUTE OF ELECTRICAL AND ELECTRONICS ENGINEERS, INC.
Officers
ARTHUR W. WINSTON, President MICHAEL R. LIGHTNER, Vice President, Publication Services and Products
W. CLEON ANDERSON, President-Elect MARC T. APTER, Vice President, Regional Activities
MOHAMED EL-HAWARY, Secretary JAMES T. CARLO, President, IEEE Standards Association
PEDRO A. RAY, Treasurer RALPH W. WYNDRUM, JR., Vice President, Technical Activities
MICHAEL S. ADLER, Past President JOHN W. STEADMAN, President, IEEE-USA
JAMES M. TIEN, Vice President, Educational Activities
HAROLD L. FLESCHER, Director, Division IV — Electromagnetics and Radiation
Executive Staff
DANIEL J. SENESE, Executive Director
DONALD CURTIS, Human Resources MATTHEW LOEB, Corporate Strategy & Communications
ANTHONY DURNIAK, Publications Activities RICHARD D. SCHWARTZ, Business Administration
JUDITH GORMAN, Standards Activities W. THOMAS SUTTLE, IEEE-USA
CECELIA JANKOWSKI, Regional Activities MARY WARD-CALLAN, Technical Activities
BARBARA COBURN STOLER, Educational Activities SALLY A. WASELIK, Information Technology

IEEE Periodicals
Transactions/Journals Department
Staff Director: FRAN ZAPPULLA
Editorial Director: DAWN MELLEY Production Director: ROBERT SMREK
Managing Editor: WILLIAM A. COLACCHIO Associate Editor: DAWN L. MENENDEZ

IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION (ISSN 0018-926X) is published monthly by the Institute of Electrical and Electronics Engineers, Inc.
Responsibility for the contents rests upon the authors and not upon the IEEE, the Society/Council, or its members. IEEE Corporate Office: 3 Park Avenue, 17th
Floor, New York, NY 10016-5997. IEEE Operations Center: 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331. NJ Telephone: +1 732 981 0060.
Price/Publication Information: Individual copies: IEEE Members $20.00 (first copy only), nonmembers $50.00 per copy. (Note: Postage and handling charge
not included.) Member and nonmember subscription prices available upon request. Available in microfiche and microfilm. Copyright and Reprint Permissions:
Abstracting is permitted with credit to the source. Libraries are permitted to photocopy for private use of patrons, provided the per-copy fee indicated in the
code at the bottom of the first page is paid through the Copyright Clearance Center, 222 Rosewood Drive, Danvers, MA 01923. For all other copying, reprint, or
republication permission, write to Copyrights and Permissions Department, IEEE Publications Administration, 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ
08855-1331. Copyright © 2004 by The Institute of Electrical and Electronics Engineers, Inc. All rights reserved. Periodicals Postage Paid at New York, NY and at
additional mailing offices. Postmaster: Send address changes to IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, IEEE, 445 Hoes Lane, P.O. Box 1331,
Piscataway, NJ 08855-1331. GST Registration No. 125634188. Printed in U.S.A.

Digital Object Identifier 10.1109/TAP.2004.835169


1926 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

A Note from the Outgoing Editor-in-Chief


I T HAS BEEN an honor and a privilege for me to serve as the
Editor-in-Chief of the IEEE TRANSACTIONS ON ANTENNAS
AND PROPAGATION for the past three years. I want to express
• Lawrence Carin
• Christos Chrisodoulou
• Cynthia Furse
my sincere thanks to the Antennas and Propagation (AP) So- • Stephen Gedney
ciety Administrative Committee for giving me the opportunity • George Hanson
to serve the Society in this capacity. Although I was initially • Michael Jensen
reluctant to accept the great responsibility that goes with this • Leo Kempel
position, it has been a unique and rewarding experience. The • Chi Chung Ko
TRANSACTIONS is the leading journal in its field and the AP So- • Karl Langenberg
ciety is justifiably proud of it. I can only hope that we have been • Louis Medgyesi-Mitschang
successful during my tenure as Editor-in-Chief (EIC) in main- • Kathleen Melde
taining the outstanding quality of the Transactions that APS • Krzysztof Michalski
members expect and deserve. • Eric Michielssen
During the last three years the annual number of pages • Michal Okoniewski
published in the TRANSACTIONS has been increased from 1,960 • Hsueh-Yuan Pao
pages in 2001 to 3,400 pages in 2003 to decrease the publi- • Sembiam Rengarajan
cation backlog. Page budgets that are required to be set far in • Antoine Roederer
advance along with an increasing number of submissions have • Kamal Sarabandi
made it difficult to reduce the publication backlog. A special • Ari Sihvola
thanks is due to the APS AdCom for authorizing an extraor- • Rainee Simons
dinary expenditure of funds to increase the number of pages • Parveen Wahid
published in 2003 to help reduce the backlog. Additionally, the Thanks are also due to the Editors of the special issues
IEEE has recently approved more flexible rules with regard to that have appeared and are currently in preparation: Magdy
page budgets that will hopefully make it easier to avoid large Iskander and Jim Mink, for the Special Issue on Wireless
backlogs in the future. Information Technology and Networks; Rick Ziolkowski and
The transition to an all-electronic process from submission to Nader Engheta, for the Special Issue on Metamaterials; and
publication is also well underway. Galley proof delivery to au- Per-Simon Kildal, Ahmed Kishk, and Stefano Maci, for the
thors has become electronic. Corrections can be noted on the upcoming Special Issue on Artificial Magnetic Conductors,
galley proof files with Adobe Acrobat software and returned Soft/Hard Surfaces, and other Complex Surfaces.
electronically as well. A new electronic copyright form has re- Special thanks are also extended to former Associate Ed-
cently been included in Manuscript Central. The promise of a itor Roena Rabelo Vega and current Associate Editor Dawn L.
completely paper-free process is expected to be achieved soon, Menendez at IEEE Headquarters who have worked hard on pro-
possibly within the next year. When you have the chance, please ducing a quality product. Dawn, in particular, has done a tremen-
thank Wilson Pearson, the previous EIC, and Anthony Martin dous job in getting our publication schedule back on track.
for leading the way in implementing the electronic submission Finally, I want to give a special thanks to Sharon Martinez,
process. who has served admirably as my Editorial Assistant. She has
As I turn over the reins to the new Editor-in-Chief, Dr. Trevor kept us organized, worked to keep Reviewers and Associate Ed-
S. Bird, I want express my deepest thanks to all of you who itors on schedule, answered author questions, and generally kept
have served as reviewers for the TRANSACTIONS over the past things running efficiently. Without her help your Editor’s Office
three years. The review process is critical to maintaining the would have dissolved into chaos after the first few months.
quality of the Transactions. I also particularly want to thank all In closing, I again thank the AP Society for the opportunity
the Associate Editors who have worked so hard. Their names to serve, and I hope that you will all support Trevor as he takes
are still listed on the inside back cover in this issue, but I list on his new role. He has done a superb job as an Associate Editor
them here again to emphasize their outstanding service: and I know he is committed to serving the AP Society and the
• Jørgen Bach Andersen TRANSACTIONS. There is no doubt that the TRANSACTIONS will
• Yahia Antar be in good hands.
• Jennifer Bernhard
• Trevor Bird
• Filippo Capolino
ALLEN W. GLISSON, Outgoing Editor-in-Chief
The University of Mississippi
Department of Electrical Engineering
Digital Object Identifier 10.1109/TAP.2004.834953 University, MS 38677-1848 USA

0018-926X/04$20.00 © 2004 IEEE


IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 1927

Allen W. Glisson (S’71–M’78–SM’88–F’02) received the B.S., M.S., and Ph.D. degrees in elec-
trical engineering from the University of Mississippi, in 1973, 1975, and 1978, respectively.
In 1978, he joined the faculty of the University of Mississippi, where he is currently a
Professor and Chair of the Department of Electrical Engineering. His current research interests
include the development and application of numerical techniques for treating electromagnetic
radiation and scattering problems, and modeling of dielectric resonators and dielectric resonator
antennas. He has been actively involved in the areas of numerical modeling of arbitrarily
shaped bodies and bodies of revolution with surface integral equation formulations. He has
also served as a consultant to several different industrial organizations in the area of numerical
modeling in electromagnetics.
Dr. Glisson is a Member of Sigma Xi Research Society and the Tau Beta Pi, Phi Kappa Phi, and
Eta Kappa Nu Honor Societies. He is a Member of several professional societies within the IEEE,
Commission B of the International Union of Radio Science (URSI), and the Applied Computa-
tional Electromagnetics Society. He was a U.S. delegate to the 22nd, 23rd, and 24th General Assemblies of URSI. He was selected
as the Outstanding Engineering Faculty Member in 1986, 1996, and 2004. He received a Ralph R. Teetor Educational Award in
1989 and the Faculty Service Award in the School of Engineering in 2002. He received a Best Paper Award from the SUMMA
Foundation and twice received a citation for excellence in refereeing from the American Geophysical Union. He is the recipient
of the 2004 Microwave Prize awarded by the Microwave Theory and Techniques Society. He has served as a member of the IEEE
Antennas and Propagation Society Administrative Committee and is currently a member of the IEEE Press Liaison Committee.
He currently serves on the Board of Directors of the Applied Computational Electromagnetics Society and has recently served as
Co-Editor-in-Chief of the Applied Computational Electromagnetics Society Journal. He has also served as an Associate Editor for
Radio Science and as the Secretary of Commission B of the U.S. National Committee of URSI. From August 2001 to July 2004
he was the Editor-in-Chief of the IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION.
1928 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Bandwidth Enhancement and Further Size Reduction


of a Class of Miniaturized Slot Antennas
Nader Behdad, Student Member, IEEE, and Kamal Sarabandi, Fellow, IEEE

Abstract—In this paper, new methods for further reducing allow for impedance matching are highly desirable. The funda-
the size and/or increasing the bandwidth (BW) of a class of mental limitation introduced by Chu [1] and later re-examined
miniaturized slot antennas are presented. This paper examines by McLean [4] relates the radiation Q of a single resonance
techniques such as parasitic coupling and inductive loading to
achieve higher BW and further size reduction for this class antenna with its BW. However, whether such limitation can
of miniaturized slot antennas. The overall BW of a proposed be directly extended to multiresonance antenna structures or
double resonant antenna is shown to be increased by more than not is unclear. In fact, through a comparison with filter theory,
94% compared with a single resonant antenna occupying the designing a relatively wideband antenna may be possible using
same area. The behavior of miniaturized slot antennas, loaded multipole (multiresonance) high Q structures. In this paper we
with series inductive elements along the radiating section is also
examined. The inductive loads are constructed by two balanced examine the applicability of multiresonance antenna structures
short circuited slot lines placed on opposite sides of the radiating to enhance the BW of miniaturized slot antennas.
slot. These inductive loads can considerably reduce the antenna Different techniques have been used for antenna miniaturiza-
size at its resonance. Prototypes of a double resonant antenna at tion such as: miniaturization using optimal antenna topologies
850 MHz and inductively loaded miniaturized antennas at around [5]–[7] and miniaturization using magneto-dielectric materials
1 GHz are designed and tested. Finally the application of both
methods in a dual band miniaturized antenna is presented. In all [8], [9]. In pursuit of antenna miniaturization while main-
cases measured and simulated results show excellent agreement. taining ease of impedance matching and attaining relatively
Index Terms—Slot antennas, electrically small antennas, para- high efficiency, a novel miniaturized slot antenna was recently
sitic antennas, multifrequency antennas. presented [6]. Afterwards, a similar architecture in the form
of a folded antenna geometry was presented in order to in-
crease the BW of the previously mentioned miniaturized slot
I. INTRODUCTION antenna [7]. Here we re-examine this topology [6] and propose
modifications that can result in further size reduction or BW
C URRENT advancements in communication technology
and significant growth in the wireless communication
market and consumer demands demonstrate the need for
enhancement without imposing any significant constraint on
impedance matching or cross polarization level. In Section II,
smaller, more reliable and power efficient, integrated wireless a dual-resonant antenna topology is examined for BW en-
systems. Integrating entire transceivers on a single chip is hancement. This miniaturized antenna shows a BW which is
the vision for future wireless systems. This has the benefit of 94% larger than that of a single-resonant miniaturized antenna
cost reduction and improving system reliability. Antennas are with the same size.
considered to be the largest components of integrated wireless Using series inductive elements distributed along the antenna
systems; therefore antenna miniaturization is a necessary task aperture results in the increase of inductance per unit length of
in achieving an optimal design for integrated wireless systems. the line. Therefore the guided wavelength of the resonant slot
The subject of antenna miniaturization is not new and has been line is shortened. Thus, the overall length of the antenna is de-
extensively studied by various authors [1]–[4]. Early studies creased. In Section III, this technique is first demonstrated using
have shown that for a resonant antenna, as size decreases, a standard resonant slot antenna and then incorporated in the
bandwidth (BW) and efficiency will also decrease [1]. This is a miniaturized antenna topology of [6] to further reduce the res-
fundamental limitation which, in general, holds true indepen- onant frequency without increasing the area occupied by the
dent of antenna architecture. However, research on the design antenna.
of antenna topologies and architectures must be carried out The aforementioned techniques for BW enhancement and
to achieve maximum possible BW and efficiency for a given further size reduction can be used individually or in combina-
antenna size. Impedance matching for small antennas is also tion. The combined application of the techniques of Sections II
challenging and often requires external matching networks; and III is presented in Section IV by demonstrating the design
Therefore antenna topologies and structures which inherently of a dual band miniaturized slot antenna.

Manuscript received May 22, 2003; revised September 30, 2003. This work II. MINIATURIZED SLOT ANTENNA WITH ENHANCED BW
was supported in part by the Engineering Research Centers program of the Na-
tional Science Foundation (NSF) under Award EEC-9986866 and by the U.S.
Army Research Office under Contract DAA-99-1-01971.
A. Design Procedure
The authors are with The Radiation Laboratory, Department of Electrical En- In this section the design of coupled miniaturized slot an-
gineering and Computer Science, The University of Michigan, Ann Arbor, MI
48109-2122 USA (e-mail: behdad@engin.umich.edu). tennas for BW enhancement is studied. The configuration of
Digital Object Identifier 10.1109/TAP.2004.832330 the proposed coupled slot antenna is shown in Fig. 1(b) where
0018-926X/04$20.00 © 2004 IEEE
BEHDAD AND SARABANDI: BW ENHANCEMENT AND FURTHER SIZE REDUCTION 1929

Fig. 1. Geometry of single- and double-element miniaturized slot antennas. (a) Single-element miniaturized slot antenna. (b) Double-element miniaturized slot
antenna.

two miniaturized slot antennas are arranged so that they are entire frequency band. Here the resonant frequencies of both an-
parasitically coupled. Each antenna occupies an area of about tennas are fixed at MHz and is used as the
[Fig. 1(a)] and achieves miniaturization by the tuning parameter. However, it is also possible to change and
virtue of a special topology described in detail in [6]. However, slightly, in order to achieve a higher degree of control for
this antenna demonstrates a small BW (less than 1%). A close tuning the response.
examination of the antenna topology reveals that the slot-line The input impedance of a microstrip-fed slot antenna, for a
trace of the antenna only covers about half of the rectangular given slot width, depends on the location of the microstrip feed
printed-circuit board (PCB) area. Therefore another antenna, relative to one end of the slot and varies from zero at the short
with the same geometry, can be placed in the remaining area circuited end to a high resistance at the center. Therefore an
without significantly increasing the overall PCB size. Placing off-center microstrip feed can be used to easily match a slot an-
two antennas in close proximity of each other creates strong tenna to a wide range of desired input impedances. The optimum
coupling between the antennas which, if properly controlled, location of the feed line can be determined from the full-wave
can be employed to increase the total antenna BW. simulation. In the double antenna example the feed line consists
As seen in Fig. 1(b), only one of the two antennas is fed by of a 50 transmission line connected to an open-circuited 75
a microstrip line. The other antenna is parasitically fed through line crossing the slot [Fig. 1(b)]. The 75 line is extended by
capacitive coupling mostly at the elbow section. The coupling beyond the strip-slot crossing to couple the maximum
is a mixture of electric and magnetic couplings that counteract energy to the slot and also to compensate for the imaginary part
each other. At the elbow section, where the electric field is large, of the input impedance. Using this 75 line as the feed, allows
the slots are very close to each other; therefore, it is expected that for compact and localized feed of the antenna and tuning the
the electric field coupling is the dominant coupling mechanism location of the transition from 50 to 75 provides another
and the electric fields (magnetic currents) in both antennas will tuning parameter for obtaining a good match.
be in phase and thus the radiated far field is enhanced.
The two coupled antennas are designed to resonate at the B. Fabrication and Measurement
same frequency, , where is the center fre-
quency and and are the resonant frequencies of the two A double-element antenna (DEA) and two different single-
antennas. In this case the spectral response of the coupled element antennas (SEAs) (SEA 1 and SEA 2) were designed,
antenna will show two nulls, the separation of which is a func- fabricated, and measured. SEA 1 is the constitutive element of
tion of the separation between the two antennas, , and their DEA and SEA 2 is an SEA with the same topology as SEA 1
overlap distance . In order to quantify this null separation a [see Fig. 1(a)] but with the same area as the DEA. SEA 2 is used
coupling coefficient is defined as to compare the BW of the double resonant miniaturized antenna
with that of the single-resonant miniaturized antenna with the
same size. All antennas were simulated using IE3D [12] which
(1) is a full wave simulation software based on method of moments
(MoM) and fabricated on a Rogers RO4350B substrate with
where and are the frequencies of the upper and lower nulls thickness of 500 m, a dielectric constant of , and a
in . Hence can easily be adjusted by varying and loss tangent of with a copper ground plane of
[Fig. 1(b)], and decreases as is increased and is decreased. 33.5 23 cm . The return losses of the SEAs as well as the
A full-wave electromagnetic simulation tool can be used to ex- DEA are presented in Fig. 2. SEA 1 shows a BW of 8 MHz or
tract as a function of and in the design process. BW maxi- nearly 0.9% and SEA 2 shows a BW of 11.7 MHz or 1.31%
mization is accomplished by choosing a coupling coefficient (by whereas the BW of the DEA is 21.6 MHz (2.54%) which in-
choosing and ) such that remains below dB over the dicates a factor of 1.94 increase over a SEA (SEA) with the
1930 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 2. Return losses of DEA and SEA 2: SEA with the same size as DEA. (a) Return losses of the DEA and SEA of the same size (SEA 2). (b) Return loss of
the SEA that constitutes the DEA (SEA 1).

same area. Choosing a different substrate with different thick- TABLE I


ness and dielectric constant, can increase the overall BW of both COMPARISON BETWEEN THE DEA AND ITS CONSTITUTIVE SEAS
SHOWN IN FIG. 1
antennas. However, it is also expected that the BW ratio of the
DEA to the SEA remains the same. The overall size of the DEA
is which shows a 25% increase in area when
compared to the size of the SEA 1 . The Q
of each antenna has also been calculated using the method pre-
sented in [10] and compared with the fundamental limit on the
Q of small antennas [4] in Table II. Demonstrably the quality
factors of both SEAs are well above the minimum theoretical TABLE II
limit. Since Q is only defined for single resonant structures, no COMPARISON BETWEEN MEASURED Q AND THE MINIMUM ATTAINABLE Q. 3
value for Q is reported for the DEA in Table II. In calculating the CALCULATED USING THE FOSTER REACTANCE THEOREM [10]. 33 CALCULATED
USING THE CHU-MCLEAN FORMULA FOR A SINGLE-RESONANT ANTENNA [4]
minimum Q for the slot antennas using the Chu limit, it is nec-
essary to find the radius of the smallest sphere than encloses the
antenna. At first, it may not be clear whether this sphere should
only cover the aperture or, in addition to that, some portion of
the ground plane too (because of the electric currents that exist
in the ground plane). This becomes clear by applying the equiv-
alence theorem to this problem, which shows that the magnetic
currents responsible for radiation, exist only on the aperture and
according the the derivation of the Chu limit, the smallest sphere H-Plane pattern. Table I shows the radiation characteristics of
that encloses these radiating magnetic currents should be used. the DEAs and SEAs. It is seen that the gain-BW product of the
The gain of the double resonant antenna was mea- proposed double-antenna is significantly higher than that of the
sured at three different frequencies and is presented in single antenna.
Table I. Radiation patterns of the antenna were measured
at MHz and found to be similar to each III. IMPROVED ANTENNA MINIATURIZATION USING
other. Fig. 3 shows the co- and cross-polarized E- and H-plane DISTRIBUTED INDUCTIVE LOADING
radiation patterns at MHz. The E- and H-plane radi- A. Design Procedure
ation patterns of this antenna are expected to be dual of those
of a short electric dipole. Fig. 3(a) shows the H-Plane radiation A microstrip-fed slot antenna has the length of , where
pattern which is similar to the E-Plane radiation pattern of is the wavelength in the slot, at its first resonance. The electric
an electric dipole with deeps instead of nulls at . current distribution can be modeled by the voltage distribution
This can be attributed to the finiteness of the ground plane over a transmission line short circuited at both ends. The
where some radiation comes from the electric currents on the resonant length of a transmission line can be made smaller
antenna ground plane at the edges of the substrate. Fig. 3(b), if the inductance per unit length of the line is increased. This can
however, does not show a uniform radiation pattern like the be accomplished by inserting a number of series inductors in the
H-Plane radiation of a short electric dipole. This is because of transmission line. For slot-lines, insertion of series lumped el-
the 180 difference in phase between the normal component of ements is not possible. Besides, series lumped elements have a
the electric fields at the top and bottom of the antenna ground low Q which adversely affects antenna efficiency (gain). To re-
plane. The H-Plane pattern is expected to have deep nulls at alize a slot line with higher inductance per unit length, an array
these angles; therefore, this does not significantly affect the of distributed, short circuited, narrow slot-lines can be placed
BEHDAD AND SARABANDI: BW ENHANCEMENT AND FURTHER SIZE REDUCTION 1931

Fig. 3. Far field radiation patterns of the double-element miniaturized slot antenna at 852 MHz. (a) H-plane and (b) E-plane.

Fig. 4. Loaded and unloaded straight slot antennas. (a) Geometry of a microstrip-fed straight slot antenna. (b) Geometry of a microstrip-fed straight slot antenna
loaded with an array of series inductive elements.

along the radiating segment of the slot antenna as shown in


Fig. 4(b). The impedance of a short circuited slot line is ob-
tained by

(2)

where is the propagation constant, is the characteristic


impedance, and is the length of the short circuited slot-line.
The characteristic impedance of a slot-line is inversely propor-
tional to its width [11] therefore by using wider series slots,
more inductance can be obtained for a fixed length of short cir-
cuited transmission line. The best location to put series induc-
tors in a slot is near its end where the amplitude of magnetic
current is small. Putting them at the center of the slot where the
magnetic current is at its maximum, strongly degrades radiation
efficiency. It can easily be seen that by increasing the number
and value of inductors, the length of transmission line neces- Fig. 5. Geometry of a miniaturized slot antenna loaded with series distributed
inductors (slits).
sary to satisfy the boundary conditions at both ends of the slot
decreases.
The size reduction may also be explained by considering the perpendicular to it. The latter is described by the continuity
electric current distribution in the conductor around the slot. of the electric current and displacement current at the slot
There are two components of electric current in the ground plane discontinuity. Putting a discontinuity (a slit) normal to the
of the slot, one that circulates around the slot and one that is circulating current path forces the current to circle around
1932 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 6. Simulated and measured return losses of the straight slot antennas and miniaturized slot antennas with and without inductive loading. (see Figs. 4 and 5).
(a) Return losses of straight loaded and unloaded slot antennas. (b) Return losses of ordinary and loaded miniaturized slot antennas.

Fig. 7. Far field radiation patterns of loaded straight slot antenna shown in Fig. 4(b). (a) H-plane and (b) E-plane.

the discontinuity. Hence the electric current traverses a longer of the microstrip line are found by trial and error, using full
path length than the radiating slot length which in turn lowers wave simulations. For both straight slots (with and without
the resonant frequency. Fig. 4(b) shows a slot antenna loaded series inductors) the lengths of the extended microstrip lines
with a number of narrow slits which act as an array of series are found to be , where is the wavelength in the
inductors. These slits are designed to have a length smaller microstrip lines at their respective resonance frequencies.
than and carry a magnetic current with a direction normal Fig. 5 shows a miniaturized slot antenna (similar to the
to that of the main radiator. Placing them only on one side of topology in [6]) loaded with series inductive slits to further
the radiating slot results in asymmetry in phase and amplitude reduce its resonant frequency. The antenna without the series
of the current along the slot which could create problems in inductors is already small, and adding series inductive elements
matching and worsen cross polarization. In order to circumvent further reduces the resonant frequency or equivalently the
this problem, two series slits are placed on the opposite sides electrical dimensions of the antenna. Instead of using identical
of the main slot. These slits carry magnetic currents with equal inductive elements along the radiating slot, differently sized
amplitudes and opposite directions. Since the lengths of these inductive slits are used to cover most of the available area on
narrow slits are small compared to the wavelength and since the PCB in order to maintain the area occupied by the antenna.
they are closely spaced, the radiated fields from the opposite The antenna is matched to a microstrip transmission line in
slits cancel each other and they do not contribute to the radiated a manner similar to the straight slots described earlier. The
far field. Matching is performed by using an off-centered open feed line is composed of a 75 open-circuited microstrip line
circuited microstrip feed. The optimum location and length connected to a 50 feed line. In this case, the open circuited
BEHDAD AND SARABANDI: BW ENHANCEMENT AND FURTHER SIZE REDUCTION 1933

Fig. 8. Far field radiation patterns of loaded miniaturized slot antenna shown in Fig. 5. (a) H-plane and (b) E-plane.

B. Fabrication and Measurement


The straight slots with and without series inductors were
simulated using IE3D and fabricated on a 500 m thick Rogers
RO4350B substrate. Fig. 6(a) shows the simulated and measured
return losses for the slot antennas with and without inductive
loading. This figure shows the resonance frequency and dB
BW of 2.2 GHz, and 235 MHz (10.7%) for the straight slot.
The loaded slot with the same length as that of the unloaded slot
has a resonance frequency of 1.24 GHz and a BW of 63 MHz
(5%). This result indicates a 44% reduction in the resonant
frequency and a similar reduction in the BW, as expected.
The overall size can still be reduced by using longer short
circuited slits, if they could be designed in a compact fashion.
The radiation patterns of the small slot antenna were measured
Fig. 9. Geometry of the dual band inductively loaded miniaturized slot antenna in the anechoic chamber of the University of Michigan and
of Section IV.
are presented in Fig. 7. It is seen that the cross polarization
components in the far field region in both E- and H-planes are
negligible, thereby confirming the fact that the radiation from
the magnetic currents in the inductive loadings with opposite
directions cancel each other in the far field region.
The miniaturized loaded and unloaded slot antennas were
also fabricated using RO4350B substrate. Fig. 6(b) shows the
simulated and measured return losses of the loaded and un-
loaded miniaturized antennas. It is shown that, by inserting the
series inductors, the resonant frequency of the antenna shifts
down from 1116 to 959 MHz (14% reduction). In this design, the
overall PCB size is unchanged. Fig. 8 shows the E- and H-plane
co- and cross-polarized radiation patterns of the loaded minia-
turized antenna. It is seen that the cross polarization level is
negligible at broadside. The gains of the loaded and unloaded
miniaturized slot antennas (antenna in Fig. 5) were also mea-
Fig. 10. Measured and simulated return losses of the miniaturized dual band sured in the anechoic chamber using a standard log-periodic
slot antenna of Section IV.
reference antenna and were found to be 0.8 and 0.7 dB, respec-
tively. Table III shows a comparison between Q of the minia-
microstrip line is extended beyond the slot-strip crossing by turized antennas presented in this section and the fundamental
and for the miniaturized antenna and the loaded limit on Q of small antennas with the same size [1], [4]. It is ob-
miniaturized antenna respectively. served that the Q of these antennas are well above the Chu limit.
1934 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE III
COMPARISON BETWEEN BW, MEASURED Q AND THE MINIMUM ATTAINABLE Q OF THE MINIATURIZED ANTENNAS IN SECTION III

TABLE IV
COMPARISON BETWEEN BW, MEASURED Q AND THE MINIMUM ATTAINABLE Q OF THE DUAL BAND MINIATURIZED ANTENNA

IV. DUAL BAND MINIATURIZED SLOT ANTENNA the slot-strip transition. Table IV shows a comparison between
In this section the techniques introduced in the previous the antenna size, dB BW, measured Q, and minimum at-
sections are used in the design of a dual band miniaturized tainable Q for the two bands. It is seen that the Q of both bands
slot antenna. The geometry of this antenna is shown in Fig. 9. are well above the Chu limit. The overall size of the structure
The resonant frequencies of the slot antennas ( and ) is 5.73 cm 5.94 cm or equivalently at the
and the value of the coupling coefficient are used as lowest frequency of operation. Radiation patterns of the antenna
design parameters to achieve the desired response. Increasing at the two bands are measured and found to be similar to those
the vertical displacement, , and decreasing the horizontal of the SEA topology (Fig. 8).
separation, , causes to increase or equivalently result in
a larger separation between the two frequency bands. Small V. CONCLUSION
changes in the resonance lengths of the slots result in slight Two approaches are introduced for increasing the BW and
changes in and which can be used as a means of fine- reducing the size of miniaturized slot antennas. Placing two
tuning the response. Note, however, that resonant frequencies similar slot antennas in close proximity of each other creates a
, and should be close to each other so that coupling double resonant structure, the response of which is a function of
takes place. The separation between the two bands is limited relative spacing between the two antennas. The coupled minia-
by practical values of . Large values cannot be obtained turized antenna can be designed to have a BW which is larger
easily, since both electric and magnetic couplings are present by 94% than the BW of a single resonant antenna with the same
and add destructively. In addition to this problem, matching area or to behave as a dual band antenna.
the antenna at the two bands becomes increasingly difficult For a fixed resonant frequency, adding series inductive el-
as the separation increases. A parameter is defined as a ements to a slot antenna reduces its size. The size reduction
measure of separation between the two frequency bands is a function of number and values of the inserted inductive
elements. Using series inductive elements does not adversely
(3) affect impedance matching and the cross polarization level.
This technique is also used in combination with other miniatur-
where is the center frequency. In practice by changing , ization techniques to further decrease the size of the radiating
and , values of up to 10% can easily be obtained. This ar- structure. The technique is applied to a straight as well as a
chitecture is particularly useful for wireless applications that use miniaturized slot antenna and for a given antenna size, sig-
two separate frequency bands (different bands for transmit and nificant reduction in resonant frequencies are observed.
receive for example) that are close to each other but still cannot Finally, both techniques are applied to the design of a minia-
be covered with the available BW of these types of miniaturized turized dual band antenna. Series inductors are used to reduce
antennas. the resonant frequencies of each resonator. A large coupling co-
In order to achieve a higher miniaturization level for the given efficient is used to achieve a large separation between the two
size, series inductive elements are also placed along slots to re- nulls in the response of the parasitically coupled antenna.
duce the resonance frequencies of each element. Fig. 10 shows The values of , and are used as design parameters in
the simulated and measured return losses of this dual band an- order to obtain a miniaturized dual band slot antenna with rela-
tenna. The discrepancies between the simulated and measured tively good simultaneous matching.
results are due to the finiteness of the ground plane as described
in [6]. The measured results indicate an MHz and
ACKNOWLEDGMENT
MHz or equivalently a %. A good match at
both bands is obtained by using an off center open-circuited mi- The authors would like to thank the anonymous reviewers for
crostrip feed where the microstrip line is extended by 7 cm over their constructive comments.
BEHDAD AND SARABANDI: BW ENHANCEMENT AND FURTHER SIZE REDUCTION 1935

REFERENCES Kamal Sarabandi (S’87–M’90–SM’92–F’00)


received the B.S. degree in electrical engineering
[1] L. J. Chu, “Physical limitations on omni-directional antennas,” J. Appl.
from Sharif University of Technology, Tehran,
Phys., vol. 19, pp. 1163–1175, Dec. 1948. Iran, in 1980, the M.S. degree in electrical engi-
[2] H. A. Wheeler, “Fundamental limitations of small antennas,” in Proc.
neering/mathematics, and the Ph.D. degree in elec-
IRE., vol. 35, Dec. 1947, pp. 1479–1484. trical engineering from The University of Michigan,
[3] R. C. Hansen, “Fundamental limitations in antennas,” Proc. IEEE, vol. Ann Arbor, in 1986 and 1989, respectively.
69, pp. 170–182, Feb. 1981.
He is Director of the Radiation Laboratory and
[4] J. S. McLean, “A re-examination of the fundamental limits on the radia- a Professor in the Department of Electrical Engi-
tion Q of electrically small antennas,” IEEE Trans. Antennas Propagat.,
neering and Computer Science, The University of
vol. 44, pp. 672–676, May 1996. Michigan. He has 20 years of experience with wave
[5] H. K. Kan and R. B. Waterhouse, “Small square dual-spiral printed an-
propagation in random media, communication channel modeling, microwave
tennas,” Electron. Lett., vol. 37, pp. 478–479, Apr. 2001. sensors, and radar systems and is leading a large research group consisting
[6] K. Sarabandi and R. Azadegan, “Design of an efficient miniaturized
of four research scientists, ten Ph.D. students, and two M.S. students. Over
UHF planar antenna,” in Proc. IEEE Int. Antennas Propagat. & URSI the past ten years he has graduated 15 Ph.D. students. He has served as the
Symp., Boston, MA, July 8–13, 2001. Principal Investigator on many projects sponsored by NASA, JPL, ARO, ONR,
[7] R. Azadegan and K. Sarabandi, “Miniaturized folded-slot: An approach
ARL, NSF, DARPA, and numerous industries. He has published many book
to increase the bandwidth and efficiency of miniaturized slot antennas,” chapters and more than 105 papers in refereed journals on electromagnetic
in Proc. IEEE Int. Antennas Propagat. & URSI Symp., San Antonio, TX,
scattering, random media modeling, wave propagation, antennas, microwave
June 16–21, 2002. measurement techniques, radar calibration, inverse scattering problems, and
[8] K. Sarabandi and H. Mosallaie, “Antenna miniaturization with enhanced
microwave sensors. He has had more than 220 papers and invited presentations
bandwidth and radiation characteristics: A novel design utilizing peri- in national and international conferences and symposia on similar subjects. His
odic magneto-dielectric,” in Proc. IEEE Int. Antennas Propagat. & URSI research areas of interest include microwave and millimeter-wave radar remote
Symp., San Antonio, TX, June 16–21, 2002. sensing, electromagnetic wave propagation, and antenna miniaturization.
[9] T. Ozdemir, P. Frantzis, K. Sabet, L. Katehi, K. Sarabandi, and J. Harvey, Dr. Sarabandi is a Member of the International Scientific Radio Union (URSI)
“Compact wireless antennas using a superstrate dielectric lens,” in Proc.
Commission F and of The Electromagnetic Academy. He received the Henry
IEEE Trans. Antennas Propagat. & URSI Symp., Salt Lake City, Utah, Russel Award from the Regent of The University of Michigan (the highest honor
July 2000.
the University of Michigan bestows on a faculty member at the assistant or
[10] W. Geyi, P. Jarmuszewski, and Y. Qi, “The foster reactance theorem for associate level). In 1999, he received a GAAC Distinguished Lecturer Award
antennas and radiation Q,” IEEE Trans. Antennas Propagat., vol. 48, pp.
from the German Federal Ministry for Education, Science, and Technology. He
401–408, Mar. 2000. also received a 1996 Teaching Excellence Award from the Department of Elec-
[11] J. J. Lee, “Slotline impedance,” IEEE Trans. Microwave Theory and trical Engineering and Computer Science, and the 2003/2004 College of Engi-
Techniques, vol. 39, pp. 666–672, Apr. 1991.
neering Research Excellence Award, The University of Michigan. He is a Vice
[12] Electromagnetic Simulation and Optimization Software. IE3D. President of the IEEE Geoscience and Remote Sensing Society (GRSS), a past
Chairman of the Awards Committee of the IEEE GRSS from 1998 to 2002, and a
Member of the IEEE Technical Activities Board Awards Committee from 2000
Nader Behdad (S’97) was born in Mashhad, Iran, to 2002. He is an Associate Editor of the IEEE TRANSACTIONS ON ANTENNAS
in 1977. He received the Bachelor of Science degree AND PROPAGATION and the IEEE SENSORS JOURNAL. He is listed in American
from Sharif University of Technology, Tehran, Men & Women of Science, Who’s Who in America, and Who’s Who in Electro-
Iran, and the Master of Science degree from the magnetics.
University of Michigan, Ann Arbor, in 2000 and
2003, respectively, where he is currently working
toward the Ph.D. degree on bandwidth enhancement
and miniaturization of printed antennas in the De-
partment of Electrical Engineering and Computer
Science.
From 2000 to 2001, he was with the Electronics
Research Center, Sharif Unviersity of Technology, as an antenna design En-
gineer working on design of antennas for wireless local loop (WLL) systems.
Since January 2002, he has been working as a Research Assistant in the Radia-
tion Laboratory, University of Michigan.
Mr. Behdad is the recipient of the Best Student Paper Award in the Antenna
Applications Symposium held in Monticelo, IL, in September 2003 and winner
of the Second Prize in the student paper competition of the USNC/URSI Na-
tional Radio Science Meeting, Boulder, CO, in January 2004.
1936 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Miniature Built-In Multiband Antennas for


Mobile Handsets
Yong-Xin Guo, Member, IEEE, Michael Yan Wah Chia, Member, IEEE, and Zhi Ning Chen, Member, IEEE

Abstract—In this paper, we propose a new design for built-in antennas, which are well suited for integration with multiband
handset antennas in that metal strips as additional resonators are multifunctional personal communication transceiver systems,
directly connected with a feed strip. With the new design scheme, is a big challenge for antenna engineers.
a quad-band antenna for covering GSM900, DCS1800, PCS1900,
and UMTS2000 bands and a five-band antenna for covering Currently, many mobile telephones use one or more of the fol-
GSM900, DCS1800, PCS1900, UMTS2000, and ISM2450 bands lowing frequency bands: the GSM band centered at 900 MHz,
for use in mobile built-in handsets are experimentally carried out. the DCS band centered at 1800 MHz, and the PCS band centered
Compared with the parasitic form with a shorted strip placed at 1900 MHz. Many interesting designs based on the IFA and
away from the main radiator in the open literature, the size of the PIFA concepts for achieving dual-band operations have been
proposed antennas can be reduced by an order of 10 20%, which
is desirable since the size of mobile phones is becoming smaller available in open literatures [1]–[11]. Triple-band built-in an-
according to consumer preferences. Moreover, the impedance tennas to operate at GSM900, DCS1800, and PCS1900 bands
matching for each band of the new antennas becomes easy. The were demonstrated [12]–[14]. These tri-band antennas consist
new quad-band and five-band built-in handset antennas are of a main radiator operating at a low frequency band and a
developed within the limits of a 36 16 8 mm3 volume. The first high band and a shorted parasitic radiator operating at a
antennas are also analyzed using the finite-difference time-domain
technique. A good agreement is achieved between measurement second high band. The parasitic radiator lies in a plane par-
and simulation. allel to and away from the main radiator and therefore occupies
valuable space in mobile phones that are constantly shrinking
Index Terms—Antennas, built-in antennas, handset antennas,
planar inverted-F antennas (PIFAs) antennas, small antennas. in size. Moreover, the parasitic-feed technique used for intro-
ducing one more mode may have problems in tuning of the an-
tenna. More recently, some customers may need the designed
I. INTRODUCTION mobile antennas can also include the UMTS2000 band for 3G
mobile applications or 2450 MHz ISM band for indoor cord-
T HE SIZES AND weights of mobile handsets have rapidly
been reduced due to the development of modern inte-
grated circuit technology and the requirements of the users.
less phones, WLAN and Bluetooth applications. Antenna de-
signs for covering GSM900, DCS1800, and ISM2450 bands can
Conventional monopole-like antennas have remained relatively be found in the literatures [15], [16]. Furthermore, a quad-band
large compared to the handset itself. Thus, built-in antennas built-in antenna for covering GSM900, DCS1800, GSM1900,
are becoming very promising candidates for applications in and UMTS2000 was reported in [17].
mobile handsets. Most built-in antennas currently used in In this paper, we propose a new design in that metal strips as
mobile phones include microstrip antennas, inverted-F shaped additional resonators are directly connected with a feed strip.
wire-form antennas (IFAs), and planar inverted-F antennas With this direct-feed scheme, the forgoing problems relating
(PIFAs). Microstrip antennas are small in size and light in to the parasitic-feed technique for an additional resonance in
weight. However, at the lower band for mobile applications a conventional multiple-band antenna can be alleviated. As
such as GSM900, half-wavelength microstrip antennas are an example, a quad-band antenna for covering the GSM900,
too large to be incorporated into a mobile handset. Basic IFA DCS1800, PCS1900, and UMTS2000 was achieved, which
and PIFA elements, which have a length equal to a quarter was initially presented in [18], [19]. Herein, we would like to
wavelength of the center frequency in the operating band, are report extensive results on this quad-band antenna. Further,
narrow in bandwidth. In addition to reduced antenna sizes, it is by the addition of a second metal strip, a five-frequency band
envisaged that next generation mobile phones will require the operation to cover GSM900, DCS1800, PCS1900, UMTS2000,
capability to tune to a number of frequency bands for cellular and ISM2450 can be implemented. In the wireless industry,
applications, wireless local area networks (WLAN) and other there are several ways to fabricate handset antennas, such
wireless communications. The trend in the development of as: 1) molded intrusion design (MID) technology; 2) using a
wireless personal communication systems has been in the conductive pattern, screen-printed on an adhesive flexible film;
pursuit of a single system that can accommodate the needs of 3) thin film technology; and 4) metal cutting. It is possible to
all users. To develop compact, highly efficient and broadband fabricate our newly designed antennas using MID technology or
metal cutting. The simulations were performed using Remcom
software XFDTD5.3, which is based on the FDTD method.
Manuscript received February 24, 2003; revised November 2, 2003. This paper is organized as follows. Section II presents a
The authors are with the Institute for Infocomm Research, Singapore 117674,
Singapore (e-mail: yxguo@ieee.org). simple and efficient measurement setup, which is very impor-
Digital Object Identifier 10.1109/TAP.2004.832375 tant for measuring small handset antennas. In Section III, a
0018-926X/04$20.00 © 2004 IEEE
GUO et al.: MINIATURE BUILT-IN MULTIBAND ANTENNAS FOR MOBILE HANDSETS 1937

Fig. 1. Geometry of the test bed.

starting point for the quad-band and five-band antennas is pro-


vided. After that, the built-in quad-band handset antenna design
and parametric study are extensively described in Section IV.
Then, Section V shows the built-in five-band handset antenna.
Finally, the entire work is summarized in Section VI.

II. MEASUREMENT SETUP

The measurement methods of mobile handset antennas are


of much concern by many investigators [20]–[23]. During the
development of such a handset antenna, the antenna under test
(DUT) is connected to a network analyzer via a coaxial cable.
Errors in the measured resonant frequency, bandwidth, radia-
tion pattern, and antenna gain can be expected owing to the Fig. 2. (a) Existing dual-band internal handset antenna and (b) dual-band
internal handset antenna with a fine-tuning stub.
feed cable placed in the near field of the antenna and the coaxial
cable acting as a secondary radiator driven by the surface cur-
length of and a width of . The sub-
rents flowing on its outer surface of the shield. Ferrite chokes on
strate is Duroid RO4003 with a thickness of 1.5 mm and dielec-
the exterior of the cables can reduce the cable-related effect sig-
tric constant of 3.38. The width of the microstrip line is 3.5 mm
nificantly [20]. However, ferrites typically work well as chokes
to keep its characteristic impedance at 50 . The DUT is placed
up to 1 GHz. The use of sleeve-like baluns on the cable, located
at the top of the ground plane. A coaxial cable is connected to
near the handset, can reduce the effect of the RF cable on the an-
network analyzer HP8753E at the bottom of the board. The gain
tenna measurement as well [21], [22]. As shown in [22], the de-
and radiation patterns are measured using Orbit/FR system in an
sign of such a balun in multiband operation is very complicated.
anechoic chamber. The above mentioned measurement setup for
Moreover, it is commonly known to us in wireless industry that
handset antenna design was validated and confirmed in terms of
a semi-rigid coaxial transmission line is placed on the ground
measured and simulated input reflection, near-field currents on
plane with its centre conductor connected to the antenna while
the ground plane and far-field radiation patterns in house.
its shield soldered onto the ground place as in [23]. With this
arrangement, the effects of the feeding coaxial cable on the an-
III. STARTING POINT
tenna can be reduced to an acceptable level. Thus this feeding
scheme can best model the real mobile phone where a separate The antenna shown in Fig. 2(a) is the one as in [12], which
RF transceiver, residing inside a metal enclosure, is employed was used as the starting point of this work. The antenna com-
to drive the antenna that is mounted very close to the RF trans- prises a folded radiating patch in the first layer, a ground plane
ceiver. in the second layer, a supporting foam in-between, a short-cir-
In this paper, the test printed circuit board (PCB) with the cuited strip, and a feed strip. The patch is connected to the
DUT for use in a mobile telephone is shown in Fig. 1. The PCB ground plane via a vertical short-circuited strip and is fed via
is in a rectangular shape. It has a ground plane and a microstrip a feed strip connected to a 50- transmission line etched on the
line etched on the back. In practical use the PCB will have a back of the ground plane. The folded PIFA is spaced from the
number of electronic components mounted thereon, which are ground plane by a dielectric substrate of foam. At the first layer,
necessary for the operation of the mobile telephone, but which the long bent portion of the antenna is tuned to have a relatively
are omitted here for brevity. The rectangular ground plane has a low band resonance frequency, such as 900 MHz, and the short
1938 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 4. Proposed quad-band internal handset antenna.

To reduce the resonant frequency further, we may extend the


arm length or bend at the open end of the folded antenna in
Fig. 2(a). However, the bending at the open end in Fig. 2(a) may
be a little difficult to manufacture. Fig. 2(b) shows one possible
variation of the folded antenna in Fig. 2(a) with an additional
strip stub bent perpendicularly toward the ground plane. The
stub has dimensions of length and width . All other
parameters are kept same as those in Fig. 2(a). The measured
and simulated return losses of the antenna in Fig. 2(b) is shown
in Fig. 3(b). The size of the stub for the results shown in Fig. 3(b)
is and . The measured bandwidths
for 6 dB return loss are 76 MHz (942–1018 MHz) for the
lower band and 239 MHz (1752–1991 MHz) for the upper band,
respectively. The corresponding simulated results are 122 MHz
(928–1050 MHz) and 242 MHz (1808–2050 MHz). In this case,
the resonant frequencies can meet the requirement of GSM900
and DCS1800 with a plastic cover being added.

Fig. 3. (a) Measured and simulated return losses of the antenna in Fig. 2(a)
and (b) measured and simulated return losses of the antenna in Fig. 2(b).
IV. QUAD-BAND ANTENNA
A. Antenna Structure
part of the antenna is tuned to have a high band resonance fre-
quency, such as 1800 MHz. The ground plane has dimensions The proposed antenna in this work is shown in Fig. 4.
of length 80 mm, and width 36 mm. The dielectric constant of Compared with the dual-band folded patch in Fig. 2(b), a
foam is around 1.07. The dimensions of the dual-band antenna new radiating strip is added. The new radiating strip as an
are , , , , additional resonator is directly connected to the feed strip and
, , positioned at a plane perpendicular to the ground plane and
, , , the original folded patch, whereas in the previous triple-band
and . designs [12]–[14], the additional parasitic radiator has a small
The measured and simulated return losses of the dual-band distance from the original folded patch. Due to that, the designs
antenna in Fig. 2(a) is shown in Fig. 3(a). The measured band- in [12]–[14] may occupy valuable space in mobile phones that
widths, defined for 6 dB return loss (SWR 3), are 82 MHz are constantly shrinking in size. Compared with the designs
(972–1054 MHz) for the lower band and 263 MHz (1769–2032 in [12]–[14], the size of the newly proposed antenna can be
MHz) for the upper band, respectively. The corresponding sim- reduced by an order of 10 20%, which is desirable since
ulated bandwidths are 120 MHz (965–1085 MHz) and 270 MHz the size of mobile phones is becoming smaller according
(1830–2100 MHz). Reasonable agreement between measure- to consumer preferences. The new additional strip is like a
ment and simulation is achieved. The wide bandwidth at the PIFA antenna and is tuned to have a second high resonance
upper band in this design may also be due to one resonance frequency, such as 2100 MHz. The new quad-band antenna was
generated by the ground plane, which has a half-wave length developed within the limits of a volume. The
with the center frequency being around 1.8 GHz. If the influ- rectangular ground plane has a length of and a
ence of the plastic casing as in real situation is considered with width of . The dimensions of the new antenna
a rough 5% reduction of the resonant frequency [12], it is ob- are , , , ,
served that the corresponding frequencies are still a little out of , , , ,
the GSM900 and DCS1800 bands. ,
GUO et al.: MINIATURE BUILT-IN MULTIBAND ANTENNAS FOR MOBILE HANDSETS 1939

agreement between measurement and simulation is obtained.


Referring to Fig. 5, it is observed that there are some differ-
ences for the null depth in the simulated and measured return
losses of the upper band, which may come from that the antenna
size cannot be modeled very accurately by the FDTD method
due to its meshing scheme. The simulated bandwidths with the
plastic cover as in real case are 126 MHz (883–1009 MHz) at
the lower band and 573 MHz (1659–2232 MHz) at the upper
band, respectively. The antenna has a capacity for covering the
GSM900, DCS1800, PCS1900, and UMTS2000 bands. With re-
gard to Fig. 5, the return loss has one distinct minimum at a low
frequency band and two minima at two high frequency bands
relatively close to each other. It is very clear to observe that
the wide bandwidth of the higher band of the new antenna is
due to the introduced strip connected to the feed. Note that the
Fig. 5. Measured and simulated return losses of the antenna in Fig. 4. wide bandwidth at the upper band in this design may also come
from one resonance generated by the ground plane, which has
a half-wave length with the center frequency being around 1.8
GHz.
The -plane far-field radiation patterns of the new quad-
band antenna at 935, 1795, 1935, and 2100 MHz are depicted
in Fig. 7(a)–(d), respectively. They are similar to those of other
integrated antennas for mobile handsets [1]. Referring to Fig. 7,
the overall shape of the radiation patterns can be suitable for
mobile communications terminals. The measured values of the
gain of the quad-band antenna are shown in Fig. 6. Also, the
measured gains for the dual-band antenna as in Fig. 2(b) are in-
cluded for comparison. The measured gains are varying from
0.4 to 3.6 dBi.

C. Parametric Study
In this section, effects of varying key antenna parameters, i.e.
Fig. 6. Measured gains of the dual-band antenna in Fig. 2(b) and the quad-band the substrate thickness, the ground plane size, and the additional
antenna in Fig. 4. strip position and width are considered on the antenna band-
width. Again, for all the simulations in this section, 2-mm thick
dielectric sheet with dielectric constant and 1-mm
, , , and
spacing between the cover and the antenna are used to simu-
.
late the actual effect of the plastic cover as before [7], [24].
1) Effects of the Substrate Thickness: The first variation is
B. Measured and Simulated Results performed by varying the height of the substrate. Other param-
The return losses and radiation properties of the new antenna eters of the antenna are as follows: , ,
as shown in Fig. 4 were investigated using measurement and , , , ,
simulation. The simulation was performed using the commer- , , ,
cial software XFDTD5.3, which is based on the FDTD method. , ,
Fig. 5 shows the measured and simulated return losses of , , and . It can
the new antenna presented in Fig. 4. In the actual design, we be seen from Fig. 8, that this variation has a large impact on
need to consider around 5% frequency-shifting due to the ef- the impedance matching of the upper band. With the substrate
fect of the plastic cover [7]. Thus, the simulated result with the height increasing, the bandwidths for the upper band increase
plastic cover is also provided. In the simulation, 2-mm thick significantly, while the bandwidths of the lower band increase
dielectric sheet with dielectric constant and 1-mm slightly. The lower cutoff frequency (f1L), upper cutoff fre-
spacing between the cover and the antenna is used to simulate quency (f1U) and the absolute bandwidth (BW1) for the lower
the actual effect of the plastic cover [7], [24]. The measured band and the lower cutoff frequency (f2L), upper cutoff fre-
bandwidths without the plastic cover according to 6 dB re- quency (f2U) and the absolute bandwidth (BW2) for the upper
turn loss matching are 78 MHz (933–1010 MHz) at the lower band are tabulated in Table I for reference, respectively. Addi-
band and 516 MHz (1772–2288 MHz) at the upper band, respec- tionally, the resonant frequencies of the lower band shift up with
tively. The corresponding simulated results without the plastic the substrate height being increased, which may be due to the
cover are 130 MHz (924–1054 MHz) at the lower band and 486 decreased capacitance between the folded radiating patch and
MHz (1824–2310 MHz) at the upper band, respectively. A good the ground plane.
1940 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 7. Radiation patterns of the antenna in Fig. 4 at xz plane: (a) 925 MHz, (b) 1795 MHz, (c) 1935 MHz, and (d) 2100 MHz.

Only small variations are seen for the bandwidths of both the
lower and upper bands with the ground plane width varying
from 36 to 44 mm. Other parameters of the antenna are as fol-
lows: , , , ,
, , , ,
,
, , , and
.
3) Effects of the Additional Strip Position and Its
Size: Fig. 10 shows the effects of the additional strip position
and its width on the new antenna. Other parame-
ters of the antenna are as follows: , ,
, , , ,
, , , ,
,
Fig. 8. Simulated return losses with variation of H for the antenna in Fig. 4. , and . Referring to the Fig. 10,
it can be seen that the additional strip position and its width
2) Effects of the Ground Plane Size: For small PIFA-like an- mainly affect the impedance matching of the upper band.
tennas, the finite ground plane can be considered as a radiator. The matching will become deteriorated when the additional
Therefore, it is necessary to study the effects of the ground plane strip bottom approaches very near the ground plane as high
size on the impedance characteristics of the new antenna. With capacitance may be introduced in this case. The bandwidths
regard to Fig. 9 it is observed that the ground plane length has of the lower band almost keep constant with the additional
a large effect on the upper band with the length varying from strip position and its size varying. The antennas with other
60 to 100 mm, while the lower band almost keeps unchanged. additional strip positions and the strip sizes were also simulated
GUO et al.: MINIATURE BUILT-IN MULTIBAND ANTENNAS FOR MOBILE HANDSETS 1941

TABLE I
SIMULATED BANDWIDTHS WITH DIFFERENT SUBSTRATE THICKNESS H OF THE QUAD-BAND ANTENNA

frequency of the introduced second high band as it acts like a


quarter-wavelength IFA antenna.

V. FIVE-BAND ANTENNA
A. Antenna Structure
Fig. 11 depicts a five-band antenna for covering the GSM900,
DCS1800, PCS1900, UMTS2000, and ISM2450 bands by
adding a second additional strip and connecting it to the feed
strip. The second metal strip is parallel to the ground plane
and the original dual-band PIFA patch but orthogonal to the
first additional radiating strip with a horizontal separation
d3 and a height h1. The additional separation and position
arrangement between the first radiating strip and the second
additional strip reduces the mutual coupling therebetween. The
Fig. 9. Simulated return losses with variation of L for the antenna in Fig. 4. new five-band antenna was still developed within the limits of
a volume. The rectangular ground plane has
a length of and a width of .
The dimensions of this antenna are ,
, , , ,
, , , ,
,
, , , ,
, , and .

B. Measured and Simulated Results


Fig. 12 shows the measured and simulated return losses of the
proposed five-band antenna presented in Fig. 11. The measured
bandwidths for 6 dB return loss are 78 MHz (932–1010 MHz)
at the GSM900 band, 456 MHz (1818–2274 MHz), and
115 MHz (2523–2638 MHz), respectively. The corresponding
Fig. 10. Simulated return losses with variation of W9 for the antenna in Fig. 4, simulated results are 130 MHz (920–1050 MHz) at the lower
d = 2 mm. band, 552 MHz (1760–2312 MHz) at the first high band, and
80 MHz (2480–2560 MHz), respectively. A reasonable agree-
and tabulated in Table II. Again, the lower cutoff frequency ment between measurement and simulation is obtained. The
(f1L), upper cutoff frequency (f1U) and the absolute bandwidth antenna has a capacity for covering the GSM900, DCS1800,
(BW1) for the lower band and the lower cutoff frequency PCS1900, UMTS2000, and ISM2450 bands after the frequency
(f2L), upper cutoff frequency (f2U) and the absolute bandwidth shifting is considered due to the plastic cover. Again, it is
(BW2) for the upper band are listed in Table II, respectively. observed that there are some differences for the null depth
With regard to Table II, the bandwidth is defined according in the simulated and measured return losses of the first high
to return loss of 6 dB. Moreover, it is easy to realize that band, which may come from that the antenna size cannot
the length of the additional strip mainly affects its resonant be modeled very accurately by the FDTD method due to its
1942 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE II
SIMULATED BANDWIDTHS WITH DIFFERENT W9 AND d2 OF THE QUAD-BAND ANTENNA

Fig. 11. Geometry of proposed five-band internal handset antenna.

meshing scheme. It is obvious that the band around 2450 MHz


Fig. 12. Measured and simulated return losses for the antenna in Fig. 11.
is due to the introduced second strip shown in Fig. 11. The
radiation patterns were also measured and similar to those for
for covering GSM900, DCS1800, PCS1900, and UMTS2000
the antenna presented in Fig. 4, thus are not shown for brevity.
bands and a five-band antenna for covering GSM900, DCS1800,
The measured gain at 2.45 GHz is around 1.5 dBi.
PCS1900, UMTS2000, and ISM2450 bands for use in mobile
handsets have been experimentally carried out. Compared with
VI. CONCLUSION the parasitic form, the size of the proposed antennas can be
In this paper, we have proposed a new design in that a new reduced by an order of 10 20%. Moreover, the impedance
metal strip as an additional resonator is directly connected with matching for each band becomes easy. The new quad-band
a feed strip and positioned at a plane perpendicular to a ground and five-band antennas have been developed within the limits
plane. With the new design scheme, a quad-band antenna of a volume. The antennas have also been
GUO et al.: MINIATURE BUILT-IN MULTIBAND ANTENNAS FOR MOBILE HANDSETS 1943

analyzed using the FDTD technique. A good agreement has [21] C. Icheln, J. Ollikainen, and P. Vainikainen, “Reducing the influence of
been achieved between measurement and simulation. feed cables on small antenna measurements,” Electron. Lett, vol. 35, no.
15, pp. 1212–1214, July 1999.
[22] C. Icheln and P. Vainikainen, “Dual-frequency balun to decrease influ-
ence of RF feed calbes in small antenna measurements,” Electron. Lett.,
vol. 36, no. 21, pp. 1760–1761, Oct. 2000.
ACKNOWLEDGMENT [23] J. Haley, T. Moore, and J. T. Bernhard, “Experimental investigation
of antenna-handset-feed interaction during wireless product testing,”
The authors would like to thank the two anonymous reviewers Microwave and Opt. Technol. Lett., vol. 34, no. 3, pp. 169–172,
for their comments which improved this paper. Aug. 2002.
[24] H. S. Hwang, “private communication,” unpublished.

REFERENCES
[1] K. Hirasawa and M. Haneishi, Eds., Analysis, Design, and Measurement
of Small and Low-Profile Antennas. Norwood, MA: Artech House,
1992. Yong-Xin Guo (M’01) received the B.Eng. and
[2] Z. D. Liu, P. S. Hall, and D. Wake, “Dual-frequency planar inverted-F M.Eng. degrees from Nanjing University of Science
antenna,” IEEE Trans. Antennas Propagat., vol. 45, pp. 1451–1457, Oct. and Technology, Nanjing, China, and the Ph.D.
1997. degree from City University of Hong Kong, all in
[3] C. R. Rowell and R. D. Murch, “A compact PIFA suitable for dual- electronic engineering, in 1992, 1995, and 2001,
frequency 900/1800-MHz operation,” IEEE Trans. Antennas Propagat., respectively.
vol. 46, pp. 596–598, Apr. 1998. From 1995 to 1997, he was a Teaching and
[4] M. Sanad and N. Hassas, “Compact wide-band microstrip antennas for Research Assistant and then a Lecturer in the
PCS and cellular phones,” in Proc. IEEE Conf. Antennas Propagation Department of Electronic Engineering, Nanjing
for Wireless Commun., Nov. 1998, pp. 152–155. University of Science and Technology. From January
[5] R. Mittra and S. Dey, “Challenges in PCS antenna design,” in Proc. IEEE 1998 to August 1998, he was a Research Associate
Antennas Propagation Symp. Dig., Orlando, FL, July 1999, pp. 544–547. in the Department of Electronic Engineering, City University of Hong Kong.
[6] S. Tarvas and A. Isohatala, “An internal dual-band mobile phone an- Since September 2001, he has been with the Institute for Infocomm Research,
tenna,” in Proc. IEEE Antennas Propagation Symp. Dig., Salt Lake City, Singapore, as a Scientist. He also holds an appointment of Adjunct Assistant
UT, July 2000, pp. 266–269. Professor at the National University of Singapore. He has published over
[7] M. Yang and Y. Chen, “A novel U-shaped planar microstrip antenna 50 technical papers in international journals and conferences. He holds one
for dual-frequency mobile telephone communications,” IEEE Trans. An- Chinese Patent and one pending U.S. patent. His current research interests
include design and modeling of microstrip and dielectric resonator antennas for
tennas Propagat., vol. 49, pp. 1002–1004, June 2001.
handsets and other wireless communications, UWB antennas, LTCC filters and
[8] A. Taflove and L. Vasilyeva, “Elongate Radiator Conformal Antenna for
baluns and LTCC optoelectronic transceiver for radio-over-fiber application,
Portable Communication Devices,” U.S. patent 6 292 144, Sept. 2001. and numerical methods in electromagnetics.
[9] M. Martinez-Vazquez, M. Geissler, D. Heberling, A. Martinez-Gon- Dr. Guo has served as a reviewer for IEEE TRANSACTIONS ON ANTENNAS AND
zalez, and D. Sanchez-Hernandez, “Compact dual-band antenna for PROPAGATION since 2002. He also served as one session chair for 2003 Asia and
mobile handsets,” Microwave and Opt. Technol. Lett., vol. 32, no. 2, pp. Pacific Microwave Conference (APMC2003), Korea.
87–88, Jan. 2002.
[10] R. Chair, K. M. Luk, and K. F. Lee, “Measurement and analysis of minia-
ture multilayer patch antenna,” IEEE Trans. Antennas Propagat., vol. 50,
pp. 244–250, Feb. 2002.
[11] K. L. Wong, “A short course note on planar antennas for wireless
communications,” in Proc. IEEE Antennas and Propagation Society
Int. Symp., San Antonio, TX, June 2002, pp. 6–14.
[12] D. Manteuffel, A. Bahr, D. Heberling, and I. Wolff, “Design con- Michael Yan Wah Chia (M’94) was born in Singa-
sideration for integrated mobile phone antennas,” in Proc. 11th Int. pore. He received the B.Sc. (1st Class Honors) and
Conf. Antennas and Propagation, Manchest, U.K., April 2001, pp. Ph.D. degrees from Loughborough University, U.K.
252–256. He joined the Center for Wireless Communica-
[13] Z. Ying, Multi Frequency-Band Antenna PCT application WO01/91233, tions (CWC), Singapore, in 1994 as a Member of
May 2001. Technical Staff (MTS), was promoted to Senior
[14] I. Egorov, “Antenna,” U.S. patent application 09/908 817, July 2001. MTS, then Principal MTS, and finally Senior Prin-
[15] W. P. Dou and Y. M. W. Chia, “Novel meandered planar inverted-F an- cipal MTS. He was also holding the appointment
tenna for triple-frequency operation,” Microwave Opt. Technol. Lett., as Division Director of Radio Division. In 1999, he
vol. 27, pp. 58–60, Oct. 2000. started UWB work at CWC, which was later merged
[16] C. T. P. Song, P. S. Hall, H. Ghafouri-Shiraz, and D. Wake, “Triple band to I R. Currently, he is the Division Director of
planar inverted F antennas for handheld devices,” Electron Lett., vol. 36, Communications and Devices Division (which consists of five Departments),
pp. 112–114, Jan. 2000. Institute for Infocomm Research (I R) of ASTAR (Agency of Science Tech-
[17] M. Martinez-Vazquez and O. Litschke, “Design considerations for nology And Research). Concurrently, he has been appointed as an Adjunct
Associate Professor at the National University of Singapore. Externally, he has
quadband antennas integrated in personal communications devices,” in
also served in the Public Service Funding Panel of ASTAR-2002, Radio Stan-
Proc. Int. Symp. Antennas (JINA), vol. 1, Nice, France, Nov. 2002, pp.
dard Committee and UWB Task Force Committee of Infocomm Development
195–198.
Authority(IDA) of Singapore. He was also on the Technical Program Com-
[18] Y. X. Guo, M. Y. W. Chia, and Z. N. Chen, “Compact multi-band an- mittee International Workshop on UWB System (IWUWBS) 2003, Finland,
tennas for wireless communications,” in Proc. Progress in Electromag- and has been listed in Marquis’s Who’s Who in Engineering since 2002. He
netics Research Symp., Singapore, Jan. 2003, p. 130. has published 28 international journal papers and 50 international conference
[19] , “Miniature built-in quad-band antennas for mobile handsets,” papers. He has 10 patents both filed and granted. Some of the patents has
IEEE Antennas Wireless Propagat. Lett., vol. 2, pp. 30–32, 2003. been commercialized and licensed to companies. His main research interest
[20] S. Saario, D. V. Thiel, J. W. Lu, and S. G. O’Keefe, “An assessment are ultraeide-band(UWB) system, antenna, transceiver, radio over fiber, RFIC,
of cable radiation effects on mobile communications antenna measure- linearization and communication, and radar system architecture.
ments,” in Proc. IEEE Antennas Propagt. Symp. Dig., Montreal, Canada, Dr. Chia was awarded Overseas Research Studentship (ORS) and British
July 1997, pp. 550–553. Aerospace Studentship from the U.K.
1944 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Zhi Ning Chen (M’99) was born in China and


received the B.Eng., M.Eng., and Ph.D. degrees in
electrical engineering from the Institute of Commu-
nications Engineering (ICE), China, and the Ph.D.
degree from the University of Tsukuba, Japan.
From 1988 to 1995, he was with the ICE and was
appointed Teaching Assistant, Lecturer, and then pro-
moted to Associate Professor. After that, he was with
the Southeast University (SEU), Nanjing, China, as
a Postdoctoral Fellow and then appointed Associate
Professor. From 1995 to 1997, he undertook his re-
search in the City University of Hong Kong, China, as a Research Assistant, Re-
search Associate, Senior Research Associate, and then Research Fellow. From
1997 to 1999, he pursued research at the University of Tsukuba, Japan, with
the Fellowship awarded by Japan Society for Promotion of Science (JSPS).
He visited SEU in 2000 and 2001, as a Visiting Scholar awarded by the Min-
istry of Education, China. In 2001, he visited the University of Tsukuba, Japan,
again under the Invitation Fellowship Program (senior level) of JSPS. In 1999,
he joined the Centre for Wireless Communications (CWC) (later known the
Institute for Communications Research (ICR) and now the Institute for Info-
comm Research (I R)) as a Member of Technical Staff (MTS), Senior MTS,
and then promoted Principal MTS. Currently, he is working as a Lead Scientist
and a Manager for Department of Radio Systems. He is concurrently teaching
and supervising postgraduate students at the National University of Singapore
(NUS), as an Adjunct Associate Professor. Since 1990, he has authored and
coauthored over 110 technical papers published in international journals and
presented at international conferences. One of his patents has been granted and
four are pending. His main research interests include applied computational
electromagnetics, and antenna theory and designs. Currently, he is focused on
small, broadband, lightweight antennas for wireless systems and ultrawide-band
(UWB) radio systems, and metamaterials and their applications. He managed a
research project on Small and Multiband Antennas during 2000 to2003.
Dr. Chen was a Member of the technical program and organizer/chair of UWB
technology workshop at IEEE Radio and Wireless Conference (RAWCON),
2003. He also organized and chaired special session on Antennas for UWB
Wireless Communication Systems at the IEEE International Symposium on An-
tennas and Propagation (AP-S), 2003 and IEEE Asia and Pacific Microwave
Conference (APMC), Korea, 2003.
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 1945

Miniature Reconfigurable Three-Dimensional Fractal


Tree Antennas
Joshua S. Petko, Student Member, IEEE, and Douglas H. Werner, Senior Member, IEEE

Abstract—This paper introduces a design methodology for


miniature multiband as well as reconfigurable (i.e., tunable)
antennas that exploits the self-similar branching structure of
three-dimensional (3-D) fractal trees. Several fundamental rela-
tionships, useful for design purposes, are established between the
geometrical structure of the fractal tree antenna and its corre-
sponding radiation characteristics. In particular, it will be shown
that the density and elevation angle of the branches play a key
role in the effective design of miniature 3-D fractal tree antennas.
Several design examples are considered where fractal trees are
used as end-loads in order to miniaturize conventional dipole or
monopole antennas. Multiband and reconfigurable versions of
these miniature antennas are also proposed, where either reactive
LC traps or RF switches are strategically placed throughout the
branches and/or along the trunk of the trees. Included among
these designs is a miniature reconfigurable dipole antenna that
achieves a 57% size reduction for the center frequency of the
lowest intended band of operation and has a tunable bandwidth
of nearly 70%. Fig. 1. First 4 iterations of the four-branch class of fractal tree antennas [7].
Also included is a pictorial representation of the nomenclature used to describe
Index Terms—Fractal antennas, fractal tree antennas, miniature fractal trees.
anennas, reconfigurable antennas.
TABLE I
PARAMETERS FOR GENERATING FOUR-BRANCH, 30 FRACTAL TREES
I. INTRODUCTION

A S PART OF AN effort to further improve modern commu-


nication system technology, researchers are now studying
many different approaches for creating new and innovative
antennas. One technique that has received a lot of recent at-
tention involves combining aspects of the modern theory of
fractal geometry with antenna design. This rapidly growing antennas. Finally, the unique self-similar wire branch structure
area of research is known as fractal antenna engineering [1], of the three-dimensional (3-D) fractal tree is exploited to
[2]. One particular class of antenna configurations that have develop new design methodologies for reconfigurable minia-
been studied recently is based on fractal trees [2]–[10]. Fractal ture dipole and monopole antennas. Several design examples
tree structures can be exploited in antenna designs to produce are considered where these miniature fractal tree antennas
multiband characteristics [1], [3]–[5], [9] or to achieve minia- are made reconfigurable by the introduction of strategically
turization [6]–[10]. A set of dipole antennas that use fractal tree placed reactive loads or RF switches. Among these designs is
structures as end loads to achieve a resonant frequency lower a reconfigurable miniature dipole antenna that achieves a 57%
than a standard dipole of comparable length have been recently size reduction with respect to its conventional counterpart (i.e.,
studied in [6]–[10]. a half-wave dipole designed for the center frequency of the
This paper begins by discussing ways to improve antenna lowest operating band) and has a tunable bandwidth of nearly
miniaturization techniques that employ fractal tree geometries 70%.
as end loads by increasing the density of branches (i.e., by using
trees with a higher fractal dimension). Several miniaturization II. FRACTAL TREE RADIATION STUDIES
schemes for fractal tree antennas are introduced, which are A. Dense Fractal Tree Generators
based on various combinations of different branch lengths or
Fractals are objects which have a self-similar structure re-
angles. The addition of a center stub is also considered as a
peated throughout their geometry [11], [12]. This self-similar
means for improving existing designs for miniature fractal tree
structure may be produced by the repeated application of a gen-
erator, and in the case of fractal trees, the generator is defined
Manuscript received February 10, 2003; revised September 26, 2003. as a junction from which several smaller branches, called child
The authors are with the The Pennsylvania State University, Department of
Electrical Engineering, University Park, PA 16802 USA (dhw@psu.edu). branches, split from a parent branch. Every branch, with the ex-
Digital Object Identifier 10.1109/TAP.2004.832491 ception of the first and final branches, has a generator connected
0018-926X/04$20.00 © 2004 IEEE
1946 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE II
PARAMETERS FOR GENERATING SIX- AND EIGHT-BRANCH FRACTAL TREES

the third stage is 2 cm, and the fourth stage is 1.936 cm. In
addition, the diameter of the wire assumed for each antenna is
. Finally, all of the fractal tree dipole antennas
are assumed to be center-fed.
The resulting radiation characteristics of these fractal tree
antennas were evaluated using a numerically rigorous approach
based on the method of moments (MoM). Fig. 3 plots the for
the first two stages of the six- and eight-branch antenna classes
and compares them to the first four stages for the four-branch
class. The results show that the six-branch antennas have a
resonant frequency 100 MHz lower than the four-branch antenna
at the same fractal stage of growth, whereas the eight-branch
Fig. 2. First two iterations of the six-branch and eight-branch classes of fractal antenna has a resonant frequency approximately 150 MHz
tree antennas.
lower. The six- and eight-branch classes follow the same trend
as the four-branch in the sense that the resonant frequency
to it at each end: one from which it is a child and the other to decreases with an increase in the fractal stage of growth;
which it is the parent. however, there is no valid geometry for the six- and eight-branch
Three different families of 3-D fractal trees are first evalu- antenna classes beyond stage 3, because wire segments will
ated for their suitability as miniature dipole antennas. These intersect. Nevertheless, at these lower stages of growth, the
classes of antennas will be referred to throughout the paper six- and eight-branch antenna classes are more effective than
as four-branch, six-branch, and eight-branch fractal trees. The the four-branch and are easier to fabricate than higher order
four-branch class of antennas, shown in Fig. 1, has been adapted four-branch antennas because the six- and eight-branch classes
from [7] and is used as a benchmark of comparison for the have less junctions. Despite the complicated geometry of these
six-branch and the eight-branch classes introduced in this paper. fractal tree structures, the radiation patterns exhibited by these
Table I shows the generation parameters for the four-branch types of antennas are very similar to those of typical dipole
fractal trees shown in Fig. 1. antennas. Fig. 4 shows the radiation patterns produced by the
The fractal generators of these antennas have several prop- four-, six-, and eight- branch fractal tree dipoles compared
erties in common. First, the child branches are half the length to the radiation pattern of a conventional half-wave dipole.
of the parent branches from which they separate. In addition, The radiation patterns for these fractal tree antennas have
child branches bend 30 from the direction the parent branch negligible cross-polarization components (i.e., 150 dB)
is aimed. Also, all child branches have equal angles separating and are nearly identical to the radiation pattern of the half-wave
them (i.e., for the four-branch class, there are 90 between each dipole antenna.
child branch, for the six-branch class, there are 60 between
each branch, and for the eight-branch class, there are 45 be- B. Fractal Tree Generators of Varying Angle
tween each branch). Finally, one of these child branches must In this section, several different 3-D fractal trees are evalu-
continue the arc path of its parent and the parent branch before ated for their suitability as miniature dipole antennas at their
that. The generation parameters are listed in Table II for both second and third stages of growth. These antennas are related
the six- and eight-branch cases. The similarities between four-, to the four-branch class of antennas adapted from [7]; how-
six-, and eight-branch antenna classes are evident from Figs. 1 ever, the elevation angle that the child branches bend from the
and 2. parent branch is not held constant at 30 but is varied over a
Several of the other fractal tree design parameters are also range of angles from 10 to 90 . All other independent design
held constant for the sake of comparison. First, the distance from parameters are assumed to be the same for each antenna. For
tip to tip for each fractal tree dipole antenna is fixed at 7.5 cm (or instance, the antennas are all center fed dipoles with fractal
3.75 cm from tip to source). More specifically, the base or trunk tree loads placed on both ends, each generator has only four
length of the first stage is 2.5 cm, the second stage is 2.143 cm, equally spaced branches, child branches are half the length of
PETKO AND WERNER: MINIATURE RECONFIGURABLE 3-D FRACTAL TREE ANTENNAS 1947

Fig. 3. Comparison of S versus frequency for four-branch, six-branch, and eight-branch fractal trees. The S was calculated with respect to 50
line.

Fig. 5. Third iteration of four-branch fractal tree antennas with the elevation
angle at 10 , 30 , 45 , 60 and 90 respectively.

TABLE III
PARAMETERS FOR GENERATING FOUR-BRANCH FRACTAL TREES WITH
VARYING ELEVATION ANGLE

ically change the shape of the antenna. The generation parame-


ters for each case considered in Fig. 5 are listed in Table III.
Next, we consider variations of a second stage and a third
stage four-branch fractal tree antenna. In both cases, the eleva-
tion angle is varied from 10 to 90 and each antenna that results
is individually simulated. From this data, the value of voltage
standing wave ratio (VSWR) that corresponds to the resonant
frequency of each fractal tree antenna is obtained and plotted
as shown in Fig. 6. The results for both stages show that fractal
tree antennas with small elevation angles have a lower VSWR
but a higher resonant frequency than those with large eleva-
tion angles. The resonant frequency continues to move lower
as the elevation angle increases until it reaches approximately
Fig. 4. Radiation patterns of dense fractal tree antennas compared to those of 50 . From that point, the resonant frequency begins to increase
a conventional half-wave dipole. again. Throughout the entire range of elevation angles that were
considered for each stage, the VSWR increases as the elevation
the parent branches, and the arc length of wire from tip to source angle increases. Trends uncovered by the elevation angle study
is 3.75 cm. Fig. 5 shows how modifying this angle can dramat- can be used to design effective miniature fractal tree dipoles that
1948 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 6. Fractal tree dipole VSWR versus resonant frequency for elevation angles ranging from 10 to 90 . The VSWR was calculated with respect to 50
line.

also possess good VSWR performance characteristics. The ra- TABLE IV


PARAMETERS FOR GENERATING EIGHT-BRANCH HYBRID SCALED
diation patterns, not shown in this case, have very similar char- SELF-AVOIDING FRACTAL TREES
acteristics to the patterns illustrated in Fig. 4.

III. FRACTAL TREE ANTENNA DESIGNS


A. Hybrid Fractal Tree Antenna
While the eight-branch class of fractal tree antennas consid-
ered in Section II does not have a valid third stage of growth,
modifications can be performed on the generator in order to
make a valid self-avoiding third stage possible. As shown by
the generation parameters listed in Table IV, the child branches
at 0 , 90 , 180 , and 270 are 50% as long as the parent branch,
which is the same as the previous antenna classes; however,
the child branches at 45 , 135 , 225 , and 315 are only 40%
as long as the parent branch. This difference in scale creates a
hybrid pattern of short and long wires, which also impacts the
length of wires at later stages of growth (see Fig. 7). All other
factors in the design remain unchanged, and the distance of the
longest possible path from the source to a wire end is 3.75 cm
(7.5 cm end-to-end). This class of antenna is not as dense as the
eight-branch class for stages one and two; however, its advan-
tage is its self-avoiding geometry at stage three.
The results (see Fig. 8) show a reduction in the resonant Fig. 7. First three iterations for the eight-branch hybrid scaled self-avoiding
class of fractal tree antennas.
frequencies for the hybrid class of antennas when compared to
the four-branch class of antennas for the same stage of growth:
100 MHz difference for the first stage, 80 MHz difference for the B. Center-Stubbed Fractal Tree Antennas
second, and 60 MHz difference for the third. Fig. 8 demonstrates It will be demonstrated here that fractal tree antennas can
that the resonant frequency of the third stage hybrid antenna is be designed to have a reduced resonant frequency and low
about the same as the resonance of the fourth stage four-branch reflection properties by incorporating a center stub. As shown
antenna, illustrating that denser fractal tree structures can ef- previously in Section II-B, fractal tree dipole antennas can be
fectively reduce resonant frequency in a similar manner as less designed to have low values of reflection by using generator
dense fractal tree structures at higher stages of growth. As in branching schemes with sufficiently small elevation angles.
the previous cases considered, the radiation patterns (not shown) Also, the resonant frequency of fractal tree dipole antennas may
are nearly indistinguishable from the pattern of a conventional be reduced by considering geometries which have a more dense
half-wave dipole antenna and possess essentially no cross-po- configuration of branches. In this manner a center stubbed
larized field components. fractal tree antenna can take into account both of these design
PETKO AND WERNER: MINIATURE RECONFIGURABLE 3-D FRACTAL TREE ANTENNAS 1949

Fig. 8. Comparison of S for eight-branch hybrid fractal tree dipoles with standard four-branch and eight-branch fractal trees. The S was calculated with
respect to 50
line.

considerations by increasing the density of the fractal branching


structure while, at the same time, keeping the elevation angles
small with respect to the generator. Here we consider two gen-
erators, one with and one without a center stub. Each generator
has four branches that bend out with elevation angles of 45
that are 50% as long as the previous branch. The branches of
each generator are equally spaced in the phi direction; however,
the generator is rotated an additional 45 so that they are offset
from the path of the previous two branches. For this reason, the
rotational angles are offset from 0 , 90 , 180 and 270 to 45 ,
135 , 225 , and 315 respectively. A fractal tree antenna with a
generator having only these 4 branches is compared to a fractal
Fig. 9. An example of a four-branch, center-stubbed fractal tree antenna.
tree antenna with a generator having these 4 branches and an
additional branch as a center stub. This center stub continues
as an extension of the previous branch, but is rotated by 45 . In found to be comparable to the radiation pattern produced by a
this way the child branches of the center stub are offset by 45 conventional half-wave dipole antenna.
from the branches of the level below it. All other parameters
in the design remain unchanged. The distance of the longest C. Six Branch 50 –30 Fractal Tree Antenna
possible path from the source to an end of a wire is 3.75 cm In this section we consider an approach for designing minia-
(7.5 cm end-to-end). These structures are shown in Fig. 9 and ture fractal tree dipole antennas that have relatively low values
the corresponding generation parameters are listed in Table V. of . This is achieved by using a combination of different
The MoM simulation results indicate that fractal tree an- branches with small elevation angles to increase the density or
tennas with center stubs, when compared to fractal trees without space-filling property of the end-loads. One particular design
a center stub, exhibit a downward shift in the resonant frequency considered here has 6 branches, with a 60 rotational angle be-
with only a minimal increase in the reflection at resonance. The tween each branch of the generator. The elevation angles of the
characteristics (see Fig. 10) show that for each of the first generator alternate between 30 and 50 , and the 50 branch is
three stages of growth there is a 60 MHz reduction in resonant aligned with the 0 rotational angle. Fig. 11 shows these struc-
frequency for fractal tree antennas with a center stub compared tures in detail and Table VI lists the corresponding generation
to those without a center stub. The results plotted in Fig. 10 also parameters. Finally, all other design parameters are kept the
show that for each of the first three stages of growth there is only same as before and the length of the antenna is 3.75 cm from
a minimal increase in the level of (between 3 dB and 1 dB) tip to source.
for tree antennas with a center stub as opposed to those without The resulting plots shown in Fig. 12 indicate that there
a center stub. Thus, fractal tree antennas with center stubs can is a significant reduction in the resonant frequency when com-
be very effective designs because of the similar efficiency and pared to the four-branch 30 fractal tree antenna evaluated in
the lower resonant frequency. Finally, the radiation patterns [7]. The second iteration six-branch 50 –30 antenna has a res-
for miniature fractal tree antennas with center stubs were also onant frequency of 920 MHz, which is the same as the third
1950 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE V
PARAMETERS FOR GENERATING FOUR-BRANCH, 45 FRACTAL TREES WITH AND WITHOUT CENTER STUB

Fig. 10. S versus frequency for a four-branch, 45 fractal tree dipole antenna (stage 1, stage 2, and stage 3) with and without a center stub. The S was
calculated with respect to 50
line.

four-branch fractal tree antenna. The radiation patterns for a


stage 1, stage 2, and stage 3 six-branch 50 –30 fractal tree
dipole antenna are again similar to those illustrated in Fig. 4
with negligible cross-polarization.

IV. RECONFIGURABLE FRACTAL TREE ANTENNAS


A. Self-Reconfigurable Reactive Loaded Fractal Tree
Monopoles
It has been shown that reactive loads acting as traps can be
used to make a typical monopole antenna resonant at more than
one frequency [13], [14]. These reactive loads behave as an
open circuit at some frequencies and a short circuit at others, ef-
Fig. 11. First three stages of a six-branch 50 –30 fractal tree dipole antenna. fectively making an antenna self-reconfigurable (i.e., reconfig-
urable without the need for RF switches). This concept can also
TABLE VI be applied to fractal tree monopoles to produce an antenna that
PARAMETERS FOR GENERATING SIX BRANCH 50 –30 FRACTAL TREES not only is resonant at more than one frequency but also is minia-
ture in size due to the presence of the space-filling end-load
structure.
The first case study evaluates a monopole version of the third
stage four-branch fractal tree, this time including parallel LC
reactive load elements on the base (i.e., trunk) of the antenna.
By placing the reactive loads below the fractal tree end-load,
the antenna can be designed so that the feed effectively sees the
iteration for the four-branch fractal tree antenna. For the third entire antenna at the lowest resonant frequency and only parts
iteration six-branch 50 –30 antenna, the resonant frequency of the base at higher resonant frequencies. Both a dual-band
is 790 MHz, 70 MHz lower than the fourth iteration of the and a tri-band version of the third stage four-branch fractal tree
PETKO AND WERNER: MINIATURE RECONFIGURABLE 3-D FRACTAL TREE ANTENNAS 1951

Fig. 12. S versus frequency for a stage 1, stage 2, and stage 3, six-branch 50 –30 fractal tree antenna. Also shown for comparison is the S for the first four
stages of a standard four-branch fractal tree antenna. The S was calculated with respect to 50
line.

TABLE VII
LOAD COMPONENT VALUES FOR THE DUAL- AND TRI-BAND FOUR-BRANCH FRACTAL TREE MONOPOLE ANTENNAS

tri-band fractal tree monopole with two reactive loads. The re-
active loads also have another advantage in further reducing the
minimum resonant frequencies of the antenna structure. The
unloaded fractal tree structure has one primary resonance at
910 MHz, the dual-band antenna has two primary resonances at
800 and 2460 MHz, and the tri-band antenna has three primary
resonances at 550, 2300, and 5240 MHz. Also, fundamental
or primary resonant frequencies can be distinguished from sec-
ondary resonant frequencies in that there is only one main lobe
present in the radiation pattern at a primary resonant frequency.
Fig. 15 shows the radiation patterns at each resonant frequency
within the 400 to 6400 MHz band. In the plot for the unloaded
Fig. 13. Load locations on dual- and tri-band four-branch fractal tree fractal tree, we see that there is a primary resonance at 910 MHz,
monopole antennas.
characterized by a single lobe in the radiation pattern, and a sec-
ondary resonance at 6100 MHz, characterized by two lobes in
antenna are considered here. For the dual-band antenna, one the radiation pattern. For the fractal tree with one load, the pri-
resonant load is placed near the top of the fractal tree’s base, mary resonances are confirmed to be at 800 MHz and 2460 MHz
1.95 cm above the ground plane along the 2-cm tall trunk. For while there is a secondary resonance at 6230 MHz. Finally for
the tri-band antenna, an additional load is placed on the base the fractal tree with two loads, primary resonances occur at 550,
at a height of 1.65 cm above the ground plane. Fig. 13 illus- 2300, and 5240 MHz.
trates the load locations on the dual- and tri-band monopole The next case study considers the third stage of a four-branch,
antennas and Table VII lists the corresponding load compo- 45 fractal tree monopole with center stub. In this instance, se-
nent values. Plots of the versus frequency are shown in ries LC traps are placed inside the fractal tree end-load structure
Fig. 14 for the single-band unloaded fractal tree monopole, the instead of, as in the previous instance, parallel LC traps being
dual-band fractal tree monopole with one reactive load, and the placed on the trunk or base of the tree. The capability of placing
1952 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 14. S versus frequency for self-reconfigurable four-branch fractal tree monopoles. The response of the single-band unloaded fractal tree monopole is
compared to a dual-band and a tri-band version of the same antenna with one and two reactive loads respectively. The S was calculated with respect to 50
line.

Fig. 17. Matching network for the tri-band four-branch, center stubbed fractal
tree monopole antenna.

the traps only on the base, the antennas will exhibit a charac-
teristically large separation between the lowest operating band
Fig. 15. Radiation patterns for self-reconfigurable four-branch fractal tree and any higher frequency bands. Having the ability to place the
monopoles. traps in the branches of the fractal tree structure provides more
flexibility in the design of miniature multiband monopole an-
tennas by allowing the resonances to be placed closer together.
Using five distinct reactive LC traps, a tri-band version of the
third stage four-branch, 45 fractal tree monopole with center
stub is presented and discussed here. Four traps are placed near
the top of the first stage of the outer four branches. A fifth trap is
placed near the bottom of the first stage of the center stub. Fig. 16
shows the position of the traps and Table VIII provides the cor-
responding component values. The antenna has three primary
resonances at 330 MHz, 800 MHz, and 2220 MHz. The sepa-
ration between the first and third resonant frequencies is only
1890 MHz, 2800 MHz less than the separation between the first
and third resonant frequencies of the tri-band four-branch fractal
Fig. 16. Load locations on a tri-band four-branch, center stubbed fractal tree tree shown in Fig. 13. In this case, a five-element matching net-
monopole.
work can be used to allow the antenna to perform efficiently at
each resonant frequency. The topology of a candidate matching
LC traps in the end-load structure is an important advantage of network is shown in Fig. 17 along with the required component
the fractal tree antenna. Resonant traps can be placed on the values. The candidate matching network was designed using a
base of any end-loaded monopole antenna; however, by placing trial and error approach in combination with a random variable
PETKO AND WERNER: MINIATURE RECONFIGURABLE 3-D FRACTAL TREE ANTENNAS 1953

TABLE VIII
LOAD COMPONENT VALUES FOR THE TRI-BAND FOUR-BRANCH, CENTER STUBBED FRACTAL TREE MONOPOLE ANTENNA SHOWN IN FIG. 16

Fig. 18. S versus frequency comparison of matched and unmatched tri-band four-branch, center stubbed fractal tree monopole antennas. The S was calculated
with respect to 50
line.

tion patterns at 300 MHz, 800 MHz, and 2220 MHz each only
have a single lobe, indicating that all three cases represent pri-
mary resonant frequencies.

B. Miniature Reconfigurable/Tunable Fractal Tree Antennas


Using Electronic Switches
Recently there has been a considerable amount of interest
in design concepts for reconfigurable antennas capable of
operating over a broad range of frequencies. In this section a
reconfigurable antenna design approach will be introduced that
exploits the branching structure of fractal tree dipoles. Because
the current is distributed over the entire end-load, the effective
removal or switching off of even relatively large sections of the
Fig. 19. Radiation patterns for each band of the tri-band four-branch, center fractal tree structure will reduce the resonant frequency only by
stubbed fractal tree monopole antenna shown in Fig. 16. small amounts. This property of reconfigurable fractal tree an-
tennas can be exploited to allow the resonances of the antenna
optimizer [15]. The plots for the matched and unmatched to be spaced close enough together to cover all of the frequen-
tri-band center-stubbed fractal tree monopoles are compared cies between adjacent bands. Second, because the fractal tree
in Fig. 18. These plots demonstrate that by placing a reactive structure has many parallel paths for the current to flow, then
matching network at the feed of the antenna, all three resonances only a relatively small number of switches may be required to
can be matched to operate at a VSWR under 2:1. Finally, Fig. 19 achieve tunability over a desired range of frequencies.
shows the radiation patterns at each of the resonances of the A design is presented here where RF switches are strate-
tri-band center stub fractal tree monopole antenna. The radia- gically placed on the third stage, six-branch 50 –30 fractal
1954 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 21. Several states for the reconfigurable six-branch, 50 –30 fractal tree
dipole antenna. For illustrative purposes, the branches that are switched off for
each of the five different bands have been removed.

Fig. 20. Switch layout for the reconfigurable six-branch, 50 –30 fractal tree
dipole antenna.

tree dipole antenna to make it reconfigurable (i.e., tunable) over


a bandwidth of 68%. The antenna uses 204 separate switches
placed throughout both tree structures (a total of 102 on each
end) to produce 20 reconfigurable states. The locations of these
RF switches are illustrated in Fig. 20. The switches are placed at
every junction inside the tree structure with the exception of the
junction joining the base to the first stage. The junctions joining
the first and second stages all have six switches associated with
each of the six branches. In addition the 36 junctions between
the second and third stage of the fractal structure have switches
associated with each of them. The six junctions between the Fig. 22. S versus frequency for the reconfigurable six-branch, 50 –30
second and third stages that are nearest to the center axis of the fractal tree antenna. The light gray curves represent each of the 20 states
the antenna can be configured to operate at. The dark gray curves represent
antenna (i.e., those that are closest to being vertical) also have reconfigured states which operate as stage 1, stage 2, and stage 3 fractal tree
six switches associated with each of the six branches. The re- antennas. The black line represents the overall minimum S the antenna can
mainder of the junctions between the second and third stage of operate over the entire band. The S was calculated with respect to 50
line.
the fractal tree have only one switch, which is placed near the
end of the branch below the junction. For this particular design, and is reconfigurable from 970 to 1570 MHz for a bandwidth
there are 20 different combinations of switch settings which cor- of 560 MHz with a VSWR below 2:1. In Fig. 22 each of
respond to 20 different resonant frequencies at which the recon- the 20 reconfigurable states is represented by a separate
figurable antenna is capable of operating. curve (indicated by light gray lines) with the lowest resonant
A rigorous moment method simulation is used to individually frequency representing the state with all the switches closed
model each of the 20 different states of the reconfigurable fractal and the highest resonant frequency representing the state with
tree antenna. The switches in the fractal tree structure are mod- all the switches open. The remaining states are achieved by
eled as ideal. Also, the MoM model for each state is generated opening the switches progressively from the top to the bottom.
from what remains of the fractal tree antenna after removing the In addition, for three of the reconfigurable states the antenna
appropriate sections that have been switched off. This is justified effectively operate as a 50 –30 fractal tree dipole with fractal
since coupling effects between these removed sections, which stages 3, 2, or 1. The curves for these three special cases
are significantly less than a half-wavelength long, and the re- are indicated on the graph by thick dark gray lines. Finally the
mainder of the antenna still being directly fed are expected to solid black line represents the overall minimum the antenna
be minimal. can be configured to for a particular frequency over the entire
In an effort to maintain the omni-directional radiation pattern operating range of the antenna. Fig. 23 presents an overlay of the
of the fractal tree antenna in the azimuthal plane, the order in co-polarized and cross-polarized radiation patterns plotted at the
which the switches are turned off is performed in a manner resonance for each state of the reconfigurable 50 –30 fractal
that preserves the symmetry of the tree about its base as much tree dipole. Because of the asymmetry in the tree geometry for
as possible. Fig. 21 illustrates several different states of the several of the reconfigurable states, the cross-polarized patterns
reconfigurable fractal tree antenna, visualized by removing corresponding to these particular states are somewhat higher
portions of the fractal tree above switches that are turned off. ( 30 dB), but still remain within acceptable limits. The
The resulting antenna can be reconfigurable from 770 to 1570 co-polarized radiation pattern plots are again seen to closely
MHz for a bandwidth of 800 MHz with a VSWR under 3:1 resemble those of a conventional linear half-wave dipole. Finally,
PETKO AND WERNER: MINIATURE RECONFIGURABLE 3-D FRACTAL TREE ANTENNAS 1955

Fig. 23. Co-polarized and cross-polarized radiation patterns for each state of the reconfigurable six-branch, 50 –30 fractal tree dipole antenna.

we note that a monopole version of this antenna can also be trees. A prime advantage of placing the traps or RF switches
created with half the number of switches. In this case a broadband at critical locations on branches of the fractal tree end-loads
or tunable matching network would be also required. is that the resonant frequencies of the antenna can be spaced
much closer together than if they were applied only to the tree
V. CONCLUSION trunks. Among the designs considered was a miniature reac-
tively loaded tri-band center stubbed fractal tree monopole with
This paper begins by investigating the relationship between associated matching network. Also considered was a design for
the geometrical structure of fractal tree antennas and their cor- a miniature reconfigurable dipole antenna that achieves a 57%
responding radiation characteristics. It was found, through a size reduction for the lowest intended band of operation and has
series of systematic MoM simulations, that the two most crit- a tunable bandwidth of nearly 70%.
ical factors influencing the successful design of miniature 3-D
fractal tree antennas appear to be the density and elevation angle
REFERENCES
of their branches. These observations subsequently led to the
development of several new design configurations that employ [1] D. H. Werner, R. L. Haupt, and P. L. Werner, “Fractal antenna engi-
neering: the theory and design of fractal antenna arrays,” IEEE Antennas
fractal tree end-loads as a means of miniaturizing conventional Propagat. Mag., vol. 41, pp. 37–59, Oct. 1999.
dipole or monopole antennas. Hybrid fractal trees and center- [2] D. H. Werner and R. Mittra, Frontiers in Electromagnetics. Piscat-
stubbed fractal trees represent two types of end-load structures away, NJ: IEEE Press, 2000.
[3] M. Sindou, G. Ablart, and C. Sourdois, “Multiband and wideband prop-
that have proven to be particularly effective in achieving a sig- erties of printed fractal branched antennas,” IEE Electron. Lett., vol. 35,
nificant amount of size reduction. Next, multiband and recon- no. 3, pp. 181–182, Feb. 1999.
figurable versions of these miniature antennas are introduced, [4] C. Puente, J. Claret, F. Sagues, J. Romeu, M. Q. Lopez-Salvans, and
R. Pous, “Multiband properties of a fractal tree antenna generated by
where either reactive LC traps or RF switches are strategically electrochemical deposition,” IEE Electron. Lett., vol. 32, no. 25, pp.
placed throughout the branches and/or along the trunk of the 2298–2299, Dec. 1996.
1956 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

[5] D. H. Werner, A. R. Bretones, and B. R. Long, “Radiation characteristics Douglas H. Werner (S’81–M’89–SM’94) received
of thin-wire ternary fractal trees,” IEE Electron. Lett., vol. 35, no. 8, pp. the B.S., M.S., and Ph.D. degrees in electrical en-
609–610, Apr. 1999. gineering and the M.A. degree in mathematics from
[6] J. P. Gianvittorio and Y. Rahmat-Samii, “Fractal element antennas: a The Pennsylvania State University (Penn State),
compilation of configurations with novel characteristics,” in Proc. IEEE University Park, in 1983, 1985, 1989, and 1986,
Antennas and Propagation Society Int. Symp., vol. 3, Salt Lake City, UT, respectively.
July 2000, pp. 1688–1691. He is an Associate Professor in the Department of
[7] J. P. Gianvittorio, “Fractal Antennas: Design, Characterization, and Ap- Electrical Engineering, Penn State. He is a member of
plications,” M.S. thesis, Dept. Elect. Eng., University of California Los the Communications and Space Sciences Lab (CSSL)
Angeles, 2000. and is affiliated with the Electromagnetic Communi-
[8] J. P. Gianvittorio and Y. Rahmat-Samii, “Fractal antennas: a novel cation Research Lab. He is also a Senior Research
antenna miniaturization technique, and applications,” IEEE Antennas Associate in the Electromagnetics and Environmental Effects Department of
Propagat. Mag., vol. 44, Feb. 2002. the Applied Research Laboratory at Penn State. He is a former Associate Editor
[9] D. H. Werner and S. Ganguly, “An overview of fractal antenna engi- of Radio Science. He has published numerous technical papers and proceedings
neering research,” IEEE Antennas Propagat. Mag., vol. 45, pp. 38–57, articles and is the author of nine book chapters. He is an Editor of Frontiers
Feb. 2003. in Electromagnetics (Piscataway, NJ: IEEE Press, 2000). He also contributed
[10] J. S. Petko and D. H. Werner, “Dense 3-D fractal tree structures as minia- a chapter for Electromagnetic Optimization by Genetic Algorithms (New York:
ture end-loaded dipole antennas,” in Proc. IEEE Antennas and Propaga- Wiley Interscience, 1999). His research interests include theoretical and com-
tion Society Int. Symp., vol. 4, San Antonio, TX, June 2002, pp. 94–97. putational electromagnetics with applications to antenna theory and design, mi-
[11] B. B. Mandelbrot, The Fractal Geometry of Nature. New York: crowaves, wireless and personal communication systems, electromagnetic wave
Freeman, 1983. interactions with complex media, meta-materials, fractal and knot electrody-
[12] H. O. Peitgen, H. Jurgens, and D. Saupe, Chaos and Fractals: New Fron- namics, and genetic algorithms.
tiers of Science. New York: Springer-Verlag, 1992. Dr. Werner is a Member of the American Geophysical Union (AGU), Inter-
[13] A. Boag, E. Michielssen, and R. Mittra, “Design of electrically loaded national Scientific Radio Union (URSI) Commissions B and G, the Applied
wire antennas using genetic algorithms,” IEEE Trans. Antennas Prop- Computational Electromagnetics Society (ACES), Eta Kappa Nu, Tau Beta Pi,
agat., vol. 44, pp. 687–695, 1996. and Sigma Xi. He received the 1993 Applied Computational Electromagnetics
[14] Z. Altman, R. Mittra, P. L. Werner, and D. H. Werner, “Application of Society (ACES) Best Paper Award and a 1993 URSI Young Scientist Award.
genetic algorithm to boradband antenna design,” in Electromagnetic Op- In 1994, he received the Pennsylvania State University Applied Research Lab-
timization by Genetic Algorithms, Y. Rahmat-Samii and E. Michielssen, oratory Outstanding Publication Award. He received a College of Engineering
Eds. New York: Wiley, 1999, pp. 181–210. PSES Outstanding Research Award and Outstanding Teaching Award in March
[15] Microwave Office, Applied Wave Research Inc., 2000. 2000 and March 2002, respectively. He recently received an IEEE Central Penn-
sylvania Section Millennium Medal. He has also received several Letters of
Commendation from Penn State’s Department of Electrical Engineering for
outstanding teaching and research. He is an Editor of IEEE ANTENNAS AND
Joshua S. Petko (S’02) was born in Brownsville, PROPAGATION MAGAZINE.
PA, in 1979. He received the B.S. degree in electrical
engineering from The Pennsylvania State University,
University Park, in 2002, where he is currently
working toward the M.S. degree.
Currently, he is a Research Assistant for the
Communications and Space Sciences Laboratory
and the Applied Research Laboratory, Pennsylvania
State University. His research interests include
antenna theory, computational electromagnetics,
fractal electrodynamics, and evolutionary algorithms
with a focus on fractal antenna elements and arrays.
Mr. Petko is a Member of Eta Kappa Nu. He has been awarded the 2002
James A. Barnak Outstanding Senior Award from the Pennsylvania State Uni-
versity Eta Kappa Nu chapter and was a finalist and an honorable mention for the
Alton B. Zerby and Carl T. Koerner National Outstanding Senior Award from
Eta Kappa Nu. He also has been awarded second place in both the 2002 Penn
State Undergraduate Poster Competition and the 2002 IEEE Region 2 Student
Paper Competition.
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 1957

Investigations on Miniaturized Endfire Vertically


Polarized Quasi-Fractal Log-Periodic
Zigzag Antenna
Satish K. Sharma, Member, IEEE, and Lotfollah Shafai, Fellow, IEEE

Abstract—This paper presents the investigations on a miniatur-


ized vertically polarized traveling wave antenna for operation in
the high frequency band (3–6 MHz), with a specific requirement
of keeping its height near 1 8th of a wavelength. The antenna is
desired to have a good endfire gain and front to back ratio, and
small radiation levels in the vertical direction at broadside angle. A
log-periodic Zigzag antenna (LPZA) has acceptable performance
in both gain and polarization. Its height however is large, at about
one wavelength (1 ). The concept of fractal antenna is employed
in this antenna to achieve the necessary height reduction to 8,
while keeping its radiation characteristics nearly constant. Both
single and dual arm quasifractal log-periodic zigzag antenna
(QFLPZA) configurations are investigated, with a maximum
antenna height of only 1 8th of a wavelength, showing the desired
radiation characteristics, and a wide impedance bandwidth of
67%. This type of antenna may find applications in surveillance
radar.
Index Terms—Miniaturized wire antenna, vertically polarized,
log-periodic (LP), zigzag (Z), backfire radiation, quasi-fractal
(QF).

I. INTRODUCTION

T HE antennas whose current and voltage distributions can


be represented by one or more traveling waves, usually in
the same direction, are referred to as traveling wave antennas.
This antenna radiates from a continuous source. There are
various examples of traveling wave antennas, such as dielectric
rod, helix, and various log periodic antennas (LPA) [1], most
of which are suitable for microwave frequencies. In the present
study, different variations of traveling wave antennas were
considered, i.e., traveling wave linear [2] and V-antennas [3],
sandwich wire antennas [4]–[6], meander line planar array
antennas [7], [8], and most importantly log-periodic zigzag
antennas (LPZA) [9], [10]. Another antenna of interest was the
electrically short umbrella top-loaded antenna [11]. However, Fig. 1. Configurations of (a) basic zigzag traveling wave antenna, (b) single
arm log-periodic zigzag traveling wave antenna, and (c) balanced LPZA [9],
among these options, the log periodic zigzag antenna seemed [10].
to provide the desired antenna radiation characteristics hence
was selected for further study. Some investigation results on
wire will have a fundamental-wave phase constant given by:
this study were presented by the authors in [12].
, where is the free space wave number. This
Zigzag antennas are classified as periodic structures [9]. The
monofilar zigzag antenna produces a backfire radiation below its
basic zigzag antenna is shown in Fig. 1(a), in which is the
resonance frequency, and a broadside beam at its resonance. A
pitch angle. Assuming that the current along the wire travels
variation of this zigzag antenna as a single arm LPZA is shown
with free space phase velocity, the near fields of the zigzag
in Fig. 1(b). It shows the small cells termed as transmission
line region, which correspond to the low-frequency condition,
Manuscript received July 16, 2003; revised November 5, 2003. and causes little radiation to occur as the fundamental and all
The authors are with the Department of Electrical and Computer En- space harmonics are slow waves. The region where the first re-
gineering, The University of Manitoba, Winnipeg, MB R3T 5V6, Canada
(e-mail: shafai@ee.umanitoba.ca). verse traveling space harmonics approaches the backfire condi-
Digital Object Identifier 10.1109/TAP.2004.832317 tion produces appreciable radiation and corresponds
0018-926X/04$20.00 © 2004 IEEE
1958 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE I

to the active region. If the radiation is sufficient, the larger cells


will not be excited, which is desirable to avoid radiation in di-
rections away from backfire [9]. Fig. 1(c) shows the geometry
of the double arm thin wire LPZA [10]. The angle refers to
the angle from tip to tip, and the angle between the planes of the
zigzag elements is called . By controlling the angles and ,
the E- and H-plane beamwidths and antenna directivity can be
controlled. On the other hand, the control of input impedance,
beamwidth and other radiation characteristics may be achieved
using different log-periodic parameters like , and , where
is the geometric factor defined as [Fig. 1(c)].
Hence, for the present investigation, the LPZA is selected as a
possible candidate, and will be studied next. The computational
tool used for this study is NEC [16], which is a full wave anal-
ysis software based on the method of moments (MOM). The
wire radius is 4.00 mm for the entire investigation. The antenna
design requirements are shown in Table I, where and
are the gains along vertical (broadside) and horizontal (endfire)
directions. Fig. 2. Characteristics of a double arm LPZA (Fig. 1(c)), (a) Resistance and
reactance variation with frequency, and (b) Radiation patterns ( = 0 plane) at
different frequencies within 67% bandwidth. The antenna is lifted from ground
II. DOUBLE ARM LPZA plane by 0:002 .

In this section, a LPZA is investigated [Fig. 1(c)] based on [9],


[10], which will be the basis of comparison for the miniaturized between 10.50 to 12.50 dBi. The gain level at broadside angle
antenna presented next. The most important design parameters is always less than dBi. The front-to-back (F/B) ratio is
for this LPZA are the geometrical factor, which is the ratio varying between 6.50 dB and 9.00 dB. Since, the radiation pat-
of two adjacent similar dimensions on the antenna , tern peak is near it is also referred as the backfire antenna.
and angles and . As shown in Fig. 1(c), determines the an- Next, height miniaturization of this antenna is presented, em-
tenna lengths measured from the apex and is the property of a ploying similar to the Koch type of fractal element [13] concept
frequency independent log-periodic antenna. For this antenna, for a single arm LPZA.
the selected parameters were: , its
maximum element height , and length III. ANTENNA MINIATURIZATION TECHNIQUES FOR
[Fig. 1(c)] along the principal axis of its single arm, where SINGLE ARM
is the free space wavelength at the lower end of the frequency
band, i.e., , where MHz. This In this section, the height miniaturization of a single arm
antenna height of is much larger than the desired height of LPZA is discussed, while keeping its radiation characteristics
. It was assumed that the maximum length of the antenna is almost unaltered. The techniques used to reduce the antenna
not a problem. Hence, the study was devoted to the reduction of height are as follows.
the antenna height from to near , without sacrificing 1) Fold the lower half of the antenna along its axis, i.e.,
significantly the antenna’s radiation performance. This required axis, by 90 , keeping the upper half vertical and making the
an extensive study. Design details for this antenna are not given lower half horizontal, i.e., plane (Fig. 3, Step II). The
here, as it was known in literature [9], [10]. For the purpose antenna length along its axis remains constant and equal to
of computations, the antenna is placed over an infinite ground . Its height reduces to .
plane at a height of and is fed at the input end with a 2) Fold back the antenna triangular arms, when their height
voltage source w.r.t. the ground plane. Its impedance character- exceeds (Fig. 3, Step III). The antenna length along its
istics and radiation gain patterns for 67% frequency bandwidth axis remains constant. Its height decreases to .
are shown in Fig. 2(a) and (b), respectively. 3) Fold back the arms again, when their length exceeds
An examination of Fig. 2(a) reveals that, with frequency vari- (Fig. 3, Step IV). The antenna length along its axis remains
ation the resistance and reactance oscillate around 700 and 0 constant. The antenna height decreases to .
, respectively. Their maximum span, for both resistance and 4) The entire antenna is lifted (20 cm) above
reactance, is around 400 and shows a fairly constant trend. ground plane to prevent shorting the horizontal arms to
The radiation gain characteristic is shown in Fig. 2(b) remaining ground plane during its operation.
SHARMA AND SHAFAI: INVESTIGATIONS ON MINIATURIZED ENDFIRE VERTICALLY POLARIZED QFLPZA 1959

Fig. 3. Step by step antenna miniaturization technique. (a) Step I: original antenna height of H , (b) Step II: reduced height, H=2, (c) Step III: reduced height,
H=4, and (d) Step IV: final reduced height, H=8. In all cases, the antenna is lifted from ground plane by 0:002 .

Fig. 5. Configuration of the reduced length single arm quasifractal LPZA


(QFLPZA), L = 1:96  , and H =  =8. The antenna is lifted from ground
plane by 0:002 .

fractal form, the resultant path lengths for propagation remains


almost the same as the original antenna. Breaking the wires,
Fig. 4. Effect of antenna height reduction on vertically polarized radiation however, modifies the direction of the radiating currents and
pattern ( = 0 plane) at different frequencies for single arm QFLPZA. (a) thus, will influence the antenna radiation characteristics. This
Step I and (b) Step IV.
is investigated and the resulting radiation patterns are shown in
Fig. 4(a) and (b), respectively, for the original antenna and the
final reduced height model.
In the above process, the elements exceeding a specified An examination of Fig. 4(a) reveals that for the original an-
height limit are reduced by the quasifractal elements. The tenna in Step I of Fig. 3, the backfire gain varies between 9.50
quasifractal element concept employed is similar to the Ist to 11.40 dBi, and the F/B ratio changes from 11.20 to 14.60 dB.
iteration of the Koch curve [13]. The condition that geometrical The radiating gain in the vertical direction is below
factor, remains unaltered makes sure that after reducing the 6 dBi, about 15 dB below the main beam. Its performance
height the antenna is still log-periodic. The horizontal wires after the full height reduction to (Step IV of Fig. 3) as
parallel to the ground plane will not add much to the radiation, shown in Fig. 4(b), remains satisfactory. The backfire gain is
though they will cause the necessary phase delay to occur [14], varying between 6.00 to 9.00 dBi, and the radiation in the ver-
[15], behaving as a transmission lines. Contrary to this, the tical direction is below 2.50 dBi. The back radiation, however,
vertical wires will directly contribute to the vertically polarized seems sensitive to the operating frequency. An interesting phe-
radiation due to vertical component of current present in them. nomenon is the null filling in the main beam and elimination of
Furthermore, after braking the original height of wires, for the first sidelobe. As shown inc Fig. 4(b) the resulting gain pat-
both horizontal and vertical wires and converting them into terns become smoother, and the gain drops gradually away from
1960 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 6. Radiation pattern ( = 0 plane) for the reduced length


(L = 1:96 ) single arm QFLPZA at different frequencies.

Fig. 8. Effect of varying the arm-to-arm angle  on double arm reduced length
(L = 1:96 )QFLPZA. (a) Gain and (b) F/B ratio.

amount of the length reduction depends on the corner angle


Fig. 7. Configuration of double arm reduced length QFLPZA shown in xyz
and increases as the corner angle reduces. In the proposed
views. L = 1:96 ; H =  =8;  = 25 . The antenna is lifted from ground height reduction method the number of fractal and thus corners
plane by 0:002 . increases progressively along the antennas. However, since each
fractal has a single corner, this can easily be compensated for by
increasing the length of each fractal element. This phenomenon
the main beam. This antenna is termed as the quasi-fractal log
was studied at different frequencies within 2 % length variation
periodic zigzag antenna (QFLPZA), and studied further for its
of the fractals. The results showed a rapid degradation of the
length reduction and fractal length variations.
performance, at all frequencies, with the length reduction.
The improvement in the performance, due to length increase,
A. Length Reduction however, was very slow. Consequently, and the fact that the
In this subsection, the Step IV antenna is further investigated antenna height reduction was desired, the length increase was
for reduction in its length along the axis, which originally not incorporated. Hence, the fractal element lengths were kept
was . Extensive simulations were run, by reducing the as in the original antenna (Section III: Step IV, and III-A).
wire elements near the transmission line region, which do not
contribute significantly to the radiation. For the sake of brevity,
these are not presented here, instead the results for an antenna IV. DOUBLE ARM QFLPZA
with length reduced to along the -coordinate axis is
presented, which eliminates of length, and still per- The double arm antenna is a more practical one, in which the
forms similar to the Step IV antenna. The antenna configuration H-plane beamwidth can be controlled by the angle between
is shown in Fig. 5. It is clear that the angle as defined in Fig. 1 the arms. Thus, in this part a double arm QFLPZA is investi-
is now irrelevant, except at the antenna input end. The geomet- gated using the single arm design of QFLPZA presented in the
rical factor , still defines the configuration. To prevent shorting previous Section III-A. The geometry of the antenna is shown
of horizontal arms to ground, the antenna is placed over an infi- in Fig. 7. A parametric study was carried out to find the effect
nite ground plane at a height of and is fed at the input of the arm-to-arm angle as defined in Figs. 1(c) and 7 on the
end with a voltage source w.r.t. the ground plane. The computed gain and F/B ratio. The results are shown in Fig. 8(a) and (b).
data for radiation patterns at is shown in Fig. 6. The gain Fig. 8(a) reveals that by increasing the angle the gain drops
varies within 3.00 dB range between 9.00 and 6.00 dBi for dif- slowly at the low frequency end of 0.75 , whereas for it is
ferent frequencies within the band. nearly constant. For 1.25 the gain increases with frequency.
Similarly, Fig. 8(b) shows that by increasing the F/B ratio
B. Effect of Fractal Element Lengths drops rapidly for 0.75 f , whereas for and 1.25 , it is nearly
It is known that the introduction of bends in a line reduces constant. Thus, based on Fig. 8(a) and (b), the arm-to-arm angle
its effective electrical length due to the corner effects. The is an important parameter. Near a tradeoff between
SHARMA AND SHAFAI: INVESTIGATIONS ON MINIATURIZED ENDFIRE VERTICALLY POLARIZED QFLPZA 1961

From Fig. 9(a) the resistance undergoes significant variation


between 200 and 1000 in the frequency range, but the reac-
tance varies only between , except at 0.825 , where it
is around 680 . The input impedance was also plotted on Smith
Chart with 575 of normalization characteristic impedance,
and is shown in Fig. 9(b). From Fig. 9(b) it is evident that
impedance is balanced and can be matched to a 50 circuit
using a commercial RF impedance transformer of impedance
ratio 50 /575 . The impedance plot lies at the center of
the Smith chart. Only a few points lie outside 2:1 circle. This
is further clear from Fig. 9(c), which shows the return loss,
(dB), computed using a reference impedance of 575 . It
reveals a very good impedance match ( dB) over the
complete frequency band, except at 0.775 and 1.00 where
it becomes poor. Fig. 9(d) shows the radiation patterns within
the 67% frequency band. The antenna shows good backfire
gain at all frequencies, except at the lower end frequencies,
which is attributed to the reduced effective antenna height at
these frequencies. The gain variation is within 3.60 dB ranging
between 11.60 and 8.00 dBi within the band. The F/B ratio is
between 6.00 and 9.00 dB. The gain in the vertical direction
is less than 5 dBi, except at the center frequency. Its perfor-
mance is superior to the single arm QFLPZA, and its gain has
improved by at least 2.00 dB throughout the frequency range.
Further effort may be needed to improve the F/B ratio.
The antenna was intended to be transportable and easy to
install. The entire antenna was, therefore, to be mounted on a
flexible net like material, using flexible wires. To install, non-
conducting rigid poles of proper heights, were to be installed
at location of the vertical arms, with predetermined mounting
hooks. The deployed antenna was to be mounted on the poles,
in a trellis like structure. For transportation, the antenna to be re-
moved from the poles, folded along bends, and simply rolled for
storage as a bundle. The mounting and removal of the antenna
requires negligible time. Only the installation of poles needs
careful planning, to insure its survival during operation.

V. CONCLUSION
Vertically polarized antennas are an important class of an-
tennas that are used efficiently over conducting ground planes,
and monopoles are the most popular configurations. Their
height of , however, becomes large at low frequencies.
They are also narrow band. In this study, we have investigated
the possibility of using LPZA to achieve wide impedance bands
and modified their geometry to reduce the height to . The
resulting antenna is a quasifractal antenna. Steps leading to the
height reduction are described and their effects on the antenna
performance are studied. While the height reduction process
has deteriorated the front-to-back ratio at some frequencies, the
Fig. 9. Performance of reduced length (L = 1:96 ) double arm quasifractal overall antenna performance has remained remarkably good.
LPZA (QFLPZA). (a) Resistance and reactance, (b) input impedance on Smith The gain pattern becomes smoother and decreases gradually
Chart with 575
normalization impedance, (c) return loss, and (d) vertically
polarized radiation pattern at  = 0 plane. with the angle away from the main beam.

the gain and bandwidth can be achieved, and therefore is REFERENCES


selected for the double arm QFLPZA. The results for its [1] C. A. Balanis, Antenna Theory and Design, 2nd ed, New York: Wiley.
[2] D. P. Nyquist and K. Chen, “The traveling wave linear antenna with
impedance, return loss, and radiation patterns are shown in nondissipative loading,” IEEE Trans. Antennas Propagat., vol. AP-16,
Fig. 9(a)–(d), respectively. pp. 21–31, Jan. 1968.
1962 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

[3] K. Iizuka, “The traveling wave V-antenna and related antennas,” IEEE Lotfollah Shafai (F’87) received the B.Sc. degree
Trans. Antennas Propagat., vol. AP-15, pp. 236–243, Mar. 1967. from the University of Tehran, Iran, in 1963 and the
[4] W. Rotman and N. Karas, “Sandwich wire antenna: A new type of M.Sc. and Ph.D. degrees from the Faculty of Applied
microwave line source radiator,” Proc. IRE Nat. Conf. Rec., pt. 1, pp. Sciences and Engineering, University of Toronto,
166–172, 1957. ON, Canada, in 1966 and 1969, respectively, all in
[5] K. Chen, “Sandwich wire antenna,” IRE Trans. Antennas Propagat., vol. electrical engineering.
AP-10, pp. 159–164, Mar. 1962. In November 1969, he joined the Department of
[6] H. E. Green and J. L. Whitrow, “The new analysis of the sandwich wire Electrical and Computer Engineering, University of
antenna,” IEEE Trans. Antennas Propagat., vol. AP-19, pp. 600–605, Manitoba, Canada, as a Sessional Lecturer, then as an
Jan. 1971. Assistant Professor in 1970, an Associate Professor
[7] G. A. Hockham and R. I. Wolfson, “Broadband meander-line planar in 1973, and as Professor in 1979. Since 1975, he
array antenna,” IEEE Trans. Antennas Propagat., vol. AP-27, pp. has made a special effort to link the University research to the industrial de-
645–648, 1979. velopment by assisting industries in the development of new products or es-
[8] O. Aboul-Atta and L. Shafai, “Hemispherically radiating meander-line tablishing new technologies. To enhance the University of Manitoba’s contact
planar array antenna,” in Proc. Int. Conf. Antennas and Propagation, with industry, in 1985 he assisted in establishing The Institute for Technology
1987, pp. 141–144. Development, and was its Director until 1987, when he became the Head of the
[9] Antenna Handbook, Theory, Applications, and Design, Y. T. Lo and S. Electrical Engineering Department. His assistance to industry was instrumental
W. Lee, Eds., Van Nostrand Reinhold, New York, 1988. in establishing an Industrial Research Chair in Applied Electromagnetics at the
[10] S. H. Lee and K. K. Mei, “Analysis of zigzag antennas,” IEEE Trans. University of Manitoba in 1989, which he held until July 1994.
Antennas Propagation, vol. AP-18, pp. 760–764, Nov. 1970. Dr. Shafai is a Member of the International Scientific Radio Union (URSI)
[11] A. F. Gangi, S. Sensiper, and G. R. Dunn, “The characteristics of electri- Commission B, was its Chairman during 1985 to 1988, and is currently the
cally short, umbrella top-loaded antennas,” IEEE Trans. Antennas Prop- Vice-Chairman. He was elected a Fellow of The Royal Society of Canada in
agat., vol. AP-13, pp. 864–871, Nov. 1965. 1998. He has been the recipient of numerous awards. In 1978, his contribution
[12] S. K. Sharma and L. Shafai, “Investigations of a compact vertically po- to the design of a small ground station for the Hermus satellite was selected as
larized backfire high frequency traveling wave antenna,” in Proc. IEEE the 3rd Meritorious Industrial Design. In 1984, he received the Professional En-
Antennas Propagation Int. Symp., vol. 1, Columbus, OH, June 22–27, gineers Merit Award and in 1985, “The Thinker” Award from Canadian Patents
2003, pp. 253–256. and Development Corporation. From the University of Manitoba, he received
[13] J. P. Gianvittorio and Y. Rahmat-Samii, “Fractal antennas: A novel the “Research Awards” in 1983, 1987, and 1989, the Outreach Award in 1987
antenna miniaturization technique, and applications,” IEEE Antennas and the Sigma Xi, Senior Scientist Award in 1989. In 1990, he received the
Propagat. Mag., vol. 44, pp. 20–36, Feb. 2002. Maxwell Premium Award from IEE (London) and in 1993 and 1994, the Dis-
[14] E. C. Jordan and K. G. Balmain, “Ch. 15,” in Electromagnetic Waves tinguished Achievement Awards from Corporate Higher Education Forum. In
and Radiating Systems, 2nd ed. Englewood Cliffs, NJ: Prentice-Hall 1998, he received the Winnipeg RH Institute Foundation Medal for Excellence
Inc., 1968, pp. 620–621. in Research. In 1999 and 2000, he received the University of Manitoba, Faculty
[15] V. H. Rumsey, Frequency Independent Antennas, New York: Academic, Association Research Award. He was a recipient of the IEEE Third Millenium
1966, pp. 105–110. Medal in 2000 and in 2002 was elected a Fellow of The Canadian Academy
[16] Numerical Electromagnetic Code. of Engineering and Distinguished Professor at The University of Manitoba. He
holds a Canada Research Chair in Applied Electromagnetics. He has been a par-
ticipant in nearly all Antennas and Propagation symposia and participates in the
review committees. In 1986, he established the symposium on Antenna Tech-
Satish Kumar Sharma (M’00) was born in Sul- nology and Applied Electromagnetics, ANTEM, at the University of Manitoba,
tanpur (U.P.), India, in April 1970. He received the which is held every two years.
B. Tech. degree from Kamla Nehru Institute of Tech-
nology, Sultanpur affiliated with Avadh University,
Faizabad, and the Ph.D. degree from Institute of
Technology, Banaras Hindu University, Varanasi,
both in India, in 1991 and 1997, respectively, both
in electronics engineering.
He was a Lecturer and Project Officer with the
Kamla Nehru Institute of Technology, Sultanpur,
and Institute of Engineering and Rural Technology,
Allahabad, from February 1992 to December 1993, respectively, both in Uttar
Pradesh. There, he taught courses in electromagnetics, antennas and propaga-
tion, electronics instrumentation and electronic communication, etc. During
December 1993 to February 1999, he was a Research Scholar, and Junior and
Senior Research Fellow of the Council of Scientific and Industrial Research
(CSIR), Government of India, in the Department of Electronics Engineering,
Institute of Technology, Banaras Hindu University. He was a Postdoctoral
Fellow with the Department of Electrical and Computer Engineering, The
University of Manitoba, with Professor L. Shafai from March 1999 to April
2001. Since May 2001, he has been a Senior Antenna Researcher/Engineer with
InfoMagnetics Technologies Corporation, Winnipeg, MB, Canada. Since June
2001, he has also been a part-time Research Associate with the Department of
Electrical and Computer Engineering, The University of Manitoba. Here, he has
been involved in the design and development of several antennas for wireless
and satellite communications as feed for reflectors, polarizers, and MEMS
phase shifters. His main research interests are in applied electromagnetics,
antennas, and RF MEMS.
He is a registered Professional Engineer (P. Eng.) of the Province of Man-
itoba, Canada. He is reviewer of IEEE TRANSACTIONS ON ANTENNAS AND
PROPAGATION and Indian Journal of Radio and Space Physics (IJRSP).
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 1963

Compact Wide-Band Multimode Antennas for


MIMO and Diversity
Christian Waldschmidt, Student Member, IEEE, and Werner Wiesbeck, Fellow, IEEE

Abstract—This paper presents broadband multimode antennas


for multiple-input multiple-output (MIMO) and diversity applica-
tions. The antenna system is not based on spatial diversity, as usual
MIMO systems, but on a combination of pattern and polarization
diversity. Different modes of self-complementary, thus extremely
broadband, spiral and sinuous antennas are used to decorrelate
the signals. It is shown that only one antenna is necessary to re-
ceive three uncorrelated signals, thus the space required to place
the MIMO antenna is very small. Simulation results and measure-
ments of a typical indoor scenario are given.
Index Terms—Multimode diversity, multiple-input multiple-
output (MIMO), sinuous antenna, spiral antenna.

I. INTRODUCTION Fig. 1. Geometry of a spiral antenna with voltage sources between the single
arms of the spiral.

F UTURE communication systems have to fulfill the require-


ments of high data rates and flexible interfaces for dif-
ferent communication system standards. Multistandard radios, (SNR) of all the signals has to be “similar,” see [8], to obtain
offering the demanded flexibility to use different standards, re- a diversity gain or capable MIMO systems. “Similar” in this
quire very broadband antennas. multiple-input multiple-output context means, e.g., less than 10 dB difference for two branch
(MIMO) and diversity systems allow exploitation of the spatial maximum ratio combining, [8]. In this paper it is shown, that
channel properties. If the signals received by different antennas the mean effective gain (MEG), which is linked to the SNR, of
are uncorrelated, very high data rates may be reached as recent the single modes differs by only 1 to 2 dB, thus a high diver-
studies have shown, first in [1] and later in [2], [3]. Usually un- sity gain is obtained. For MIMO the total received power or the
correlated signals are obtained by spatial diversity, which re- mean SNR respectively is an important quality measure for an
quires large antenna spacings. antenna array. By a comparison with a dipole array with large
This paper presents new broadband antenna solutions, that antenna spacings, which is generally considered as a capable
are small enough to fit into laptops or organizers, but that still array for MIMO, the ability of multimode antennas for MIMO
yield uncorrelated signals for MIMO or diversity applications. is shown.
The compactness of the broadband MIMO antenna system is not This paper is organized as follows. In the first section
achieved by using different antennas, but by one antenna with four-arm spiral and sinuous antennas and the different exci-
different, independently fed, modes. This results in multimode tations for the modes are presented. Second, the correlation
diversity, a combination of pattern- and polarization diversity to properties of signals received by different modes of the antenna
obtain uncorrelated channel impulse responses for the MIMO or and the mean effective gains are given as a function of the
diversity system. As far as the authors are aware multimode di- incident field and its spatial distribution. In the last section
versity has first been suggested in [4], where orthogonal azimuth MIMO capacity calculations and measurements with spiral
patterns were used. In [5] a multimode patch antenna with dif- antennas are given.
ferent modes for diversity was presented. Multimode diversity
for MIMO has been suggested in [6], but this paper presents II. SPIRAL AND SINUOUS ANTENNAS
a new and practical antenna concept, based on spiral and sin- The self-complementary, archimedian, four-arm spiral an-
uous antennas. In [7] the ability of logarithmic spiral antennas tenna and sinuous antennas are well described in the literature,
to radiate in different polarizations is discussed and a possible see, e.g., [9]–[11], thus only the properties crucial for multi-
application for diversity is mentioned, but not explicated. mode diversity are given here. The spiral antenna consists of
Besides uncorrelated signals at the antennas, which are ob- four arms, that are rotated around the center of the antenna,
tained by orthogonal patterns the mean signal to noise ratio see Fig. 1. The antenna can basically radiate three different
modes depending on the excitation. For this application mode
Manuscript received February 4, 2003; revised August 25, 2003. 1 and mode 2 are used. Mode 1 is characterized by a phase
The authors are with the Institut für Höchstfrequenztechnik und Elektronik shift of 90 between adjacent sources at the single arms of the
(IHE), Universität Karlsruhe (TH), Karlsruhe D-76128 Germany (e-mail: Chris-
tian.Waldschmidt@ihe.uka.de). spiral, see Fig. 1. Mode 2 has a phase shift of 180 . Both modes
Digital Object Identifier 10.1109/TAP.2004.832495 are circularly polarized in the direction of the main radiation
0018-926X/04$20.00 © 2004 IEEE
1964 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 2. Geometry of a four-arm sinuous antenna. describes the lengths of


the teeth and is therefore a determining antenna parameter.

Fig. 4. Pattern of mode 2 of the spiral antenna with a radius of 10 cm at 2 GHz.


The pattern hardly changes versus frequency for frequencies above 1.2 GHz.

Fig. 5. Phase of the pattern of mode 1 and mode 2, shown in Figs. 3 and 4.
Fig. 3. Pattern of mode 1 of the spiral antenna with a radius of 10 cm at 2 GHz The phase of mode 1 changes 360 per circulation around the antenna, mode 2
separated into left (lhc) and right hand circular (rhc) polarization. If the spiral is changes 720 .
fed at the outer end of the arms, the polarization is orthogonal to the one obtained
by exciting at the center of the spiral.

mode 1 the circumference is one wavelength, for mode 2 it is


and elliptically polarized otherwise. Due to the self-comple- two wavelengths. Thus, the current distribution on the arms of
mentarily the antennas are frequency-independent or, in other the spiral in the active zone has two maxima for mode 1 and
words, extremely broadband. Since the geometrical structure four for mode 2. Above this lower frequency bound all antenna
of the spiral antenna is finite, there exists a lower frequency properties are almost stable and change only slightly with fre-
bound. This bound is quency. The pattern in elevation of mode 1 and 2 are given
in Fig. 3 and Fig. 4. The azimuth patterns are omnidirec-
(1) tional. The phase of the complex radiation pattern, which among
other parameters determines the correlation among the receive
signals, is shown in Fig. 5. The phase of mode 1 changes 360
where is the speed of light, the outer radius of the spiral and the one of mode 2 720 for each circulation around the an-
and the effective substrate permittivity. has to be de- tenna, which is explicable by the current distribution within the
termined by simulations of the spiral antenna or experimentally. active zones. The modes can be excited in two ways: first by
According to experience, is close to one for etched spirals, feeding the spiral arms at the inner ends that is at the center
also for a high of the substrate. For all simulations presented of the spiral and second at the outer ends of the arms. Those
in this paper the antennas were simulated with FEKO [12], a modes are orthogonally polarized left-hand circular (lhc) and
standard software tool based on method of moments. Equation right-hand circular (rhc). The third mode of the spiral antenna
(1) is explicable by the current distribution within the active (270 phase shift between adjacent arms at the excitation) has
zones of the single modes [10]. The active zone is a circular area a pattern, whose amplitude is equal to mode 1, but the polar-
located around the center of the antenna. The energy is radiated ization changes from lhc to rhc. Thu,s mode 1 and mode 3 are
from the antenna in the active zone. This zone is characterized orthogonally polarized. The unwrapped phase of the pattern of
by a certain ratio of its circumference to the wavelength. For mode 3 changes 1080 per circulation around the antenna.
WALDSCHMIDT AND WIESBECK: COMPACT WIDE-BAND MULTIMODE ANTENNAS FOR MIMO AND DIVERSITY 1965

Fig. 6. Pattern of mode 2 of the sinuous antenna with a radius of 10 cm at


2 GHz. The pattern hardly changes versus frequency for frequencies above
1.7 GHz.

Fig. 8. Gain of the rhc and lhc polarized field of the sinuous antenna with
= 50 and an outer radius of 0.1 m.

of the pattern of mode 3 is equivalent to mode 1, but both modes


are orthogonally polarized.

III. MULTIMODE-DIVERSITY
MIMO transmission channels are characterized by the
channel matrix , which contains the channel impulse re-
sponses or the channel coefficient in the flat fading case
between the different sets of transmit and receive antenna
ports. For broadband systems the spectrum can be divided into
narrowband sections with flat fading. The diversity gain or
MIMO capacity depends on the correlation coefficients among
those channel coefficients of , see [3], and the SNR. The
correlation is influenced by the statistical properties of the
Fig. 7. Pattern of mode 1 of the sinuous antenna with a radius of 10 cm at wave propagation and the antenna properties, in this case the
2 GHz. is 50 . Mode 3 is orthogonally polarized, but has the same pattern. properties of the single modes. In the following the correlation
coefficient among two receive signals as a function of the
The geometry of a four-arm sinuous antenna is given in Fig. 2 incident field is calculated. This is equivalent to the correlation
and described in detail in [11]. The antenna is self-complemen- among the channel coefficients of for one transmit and two
tary and used as a multimode antenna. The modes are excited the receive antennas in a MIMO system.
same way as for the spiral antenna. The lower frequency bounds The spatial wave propagation properties are describable by
of the modes are a function of different geometry parameters, the power azimuth and elevation profile and
thus are not as easy accessible as for the spiral. In general the for both polarizations and . To allow for analytical calcula-
lower frequency bounds are higher than the ones for the spiral tions typical statistical functions to model the wave propagation
antenna for a given outer radius of the antennas. They decrease are chosen. Measurements have shown, that the power azimuth
with increasing (for see Fig. 2), since the antenna resembles spectrum is best modeled by a Laplacian function [13]
in sections a spiral antenna for large . The patterns of mode for both polarizations. For the power elevation profile a
1 and 2 are given in Figs. 6 and 7. The shapes of the patterns Gaussian function is assumed. The total power angle spectrum is
change only slightly with frequency or , but the polarization given by the product of the Laplacian function for the azimuth
changes. The pattern is alternately left and right hand ellipti- and a Gaussian function for the elevation, normalized so that
cally polarized versus frequency, see Fig. 8. The axial ratio of . With [14] (earlier shown in [8] in a
the sinuous antenna depends on . For large the antenna acts similar way) it can easily be shown that the complex correlation
in sections like a spiral, thus the axial ratio is almost 0 dB. For coefficient among two signals received by different antennas, in
small the antenna is rather linearly polarized. Both modes may this case different modes, is given by
be excited at the center or at the outer ends of the arms, but in
contrast to the spiral antenna, orthogonal polarizations are only (2)
obtained for large ( , spiral-like behavior). The shape
1966 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 9. Correlation coefficient among mode 1 (a) and mode 2 (c), excited at Fig. 10. Correlation coefficient among the same modes as in Fig. 9, but the
the center of the spiral, and mode 1 (b), excited at the outer edge of the spiral to incident field has an elevation spread of 5 and an azimuth spread of 20 .
generate orthogonal polarizations. The incident field has an elevation spread of Due to slight changes in the pattern for different frequencies the correlation
5 and azimuth spread of 60 . The lower frequency bound of mode 2 is 1.2 GHz, coefficient changes. But it is over the whole frequency range low enough to
thus the spiral does not work correctly for lower frequencies. obtain a diversity gain.

with the covariance

(3)

where is constant and the variance

(4)

where is the ratio of the power in -polarization to the Fig. 11. Correlation coefficient among mode 1 (1), mode 2 (2) and mode 3
power in polarization at the receiver. Note, that is a func- (3) of the sinuous antenna. The incident field has an elevation spread of 5 and
tion of the polarimetric radiation pattern, thus disappears for azimuth spread of 60 . The lower frequency bound of mode 2 is 1.7 GHz, thus
the antenna does not work correctly for lower frequencies.
orthogonally polarized antennas in this case lhc and rhc polar-
ized modes. The power correlation coefficient is obtained by
, according to [15]. the different phases of the patterns of mode 1 and 2 (see Fig. 5)
Basically it is possible to use spiral or sinuous antennas with decorrelate the received signals, since the single plane waves
any different modes and polarizations for multimode-diversity. from different directions superpose differently for each mode.
In the following first a spiral and second a sinuous antenna are The influence of the feed network on the pattern of the modes
used to calculate the correlation coefficients among receive sig- is neglected.
nals. The orientation of the both antenna planes is vertical. A The sinuous antenna is used with three modes, all
spiral antenna with mode 1 and mode 2, excited at the center of excited at the center of the antenna. Figs. 11 and 12 show the
the antenna, and a third mode (mode 1) with orthogonal polar- correlation coefficient versus frequency for the scenarios men-
ization excited at the outer edge of the antenna is used. Figs. 9 tioned above. Mode 3 is orthogonally polarized to mode 1 and
and 10 show the power correlation coefficient between 2, thus the correlation is low. Mode 1 and 2 hardly overlap, thus
different modes for a large azimuth angular spread of 60 and different signals are received.
a small spread of 20 for a mean direction of 10 in azimuth In order to fulfill the requirement of an equal or “similar”
and 0 in elevation of the incident waves. The third mode is or- SNR of the signals received by different modes to obtain a diver-
thogonally polarized to the other modes, thus the correlation is sity gain the MEG may be used, see [16]. The MEG is defined as
almost zero. The other modes are more strongly correlated as the ratio of the mean received power of one antenna under test
the pattern of mode 1 and 2 partly overlap. On the other hand, to the mean received power of a reference antenna, when both
WALDSCHMIDT AND WIESBECK: COMPACT WIDE-BAND MULTIMODE ANTENNAS FOR MIMO AND DIVERSITY 1967

A. Simulations of the Capacity


The channel model used to calculate the capacity of MIMO
systems consisting of one spiral antenna at the transmitter and
one at the receiver is an extended version of the model described
in [19]. This stochastic channel model is based on ray-tracing
simulations and measurement campaigns in indoor scenarios.
It is a three dimensional double-directional channel model, in
other words provides the angle of departure and arrival of each
path. The channel model takes only non line-of-sight (NLOS)
connections into account. The power azimuth spectrum
is modeled by multiple Laplacian functions, each modeling a
cluster of scatterers. The elevation profile is modeled by a sine
function. The cross polarization coupling is 8 dB. The an-
tennas used for the simulation are one spiral antenna at the trans-
mitter and one at the receiver. Mode 1 and 2 are excited at the
center of the spiral, and mode 1 with orthogonal polarization is
excited at the outer edge of the spiral. Thus, the same modes
as in Section III at both transmitter and receiver are used. The
Fig. 12. Correlation coefficient among the same modes as in Fig. 11, but the
incident field has an elevation spread of 5 and an azimuth spread of 20 . With orientation of the spiral plane is again vertical. The result of
decreasing angular spread the correlation increases. the simulations with this channel model are channel matrices
(obtained the same way as in [20]). Therefore, the capacity of
TABLE I a MIMO system with no channel state information at the trans-
MEG OF DIFFERENT MODES IN DECIBELS (ELEVATION ANGULAR SPREAD 5 ) mitter can be calculated [2]
SNR
(6)

where SNR denotes SNR conjugate complex transpose and


is the number of transmit antennas, in this case the number
antennas are used in the same channel with the same transmit of different modes. The channel matrices in (6) are normalized
antenna, see [17], [18]. For the assumptions on the wave propa- with
gation made above the MEG can be calculated analytically for
an isotropic reference antenna. (7)

to obtain a constant mean gain of each channel matrix, see [21].


(5) The SNR in (7) is the average SNR at the receiver. This normal-
ization allows to show the influence on the capacity of the cor-
relation properties and the distribution of the mean gains of the
where are the gain patterns for both polarizations. Table I channel coefficients. This distribution influences the capacity.
shows the MEGs for different antennas and modes for a cross- The channel coefficients between co-polarized modes have a
polarization coupling of 8 dB. The MEGs of mode 3 of both larger mean gain than those between cross-polarized modes.
antennas are equal to the one of mode 1. Since the requirement Thus, the mean gains of the channel coefficients are not equal.
of orthogonal patterns, i.e., uncorrelated signals, and similar Equality is considered to be optimal, [2]. Fig. 14 shows the ca-
MEGs are fulfilled, a diversity gain over a large bandwidth with pacity distribution for a constant mean SNR at the receiver of
both antenna types, used as multimode antennas, is obtained. 10 dB for 1000 channel realizations at 2 GHz. The 10% outage
capacity is approximately 7.3 bit/s/Hz.
IV. MIMO SYSTEMS BASED ON MULTIMODE-DIVERSITY
In order to show the potential of multimode antennas in B. Power Considerations
MIMO systems, simulations and measurements of the capacity When the normalization in (7) is used in other words when
of a MIMO system with one multimode spiral antenna on each the gain of each channel matrix is normalized, the information
side of the link, were performed. Additionally a comparison about it is lost. But to assess arrays for MIMO completely, this
with dipole antennas, arranged in parallel, is drawn. For the information needs to be taken into account to assure a high effi-
simulations a sophisticated channel model is used. This model ciency of the complete MIMO channel. Fig. 15 shows the cumu-
does not allow for analytical calculations like in Section III, lative distribution function of the gain of the channel matrices
but it allows to assess the MIMO performance in very realistic of the simulations. The comparison with a MIMO
environments. system with arrays consisting of three vertical half-wavelength
1968 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 13. Scenarios for the measurements. For the LOS scenarios transmitter
and receiver are placed in the same room. For the NLOS scenarios the
transmitter is placed in the corridor.

Fig. 15. Transmission gain of different MIMO systems for the path based
channel model. The SISO system has one transmit and one receive dipole.

for all measurements. The transmitter was moved along two dif-
ferent routes, shown in Fig. 13. During the first route a strong
LOS component is present, whereas the other route is always
NLOS. Along each route measurements at 801 discrete frequen-
cies in the frequency range from 1.5 to 2.5 GHz at 210 different
positions were performed. The measured data are normalized,
according to (7), to obtain a constant mean SNR of each channel
matrix of 10 dB. Fig. 14 shows the cumulative capacity distribu-
tion for both routes at 2 GHz. The capacity distribution changes
negligibly with frequency. Due to the higher multipath richness
of the NLOS route, it outperforms the LOS route.
For comparison two dipole arrays, consisting of three dipoles
each, were used, one at each side of the link. The dipoles were
Fig. 14. Measured cumulative distribution functions of the capacity for
different antenna scenarios at 2 GHz. The three dipoles have spacings of =4. arranged in parallel with spacings of and vertical polariza-
The capacity of the NLOS measurements reaches higher capacities as in the tion. The array covers approximately the same area as the spiral
LOS scenarios for a constant mean SNR of 10 dB. antenna with dimensions, so that the resonance frequency of the
dipoles equals the lower frequency bound of the spiral. Fig. 14
dipoles (also simulated with FEKO) with spacings on each shows, that the dipoles perform worse than the spiral, since nei-
side of the link shows, that the gain of the channel matrices of ther polarization nor pattern diversity is exploited. The space
the multimode MIMO system is not worse than with the dipole diversity is very limited due to the small antenna spacings.
arrays. Additionally this distribution function is given for dipole
arrays with spacings on each side of the link. V. CONCLUSION
C. Measurements This paper shows that four-arm spiral and sinuous antennas
The measurements were performed with two spiral antennas. allow to exploit multimode diversity, which is a combination
The antenna were designed for a frequency range from 1.2 GHz of pattern and polarization diversity. The antennas are ex-
up to 2.5 GHz, limited by the feeding network. Mode 1 and 2 are tremely broadband, thus allow applications for multistandard
excited with the feeding network given in [9]. At the outer ends radios. The space required for the antennas is relatively small.
of the arms a hybrid mode with orthogonal polarization com- If placing dipoles on the same space required by the spiral,
pared to the other modes is excited. The coupling between the the dipoles do not reach the capacity of multimode-based
single modes is below 20 dB. The measurement system con- MIMO-systems.
sists of a two channel network analyzer, amplifiers and coaxial
switches. The channel coefficients were measured one by one. REFERENCES
All measurements were done during night, in order to reduce [1] J. H. Winters, “On the capacity of radio communication systems with
the time variance of the channel. The measurements were per- diversity in a rayleigh fading environment,” IEEE J. Select. Areas
formed in an office building, with concrete ceilings and concrete Commun., vol. 5, pp. 871–877, May 1987.
[2] G. J. Foschini and M. J. Gans, “On limits of wireless communications in
and wood covered walls. The average office size is 4 5 m, see a fading environment when using multiple antennas,” Wireless Personal
Fig. 13. The receive antennas were placed at the same position Commun., vol. 6, pp. 311–335, 1998.
WALDSCHMIDT AND WIESBECK: COMPACT WIDE-BAND MULTIMODE ANTENNAS FOR MIMO AND DIVERSITY 1969

[3] C. Chuah, D. N. C. Tse, J. M. Kahn, and R. A. Valenzuela, “Capacity Christian Waldschmidt (S’01) was born in Basel,
scaling in MIMO wireless systems under correlated fading,” IEEE Switzerland, in 1976. He received the Dipl.-Ing.
Trans. Inform. Theory, vol. 48, pp. 637–650, 2002. (M.S.E.E.) degree in electrical engineering from the
[4] E. N. Gilbert, “Energy reception for mobile radio,” Bell Syst. Tech. J., Universität Karlsruhe, Karlsruhe, Germany, in 2000,
vol. 44, pp. 1779–1803, 1965. where he is currently working toward the Ph.D.
[5] R. G. Vaughan and J. B. Andersen, “A multiport patch antenna for mo- degree.
bile communications,” in Proc. 14th Eur. Microwave Conf., 1984, pp. From 2001 to 2003, he was with the Institut für
607–612. Höchstfrequenztechnik und Elektronik (IHE), Uni-
[6] T. Svantesson, “An antenna solution for mimo channels: the multimode versität Karlsruhe (TH), as a Research Assistant. He
antenna,” in Conf. Record 34th Asilomar Conf., vol. 2, 2000, pp. serves as a Lecturer for smart antennas and radar an-
1617–1621. tenna systems for the Carl Cranz Series for scientific
[7] O. K. Kim and J. D. Dyson, “A log-spiral antenna with selectable po- education. His research activities mainly focus on multiple input multiple output
larization,” IEEE Trans. Antennas Propagat., vol. AP-19, pp. 675–677, systems, smart antennas, small antennas, integration of antennas and vehicular
Apr. 1971. antennas for radar and mobile communications applications.
[8] R. G. Vaughan and J. B. Andersen, “Antenna diversity in mobile com-
munications,” IEEE Trans. Veh. Technol., vol. 36, no. 4, pp. 149–172,
July 1987.
[9] E. Gschwendtner and W. Wiesbeck, “Multi-service dual-mode spiral
antenna for conformal integration into vehicle roofs,” in Proc. IEEE
Int. Symp. Antennas and Propagation AP-S, vol. 3, Davos, Switzerland, Werner Wiesbeck (SM’87–F’94) received the Dipl.-
2000, pp. 1532–1535. Ing. (M.S.E.E.) and the Dr.-Ing. (Ph.D.E.E.) degrees
[10] R. G. Corzine and J. A. Mosko, Four-Arm Spiral Antennas. Norwood, from the Technical University of Munich, Munich,
MA: Artech House, 1990. Germany, in 1969 and 1972, respectively.
[11] T. T. Chu and H. G. Oltman, “The sinuous antenna,” Microwave Syst., From 1972 to 1983, he was with AEG-Tele-
News and Commun. Technol., vol. 18, pp. 40–48, 1988. funken in various positions including the Head of
[12] www.emss.de [Online] Research and Development, Microwave Division,
[13] K. I. Pedersen, P. M. Mogensen, and B. H. Fleury, “Spatial channel Flensburg, Germany, and Marketing Director in
characteristics in outdoor environments and their impact on BS antenna the Receiver and Direction Finder Division, Ulm.
system performance,” in Proc. IEEE Vehicular Technology Conf., 1998, During this period he had product responsibility for
pp. 719–724. millimeter-wave radars, receivers, direction finders
[14] K. Fujimoto and J. R. James, Mobile Antenna Systems Handbook. Nor- and electronic warfare systems. Since 1983, he has been Director of the Institut
wood, MA: Artech House, 1994. für Höchstfrequenztechnik und Elektronik (IHE), University of Karlsruhe,
[15] J. R. Pierce and S. Stein, “Multiple diversity with nonindependent Karlsruhe, Germany, where he is presently Dean of the Faculty of Electrical
fading,” in Proce. IRE, vol. 48, 1960, pp. 89–104. Engineering. In 1989 and 1994, respectively, he spent a six month sabbatical
[16] M. G. Douglas, M. Okoniewski, and M. A. Stuchly, “Performance of at the Jet Propulsion Laboratory, Pasadena. He serves as a Permanent Lecturer
pcs handset antennas in mobile environments,” in Proc. IEEE MTT-S for radar system engineering and for wave propagation For the Carl Cranz
Int. Microwave Symp. Dig., vol. 3, 1997, pp. 1759–1762. Series for Scientific Education. He is a Member of an Advisory Committee of
[17] J. B. Andersen and F. Hansen, “Antennas for VHF/UHF personal radio: a the EU-Joint Research Centre (Ispra/Italy), and he is an advisor to the German
theoretical and experimental study of characteristics and performance,” Research Council (DFG), to the Federal German Ministry for Research and to
IEEE Trans. Veh. Technol., vol. AP-26, pp. 349–357, 1977. industry in Germany. His research topics include radar, remote sensing, wave
[18] T. Taga, “Analysis for mean effective gain in mobile antennas in land propagation and antennas.
mobile radio environments,” IEEE Trans. Veh. Technol., vol. 39, pp. Dr. Wiesbeck has received a number of awards including the IEEE Mil-
117–131, 1990. lennium Medal. Since 2002, he has been a Member of the “Heidelberger
[19] T. Zwick, C. Fischer, and W. Wiesbeck, “A stochastic multipath channel Akademie der Wissenschaften.” He was a Member of the IEEE GRS-S AdCom
model including path directions for indoor environments,” IEEE J. Se- from 1992–2000, Chairman of the GRS-S Awards Committee from 1994 to
lect. Areas Commun., vol. 20, pp. 1178–1192, 2002. 1998, Executive Vice President IEEE GRS-S from 1998 to 1999, President
[20] C. Waldschmidt, T. Fügen, and W. Wiesbeck, “Spiral and dipole an- IEEE GRS-S from 2000 to 2002, Associate Editor IEEE TRANSACTIONS ON
tennas for indoor MIMO-systems,” Antennas Wireless Propagat. Lett., ANTENNAS AND PROPAGATION from 1996 to 1999, past Treasurer of the IEEE
vol. 1, no. 9, pp. 176–178, 2002. German Section. He has been General Chairman of the 1988 Heinrich Hertz
2
[21] J. W. Wallace and M. A. Jensen, “Characteristics of measured 4 4 and Centennial Symposium, the 1993 Conference on Microwaves and Optics
2
10 10 MIMO wireless channel data at 2.4 GHz,” in Proc. IEEE Symp. (MIOP ’93) and he has been a member of scientific committees of many
Antennas and Propagation, vol. 3, 2001, pp. 96–99. conferences.
1970 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Ground Influence on the Input Impedance of Transient


Dipole and Bow-Tie Antennas
Andrian Andaya Lestari, Alexander G. Yarovoy, Member, IEEE, and Leo P. Ligthart, Fellow, IEEE

Abstract—In this paper, the influence of a lossy ground on the numerically solved by the method of moments (MoM) using
input impedance of dipole and bow-tie antennas excited by a short the marching-on-in time approach. By neglecting end reflec-
pulse is investigated. It is shown that the ground influence on the tions in the time-domain solution, the input impedance is given
input impedance of transient dipole and bow-tie antennas is signif-
icant only for elevations smaller than 1 5 of the wavelength that by the high-frequency limit of the frequency-domain solution
corresponds to the central frequency of the exciting pulse. Further- obtained by Fourier transforming the mentioned time-domain
more, a principal difference between the input impedance due to solution. Unfortunately, when it comes to layered-medium
traveling-wave and standing-wave current distributions is pointed problems, well-suited Green’s functions in space-time domain
out. are not yet well documented. One of few developments of such
Index Terms—Bow-tie antenna, dipole antenna, input Green’s functions has recently been reported for analyzing the
impedance, transient antenna. response of a transient dipole in stratified media [6]. However,
layered-medium Green’s function formulations in space-time
I. INTRODUCTION domain which are directly applicable to surface-patch MoM
methodologies, are not yet widely reported.

D IPOLE and bow-tie antennas are employed in many


transient applications such as impulse ground penetrating
radar (GPR) for transmitting short transient pulses. The large
The numerical analysis carried out in this work is based on
the frequency-domain integral equation (FDIE) method, as the
methods of solution for problems with layered media in fre-
antenna bandwidth required to transmit such pulses with min- quency domain are already well established. The FDIE incor-
imal distortion (e.g., antenna ringing) is usually obtained by porates a layered-medium Green’s function and is numerically
the application of resistive loading [1], [2]. As resistive loading solved by a surface-patch MoM scheme for metallic nonwire
substantially reduces radiation efficiency [1], it is essential to structures, whereas wire structures are approximated by narrow
achieve maximum power transfer from the generator to the strips. The input impedance of the transient antennas is ob-
antenna, for which the input impedance of the antenna should tained by the Fourier transformation and a time-window tech-
be known. nique for excluding end reflections. An experimental analysis is
The input impedances of time-harmonic and transient an- performed to verify the computed results.
tennas are principally different since the former is due to
standing-wave current distribution, while the latter is due to
traveling-wave current distribution. Publications with regard to II. NUMERICAL METHOD
the input impedance of time-harmonic dipole and bow-tie an- The work reported in this paper is based on a frequency-
tennas near the ground are abundantly available in the literature. domain mixed-potential integral equation (MPIE) formula-
On the contrary, not much of the input impedance of transient tion. To account for the presence of the ground the dyadic
dipole and bow-tie antennas near the ground has been reported. Green’s function formulation C for layered-medium problems
In the free-space case, significant contributions were given by by Michalski and Zheng [7] is incorporated into the MPIE,
Wu [3] and Carrel [4] who presented analytical expressions of which is numerically solved by MoM according to the trian-
the input impedance of transient dipole and bow-tie antennas, gular surface-patch methodology introduced by Rao, et al. [8].
respectively. In this paper we analyze the input impedance of Computation time is minimized by employing the efficient
transient dipole and bow-tie antennas near a lossy ground. numerical implementation introduced in [9].
A numerical method to predict the input impedance of In this work the antennas are excited by a monocycle with
arbitrary metallic transient antennas in free space using the 0.8-ns duration shown in Fig. 1(a). In Fig. 1(b) its normalized
time-domain integral equation (TDIE) method has been spectrum is given. The central frequency of this pulse is about
demonstrated by Booker, et al. [5]. In their work the TDIE is 1 GHz and the dB levels are found at frequencies 424 MHz
and 1.670 GHz. It can be seen in Fig. 1(b) that the spectrum of
Manuscript received March 7, 2003; revised August 20, 2003. This work the exciting pulse is essentially contained within the 0–5 GHz
was supported by the Dutch Technology Foundation (STW) under the projects range.
“Improved Ground Penetrating Radar Technology” (1999–2000) and “Ad- In this paper, we develop a nonstraightforward numerical
vanced Re-Locatable Multisensor System for Buried Landmine Detection”
(2001–2002). method to predict the input impedance of a transient antenna in
The authors are with the International Research Centre for Telecommunica- four steps as follows.
tions-Transmission and Radar (IRCTR), Delft University of Technology, Delft,
The Netherlands (e-mail: a.lestari@irctr.tudelft.nl). 1) Antenna feed current is computed in the frequency
Digital Object Identifier 10.1109/TAP.2004.832371 domain with 1 Volt input voltage by means of the MoM
0018-926X/04$20.00 © 2004 IEEE
LESTARI et al.: GROUND INFLUENCE ON THE INPUT IMPEDANCE OF TRANSIENT DIPOLE AND BOW-TIE ANTENNAS 1971

Fig. 2. Setup for input impedance measurements.

in which is the value of the real or imaginary part of the


argument, and is the decay rate of the truncation process
that assumes values in the range . We have found
that typically the performance of (2) is optimal with
. Note that when (2) reduces to a rectangular time
window.
4) Finally, the input impedance of the transient antenna is
obtained as

(3)

III. MEASUREMENT TECHNIQUE


We perform input impedance measurements in frequency do-
main using a standard network analyzer. The antennas are situ-
ated horizontally over a lossy ground, which in this case is dry
sand. The measurements are carried out without an anechoic
chamber, and consequently the results are heavily disturbed by
reflections from surrounding objects. To deal with this, the mea-
surement results are inverse-Fourier transformed into time do-
main, after which use of time gating is made to remove those
unwanted reflections. The actual impedance of the antenna can
Fig. 1. Exciting pulse used in this work: (a) a monocycle with 0.8-ns duration be extracted afterwards by performing the Fourier transforma-
and (b) its normalized spectrum. tion of the results back to frequency domain.
Furthermore, to properly measure balanced loads such as the
scheme mentioned above. For obtaining time-domain so- antennas discussed here, a balun is required. However, since
lutions, the computations are performed at 100 frequency ultra-wideband baluns are difficult to produce and commer-
points from 50 MHz to 5 GHz with 50-MHz steps. cially available ones are expensive, baluns are not used in the
2) Exciting pulse function is synthesized directly from measurements. A technique to measure the input impedance
measurement of the 0.8-ns monocycle in Fig. 1(a), and used of balanced antennas without baluns introduced in [10] is here
as the excitation model in the computations. simplified. The antenna under test is fed using two identical
3) The feed current of the same antenna with infinite length 50-Ohm semi-rigid cables soldered together over their length,
(thus, no end reflections) is computed by means of the Fourier except for a small part near the ends where SMA connectors
transformation and a time-window technique for removal of are attached. Each of the inner conductors of the other ends
end reflections, which can concisely be written as is soldered to one of the antenna terminals in the way shown
in Fig. 2. The semi-rigid cables are connected by 50-Ohm
F W F (1) Sucoflex coaxial cables to the ports of the network analyzer,
which has been previously calibrated at the SMA connectors.
where is the normalized F is the discrete
Hence, the reflection coefficient at the SMA connectors is
Fourier transformation operator, F is the discrete inverse
given by
Fourier transformation operator, and W is the time-window
operator with smooth truncation process given by (4)
for the left end (2a) where and are the -parameters measured by the net-
for the right end (2b) work analyzer. Disturbances caused by unwanted reflections can
1972 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

be removed from (4) by means of a time-gating operation, which


can be described by

F W F (5)

in which the time-window operator W implements the trunca-


tion process in (2). Using the dielectric constant and the
insertion loss of the semi-rigid cables provided by the man-
ufacturer, the reflection coefficient at the antenna terminal can
then be written as

(6)

where is the phase constant which depends on is two


times the length of the semi-rigid cables and is given in dB/m.
Several available values of for different frequencies are inter- Fig. 3. Experimental dipole over dry sand. Length = 50 cm and wire diameter
polated to obtain the values of over the whole frequency range. = 2 mm.
Finally, the input impedance of the antenna is given by
perform time windowing in (1), which greatly reduces the oscil-
(7) lation of the impedance curve. In effect, this approach improves
the averaging process.
where is the characteristic impedance of the semi-rigid The computed and measured input impedances of the hori-
cables, which has a value of 100 Ohms due to the double-line zontal transient dipole in Fig. 3 with respect to the 0.8-ns mono-
configuration shown in Fig. 2. cycle as function of elevation above the sand are presented in
It is worth noting that antenna length is actually not important Fig. 4(a). The wire is modeled as a thin strip using the equiva-
for the input impedance of transient antennas. However, in the lent radius formula [12]. The result computed by the Numerical
above technique antenna length is important for computation Electromagnetics Code (NEC-2) is included for comparison. It
and measurement procedures, i.e., can be seen that in general the computations agree with the mea-
— to ensure separation in time between feed-point and surement. At the highest elevation the computed and measured
end reflections for time window application, values of the reactance are about 200 , in accordance with the
— to obtain adequate duration of the time window since result obtained using the expression given in [3]. For very small
a finite time window limits the lowest frequency at distances from the interface we observe that the result computed
which input impedance can be determined. by the triangular-patch MoM suffers from a slight discrepancy
In this work we use antennas with 50-cm length, which allows with the measurement. We notice that this discrepancy might be
application of a time window with 2-ns duration for excitation caused by the variation of the electrical length of the feed gap of
with the 0.8-ns monocycle. the experimental antenna when it approaches the ground. Such
a phenomenon is however not experienced by the delta-function
generator assumed in the triangular-patch MoM. The delta-gap
IV. ANALYSIS
model used by NEC, on the other hand, accommodates this phe-
As the input impedance of a transient dipole is frequency de- nomenon as it uses a feed segment with the same length as the
pendent [3], the input impedance is determined with respect to feed gap width of the experimental antenna. This leads to better
the exciting pulse using the averaging given by [11] agreement with the measurement for small distances from the
interface as shown in the figure. The result computed using the
commercial MoM code FEKO, which is based on the same tri-
(8) angular-patch MoM methodology, is also included. It can be
seen that generally agreement between our code and FEKO is
achieved. To further test the accuracy of our results, computa-
in which and are the frequencies which correspond to the tions are carried out using our code and FEKO for a 1-mm wire
lower and upper limits of the pulse spectrum, respectively, and diameter and the results are presented in Fig. 4(b), in which the
is the antenna input impedance. It has been indicated in results for a 2-mm diameter in Fig. 4(a) are also shown. It is
[11] that it is adequate to assume over the range demonstrated in Fig. 4(b) that agreement is generally achieved.
, and this is followed here with and cor- The observed slight discrepancy in reactance may be attributed
responding to the dB limits of the exciting pulse in Fig. 1. to different densities of the mesh generated by the codes, es-
Hence, in (8) can be interpreted as the input impedance pecially in the feed region of the antenna. Moreover, we note
with respect to the exciting pulse (the 0.8-ns monocycle). In this that agreement between the results for small elevations indicates
work in (8) is replaced with in (3). In this way, the accuracy of numerical evaluation of the layered-medium
(8) is improved because prior to using the averaging in (8) we Green’s function.
LESTARI et al.: GROUND INFLUENCE ON THE INPUT IMPEDANCE OF TRANSIENT DIPOLE AND BOW-TIE ANTENNAS 1973

Fig. 5. Input impedance of transient dipoles in free space for two different wire
diameters: analytical against numerical results. Analytical results are obtained
using [3]; numerical results are computed by our code.

one-dimensional integral equation. However, to this work the


main drawback of NEC-2 is that it renders inaccurate when
modeling antennas very close to the ground. In Fig. 4(a) NEC-2
computation is interrupted at 5-mm elevation because for lower
elevations the results become inaccurate. One of the advan-
tages of our triangular-patch MoM code is its capability of
modeling antennas touching the interface. In addition, it offers
flexibility for modeling metallic antennas of arbitrary shape.
In comparison with NEC-2 the obvious disadvantage of the
code when treating wire structures is its lower computation
efficiency since it employs a surface integral formulation.
To analyze the influence of a lossy ground on the input
impedance of the transient dipole we compute the input
impedance with respect to the 0.8-ns monocycle as func-
Fig. 4. (a) Input impedance of the transient dipole in Fig. 3 with respect to tions of antenna elevation for different ground types.
the 0.8-ns monocycle as function of elevation above the sand. (b) Comparison In particular, we assume the ground to be sandy soil
between this work and FEKO for two different wire diameters (1 and 2 mm). ( S/m), dry clay ( S/m),
wet clay ( S/m), and muddy soil
Additional proof of the accuracy of the numerical results is ( S/m). Furthermore, two different wire
given in Fig. 5 by comparison with analytical results, obtained diameters of 1 and 2 mm are assumed to investigate the influ-
using the theory in [3]. The input impedance of a transient dipole ence of the wire thickness on the results. The computed input
in free space is plotted for two different wire diameters, 1 and 2 resistance and reactance with respect to the 0.8-ns monocycle
mm. It can be seen that for sufficiently high frequencies gen- are plotted in Fig. 6, where it is evident that the presence of
erally agreement between numerical and analytical results is the ground significantly affects the impedance only for very
achieved. The observed slight discrepancy at high frequencies small distances from the interface. In Fig. 6 it is shown that,
may be explained by difference in the excitation models of the the ground influence is already very small at elevations higher
antenna. The theory in [3] assumes excitation from a coaxial than 6 cm for a wide range of ground types. Noting that the
feed system, while for excitation we use a delta-function gen- central frequency of the 0.8-ns monocycle is about 1 GHz
erator. The large discrepancy at low frequencies is due to the (corresponding to a wavelength of 30 cm), as a generalization
finite length of the time window, which imposes limitation on of the results one may state that the ground essentially affects
the lowest frequency at which accuracy of the result is ensured. the input impedance of a transient dipole only when the antenna
To obtain improved accuracy at lower frequencies one should elevation is smaller than of the wavelength that corresponds
use a longer antenna for allowing a longer time window. to the central frequency of the exciting pulse.
It is advisable to mention the advantages and disadvantages Evidently, wire diameter exhibits a considerable influence
of the used codes. The advantage of NEC-2 is the efficiency on the resistance as demonstrated in Fig. 6, which indicates
for handling wire structures as it employs thin-wire approx- that doubling the wire diameter from 1 to 2 mm reduces the
imation, which reduces formulation of the problem into a resistance by about 19%. It is also worth noting that for a very
1974 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 7. Computed input impedance of a transient bow tie as functions of


elevation above sandy soil for different flare angles.

is smaller than of the wavelength that corresponds to the


central frequency of the exciting pulse.

V. CONCLUSION
The influence of a lossy ground on the input impedance
of dipole and bow-tie antennas excited by a short pulse is
investigated. It is shown that the ground influence on the input
impedance of a transient dipole and bow-tie antennas is signif-
icant only for elevations smaller than of the wavelength
that corresponds to the central frequency of the exciting pulse.
Furthermore, it is shown that for a very close proximity to the
interface, the input resistance of a transient dipole decreases
Fig. 6. Computed input impedance of a transient dipole with respect to the as the dipole approaches the interface. This behavior is the
0.8-ns monocycle as functions of elevation for different ground types. opposite of the time-harmonic case, in which for very small
distances from the interface the input resistance increases as
close proximity to the interface, the input resistance decreases as the dipole is lowered.
the dipole approaches the interface. We note that this behavior
is the opposite of the time-harmonic case, in which for very ACKNOWLEDGMENT
small distances from the interface the input resistance increases
The authors thank P. Hakkaart for his assistance in the con-
as the dipole is lowered [13], [14]. This result indicates a
struction of the experimental antenna and J. Zijderveld for his
principal difference between traveling-wave and standing-wave
assistance in the measurements.
current distributions of transient and time-harmonic antennas,
respectively.
In this paper the input impedance of a transient bow-tie REFERENCES
antenna is computed as functions of elevation above the ground [1] T. P. Montoya and G. S. Smith, “A study of pulse radiation from several
for flare angles of 30 , 50 , and 70 . The computed input broad-band loaded monopoles,” IEEE Trans. Antennas Propagat., vol.
44, pp. 1172–1182, Aug. 1996.
impedance of a transient bow tie above sandy soil ( and [2] K. L. Shlager, G. S. Smith, and J. G. Maloney, “Optimization of bow-tie
S/m) with respect to the 0.8-ns monocycle is pre- antennas for pulse radiation,” IEEE Trans. Antennas Propagat., vol. 42,
sented in Fig. 7. We notice in the figure that for the three flare pp. 975–982, July 1994.
[3] T. T. Wu, “Input admittance of infinitely long dipole antennas driven
angles the value of the reactance at a 6-cm elevation is already from coaxial lines,” J. Math. Phys., vol. 3, pp. 1298–1301, 1962.
close to zero, which is the free-space value of the characteristic [4] R. L. Carrel, “The characteristic impedance of two infinite cones of ar-
reactance of a transient bow tie [4]. Moreover, by inspection of bitrary cross section,” IRE Trans. Antennas Propagat., vol. AP-6, pp.
197–201, Apr. 1958.
the result given in [4] it is found that that at a 6-cm elevation the [5] S. M. Booker, A. P. Lambert, and P. D. Smith, “A numerical calculation
resistance nearly assumes its free-space value. Hence, similar of transient antenna impedance,” in Proc. 2nd Int. Conf. Computation in
to the case of the transient dipole discussed previously it is Electromagnetics, 1994, pp. 359–362.
[6] A. G. Tijhuis and A. Rubio Bretones, “Transient excitation of a layered
shown that the ground essentially affects the input impedance dielectric medium by a pulsed electric dipole,” IEEE Trans. Antennas
of a transient bow-tie antenna only when the antenna elevation Propagat., vol. 48, pp. 1673–1684, Oct. 2000.
LESTARI et al.: GROUND INFLUENCE ON THE INPUT IMPEDANCE OF TRANSIENT DIPOLE AND BOW-TIE ANTENNAS 1975

[7] K. A. Michalski and D. Zheng, “Electromagnetic scattering and radia- Alexander G. Yarovoy (M’96) received the Diploma
tion by surfaces of arbitrary shape in layered media, part I: Theory, part (with honors) in radiophysics and electronics and
II: Implementation and results for contiguous half-spaces,” IEEE Trans. the Cand. Phys. & Math. Sci. and Dr. Phys. &
Antennas Propagat., vol. 38, pp. 335–352, Mar. 1990. Math. Sci. degrees in radiophysics, from Kharkov
[8] S. M. Rao, D. R. Wilton, and A. W. Glisson, “Electromagnetic scattering State University, Kharkov, Ukraine, in 1984, 1987,
by surfaces of arbitrary shape,” IEEE Trans. Antennas Propagat., vol. and 1994, respectively.
AP-30, pp. 409–418, May 1982. In 1987, he joined the Department of Radio-
[9] A. A. Lestari, A. G. Yarovoy, and L. P. Ligthart, “Numerical and ex- physics, Kharkov State University, as a Researcher
perimental analysis of circular-end wire bow-tie antennas over a lossy and became a Professor in 1997. From September
ground,” IEEE Trans. Antennas Propagat., vol. 52, pp. 26–35, Jan. 2004. 1994 through 1996, he was with the Technical
[10] K. D. Palmer and M. W. van Rooyen, “Simple broadband measurement University of Ilmenau, Germany, as a Visiting
of balanced loads using a network analyzer,” in CD-ROM Proc. Mil- Researcher. Since 1999, he has been with the International Research Centre
lenium Conf. Antennas Propagat. (AP-2000), Davos, Switzerland, Apr. for Telecommunications-Transmission and Radar (IRCTR), Delft University
2000. of Technology, Delft, The Netherlands, where he coordinates all GPR-related
[11] R. W. P. King and H. J. Schmitt, “The transient response of linear an- projects. His main research interests are in ultrawide-band electromagnetics,
tennas and loops,” IRE Trans. Antennas Propagat., vol. 10, pp. 222–228, wave scattering from statistically rough surfaces and penetrable obstacles and
May 1962. computational methods in electromagnetics.
[12] C. M. Butler, “The equivalent radius of a narrow conducting strip,” IEEE
Trans. Antennas Propagat., vol. AP-30, pp. 755–758, July 1982.
[13] G. Turner, “The Influence of subsurface properties on ground pene-
trating radar pulses,” Ph.D. dissertation, Macquarie University, Sydney,
NSW, Australia, 1993.
[14] C. J. Leat, N. V. Shuley, and G. F. Stickley, “Complex image model for
ground-penetrating radar antennas,” IEEE Trans. Antennas Propagat.,
vol. 46, pp. 1483–1488, Oct. 1998. Leo P. Ligthart (M’94–SM’95–F’02) was born in
Rotterdam, the Netherlands, on September 15, 1946.
He received the Engineer’s degree (cum laude)
and the Doctor of Technology degree from Delft
Andrian Andaya Lestari was born in Bogor, University of Technology, Delft, The Netherlands, in
Indonesia. He received the Ingenieur and Ph.D. de- 1969 and 1985, respectively, the Doctorates (honoris
grees in electrical engineering from Delft University causa) from Moscow State Technical University
of Technology, Delft, The Netherlands, in 1993 and of Civil Aviation, Moscow, Russia, in 1999, and
2003, respectively. the Doctorates (honoris causa) from Tomsk State
From 1993 to 1998, he was with a government University of Control Systems and Radioelectronics,
research agency in Jakarta, Indonesia. He joined Tomsk, Russia, in 2001.
the International Research Centre for Telecommu- Since 1992, he has held the Chair of Microwave Transmission, Radar and
nications-transmission and Radar (IRCTR), Delft Remote Sensing in the Department of Information Technology and Systems,
University of Technology, as a Researcher in 1998. Delft University of Technology, where in 1994, he became Director of the In-
His work at IRCTR has resulted in over 20 publica- ternational Research Centre for Telecommunications-Transmission and Radar.
tions, which include national and international patents, journal and conference His principal areas of specialization include antennas and propagation, radar
papers, and scientific reports. Currently he works on ultrawide-band antennas and remote sensing, but he has also been active in satellite, mobile, and radio
and numerical tools for transient antenna analysis. communications.
1976 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Adaptive Crossed Dipole Antennas Using a


Genetic Algorithm
Randy L. Haupt, Fellow, IEEE

Abstract—Antenna misalignment in a mobile wireless commu- and directivity of the receive and/or transmit antennas must be
nications system results in a signal loss due to a decrease in an- adaptively changed if the positions of the two antennas change.
tenna directivity and a polarization mismatch. A genetic algorithm Adaptive antennas usually place a null in the antenna pattern
(GA) is used to adaptively alter the polarization and directivity of a
crossed dipole receive antenna in order to increase the link budget. to reject interference or steer a beam toward a desired signal.
The three orthogonal dipole configuration works better than only Phased arrays have more than one antenna, so they are perfect
two crossed dipoles, but both improved the link loss as the angular for adapting their patterns. Adapting the polarization, however,
pointing errors increased. A GA with a high mutation rate works requires an antenna that can modify the major and minor axes
best for a noiseless open loop adaptation, while a GA with a low
of its polarization ellipse. Crossed dipoles are perfect for this
mutation rate works best for noisy fully adaptive system.
application.
Index Terms—Adaptive antenna, crossed dipole, genetic algo- The crossed dipole antenna has found use before in systems
rithm (GA), polarization, smart antenna.
requiring antennas that change their polarization. A wireless
communications system in a high multipath environment can
I. INTRODUCTION improve the link better through polarization diversity in the
form of crossed dipoles than through spatial diversity (antenna
I F ONE OR MORE of the antennas in a wireless commu-
nication system is mobile, then as the antennas move, the
direction of the peak gains and the polarization of the antennas
separation) [1]. A crossed dipole consists of two or three
orthogonal dipoles. When linearly polarized signals become
depolarized due to reflections, each dipole can receive the
change. As a result, the power received goes down. For instance,
electric field component parallel to it. Using three orthogonal
a wireless system that transmits vertical polarization has some
crossed dipoles has been experimentally shown to significantly
of its power converted to horizontal polarization as the signal re-
increase channel capacity of a wireless communication system
flects from the environment. Unless the receive antenna can de-
inside a building [2].
tect both polarizations, the received power decreases. Another
The polarization and directivity of a crossed dipole antenna
example is when a spacecraft orbits the earth; the antennas in
are easy to control. One dipole controls the electric field parallel
the communications system no longer align for optimum power
to it and the orthogonal dipoles control the electric fields par-
transfer. Antenna engineers design the antennas for maximum
allel to them. Each dipole has an independent complex weight.
directivity and polarization match when the antennas point at
Controlling the amplitude and phase of the signal at each dipole
each other. Both the directivity and polarization of an antenna
modifies the electric field amplitude and phase in orthogonal
change with angle. If the antennas do not point at each other,
directions resulting in any polarization from linear through el-
then the product of the receive and transmit antenna directivi-
liptical to circular. Modifying the amplitude and phase of the
ties goes down. The directivity loss coupled with the polariza-
signal at the dipoles also modifies the directivity of the antenna
tion mismatch reduces the received power.
as well.
An obvious solution to this problem is to keep the antennas
Adaptive crossed dipoles alter their polarization based upon
pointing at each other. Constantly maneuvering a spacecraft re-
environmental conditions. When a transmitted circularly polar-
quires an unacceptable expenditure of precious fuel, though.
ized millimeter wave passes through rain, it becomes elliptically
Steering the ground antenna is another option but only solves
polarized. The depolarization can be calculated if the rainfall
half of the problem, since the spacecraft might still be out of
rate is known. Reference [3] proposed an open loop adaptive
alignment. If the antenna is a phased array, then steering the
transmit antenna that adjusted its polarization based upon the
main beam maximizes the directivity but does not improve the
measured rainfall in the propagation path. In [4], a least mean
polarization mismatch.
square (LMS) algorithm adapted the polarization and pattern of
One way to improve the link budget is to adaptively change
a two element array of crossed dipoles to improve the signal to
the antenna polarization and directivity to maximize the power
interference plus noise ratio (SINR). As long as the desired and
transfer. In order to improve the link budget, the polarization
interference signals are not at the same angles and have the same
polarizations, the SINR was improved. In another paper, the
Manuscript received February 10, 2003; revised May 27, 2003. LMS algorithm was used to find amplitude and phase weights
The author was with the Utah State University, Electrical and Computer for three orthogonal dipole antennas in order to improve the
Engineering, Logan, UT 84322-4120 USA. He is now with the Applied SINR. This arrangement provided some rejection for interfer-
Research Laboratory, Pennsylvania State University, State College, PA 16804
USA (e-mail: haupt@ieee.org). ence signals for most angles of arrival and polarizations [5]. A
Digital Object Identifier 10.1109/TAP.2004.832493 previous paper presented results from adaptively adjusting the
0018-926X/04$20.00 © 2004 IEEE
HAUPT: ADAPTIVE CROSSED DIPOLE ANTENNAS USING A GA 1977

the crossed dipole current is the sum of the constant currents on


each short dipole

(1)

Substituting this current into the equation for the magnetic


vector potential for a short dipole yields

(2)

where
distance from the origin to the field point at ;
dipole length in the and directions;
radial frequency;
wave number;
permeability;
constant current in or direction.
In the far field, the electric field in rectangular coordinates is
found from the magnetic vector potential by
Fig. 1. Coordinate system for the crossed dipole transmit and receive antennas.
(3)
amplitude and phase of the current fed to one dipole while the
other dipole had an amplitude of one and phase of zero. The Nu- The transmitted electric field is given by
merical Electromagnetic Code generated the electromagnetic
response of the dipole antennas and a local optimizer performed
the optimization [6]. It was found that optimizing only for cir-
cular polarization produces losses in radiated power that offset Converting this rectangular form of the electric field into spher-
the polarization correction. An improvement in the power trans- ical coordinates produces the far field components
ferred increased up to a maximum of 2.0 dB at . Using
adaptive crossed dipoles at the transmitter and receiver was also
considered and further improved the model.
This paper expands upon a recent presentation that introduced (4)
the application of a genetic algorithm (GA) to adaptively change
the current fed to crossed dipole antennas in order to improve (5)
the link budget [7]. The dipole model consists of three orthog-
onal short dipoles with variable control of the phase and am- The directivity is given by
plitude fed to each element. A GA is used to maximize the
received signal by improving the directivity and polarization
match through weighting the currents at each dipole. Improve-
ments in the link budget of up to 6 dB are possible. (6)
and the polarization loss factor is
II. CROSSED DIPOLE MODEL
Satellite communications systems use circularly polarized
antennas for the satellite and the ground antennas. In this
paper, the circularly polarized antennas are modeled as crossed (7)
dipoles. Consequently, controlling the amplitude and phase of
the signals at the dipoles of the transmit and receive antennas,
modifies the directivity and polarization of both antennas. where with a perfect match. The
In this case, the crossed dipole has three orthogonal dipoles. and subscripts represent transmit and receive, respectively.
The receive antenna is located at an angle of from Equations (10) and (11) are key ingredients to the link budget.
the transmit antenna (Fig. 1). Similarly, the transmit antenna The examples presented here assume the earth station con-
is located at an angle of from the receive antenna. sists of a pair of orthogonal crossed dipoles in the plane
Maximum power transfer occurs when and . transmitting a circularly polarized field in the -direction. In-
In order to determine the directivity and polarization of the creasing toward the horizon transitions from circular polar-
antennas, the electric fields can be found from the currents on ization through elliptical until linear polarization results at the
the dipoles. If the dipoles are assumed to be short , horizon. In this paper, the transmit antenna has the following
1978 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 4. Circularly polarized crossed dipoles along the x and y axes. This is a
Fig. 2. Circularly polarized crossed dipoles along the x and y axes. This is a hemispherical plot of the directivity. Light color indicates high with a value in
hemispherical plot of the inverse axial ratio. Light color indicates high with a
0
value of 1 in the z -direction and a value of 0 in the x y plane.
0
the y -direction and a low value in the x y plane.

Fig. 5. Plot of the directivity versus the elevation angle.


Fig. 3. Plot of the inverse axial ratio versus the elevation angle.

currents: , , and . Fig. 2 shows a hemispher- crossed dipoles. Since the crossed dipoles have a maximum di-
ical plot and Fig. 3 a linear plot of the inverse axial ratio as a rectivity close to one, the directivities are not normalized in the
function of . White (at the poles) represents an inverse axial objective function. The maximum possible value of this fitness
ratio of one (circular polarization), while black (at the equator) function is approximately 2.25 or 3.5 dB.
is an inverse axial ratio of zero (linear polarization). Increasing There are several approaches to performing the adaptation.
also changes the antenna directivity as shown in Figs. 4 and With current technology, the most likely approach is to do an
5 from a maximum at 0 (white) to a minimum at 90 (black). open loop adaptation. The satellite uses various sensors to make
Compensating for the loss in directivity and polarization match it aware of its orientation. Once its orientation is known, then the
can improve the link budget by several decibels. dipole currents can be found from a lookup table of optimized
values, or the optimization could be done at that time. Noise and
III. GENETIC ALGORITHM OPTIMIZATION orientation errors limit the improvement possible. The other ap-
proach is a fully adaptive system capable of correcting for noise
In a wireless communications system, the goal is to maximize and system inaccuracies. This approach would be necessary for
the power transfer between the transmit and receive antennas. using the adaptive dipoles on another mobile system, such as an
The following fitness function calculates the portion of the link airplane, where the orientation and environment of the dipoles
budget relating to polarization and directivity from the ampli- quickly changes and cannot be predicted ahead of time.
tude and phase of the currents for each dipole: A continuous parameter GA was used to find the values of the
(8) amplitude and phase of the receive dipole currents that max-
imize (12). The GA has a population size of 8, mutation rate
where is the directivity of the transmit crossed dipoles in the of .2, single point crossover, and 50% replacement. This small
direction of the receive crossed dipoles, and is the directivity population size and high mutation rate results in a very fast con-
of the receive crossed dipoles in the direction of the transmit vergence as will be shown in the following section. The goal of
HAUPT: ADAPTIVE CROSSED DIPOLE ANTENNAS USING A GA 1979

Fig. 6. Average number of function calls needed to get the fitness above 3 for Fig. 8. In this case,  varies with time and  = 0. The receive antenna
various population sizes and mutation rates. consists of two crossed dipoles. The solid line results from adaptation and the
dashed line has no adaptation.

Fig. 7. Link is optimal when the two antennas face each other or  =  = 0.

the optimization process is to quickly improve the communica-


tions link, not necessarily find the global minimum. Fig. 6 shows
the results of optimizing (8) using a GA for population sizes be-
tween 8 and 32 and mutation rate between 0.1 and 0.2. No noise Fig. 9. In this case,  varies with time and  = 0. The receive antenna
was used in these runs. The plot is of the mean number of func- consists of three crossed dipoles. The solid line results from adaptation and the
dashed line has no adaptation.
tion calls to get (8) above 3 dB averaged over 50 independent
runs when the GA begins with a random population. A small
population size and large mutation rate produce the fastest con- is due to the reduction in the directivity and the PLF. If the cur-
vergence on average for the open loop adaptation. rents at each dipole are optimally weighted using the GA, then
the power loss follows the solid line in Fig. 8. This curve re-
sults from running the GA to find the optimum weights for a
IV. RESULTS
range of angles. The difference between the two curves is the
In all the examples presented here, the orientation of the link improvement. The link improvement is as much as 3 dB at
ground and satellite antennas are assumed to change with time . In this case, all the improvement is due to increasing
unless otherwise specified Fig. 7. Even though the distances the directivity of the receive antenna.
between the antennas would also change, this variation is Adding a third orthogonal dipole to the receive antenna pro-
ignored. As the orientations of the antennas vary with time, so vides another degree of freedom. Now, adapting the receive an-
do their directivity and polarizations in the directions of each tenna to the tracking transmit antenna results in no change in the
other. link budget as a function of (solid line in Fig. 9). The three
Assume that the transmit antenna (ground station) tracks the orthogonal dipoles can compensate for the change in directivity
satellite and the receive antenna (satellite) points at and polarization of the receive antenna as it moves. This sce-
the ground ( varies). The transmit antenna continues to de- nario produces up to 6 dB improvement in the link budget at
liver a circularly polarized signal at maximum directivity to .
the moving receive antenna. If the receive antenna consists of Another scenario has both two dipole antennas pointing
two crossed dipoles, then the maximum receive power transfer straight ahead (no tracking) while the satellite moves (
occurs when the receive antenna is directly overhead of the and change with time). Fig. 10 shows the improvement (solid
transmit antenna. If the receive antenna remains circularly po- line) possible through adaptation compared to the link loss with
larized as it moves, then the power received drops off at the rate no adaptation (dashed line). The link improvement is as much
shown by the dashed line in Fig. 8. The loss in power transfer as 3 dB at . Adding a third dipole produces even better
1980 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 10. In this case,  = vary with time. The receive antenna consists of two crossed dipoles. The solid line results from adaptation and the dashed line has
no adaptation.

Fig. 11. In this case,  = vary with time. The receive antenna consists of three crossed dipoles. The solid line results from adaptation and the dashed line has
no adaptation.

link improvement than the two dipole case, particularly at generation 21, the number of fitness function evaluations made
smaller angles (Fig. 11). The maximum improvement is 3 dB by this GA run is
at .
How fast can a GA adapt? If the receive antenna continuously
adapts as it moves, then only small perturbations are necessary
(9)
at each angle and the adaptation is very fast. As an example,
consider maximizing the link budget of the receive antenna with
three orthogonal dipoles at . If the adaptation starts A fitness function evaluation equates to a power measurement
with the optimal weightings at , then the solid curve in a real system. If the adaptation starts with the optimal weight-
in Fig. 12 results. In order to reach the steady state solution at ings at , then the dashed curve in results. Continuously
HAUPT: ADAPTIVE CROSSED DIPOLE ANTENNAS USING A GA 1981

Fig. 12. Typical link improvement versus generation for a three orthogonal dipole receive antenna at an angle of 50 . If the adaptation process is started with the
receive antenna at circular polarization (0 ), then the GA finds an optimum in 21 generations or about 100 power measurements (solid line). If the process starts
with the optimum dipole weights at 45 , then minimal adaptation is necessary (dashed line).

TABLE I
AVERAGE MAXIMUM AND MEAN OF THE POPULATION OVER 100
GENERATIONS FOR VARIOUS MUTATION RATES AND NOISE VARIANCES

Fig. 13. Performance of the GA when normally distributed noise is added to


=
the amplitude and phase of the currents fed to the dipoles ( 0 and  = 0:1).
The GA has a population size of 8 and mutation rate of 0.2.

adapting the signal results in constant incremental improvement


of the link. Even if the antenna must be adapted from circular
polarization, the GA quickly finds an acceptable solution. The
results are not dependent upon .
Noise was added to the currents of the dipoles of the transmit
antennas to see how well the GA performs in a noisy envi-
ronment. Using a population size of 8 and mutation rate of
0.2, a plot of the link improvement versus generation shows
ups and downs due to the random variations (Fig. 13). The
transmit dipole current amplitude and phase errors are normally
Fig. 14. Performance of the GA when normally distributed noise is added to
distributed with a mean and standard deviation given by the amplitude and phase of the currents fed to the dipoles ( = 0 and  = 0:1).
and . Note that the mean of the population has high The GA has a population size of 8 and mutation rate of 0.02.
variations due to the large mutation rate. Using a small mutation
rate of 0.02, results in a much lower variations in the mean mutation rate are lower. Consequently, when noise is included,
of the population (Fig. 14). Even though the higher mutation a lower mutation rate is more desirable. Table I shows that the
rate finds an optimal solution faster than the lower mutation average for the population mean over 100 generations is better
rate, the average power measurements associated with the high when the mutation rate is smaller.
1982 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

V. CONCLUSION
The received signal in a mobile communications system
loses strength due to a decrease in antenna directivity and polar-
ization mismatch. The current fed to a set of crossed dipoles can
be modified to increase the directivity and polarization match
between the transmit and receive antennas. Two orthogonal
dipoles can compensate for the loss in gain but not polarization.
Three adaptive orthogonal dipoles can fully restore the loss due
to loss in directivity and polarization mismatch if tracked by the
transmit antenna. A GA quickly adapts the receive antenna to
the transmitted signal. Three orthogonal dipoles provide more
improvement than just two orthogonal dipoles.

REFERENCES
Fig. 15. Performance of the GA when normally distributed noise is added to [1] A. Singer, “Space versus polarization diversity,” Wireless Review, pp.
=
the amplitude and phase of the currents fed to the dipoles ( 0 and  = 0:1) 164–168, Feb. 15, 1998.
[2] M. R. Andrews, P. P. Mitra, and R. deCarvalho, “Tripling the capacity of
and the satellite is moving 1 per generation. The GA has a population size of
8 and mutation rate of 0.2. wireless communications using electromagnetic polarization,” Nature,
vol. 409, pp. 316–318, Jan 18, 2001.
[3] R. E. Marshall and C. W. Bostian, “An adaptive polarization correction
scheme using circular polarization,” in Proc. IEEE Int. Antennas and
Propagation Society Symp., Atlanta, GA, June 1974, pp. 395–397.
[4] R. T. Compton, “On the performance of a polarization sensitive adaptive
array,” IEEE Trans. Antennas Propagat., vol. AP-29, pp. 718–725, Sept.
1981.
[5] , “The tripole antenna: an adaptive array with full polarization flexi-
bility,” IEEE Trans. Antennas Propagat., vol. AP-29, pp. 944–952, Nov.
1981.
[6] B. D. Griffin, R. Haupt, and Y. C. Chung, “Adaptive polarization
for spacecraft communications system,” presented at the Proc. IEEE
Aerospace Conf., Big Sky, MT, Mar. 2002.
[7] R. Haupt, “Adaptive crossed dipole antennas,” in URSI General As-
sembly, Maastricht, Netherlands, Aug. 2002.

Randy L. Haupt (M’82–SM’90–F’00) received the


B.S. degree in electrical engineering from the U.S.
Air Force Academy, U.S. Academy, CO, the M.S.
degree in engineering management from Western
New England College, Springfield, MA, in 1981,
Fig. 16. Performance of the GA when normally distributed noise is added to the M.S. degree in electrical engineering from
the amplitude and phase of the currents fed to the dipoles ( = 0 and  = 0:1) Northeastern University, Boston, MA, in 1983, and
and the satellite is moving 1 per generation. The GA has a population size of the Ph.D. degree in electrical engineering from the
8 and mutation rate of 0.02. University of Michigan, Ann Arbor, in 1987.
He was a Professor of electrical engineering at the
U.S. Air Force Academy and Professor and Chair of
In a fully adaptive system, the GA would also have to adapt Electrical Engineering at the University of Nevada - Reno. In 1997, he retired as
while the satellite moves. The next set of simulations used the a Lt. Col. in the U.S. Air Force. He was a Project Engineer for the OTH-B radar
and a Research Antenna Engineer for Rome Air Development Center. From
same error statistics as before and had the satellite move 1 per 1999 to 2003, he was Professor and Department Head of Electrical and Com-
generation. Fig. 15 shows the convergence curve when the mu- puter Engineering at Utah State University, Logan. He is currently a Senior Sci-
tation rate is 0.2. Again, the mean of the population has very entist at the Applied Research Laboratory, Pennsylvania State University, State
College. He has many journal articles, conference publications, and book chap-
high variations. Fig. 16 shows the convergence curve when the ters on antennas, radar cross section and numerical methods and is coauthor
mutation rate is 0.02. The smaller mutation rate is more desir- of the book Practical Genetic Algorithms, 2nd edition (New York: Wiley, May
able, because the variations in the population mean are small. A 2004). He has eight patents in antenna technology.
Dr. Haupt is a Member of Tau Beta Pi, Eta Kappa Nu, International Scientific
high mutation rate works best for a no noise environment, and a Radio Union (URSI) Commission B, and the Electromagnetics Academy. He
low mutation rate works best in the presence of noise. was the Federal Engineer of the Year in 1993.
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 1983

Modeling and Investigation of a Geometrically


Complex UWB GPR Antenna Using FDTD
Kwan-Ho Lee, Student Member, IEEE, Chi-Chih Chen, Member, IEEE, Fernando L. Teixeira, Member, IEEE,
and Robert Lee, Member, IEEE

Abstract—A detailed analysis of ultrawide-band (UWB), systems that exhibits low antenna-ground interaction. On the
dual-polarized, dielectric-loaded horn-fed bow-tie (HFB) an- other hand, most GPR antennas used for the detection of deep
tennas is carried out using the finite-difference time-domain targets are operated very close to the ground so that most of the
(FDTD) method. The FDTD model includes realistic features of
the antenna structure such as the feeding cables, wave launchers, energy is radiated into the ground to improve sensitivity. This
dielectric loading, and resistive-film loading. Important antenna configuration also minimizes radiation into the air to comply
characteristics that are usually difficult to obtain via measure- with the FCC regulations.
ments can be obtained more directly from this FDTD model. Since The characteristics of such GPR antennas while in field
the HFB antennas under consideration are intended for ground
penetrating radar (GPR) applications, the effects of the half-space operation are usually difficult to determine a priori because of
medium are also investigated. The simulated results serve to verify the large coupling with the environment. For instance, the input
the performance of the HFB antenna design, and to optimize impedance of the commonly used dipoles or flat bowtie dipoles
various antenna parameters. are directly affected by the electrical property of the particular
Index Terms—Bow-tie antenna, coaxial cable, dielectric loading, ground for antennas operated close to the surface. Moreover,
finite-difference time-domain (FDTD), ground penetrating radar the amount of energy coupled into the ground changes as the
(GPR), impedance, resistive, ultrawide-band (UWB). permittivity increases and hence the radiation patterns also
depend of the soil permittivity [11]–[13]. Hence, one major
I. INTRODUCTION disadvantage is that the antenna characteristics in the field
become dependent on the electrical properties of the ground

G ROUND PENETRATING RADAR (GPR) find appli-


cations in many areas such as geophysical prospecting,
archeology, civil engineering, environmental engineering, and
and surroundings. This also makes calibration more difficult. In
order to make antenna characteristics less susceptible to ground
characteristics, a new dielectric-loaded horn-fed bowtie (HFB)
defense technologies as a noninvasive sensing tool [1], [2]. antenna design was introduced in [7]. The HFB antenna was
One key component in any GPR system is the receiver/trans- designed to minimize the antenna ringing by: 1) employing a
mitter antenna(s). Desirable features for GPR antennas include stable and well matched surge impedance and 2) using specially
broadband operation, good impedance matching, and small designed tapered resistive loadings. Unlike most conventional
size. The frequency range of a GPR antenna is determined antennas, the surge impedance was designed to be less depen-
by the particular application and its relation to the nature dent on the ground property because the feed point is elevated
of the target, soil constitution, desired depth of penetration, off the ground. Low loss dielectric material was then used to
and inversion/classification method being used. For example, fill the space between the feed front and the ground surface to
the frequency of operation for detection and classification of reduce ground-surface reflections and increase the electrical
anti-tank and anti-personnel landmines is usually from 0.1 to height of the feed. Both single-polarized and dual-polarized
1 GHz [3] and from 1 to 6 GHz [4], [5], respectively. A good HFB antenna prototypes have been built and employed in actual
frequency range for detecting 6-inch drainage pipes is found applications.
to be from 100 to 400 MHz. For unexploded ordnance (UXO)
Due to its flexibility, the finite-difference time-domain
detection, the 10 800 MHz frequency range is often used [6],
(FDTD) method has been widely used in recent years for the
[7].
numerical simulation of GPR systems [14]–[17]. Some of the
For the detection of shallow objects where high sensitivity
previous studies have modeled GPR antennas as a series of
is not an issue, elevated antennas are often used for easier scan-
point sources or short dipoles with or without the presence of
ning and better antenna calibration. In particular, many antennas
conducting shields [18], [19]. In order to better characterize
used for detection of shallow landmines [5], [8], evaluation of
HFB antennas and to provide a more convenient tool for their
integrity of concrete [9] and soil hardness [10] are all elevated
design and optimization, a full-scale detailed three-dimensional
(3-D) FDTD model of a dual-polarized HFB prototype was
Manuscript received December 2, 2002; revised November 3, 2003. This developed in this work and simulated for GPR applications.
work was supported in part by the Department of Defense (DoD) Strategic En-
vironmental Research and Development Program (SERDP) Project 1122 by the To reduce the computational cost, a special partition scheme
National Science Foundation (NSF) under Grant ECS-0347502. [20] is adopted for the 3-D FDTD domain. This scheme divides
The authors are with ElectroScience Laboratory, Department of Electrical the whole inhomogeneous region into several small homo-
Engineering, The Ohio State University, Columbus OH, 43210 USA (e-mail:
lee.1333@osu.edu). geneous regions. In each homogeneous region, volumetric
Digital Object Identifier 10.1109/TAP.2004.832501 material property matrices are replaced by constants to save the
0018-926X/04$20.00 © 2004 IEEE
1984 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 1. Prototype of HFB antenna.

memory. This partition scheme for modeling the electrically HFB prototype was constructed in-house using multiple layers
large HFB antenna in the presence of ground also allows for of commercial window films [23]. These have various sheet
faster simulations on a personal computer. An anisotropic resistance for different percentage of light transmission. When
perfectly matched layer (APML) especially formulated for the multiple films are overlaid properly together, one can obtain
dielectric or lossy half spaces [16], [21], [22] is implemented. a desired resistivity profile with desired taper length. Fig. 1
This paper is organized as follows. The HFB antenna design illustrates how the tapered R-card was constructed for the HFB
is discussed in Section II. Section III describes the construction prototype.
of the FDTD model for the dual-polarized HFB design and the The objective of the resistive card is to reduce reflections by
performance of the resistive-film loading which is optimized gradually dissipating the currents propagating toward the end of
for a given length. Section IV presents various HFB antenna each antenna arm. This requires the resistivity on the R-card to
characteristics obtained from the FDTD simulations. be tapered from a small value to a large value along the antenna
arm. An exponential taper of the resistivity was adopted in the
II. BASIC DUAL-POLARIZED HFB ANTENNA DESIGN HFB prototype with a tapering shown as follows:
Fig. 1 illustrates the basic structure of the dual-polarized
(1)
UWB HFB antenna design. This is somewhat similar to a
planar bowtie dipole with the feed point being raised off the
ground. The feed section resembles that of a small transverse where is the initial sheet resistance of the
electromagnetic (TEM) horn except that it is filled with low R-card at the perfect electric conducting (PEC)/R-card inter-
loss dielectric material. Each antenna arm is smoothly curved in face, and is the sheet resistance at the far
the transition from the horn section to the planar bowtie dipole end of the R-card, is the length of the R-card, and
section. The ends of the dipoles are terminated with tapered is the distance along the R-card from the PEC arm.
resistive cards (R-card) to reduce antenna ringing.
B. Feed Section
A. Resistive Taper Section The feed section of HFB resembles a dual polarized TEM
Tapered R-cards have many useful applications for radia- horn except that the end of each antenna arm is curved outward
tion and scattering control [23]–[25], but commercial tapered gradually to be connected to the flat bowtie section, and the
R-cards are often expensive and have very limited choices internal space of the horn was filled with low loss dielectric
of tapering profile and taper length. The R-card used in the material. The geometry of the horn and the antenna arms was
LEE et al.: MODELING AND INVESTIGATION OF A GEOMETRICALLY COMPLEX UWB GPR ANTENNA USING FDTD 1985

Fig. 2. Dimension and computation domain partitioning of the fully polarimetric dielectric filled HFB antenna.

chosen based upon the tradeoff among the dielectric constant, end of the PEC arm is 63 cm in length and is implemented via a
size, weight, and cost. The objective was to obtain a surge conductive sheet. The ground was assumed to be a lossless half
impedance of 100 to match to the characteristic impedance space with relative permittivity of 5.
of the feeding twin-coaxial cables shown at the bottom of
Fig. 1 (each cable has a characteristic impedance of 50 ohms). A. Heterogeneous FDTD Domain Partition
Although tabulated characteristic (or surge) impedances for an The antenna geometry under study is very complicated and
infinite TEM horn with arbitrary geometry are available [26], resides in a complex environment. A traditional FDTD approach
[27], the exact impedance of a dual-polarization TEM horn to represent the geometry would require either the storage of the
with dielectric filling is complicated to obtain analytically. material properties for each cell or else a data organization sim-
The experimental data obtained from [28] was used during ilar to what is used in the finite element method, which would
the construction of HFB prototype. Note that the center of also require a significant amount of memory overhead. To mini-
each coaxial cable was connected to one antenna arm and mize the memory usage, we have adopted a partitioning scheme
each pair of the 50 coaxial cable feed one polarization. [20]. The FDTD domain is divided into blocks. The size and
A 0–180 broadband hybrid was used as a balun for each number of the blocks are judiciously chosen, so that the material
pair of cables. Accurate FDTD models recently constructed to properties within most of the blocks are homogeneous. Within
calculate the surge impedance for such an antenna geometry the code, the FDTD algorithm is computed in different ways,
are employed here [29]. The prototype to be analyzed here and based on the properties of the block, the appropriate FDTD
has a dielectric constant of 5. The plate angle of each antenna algorithm will be chosen. If the block is a perfect conductor, the
arm is 11.5 . The horn angle itself is approximately 150 . FDTD code will recognize this, and not perform any computa-
tions for that block. Thus, there is no need to store either the
fields or the material properties for that particular block. If the
III. FDTD MODEL DESCRIPTION
block is an homogeneous dielectric, the material properties are
A full scale model of the UWB HFB antenna prototype re- not treated as a function of the grid points within the block but
quires a minimum of space. A spatial instead represented just as a constant parameter. Thus only the
cell size of 6.3 mm was chosen to accurately model the geomet- field values need to be stored for each cell within that block. If
rical details of the antenna and cable structure [30]. This yields the block is an inhomogeneous dielectric, then the FDTD algo-
approximately 96 million unknowns. The FDTD grid is shown rithm used will assume a constant permeability and no conduc-
in Fig. 2. All dimensions in the model were chosen to be as close tivity. Thus, only the fields and permittivity must be stored for
to the actual prototype as possible. The four antenna arms were each cell. In our case, we divide the geometry into 196 blocks
modeled as PEC plates, and the curved edges and surfaces were with only five of the blocks being heterogeneous as demon-
approximated by staircases. Each tapered R-card attached to the strated in Fig. 2.
1986 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 3. Coaxial cable modeling in rectangular FDTD grid and the TEM current excitation scheme. (a) Top view, (b) side view, and (c) J (t).

B. Feed Cable Modeling


In the discretized FDTD model, each coaxial cable has a
square cross sectional area with a single-cell PEC wire sur-
rounded by four PEC walls. As shown in Fig. 3(a), a relative di-
electric constant of 1.5 is specified between the center wire and
the PEC walls. Each cable is terminated with perfectly matched
layer at one end and connected to the tip of an antenna arm at
the other end. A balanced excitation is introduced to the oppo-
site pair of cables to excite one antenna polarization as shown
in Fig. 3(a) and (b). The time history of the response is also
recorded at the excitation position to obtain reflection and trans-
mission data. The reflection data is obtained with the ex-
citation and observation points co-located in the same cable and
cross-coupling data is obtained with the observation point
located at the second cable. A differential Gaussian pulse is Fig. 4. Resistive card overlay configurations for the PEC launcher section
chosen as the time-domain excitation current (R = 300
= , R = 3
= ).

(2) single layer. This assumption is valid when is much greater


than the penetration depth but much smaller than the free space
where , and . wavelength [31].
These parameters for the Gaussian pulse are determined so as In addition to the exponential taper described in Section II-A,
to provide significant spectral energy in the frequency range of a linear taper with the following taper function was also inves-
10 to 800 MHz. Fig. 3(c) illustrates the pulse. tigated using the FDTD model as a comparison
C. Resistive Card Modeling (3)
In the FDTD model, the R-card is modeled as a single-cell
layer with a tapered conductivity corresponding to the de- where is the initial sheet resistance of the R-card
sired sheet resistance . Conductivity along the direction at the PEC/R-card junction, is the end sheet
is calculated by where is the thickness of resistance. The taper length is equal to that of the previous
LEE et al.: MODELING AND INVESTIGATION OF A GEOMETRICALLY COMPLEX UWB GPR ANTENNA USING FDTD 1987

Fig. 5. S , S , and surge impedance of the HFB antenna. (a) Reflection coefficient S and S and (b) antenna surge impedance.

exponential taper, i.e., 0.63 m. As it will be shown shortly, a the same design. and provide the co-polarized backscat-
linear taper provides a better performance, i.e., lower reflection tering data. provides the cross-polarized kscattering data.
at low frequency end, due to relatively short taper length with A calibration procedure was carried out in a similar manner as
respect to wavelength. A more detailed analysis on this aspect done in real measurement using “short” and “matched” (PML)
can be found in [29]. Fig. 4 plots the linear resistive taper as well reference loads at the end of the feed cables
as its position relationship with respect to the antenna arm. The
lateral edges of the R-card were kept aligned to the edges of the
PEC arms to avoid undesired diffractions (see Fig. 1).
(4)
IV. CHARACTERISTICS OF DUAL-POLARIZED HFB In the above, is the response obtained with the coaxial
ANTENNA DESIGN cables connected to the antenna, is the response obtained
with the coaxial cables connected to matched load, is the
A. & and Input Impedance response obtained when the coaxial cables are shorted at the end
The simulated and measured reflection and transmission co- with a conducting wire, is the response obtained at coaxial
efficients, and , of the HFB design are compared in cable 2 with antenna connected when the excitation is applied
Fig. 5(a). Note that the antenna is located on the surface of a half to cable 1, and is the incident wave.
space with a dielectric of 5, corresponding to the dry sand in re- It is observed that the both linear and exponential taper have
ality. The is similar to since the both antenna arms have similar performance at frequency above 0.3 GHz where the
1988 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 7. Reflected (E ) field in time domain for HFB antennas with different
Fig. 6. Comparison of reflected electric field difference with various ground
profiles.
resistive card overlay configurations and using same conductivity profile.

taper length becomes comparable or longer than one wave-


length (considering dielectric constant of 5). It is also observed
that the linear taper produces lower reflection level than the
exponential taper at frequencies below 0.1 GHz. Overall, the re-
flection level is less than 10 dB above 0.05 GHz. This verifies
broadband characteristic of the HFB design. The measured
data is found to be on average 10 dB higher than that predicted
from the simulation. This difference is most likely caused by
the asymmetry of the construction of prototype antenna arms
and the feed structure. Good agreement between the measure-
ment and simulation is the result of the geometrical fidelity
between of the FDTD numerical model and the prototype,
including the R-card geometry, conductive plates, dielectric
filling and coaxial cable feed modeling. However, the prototype
measurement introduces additional environmental variables
Fig. 8. Comparison of co-polarized (E ) reflected field in time domain from
more difficult to control such as ground loss, slight asymmetry
of the antenna arm design due to hand-made fabrication, and HFB antenna with the different resistive cards (R ).
discrepancies between the equivalent conductive single layer
R-card used in the FDTD model and the thin film R-card
agrees with the significant variations shown in the data near 1.5
conductivity value.bac
ns position. Most importantly, the first reflection peak arising
The surge impedance can also be calculated from the as
from the feed point remain unaffected by the ground property,
shown in (5), often applying a time gate to keep only the first
as desired.
peak associated with the feed point near 0 ns position as shown
in Fig. 6 C. R-Card Performance Investigation
We investigate two parameters that play an important role in
(5)
minimizing reflections from the truncated antenna arms. The
first parameter is the overlay distance between the PEC and
where is the characteristic impedance of the twin-coaxial R-card. In the actual HFB prototype, a 5 cm overlay was used to
cable. The resultant surge impedance is shown in Fig. 5(b). For allow the electromagnetic energy to be coupled into the R-card
most of the band , the surge section because the R-card was coated with a protective insu-
impedance is found to be within range, as desired. lator and could not have a direct electrical contact with the an-
tenna arm. The second parameter is the far-end resistance value
B. Ground Effect that affects the tapering rate of the R-card. If the taper is done too
In order to see how the ground properties affect the surge rapidly, undesired diffractions would be produced by the R-card.
impedance of the HFB design, four different ground dielectric On the other hand, if the taper is too slow, the far-end reflection
constants: 5, 7, 9, and 11 are simulated. Fig. 6 shows the re- may still be too strong.
flected field from 0 to 3 ns. The height of the antenna feed above To investigate the effect of PEC and R-card overlay distances,
the ground is equal to 0.1 m. This causes the reflection from the following three cases were simulated as shown in Fig. 4. In
the ground surface to be delayed by approximately 1.5 ns since case 1 through 3, the overlay distances are 11.3, 5, and 0 cm,
the antenna dielectric filler has a relative permittivity of 5. This respectively. The simulated reflection responses are plotted in
LEE et al.: MODELING AND INVESTIGATION OF A GEOMETRICALLY COMPLEX UWB GPR ANTENNA USING FDTD 1989

Fig. 9. Snap shots from FDTD simulation for E field strength in dB scale where R = 300
= . (a) t = 7:4539 ns with R-card attached-(dB) scale;
(b) t = 7:4539 ns without R-card-(dB) scale; (c) t = 13:0954 ns with R-card attached-(dB) scale; (d) t = 13:0954 ns without R-card-(dB) scale.

Fig. 7. As expected, the overlay distance of the tapered R-card R-card attached to the HFB antenna arms. Without the R-card,
affects the reflection at the PEC end. Note that the R-card in the significant diffraction and reflection at the end of the PEC arms
overlay section is shorted out by the PEC, this section would are observed. The reflected fields later propagate back to the
have an effective resistance of zero regardless of the R-card observation point inside the cables as shown in Fig. 9(b). On
value. The larger geometric discontinuity in Case 3 provides the the other hand, the R-card extension significantly reduces the
stronger junction reflection observed in the figure. Case 1 and 2 diffraction and reflection at the ends as depicted in Fig. 9(a) and
provide a smoother transition and result in a 35 dB reflected lowers the antenna ringing by approximately 20 dB. Note that
field at the end of the R-card. Based on the simulations, we con- the signals that propagate back to the feed point are partially re-
cluded that a linear-tapered R-card with either a 11.3 or 5 cm flected due to the imperfect matching. This reflected fields gen-
overlay at the PEC/R-card does the best job of suppressing the erate the secondary reflection. This process repeats and becomes
reflections. the well known “antenna ringing” effect, a major clutter source
To optimize the choice of , values of 100, 200, 300, and in GPR measurements.
400 were implemented and simulated separately. From the
reflected field observed at the feed point, the amount of end- E. Radiated Field Distribution & Polarization
reflection suppression was compared as shown in Fig. 8, where The near-field radiation characteristics are investigated next.
late time (after 20 ns) antenna reflections can be observed. These Fig. 10 depicts the simulated horizontal co-polarized and cross-
results indicate that provides the maximal polarized field distributions at a plane 40 cm below the antenna
suppression of the arm end reflections. aperture, (corresponding to the ground surface plane), at the
center frequency of 400 MHz. The cases with and without the
D. Antenna Ringing R-card are also plotted for comparison. The fields are nearly
Fig. 9 compares snapshots of the instantaneous field dis- linearly polarized in the principal planes. The results with the
tribution in the vertical (or ) plane with and without the R-card clearly show a more uniform distribution, because the
1990 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 10. Comparison of co- and cross-polarized aperture field distributions at f = 400 MHz, depth z = 40 cm or 0.53  ,R = 300
= in R-card.
(a) Co-polarized field with R-card, (b) cross-polarized field with R-card, (c) co-polarized field without R-card, and (d) cross-polarized field without R-card.

diffracted fields from the antenna arm ends modify the radiated HFB antenna was calculated from the reflection coefficients
fields that otherwise would have been close to simple spherical and was found to be approximately 100 ohms over the entire
wavefronts. The more uniform field distributions simplify the frequency band of interest. This result confirms the broadband
subsequent signal processing and inverse problem and improve characteristic of the HFB design. The FDTD model also provided
the overall detection/classification capabilities of a GPR system. useful visualization of dynamic field distributions that can
As the observation point moves away from the principal help identify undesired radiations and reflections sources. The
planes, the level of depolarization increases and reaches a near-field distributions of the co-polarized and cross-polarized
maximum of approximately 12 dB between the two antenna fields were examined. This information is particularly useful
polarizations. This is, of course, due to the spherical nature in GPR applications where the depth of the target is unknown.
of the wavefront. We note that the cross-polarized field levels Overall, the simulated results confirm that the optimized HFB
with the R-card present are a little bit higher. This again may antenna design is a very attractive choice for broadband, fully
be caused by distributed diffractions along the resistive cards. polarimetric GPR applications.

V. CONCLUSION ACKNOWLEDGMENT

In this work, a detailed FDTD model was used to incorporate The authors acknowledge the reviewers for their helpful
realistic features of UWB HFB antennas such as feeding comments.
cables, dielectric loading and tapered resistive terminations. The
FDTD model is flexible enough to model different geometries, REFERENCES
structures, and materials for both the antenna and the ground [1] L. Peter Jr, J. D. Young, and J. Daniels, “Ground penetration radar
medium. Fully-polarimetric simulations were performed to as a subsurface environmental sensing tool,” Proc. IEEE, vol. 82, pp.
obtain the radiation characteristics of HFB antennas over a broad 1802–1822, Dec. 1994.
[2] S. Agosti, G. G. Gentili, and S. Spagnolini, “Electromagnetic inversion
frequency range. A parametric study on the effect of the resistive of monostatic GPR: application to pavement profile,” in Proc. Int. Conf.
taper of the R-card termination was also performed. It was Electromag. Adv. Applicat. (ICEAA’97), 1997, pp. 491–494.
found that a linear taper performs better than the commonly [3] L. C. Chan, D. L. Moffatt, and L. Peters Jr., “A characterization of sub-
surface radar targets,” Proc. IEEE, vol. 67, pp. 91–110, July 1979.
used exponential taper for short taper length. It was also [4] C.-C. Chen, S. Nag, W. Burnside, J. Halman, K. Shubert, and L. Peters
found that a proper overlapping between the PEC and R-card Jr, “A stand-off, focused-beam land mine radar,” IEEE Trans. Geosci.
improves the transition and reduces the diffraction at the end Remote Sensing, vol. 38, pp. 507–514, Jan. 1998.
[5] C.-C. Chen, K. R. Rao, and R. Lee, “A new ultra-wide bandwidth dielec-
of PEC. The R-card termination also significantly reduces tric rod antenna for ground penetrating radar applications,” IEEE Trans.
the undesired antenna ringing. The surge impedance of the Antennas Propagat., vol. 51, pp. 371–377, Mar. 2003.
LEE et al.: MODELING AND INVESTIGATION OF A GEOMETRICALLY COMPLEX UWB GPR ANTENNA USING FDTD 1991

[6] C.-C. Chen and L. Peters Jr, “Buried unexploded ordnance identification Kwan-Ho Lee (M’02) received the B.S. degree from
via complex natural resonances,” IEEE Trans. Antennas Propagat., vol. the Department of Radio Science and Engineering,
45, pp. 1645–1654, Nov. 1997. Kwangwoon University, Seoul, Korea, in 1997 and
[7] C. C. Chen, B. Higgins, K. O’Neil, and R. Detsch, “Ultrawide-band- the M.S. degree in electrical engineering from The
width fully-polarimetric ground penetrating radar classification of sub- Ohio State University, Columbus, in 1999, where he
surface unexploded ordnance,” IEEE Trans. Geosci. Remote Sensing, is currently working toward the Ph.D. degree.
vol. 39, pp. 1259–1270, June 2001. Since 1997, he has been a Graduate Research
[8] T. P. Montoya and G. S. Smith, “Land mine detection using a ground- Associate at the ElectroScience Laboratory, De-
penetrating radar based on resistively loaded vee dipoles,” IEEE Trans. partment of Electrical Engineering, The Ohio State
Antennas Propagat., vol. 47, pp. 1795–1806, Dec. 1999. University. His research interests include com-
[9] J. Hugenshmidt, “A one-to-one comparison between radar results and putational electromagnetics, ultrawide-bandwidth
reality on a concrete bridge,” in Proc. 9th Int. GPR Conf., vol. SPIE- antenna development, subsurface target detections and classifications, RF
4758, May 2001, pp. 427–432. circuits and object oriented programming.
[10] M. Higgins and C.-C. Chen, “Nondestructive evaluation of soil hardness
using elevated focused-beam radar,” in Proc. 9th Int. GPR Conf., vol.
SPIE-4758, May 2001, pp. 54–57.
[11] M. Moghaddam, W. C. Chew, B. Anderson, E. Yannakis, and Q. H. Liu, Chi-Chih Chen (S’92–M’97) was born in Taiwan,
“Computation of transient electromagnetic waves in inhomogeneous R.O.C., in 1966. He received the B.S.E.E. degree
media,” Radio Sci., vol. 26, pp. 265–273, Jan. 1991. from the National Taiwan University, Taiwan,
[12] S. J. Radzevicius, J. J. Pariels, and C.-C. Chen, “GPR H-Plane Antenna R.O.C., in 1988 and the M.S.E.E. and Ph.D. degrees
Patterns for a horizontal dipole on a half space interface,” in Proc. 8th from The Ohio State University, Columbus, in 1993
Int. GPR Conf., vol. SPIE-4084, Gold Coast, Australia, June 2000. and 1997, respectively.
[13] C. C. Chen and J. D. Young, “Unfurlable folded-dipole UWB antenna He joined the ElectroScience Laboratory, The
for mars explorer subsurface sensing,” in Proc. 8th Int. GPR Conf., vol. Ohio State University, as a Postdoctoral Researcher
SPIE-4084, Gold Coast, Australia, Jun. 2000. in 1997 and became a Senior Research Associate in
[14] M. Moghaddam, E. J. Yannakakis, W. C. Chew, and C. Randoll, “Mod- 1999. His main research interests include the ground
eling of the subsurface interface radar,” J. Electromag. Waves Applicat., penetrating radar, UWB antenna designs, radar target
vol. 5, pp. 17–39, 1991. detection and classification methods, automobile radar systems. In recent years,
[15] J. M. Bourgeois and G. S. Smith, “A fully three-dimensional simula- his research activities have been focused on the detection and classification of
tion of a ground-penetrating radar: FDTD theory compared with exper- buried landmines, unexploded ordnance and underground pipes.
iment,” IEEE Trans. Geosci. Remote Sensing, vol. 34, pp. 36–44, 1996. Dr. Chen is a Member of Sigma Xi and Phi Kappa Phi.
[16] K. R. Rao, K. H. Lee, C. C. Chen, and R. Lee, “Application of full-
polarmetric ground penetration radar for buried UXO Classification,”
The Ohio State Univ., ElectroSci. Lab., Tech. Rep. 738 520-1, Feb. 2001.
[17] K.-H. Lee, N. V. Venkatarayalu, and C.-C. Chen, “Numerical modeling Fernando L. Teixeira (S’89–M’93) received the
development for characterizing complex gpr problems,” in Proc. Int. B.S. and M.S. degree in electrical engineering from
GPR Conf., vol. SPIE-4758, May 2002, pp. 625–652. the Pontifical Catholic University of Rio de Janeiro
[18] F. L. Teixeira, W. C. Chew, M. Straka, M. L. Orstaglio, and T. Wang, “Fi- (PUC-Rio), Brazil, in 1991 and 1995, respectively,
nite-difference time-domain simulation of ground penetrating radar on and the Ph.D. degree in electrical engineering from
dispersive inhomogeneous, and conductive soils,” IEEE Trans. Geosci. the University of Illinois at Urbana-Champaign, in
Remote Sensing, vol. 36, pp. 1928–1937, Nov. 1998. 1999.
[19] L. Gurel and U. Oguz, “Three-dimensional FDTD modeling of a ground From 1999 to 2000, he was a Postdoctoral Re-
penetrating radar,” IEEE Trans. Geosci. Remote Sensing, vol. 38, pp. search Associate with the Research Laboratory of
1513–1521, Jul. 2000. Electronics, Massachusetts Institute of Technology
[20] J. Nehrbass, “Physics based partitioning,” in Proc. 26th General As- (MIT), Cambridge. Since 2000, he has been an
sembly for URSI, Ontario, Canada, Aug. 2000. Assistant Professor at the ElectroScience Laboratory (ESL) and the Depart-
[21] F. L. Teixeira and W. C. Chew, “Finite-difference simulation of transient ment of Electrical Engineering, The Ohio State University, Columbus. His
electromagnetics fields for cylindrical geometries in complex media,” current research interests include analytical and numerical techniques for wave
IEEE Trans. Geosci. Remote Sensing, vol. 38, pp. 1530–1543, July 2000. propagation and scattering problems in communication, sensing, and devices
[22] K.-H. Lee, N. Venkalayalu, C.-C. Chen, F. L. Teixeira, and R. Lee, “Ap- applications. He has edited one book Geometric Methods for Computational
plication of full-polarmetric ground penetration radar for buried UXO Electromagnetics (PIER 32, EMW: Cambridge, MA, 2001), and has published
Classification (II),” The Ohio State Univ., ElectroSci. Lab., Tech. Rep. over 30 journal articles and 50 conference papers in those areas.
778 520, May 2002. Dr. Teixeira is a Member of Phi Kappa Phi. He was awarded the Raj Mittra
[23] C. Handel, I. J. Gupta, and W. D. Burnside, “Low frequency modification Outstanding Research Award from the University of Illinois, and a 1998 MTT-S
of a dual chamber compact range,” The Ohio State Univ., ElectroSci. Graduate Fellowship Award. He received paper awards at 1999 USNC/URSI
Lab., Tech. Rep. 732 264, Sep. 1997. National Symposium (Orlando, FL), and received a Young Scientist Award at
[24] L. Chaung, T. Chang, and W. D. Burnside, “An ultrawide-bandwidth the 2002 URSI General Assembly. He was the Technical Program Coordinator
tapered resistive TEM horn antenna,” IEEE Trans. Antennas Propagat., of the Progress in Electromagnetics Research Symposium (PIERS), Cambridge,
vol. 48, pp. 1848–1857, Dec. 2000. MA, in 2000.
[25] M. S. A. Mahmoud, T.-H. Lee, and W. D. Burnside, “Enhanced com-
pactrange reflector concept using an R-card fence: two-dimensional
case,” IEEE Trans. Antennas Propagat., vol. 49, pp. 419–428, Mar.
2001. Robert Lee (M’92) received the B.S.E.E. degree in
[26] F. C. Yang and K. S. H. Lee, “Impedance of a Two-Conical-Plate Trans- 1983 from Lehigh University, Bethlehem, PA, and the
mission Line,” Tech. Rep., Sensor and Simulation Company, Nov. 1976. M.S.E.E. and Ph.D. degree in 1988 and 1990, respec-
[27] H. M. Shen, R. W. P. King, and T. T. Wu, “V-conical antenna,” IEEE tively, from the University of Arizona, Tucson.
Trans. Antennas Propagat., vol. 36, pp. 1519–1525, Nov. 1988. From 1983 to 1984, he worked for Microwave
[28] C. C. Chen, “A new ground penetrating radar antenna design—the Semiconductor Corporation, Somerset, NJ, as a
horn-fed bowtie (HFB),” in Proc. Antenna Measurement Techniques Microwave Engineer. From 1984 to 1986, he was
Association (AMTA) Symp., Nov. 1997, pp. 67–74. a Member of the Technical Staff, Hughes Aircraft
[29] N. Venkatarayalu, C.-C. Chen, F. L. Teixeira, and R. Lee, “Modeling Company, Tucson, AZ. From 1986 to 1990, he was
of ultrawide-band dielectric horn antennas using FDTD,” IEEE Trans. a Research Assistant at the University of Arizona.
Antennas Propagat., vol. 52, pp. 1318–1323, May 2004. During summer 1987 through 1989, he worked at
[30] A. Taflove, Computational Electrodynamics. Norwood, MA: Artech Sandia National Laboratories, Albuquerque, NM. Since 1990, he has been
House, 1995. at The Ohio State University, where he is currently a Professor. His major
[31] T. B. A. Senior, “Approximate boundary conditions,” IEEE Trans. An- research interests are in the development and application of numerical methods
tennas Propagat., vol. 29, pp. 826–829, Sept. 1981. for electromagnetics.
1992 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Radiation Properties of an Arbitrarily Flanged


Parallel-Plate Waveguide
Dao Ngoc Chien, Student Member, IEEE, Kazuo Tanaka, Member, IEEE, and Masahiro Tanaka, Member, IEEE

Abstract—The radiation properties of an arbitrarily flanged par- (GMEIEs). We derive GMEIEs for the problems of dielectric
allel-plate waveguide are investigated by means of the boundary filled and unfilled PPW having an arbitrarily flanged surface.
integral equations that are called guided-mode extracted integral By treating these problems, we can easily understand the ad-
equations. The boundary integral equations derived in this paper
can be solved by the conventional boundary-element method. Nu- vantages of GMEIEs compared with other techniques proposed
merical results are presented for a number of cases of flanged par- before. Since the method in this paper does not employ any
allel-plate waveguide. Reflection coefficient, reflected and radiated approximation, the results are accurate in principle. The numer-
powers as well as radiation patterns are numerically calculated for ical results of computer simulations are presented, in which,
the incidence of transverse electric guided-mode wave. the reflection coefficient, the reflected and radiated powers as
Index Terms—Boundary-element method (BEM), boundary well as the radiation pattern are calculated numerically for the
integral equations (BIE), electromagnetic radiation, numerical incidence of TE guided-mode wave. The results are compared
analysis, parallel-plate waveguides (PPW). with those reported in the literature, and are confirmed by the
law of energy conservation.
I. INTRODUCTION
II. PPW WITH AN ARBITRARILY FLANGED SURFACE
T HERE has been remarkable progress in the development
of communication systems over the last decade. Signif-
icant improvements in noise figure, gain, output power, and
A. Formulation of the Reflection Coefficient in Terms of
GMEIEs
efficiency have been achieved at millimeter-wave frequencies. Consider a dielectric filled PPW of width having a tilted
However, the demand of the wireless broadband communi- flange surface radiating into a free space as shown in Fig. 1(a).
cation at millimeter-wave frequency recently increases with The dielectric is with refractive index of . The waveguide is
activities of digital multimedia-contents circulation. One of assumed to be satisfied the single-mode condition.
the problems of millimeter-wave communication is the large Referring to Fig. 1(d), we denote the actual boundaries (solid
transmission loss in free space. For instance, the transmission lines) of the waveguide by – . The boundary (dotted
loss of the signal at 60 GHz frequency for 5 m distance be- line) does not express an actual boundary, but rather express a
tween transmitter and receiver is about 82 dB [1]. Therefore, virtual boundary. The whole space is assumed to be magneti-
the antenna with high output radiation power is required to cally homogeneous with a magnetic permeability
compensate the large transmission loss. H/m. In the following analysis, a harmonic time depen-
The flange-shaped parallel-plate waveguide (PPW) is known dence is supposed and suppressed for the electromag-
well as a fundamental structure extensively used for electro- netic field quantities, the free-space wave number is denoted by
magnetic wave radiation (as, e.g., in feed horns, flush-mounted , where is the velocity of light in a vacuum. Since
antennas, etc.). So far, even though a closed-form solution to the waveguide is assumed to be infinite-extended in the -direc-
the problem of the flanged PPW radiation is unavailable, the tion, all field quantities are independent of (i.e., )
waveguide-radiation behavior has been well understood using and thus the electromagnetic field can be decomposed in terms
a number of numerical techniques and approximate theories of TE mode.
[2]–[13]. However, since most of the studies have based on the To derive GMEIEs, we assume that a dominant guided-
approximation solution, the presented results have restricted to mode wave is incident upon the aperture in the tilted flange sur-
the problem of perpendicularly flanged PPW. As far as we know, face from inside of the waveguide. Since the electric fields have
no one has reported to the problem of an arbitrarily flanged PPW only a -component under the above-mentioned condition, we
that expects to give high output radiation power. denote the electric fields of the -component by
In this paper, the radiation properties of an arbitrarily
flanged PPW are investigated by the boundary-element method (1)
(BEM) based on the guided-mode extracted integral equations
in the coordinate systems and , as shown in
Fig. 1(a). The incident guided-mode wave , the reflected
Manuscript received July 9, 2003. The work of D. N. Chien was supported
by the Rotary Yoneyama Memorial Foundation, Inc., Japan, under a Yoneyama guided-mode wave , and the radiated wave are
Scholarship. used to express electric field quantities.
The authors are with the Department of Electronics and Computer Engi- We first consider the case in which an observation point
neering, Gifu University, Gifu 501-1193, Japan (e-mail: chien@tnk.info.gifu-
u.ac.jp). is in the region surrounded by the boundary
Digital Object Identifier 10.1109/TAP.2004.832323 . From Maxwell’s equations and Green’s theorem,
0018-926X/04$20.00 © 2004 IEEE
CHIEN et al.: RADIATION PROPERTIES OF AN ARBITRARILY FLANGED PPW 1993

where denotes the derivative with respect to the unit


normal vector to boundary C as shown in Fig. 1(d). The
boundary condition of perfect electric conductor, on
, is enforced in the process of deriving
(2). In (2), represents Green’s function in free space,
whose refractive index is given by , and it is expressed as

(3)

with denotes the zeroth-order Hankel function of


the second kind. As can be seen, it is difficult to solve the
boundary integral (2) by use of the conventional BEM or
method of moments (MoM) directly because of that the (2)
has an infinite-length integral boundary . To overcome
this difficulty, we use the previously proposed idea [14]–[18]
that: Even though the total electric fields near the aperture are
very complicated, only the reflected guided-mode wave can
survive at points far away from the aperture. Therefore we
decompose the total electric fields on the boundary
into the field components as

(4)

and we call the field the disturbed field. In (4), is the


reflection coefficient. We also express the total electric fields
on the boundary by the same notation with the
disturbed field as follows:

(5)

In (4), it is possible to consider that the disturbed field will


vanish at points far away from the aperture.
Substituting (4) and (5) into (2), we obtain an integral equa-
tion that includes the semi-infinite line integrals of the guided-
mode wave along the boundary as follows:

(6)

with

(7)

Fig. 1. (a)–(c) Models of arbitrarily flanged PPW. (b) Location of the Here the Green’s theorem for the guided-mode waves in
boundaries on integral equations. the region surrounded by the boundary is applied
as
the well-known boundary integral equation (BIE) for the total
electric field is given by

(8)
(2)
1994 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

to the process of deriving (6). Since the boundary is a virtual where


boundary, theoretically, we can obtain the (8) with arbitrary po-
sition of the boundary .
To derive the expression of the reflection coefficient in (17)
terms of GMEIE, we put the observation point to far away
from the aperture. Under this condition, it is possible to approx- (18)
imate Green’s function by the asymptotic expression as
Since will vanish at points far away from the aperture,
(9) the integral boundary , which has infinite length, can
be regarded as finite length in (16).
with When the observation point is in the free space region that
surrounded by the boundary , as shown in
(10) Fig. 1(d), the well-known BIE for the total electric fields is given
by
(11)

Substituting (9) into (6) and dividing both sides of the resultant
equation by , we can obtain the relation

(19)

(12) It can be seen that the (19) has the integral boundary
also with semi-infinite length. However, it is easy to truncate
the boundary in the numerical solution procedure at a
with finite length where the total electric fields are enough small to
be regarded as vanished.
The BIEs (16) and (19) are equations to be solved numeri-
cally by using the conventional BEM or MM for the problem of
an arbitrarily flanged PPW as shown in Fig. 1(a)–(c). Once the
(13) fields on all the boundaries have been obtained. The reflection
coefficient can be obtained by the use of (15). And fields at
Since it is impossible for a reflected radiation field to exist at any point can also be calculated by the boundary integral repre-
points in the waveguide far away from the aperture, we can set sentations similar to (16) and (19).

(14) B. Radiation Fields in the Free Space


So if we use (14) in (12), we can find that the reflection coeffi- The radiation field in the free-space region can be
cient can be expressed in terms of GMEIE as expressed by using the asymptotic form of Green’s function in
free-space with the refractive index of as follows:

(20)

(15) with

Physically, the reflection coefficient is an invariable value for a


specific structure of the waveguide and thus we can use (15) to
verify the independence of the numerical results on the location (21)
of the virtual boundary .
Substitution of (15) into (6) yields
So far, we have discussed to the case in which a dielectric with
the refractive index of is filled inside the waveguide. For the
case of dielectric unfilled PPW, only one GMEIE is required.
Because it is easy to derive by using the same procedure as that
(16) used in the above derivation of (16), it is not necessary to show
here for saving space.
CHIEN et al.: RADIATION PROPERTIES OF AN ARBITRARILY FLANGED PPW 1995

TABLE I
COMPARISON BETWEEN THE VARIOUS METHODS USED TO CALCULATE THE
REFLECTION COEFFICIENT R OF A DIELECTRIC UNFILLED PPW HAVING A
PERPENDICULAR FLANGE SURFACE FOR d= = 0:5001

TABLE II
REFLECTED POWER 0 , RADIATED POWER 0 , AND THEIR TOTAL
0 OF A DIELECTRIC FILLED PPW HAVING A TILTED
FLANGE SURFACE FOR d= = 0:5001, AND n = 1:6

j j
Fig. 3. (a) Distribution of the disturbed field @E =@n on the boundary
j j
C . (b) Distribution of the total field @E =@n on the boundary C . The
parameters used in calculations are the same as for Fig. 2, the virtual boundary
C is located at k a = 2. 0
Fig. 2. Reflection coefficient R of a dielectric filled PPW having a tilted
flange surface as a function of location of the virtual boundary C for
d= = 0:5001; n = 1:6, and ' = 10 .

III. NUMERICAL RESULTS AND DISCUSSION


The BIEs derived in this paper were solved with using the
conventional BEM. The quadratic functions are used as basic
functions, and the delta functions are used as testing functions.

A. Accuracy and Convergence Tests


We first consider the problem of a dielectric unfilled PPW
having a perpendicular flange surface. Many papers have re-
ported to this problem before and thus we can compare our
results with those obtained by the methods appearing in pre-
viously published papers. In Table I the results of comparison
for reflection coefficient , including amplitude and phase, of
Fig. 4. Radiated power 0 as a function of refractive index n of a dielectric
the incident guided-mode wave are presented. It can be filled PPW having a perpendicular flange surface of width d= = 0:5001.
seen that our results are in good agreement with the results
reported in the literature. Notice that owing to the different
time convention used, there is a minus sign differ- These numerical results show the validity of the method in
ence in the phase of reflection coefficient in the literature. this paper.
1996 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 5. Numerical results of a dielectric filled PPW having a tilted flange Fig. 7. Numerical results of a dielectric filled PPW having a tapered flange
surface for d= = 0:5001 and n = 1:6. (a) Dependence of radiated power surface for d= = 0:5001 and n = 1:6. (a) Dependence of radiated power
0 on tilting angle '. (b) Typical radiation patterns. 0 on tapering angle '. (b) Typical radiation patterns.

this kind of problem before. In Table II the results of reflected


power , radiated power , and their total are
presented for the case of , and . As can
be seen, the results satisfy the energy conservation law within
an accuracy of 1% well.
In Section II, mathematically and physically, it has been
shown that the reflection coefficient is independent of loca-
tion of the virtual boundary . For numerical demonstration,
the reflection coefficient of a dielectric filled PPW having a
tilted flange surface as a function of location of the virtual
boundary is plotted in Fig. 2 for ,
and .
It is observed that the reflection coefficient is independent of
location of the virtual boundary , except at . This
error is caused by the numerical method used, because when
Fig. 6. Relationship between the angle of beam center and the tilting angle of the virtual boundary approaches the aperture the segments of
a dielectric filled PPW having a tilted flange surface for d= = 0:5001 and discretized boundary approach zero.
n = 1 :6 .
The validity of truncation of the infinite-length boundaries
in the numerical solution procedure is proved numerically in
To verify the feasibility of the method in this paper, we next Fig. 3(a) and (b). Where Fig. 3(a) shows distribution of the dis-
apply the method to the problem of a dielectric filled PPW turbed field on boundary , and Fig. 3(b) shows
having a tilted flange surface as shown in Fig. 1(a). Because distribution of the total field on boundary . The
it seems to be difficult to solve using the methods based on parameters used in calculations are the same as for Fig. 2, the
approximate theories, to our knowledge, no one has reported to virtual boundary is located at .
CHIEN et al.: RADIATION PROPERTIES OF AN ARBITRARILY FLANGED PPW 1997

Fig. 8. Numerical results of a dielectric filled PPW having an up-tapered aperture for d= = 0:5001 and n = 1:6. (a) Dependence of radiated power 0
on tapering width w=d for h=d = 0:5. (b) Typical radiation patterns of (a)-case. (c) Dependence of radiated power 0 on tapering height h=d for w=d = 2.
(d) Typical radiation patterns of (c)-case.

From Fig. 3, it is found that the use of BEM based on GMEIEs The results in Fig. 5 show that the radiated power of a dielec-
is possible to treat waveguide discontinuity problems as an iso- tric filled PPW can be improved by the use of a tilted flange sur-
lated object of finite size. So that it is suitable for the basic face, and the symmetry of radiation pattern is maintained even
theory of computer-aided design (CAD) software for waveguide though changing the tilting angle. In particular, from Fig. 5(b)
circuits. it is found that the angle of beam center (i.e., the angle of center
of radiation pattern) with respect to the -axis is changed with
B. Examples changing the tilting angle. In order to see the relationship be-
tween the angle of beam center and the tilting angle , we
In the first sequence of examples we consider the conven- numerically plot that relationship in Fig. 6.
tional problem of a dielectric filled PPW having a perpendicular It is observed that for the tilting angle less than 15 the
flange surface. The result of radiated power as a function of above-mentioned relationship is linear, i.e., the center axis of
refractive index is shown in Fig. 4 for . beam is perpendicular to the flange surface, but for the tilting
From Fig. 4, it is evident improvement of radiated power of a angle larger than 15 that relationship is nonlinear. This effect
dielectric filled PPW compared with a dielectric unfilled PPW. may be important in the prediction of radiation properties from
Since most of the solid dielectrics have the index larger than antennas.
approximate 1.4, we choose the dielectric with index of 1.6 for 2) PPW Having a Tapered Flange Surface [Fig. 1(b)]: For
the next investigations. the case of a dielectric filled PPW having a tapered flange sur-
In subsequent examples we apply the method to a number of face with and , the dependence of ra-
cases of arbitrarily flanged PPW as shown in Fig. 1(a)–(c). The diated power on the tapering angle is shown in Fig. 7(a),
results of computer simulations are shown below. and the typical radiation patterns are plotted in Fig. 7(b).
1) PPW Having a Tilted Flange Surface [Fig. 1(a)]: For a In Fig. 7(a), the weak effect of change of tapering angle on
dielectric filled PPW of width having a tilted radiated power is observed. But on the contrary, the strong
flange surface, the dependence of radiated power on the effect of that on radiation pattern is found from Fig. 7(b). It
tilting angle is shown in Fig. 5(a), and the typical radiation seems obvious that the beam width decreases and the far-field
patterns are plotted in Fig. 5(b). intensity increases with up-tapering the flange surface. This is an
1998 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

interesting and important result for millimeter-wave free-space [9] M. S. Leong, P. S. Kooi, and XQXQXQ Chandra, “Radiation from a
communication systems. flanged parallel-plate waveguide: Solution by moment method with in-
clusion of edge condition,” in Proc. Inst. Elect. Eng. Microwaves, An-
3) PPW Having an Up-Tapered Aperture [Fig. 1(c)]: The tenna and Propagation, vol. 135, Aug. 1988, pp. 249–255.
radiated power as functions of tapering width and ta- [10] C. M. Butler, C. C. Courtney, P. D. Mannikko, and J. W. Silvestro,
pering height , as shown in Fig. 1(c), are respectively shown “Flanged parallel-plate waveguide coupled to a conducting cylinder,”
in Proc. Inst. Elect. Eng. Microwaves, Antenna and Propagation, vol.
in Fig. 8(a) and (c) for . Typically, the 138, Dec. 1991, pp. 549–558.
corresponding radiation patterns are shown in Fig. 8(b) and (d). [11] C. H. Kim, H. J. Eom, and T. J. Park, “A series solution for TM-mode ra-
Notice that in Fig. 8(a) and (b) the tapering height is diation from a flanged parallel-plate waveguide,” IEEE Trans. Antennas
given by , and in Fig. 8(c) and (d) the tapering width Propagat., vol. 41, pp. 1469–1471, Oct. 1993.
[12] T. J. Park and H. J. Eom, “Analytic solution for TE-mode radiation
is given by . From Fig. 8, it is found that the radiated from a flanged parallel-plate waveguide,” in Proc. Inst. Elect. Eng. Mi-
power of a dielectric filled PPW can be improved significantly crowaves, Antenna and Propagation, vol. 140, Oct. 1993, pp. 387–389.
by using an up-tapered aperture. In particular, as shown in [13] J. W. Lee, H. J. Eom, and J. H. Lee, “TM-wave radiation from flanged
parallel plate into dielectric slab,” in Proc. Inst. Elect. Eng. Microwaves,
Fig. 8(c), the radiated power is improved to approximate 0.99 Antenna and Propagation, vol. 143, June 1996, pp. 207–210.
by a tapering height , i.e., only 1% of [14] M. Tanaka and K. Tanaka, “Computer simulation for two-dimensional
power is reflected. The strong effect on radiation patterns is near-field optics with use of a metal-coated dielectric probe,” J. Opt. Soc.
also found by changing the tapering parameters. However, it Amer. A, Opt. Image Sci., vol. 18, pp. 919–925, Apr. 2001.
[15] D. N. Chien, M. Tanaka, and K. Tanaka, “Numerical simulation of an ar-
is observed from Fig. 8(d) that the number of lobe of radiation bitrarily ended asymmetrical slab waveguide by guided-mode extracted
pattern is more than one, and the far-field intensity fluctuates integral equations,” J. Opt. Soc. Amer. A, Opt. Image Sci., vol. 19, pp.
with increasing the size of aperture. Let us note that these 1649–1657, Aug. 2002.
[16] D. N. Chien, K. Tanaka, and M. Tanaka, “Accurate analysis of power
results, which are very interesting and potentially important in coupling between two arbitrarily ended dielectric slab waveguides by
design of antennas, have not shown by any researcher so far. boundary-element method,” J. Opt. Soc. Amer. A, Opt. Image Sci., vol.
20, pp. 1608–1616, Aug. 2003.
[17] , “Optimum design of power coupling between two dielectric slab
IV. CONCLUSION waveguides by the boundary-element method based on guided-mode ex-
tracted integration equation,” IEICE Trans. Electron., vol. E86-C, Nov.
The radiation properties of a dielectric filled and unfilled 2003.
PPW having an arbitrarily flanged surface have been studied [18] , “Guided wave equivalents of Snell’s and Brewster’s Laws,” Opt.
Commun., vol. 225, pp. 319–329, Oct. 2003.
by the BEM based on GMEIEs. Based on the theory developed
in Section II, the typical numerical evaluations have been per-
formed for the case of incident guided-mode wave. The
numerical results were confirmed by using the law of energy Dao Ngoc Chien (S’03) received the B.E. de-
gree from the Department of Telecommunication
conservation. It has been found that the numerical results are Systems, Faculty of Electronics and Telecommu-
in good agreement with previous results and physical consid- nications, Hanoi University of Technology, Hanoi,
eration. Vietnam, in 1997 and the M.S. degree from the De-
partment of Electronics and Computer Engineering,
It is apparent that the method in this paper is suitable for Gifu University, Gifu, Japan, in 2002, where he is
the basic theory of CAD)software for the antennas systems. currently working toward the Ph.D. degree.
Since we do not employ any approximations, such as simple In 1997, he became a Teaching Assistant in the De-
partment of Telecommunication Systems, Faculty of
end-shape, in the formulation of GMEIEs used in this paper, so Electronics and Telecommunications, Hanoi Univer-
that it is easy to extend the GMEIEs to more complicated wave- sity of Technology. He is currently on leave from Hanoi University of Tech-
guide circuits that have more than one port, etc. nology and is a Visiting Researcher in the Department of Electronics and Com-
puter Engineering, Gifu University. His current research interests are the CAD
of optical waveguide circuits, and waveguide technology for antennas and feeds.
Mr. Chien is a Student Member of the Optical Society of America (OSA),
REFERENCES Washington, DC, and the Institute of Electrical, Information and Communica-
[1] H. Shiomi and S. Yamamoto, “Numerical simulation of fat dielectric tion Engineers (IEICE), Japan. He was awarded a Yoneyama Scholarship by the
loaded waveguide antenna using FDTD method,” in IEICE Proc. Int. Rotary Yoneyama Memorial Foundation, Inc., Japan.
Symp. Antennas and Propagation ISAP i-02, Nov. 2002, pp. 520–523.
[2] R. C. Rudduck and D. C. F. Wu, “Slope diffraction analysis of TEM par-
allel-plate guide radiation patterns,” IEEE Trans. Antennas Propagat.,
vol. AP-17, pp. 797–799, Nov. 1969. Kazuo Tanaka (M’75) received the B.E., M.S., and
[3] D. C. F. Wu, R. C. Rudduck, and E. L. Pelton, “Application of a surface Ph.D., degrees from the Department of Communica-
integration technique to parallel-plate waveguide radiation-pattern anal- tions Engineering, Osaka University, Osaka, Japan,
ysis,” IEEE Trans. Antennas a Propagat., vol. AP-17, pp. 280–285, May in 1970, 1972, and 1975, respectively.
1969. In 1975, he became a Research Associate in the
[4] S. W. Lee, “Ray theory of diffraction by open-ended waveguide, I, field Department of Electrical Engineering, Gifu Univer-
in waveguides,” J. Math. Phys., vol. 11, pp. 2830–2850, 1970. sity, Gifu, Japan, where he became an Associate Pro-
[5] K. Hongo, “Diffraction by a flanged parallel-plate waveguide,” Radio fessor in 1985 and a Professor in 1990. His research
Sci., vol. 7, pp. 955–963, Oct. 1972. since 1970 has been a general-relativistic electromag-
[6] T. Itoh and R. Mittra, “TEM reflection from a flanged and dielectric- netic theory and application, radiographic image pro-
filled parallel-plate waveguide,” Radio Sci., vol. 9, pp. 849–855, Oct. cessing and computational electromagnetic and he is
1974. currently interested in the CAD of integral optical circuits, near-field optical cir-
[7] K. Hongo, Y. Ogawa, T. Itoh, and K. Ogusu, “Field distribution in a cuits and simulation of Anderson localization hypothesis of ball-lightning. He
flanged parallel-plate waveguide,” IEEE Trans. Antennas Propagat., vol. was a Visiting Professor at the University of Toronto, ON, Canada, in 1994.
AP-23, pp. 558–560, July 1975. Dr. Tanaka was awarded the Uchida Paper Award by the Japan Society of
[8] S. Lee and L. Grun, “Radiation from flanged waveguide: Comparison of Medical Imaging and Information Science. He was a Chair of the Technical
solutions,” IEEE Trans. Antennas Propagat., vol. AP-30, pp. 147–148, Group of Electromagnetic Theory of the Institute of Electrical, Information and
Jan. 1982. Communication Engineers (IEICE), Japan.
CHIEN et al.: RADIATION PROPERTIES OF AN ARBITRARILY FLANGED PPW 1999

Masahiro Tanaka (M’00) received the B.E. and


M.S. degrees from the Department of Electrical
and Computer Engineering, Gifu University, Gifu,
Japan, in 1992 and 1994, respectively, and the Ph.D.
degree from the Department of Communication
Engineering, Osaka University, Osaka, Japan, in
2002.
He was a Research Associate at Tokoha-Gakuen
Hamamatsu University, Japan, from 1994 to 1996.
He joined the Department of Electrical and Computer
Engineering, Gifu University, as a Research Assistant
in 1996. He was a Visiting Researcher at the Department of Electrical and Com-
puter Engineering, The University of Arizona, Tempe, from 1997 to 1998. His
research interests are the CAD of optical waveguide circuits and near-field op-
tical circuits.
2000 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Scan Blindness Free Phased Array Design Using


PBG Materials
Lijun Zhang, Jesus A. Castaneda, and Nicolaos G. Alexopoulos, Fellow, IEEE

Abstract—Scan blindness occurs for phased arrays when propa- In this paper photonic band-gap (PBG) materials are used
gation constants of Floquet modes (space harmonics) coincide with as antenna substrates to treat the scan blindness problem. PBG
those of surface waves supported by the array structure. In this materials are essentially periodic structures whose dispersive
paper, we studied the possibility of using photonic band-gap (PBG)
substrate to eliminate scan blindness. A specially designed printed properties may be controlled by the periodicity and the electro-
PBG substrate can suppress surface wave propagation inside its magnetic properties of lattice elements [8]. For PBG materials
bandgap range, therefore it can be used to eliminate scan blind- realized on dielectric substrates, surface waves can be con-
ness. In this paper, we presented a method of moments (MoM) anal- trolled. For example, they can be suppressed along certain
ysis of the scan properties of dipole arrays on PBG substrates with direction for PBG materials with partial bandgaps or along
ominidirectional bandgap(s). We found that scan blindness is com-
pletely eliminated. The elimination of scan blindness makes PBG any direction for those with ominidirectional (or complete)
materials very attractive in phased array design. bandgaps [9]–[12] inside a certain frequency range. Such prop-
erties of PBG could be used to eliminate scan blindness. In
Index Terms—Phased array, photonic band-gap (PBG) sub-
strate, scan blindness. [13] the authors studied the active array pattern of phased
arrays on a PBG substrate which is composed of air holes
inside a dielectric substrate, but since that kind of material with
I. INTRODUCTION finite thickness does not have an ominidirectional bandgap,
the scan blindness cannot be eliminated completely.
S CAN blindness for phased arrays can be traced to the forced
surface waves by phase matching with those of the Floquet
modes (space harmonics). This is common for printed arrays on
Recently, a novel printed PBG substrate with ominidirec-
tional bandgap was presented in [9], [10]. In this PBG material,
dielectric substrates, phased arrays with radomes, etc. [1]–[3]. periodic metallic patches are printed on a substrate and each
Scan blindness limits the scan range and lowers the antenna ef- patch is connected to the ground plane through a via. It is both
ficiency, therefore it must be considered in phased array design. experimentally and numerically verified that this PBG material
Many efforts have been devoted to eliminate scan blindness, has a complete surface wave bandgap. In [11] a planar PBG
for example, the subarray technique is used to suppress scan without any via was also fabricated and an ominidirectional
blindness but at the expense of a larger unit cell size, which bandgap was reported. In this paper our analysis is based on
causes an increase in power loss to the grating lobes [3]. But the first kind of PBG substrate in [9], [10], however we believe
the idea of using subarray to perturb the phase progression that any PBG substrate with complete bandgap can eliminate
of surface waves in the substrate is quite an inspring idea. scan blindness.
In [4] the authors studied the scan properties of antennas on In this paper, we first present the theorectical method of
perturbed inhomogeneous substrates, and they found that the moments (MoM) formulation for the array analysis, then we
inhomogeneous substrate can mitigate the scan blindness for discuss the surface-wave bandgap properties of the PBG ma-
proper designed substrate media. Scan properties of phased terials. After that we present detailed theoretical case studies
arrays on ferrite substrates have been investigated in [5], the for phased arrays on PBG substrates, from low permittivity
scan properties of dipole arrays in a two-layer structure have to high permittivity substrates, from thin to thick substrates.
been studied in [6], [7]. It is found that in a two layer structure Finally, waveguide simulator experimental results are presented
it is possible to select the parameters to prevent the excitation to validate the theory and the code we developed.
of any surface waves, therefore to eliminate scan blindness.
This however may be a very narrow band operation.
II. NUMERICAL ANALYSIS: THE METHOD OF MOMENTS
In Fig. 1, we show the PBG material [9] and a dipole phased
Manuscript received May 4, 2001; revised March 26, 2003. This work was array printed on it. The unit cell of the PBG is around .
supported in part by MURI. For phased arrays the radiating dipole is printed in every by
L. Zhang and J. A. Castaneda were with the Department of Electrical En- PBG unit cell, here in the figure the dipole is printed in every
gineering, University of California, Los Angeles, CA 90095-1544 USA. They
are now with Broadcom Corporation, Irvine, CA 92619-7013 USA (e-mail: 2-by-2 PBG unit cells as an example.
lzhang@broadcom.com; jcastan@broadcom.com). Printed arrays on uniform substrate and their scan blindness
N. G. Alexopoulos is with the Department of Electrical and Computer En- phenomenon have been extensively analyzed using a MoM in
gineering, University of California, Irvine, CA 92695-2625 USA (e-mail: al-
fios@uci.edu). [1], [2]. The MoM is a very fast and accurate full-wave analysis
Digital Object Identifier 10.1109/TAP.2004.832516 method for the analysis of phased array and therefore is used in
0018-926X/04$20.00 © 2004 IEEE
ZHANG et al.: SCAN BLINDNESS FREE PHASED ARRAY DESIGN USING PBG MATERIALS 2001

A. Current Expansion From Attachment Modes


For the specific PBG structure, it is more advantageous to
use the entire domain basis (EDB) function and the attachment
mode expansion technique in the MoM solution to achieve fast
convergence [16]. Since in this paper we are also interested in
thick substrates, we used more than one attachment mode. The
current expansion for each attachment mode is obtained through
the solving of a Sturm-Liouville problem with a line current
source excitation inside an equivalent cavity. Current distribu-
tions for attachment modes on each patch-via in the unit cell of
PBG is given in the following equations,

(4)

where

Fig. 1. Structure of the phased dipole array on a PBG substrate. The top
figure shows 3-by-3 unit cells of the PBG substrate. The bottom figure gives (5)
the top view of a unit cell of the infinite phased dipole array printed on the
PBG susbstrate. Some key parameters are: patch size L by W , gap between
4 4 4
patches g , via size x by y , dipole size D (length) by w (width), substrate (6)
thickness h and substrate permittivity  .
(7)

our analysis. The Dyadic Green’s function, which is the electric where stands for the number of attachment modes,
field caused by an infinite array of such dipoles is given by and are the center coordinates of each patch

(1)
(8)

where and are the Floquet’s propagation constants deter-


mined by the scan angle, and are the array period, is the (9)
free space impedance. The dyadic quantity is defined in the
following [15] (10)

(also see (11) shown at the bottom of the page), and similarly
(2) for .

On metallic surfaces tangential electric fields should be zero B. Entire Domain Current Expansion on the Dipole and Patch
Current expansions on each patch are simply entire domain
basis functions given as follows:
(3)

where is the tangential dyadic and is the current expansion


which will be discussed in following parts. (12)

for

(11)

for .
2002 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

(13)

(14)

Current expansion on the dipole follows:

(15)
where is the number of entire domain basis functions
used in the dipole current expansion.

C. Final Matrix Equation


Fig. 2. Surface wave bandgap of the PBG substrate. h = 2:3855 mm, lenx =
After weighting on (3), the following matrix equation is leny = 2:88 mm, W = L = 2:061 mm, g = 0:819 mm,  = 4:4.
obtained:

(16)

The total matrix size is , with


the number of PBG patches in each unite cell of the array.
Each submatrix entry results from the current basis function
from structure type and the weighting function from
structure type , with , from , , standing for attachment
mode, entire domain basis (EDB) function on patch, or EDB on
dipole, respectively. The matrix entries are given as

(17)
(18)
(19)
(20)
(21) Fig. 3. Convergence of the input impedance versus the number of Floquet
modes and the number of EDB functions. Impedances are for broadside scan.
(22)
(23) materials. Here we present some simulation data of the printed
(24) PBG material calculated using three different methods which
are the MoM, the finite-element-integral-equation method (FE-
(25)
IEM) [17] and the FE perfect-matched-layer method (FE-PML)
Notice that , are local indexes for submatrices. For detailed [14].
formulation of the matrix entries please refer to [18], they are Fig. 2, shows the eigenmodes of the PBG material with pa-
omitted here for brevity. rameters given in the caption of the Figure. , , and are
The input impedance of the dipole is calculated as vertices of a reduced Brillouin zone. From to , the waves
are propagating along the direction, varies from 0 to .
From to , the waves are propagating at an angle between
(26)
0 and 45 with respect to the direction, where and
varies from 0 to . From to , waves are propagating
(27) along the 45 and both and varies from or to 0.
The MoM and FE based codes produce consistent results.
where is the width of voltage gap source, and is the
The MoM code only searches for bounded modes, therefore, it
width of the dipole.
stops when it intercepts the light line in the air (straight line in
this figure) for the second mode. Between the first and second
III. SURFACE WAVE BANDGAP OF PRINTED PBG SUBSTRATES mode is the surface wave bandgap. The higher band edge is
The MoM procedure discussed in the previous section can determined by the interception point of the second mode and
also be used to calculate the bandgap properties of printed PBG the light line. Simulation suggests that the second mode is
ZHANG et al.: SCAN BLINDNESS FREE PHASED ARRAY DESIGN USING PBG MATERIALS 2003

Fig. 4. Comparison of the scanned impedances for the dipole array on PBG and uniform substrates. FREQ = 13:0 GHz.  = 2:2. For PBG case dipole size
2 0
is 8.982 mm 0.06 mm, broadside impedance is Z = 71:083 j 0:032
. Array unit cell is 0:4992 . For uniform case the dipole size is tuned to have a
resonance at broadside.

radiating inside the bandgap. In the FE-PML calculation, the occurs for both the uniform and PBG substrate. For the array
eigen frequencies are complex inside the bandgap region for on the uniform substrate, the scan blindness spot moves toward
given real propagation constants, which implies that modes broadside comparing to the 13.0 GHz case. There is no blind-
inside this bandgap region are damping in the lateral direction. ness spot for the array on the PBG substrate.
The leakage properties of these modes need further investigation, In the next example, a substrate with higher dielectric con-
and some similar work has been done in [12] on dielectric stant is picked. The PBG lattice sizes are
PBGs. The good agreement between the MoM and FEM based , patch width mm, mm,
codes verifies the validity of the MoM analysis. . One array unit is made of one dipole in the middle of
four-by-four PBG units. The surface wave bandgap is from 9.25
IV. NUMERICAL RESULTS ON PHASED ARRAY to 12.85 GHz. Fig. 6 shows the scanned impedance at 12.8 GHz.
In the first example of phased array, one unit cell is made of For the case on uniform substrate, the blindness spot moves to-
one dipole in the middle of two by two PBG unit cells. Dipoles ward the broadside when the permittivity is higher. Again, no
in the rectangular array are separated by mm blindness spot is observed for the PBG case.
in and directions, respectively. The substrate thickness is Compact arrays can be realized on high permittivity sub-
mm, , mm, strates, however strong surface waves excited in the substrate
mm, mm. The surface wave bandgap is cause problems such as small scan range, strong mutual
between 9.55 and 14.10 GHz. coupling between elements, low efficiency, etc. Use of PBG
Fig. 3 shows convergence plot of the input impedance versus substrate can avoid the formentioned drawbacks.
the number of Floquet modes and the number of entire domain In the third example, an array on a thick substrate is analyzed.
basis (EDB) functions for patch current. In the axis, is Thicker substrate provides wider bandwidth. A unit of the array
the highest index of the Floquet mode, which means that the is made of one dipole in the middle of four by four PBG unit
total number of Floquet modes is . It is seen that the cells. The substrate thickness is mm, ,
impedance converges as the number of the Floquet modes and with the PBG unit period of mm,
the EDB functions are increased. In our following calculation, mm and mm. The bandgap is from 9.7 to
we use for the Floquet modes and 16 EDB functions. 15.1 GHz. Fig. 7 shows the scanned impedance. Again no scan
The reflection of the array at two different frequencies are blindness exists for the array on the PBG substrate.
plotted in Figs. 4 and 5. In Fig. 4, the array operates at 13.0 GHz.
For the case with uniform substrate scan blindness occurs at V. PBG SUBSTRATE DESIGN PROCEDURES
69.0 in the -plane, there is no blindness in the -plane be-
cause of polarization mismatch. For the PBG case, there is no In practical phased array design, the most important issue is
blindness spot. In Fig. 5 the operating frequency is at 13.5 GHz. how to design the PBG substrate. For example, given the sub-
Since the array unit cell is greater than , a grating lobe strate thickness ( ), permittivity ( ), array unit cell size ( ),
2004 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 5. Scan impedance of the dipole array on PBG substrate. FREQ = 13:5 GHz, dipole 8.668 mm 2 0.06 mm, broadside impedance is Z = 62:635 +
0 085
. Array unit cell is 0:5184
j : .

Fig. 6. Scan impedance of the dipole array on PBG and uniform substrates.  = 4:4. FREQ = 12:8 GHz. For PBG case, dipole length is 7.14 mm, broadside
0
impedance is Z = 50:30 j 0:08
. Array unit cell is 0:49152 .

how to design the PBG substrate to meet the bandgap and band- In the array design, one also needs to consider the effects of
width requirement ( ). The suggested steps are listed in the feeding and the radiating element loading.
the following:

(1) Design a reference PBG substrate, with VI. EXPERIMENTS


given h, r , a; b, the bandgap is denoted as
4
fref ; fref , A large phased array is always an extremely costly piece
(2) Scale the unit cell size a; b to make the of hardware, and unfortunately some phenomena are related to
4
new bandgap to be f~; ~f , which is close to the size specifically. A commonly used method to examine the scan
aiming frequency f; f, 4 properties of phased arrays is called waveguide simulator, which
(3) Fine tune the gap between the patches, provides a compact and inexpensive test piece for phased arrays.
(4) Check the loading effect. Go back to step For references on the theory of waveguide simulator, please
3 if necessary. refer to [19], [20].
ZHANG et al.: SCAN BLINDNESS FREE PHASED ARRAY DESIGN USING PBG MATERIALS 2005

Fig. 7. Scanned impedance of a dipole array on thick PBG substrate. FREQ = 13:0 GHz, Dipole length is 9.766 mm, broadside impedance is Z = 82 43 0
:
j 0 15
.
:

The experimental setup is explained in Fig. 8[18]. An S-band


WR284 rectangular waveguide is used, the inner dimensions are
2.84 inches by 1.34 inches. The single mode ( ) band is
between 2.60 and 3.95 GHz. The PBG substrate is fabricated
and then press fitted into the waveguide, a shorting plate is added
at the bottom of the substrate ground plane. The coax is fed
through two holes drilled from the waveguide broadside wall.
The substrate is put into a shallow waveguide section so that
we can access the monopole to solder it to the inner conductor
of the coax excitation. Another long waveguide section is put
above the shallow section to allow the excited high order modes
be attenuated, and finally a matched load is put at the end to
simulate the wave propagation in free space.
The waveguide simulator models the phased array with an
-plane scan angle governed by the following equation:

(28)
Fig. 8. Waveguide simulator experimental setup.

with which is the broadside dimension of the wave- simulation data are plotted in Fig. 9, where consistency can be
guide and the free space wavelength. For frequencies from observed between the two.
2.6 to 3.9 GHz, the simulated scan range is from 51.22 to In the second case, we fabricated a PBG material with double
31.32 . substrate thickness, the surface wave bandgap is between 1.9
In the experiment, a power divider was used and the two and 3.9 GHz. The patch size is 6.5 mm by 7.5 mm. The
outputs are connected to two coax cables used to excite the monopole length is 21.0 mm. Results are shown in Fig. 10.
monopoles. The return loss is measured at the input of the power For the uniform substrate, scan blindness occurs at 3.7 GHz,
divider, and then de-embedded to obtain the reflection coeffi- which is corresponding to an -plane scan angle of 34 from
cient at the feeding point of the monopole. The substrate is a the broadside. This agrees with the scan angle predicted by the
RT 5870 Duriod board, with , the thickness is following [1]:
390 mil.
In the first case we fabricated a PBG substrate using one
layer of this board, the metal patch size is 8.9 mm by 10.5 mm, (29)
with a period of 17.018 mm by 18.034 mm. By mirroring, the
equivalent dipole is between every two by four PBG unit cells. where is the surface wave propagation constant,
The monopole length is 16.32 mm. The experimental and MoM mm is the period of the PBG in broadside. The nonunit
2006 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

ACKNOWLEDGMENT
The authors would like to acknowledge Prof. F. De Flaviis
and Mr. R. Ramirez from the University of California at Irvine
for their kind help in the waveguide experiments. The authors
would like to thank Prof. D. Yang from the University of Illi-
nois at Chicago for helpful suggestions on the use of attachment
modes in the MoM solution.

REFERENCES
[1] D. M. Pozar and D. H. Schaubert, “Scan blindness in infinite phased
arrays of printed dipoles,” IEEE Trans. Antennas Propagat., vol. 32, pp.
602–610, June 1984.
[2] , “Analysis of an infinite array of rectangular microstrip patches
with idealized probe feeds,” IEEE Trans. Antennas Propagat., vol. 32,
pp. 1101–1107, Oct. 1984.
Fig. 9. Waveguide simulator results for dipole array on PBG substrate.
[3] D. M. Pozar, “Scanning characteristics of infinite arrays of printed
antenna subarrays,” IEEE Trans. Antennas Propagat., vol. 40, pp.
666–674, June 1992.
[4] W. J. Tsay and D. M. Pozar, “Radiation and scattering from infinite pe-
riodic printed antennas with inhomogeneous media,” IEEE Trans. An-
tennas Propagat., vol. 46, pp. 1641–1650, Nov. 1998.
[5] H. Y. Yang and J. A. Castaneda, “Infinite phased arrays of microstrip
antennas on generalized anisotropic substrates,” Electromagn., vol. 11,
no. 1, pp. 107–124, Jan.-Mar. 1991.
[6] J. A. Castaneda, “Infinite phased array of microstrip dipoles in two
layers,” Ph.D. dissertation, University of California, Los Angeles, 1988.
[7] J. Castaneda and N. G. Alexopoulos, “Infinite arrays of microstrip
dipoles with a superstrate (cover) layer,” in Proc. Antennas and Prop-
agation Int. Symp., vol. 2, 1985, pp. 713–717.
[8] E. Yablonovitch, “Photonic band-gap structures,” J. Opt. Soc. Amer. B,
vol. 10, no. 2, pp. 283–295, Feb. 1993.
[9] D. Sievenpiper, L. Zhang, R. F. J. Broas, N. G. Alexopoulos, and
E. Yablonovitch, “High-impedance electromagnetic surfaces with
a forbidden frequency band,” IEEE Trans. Microwave Theory and
Techniques, vol. 47, pp. 2059–2074, Nov. 1999.
[10] D. Sievenpiper, “High-impedance electromagnetic surfaces,” Ph.D. dis-
sertation, Univ. California, Los Angeles, 1999.
[11] F. R. Yang, K. P. Ma, Y. Qian, and T. Itoh, “A novel TEM waveguide
Fig. 10. Waveguide simulator results for dipole array on PBG and using uniplanar compact photonic-bandgap (UC-PBG) structure,” IEEE
corresponding uniform substrate with substrate thickness twice those in Trans. Microwave Theory and Techniques, vol. 47, pp. 2092–2098, Nov.
Fig. 9. 1999.
[12] H. Y. Yang, “Characteristics of guided and leaky waves on multilayer
thin-film structures with planar material gratings,” IEEE Trans. Mi-
crowave Theory and Techniques, vol. 45, pp. 428–435, Mar. 1997.
[13] P. K. Kelly, L. Diaz, M. Piket-May, and I. Rumsey, “Investigation of
reflection at scan blindness point is due to the loss associated scan blindness mitigation using photonic bandgap structure in phased
with the waveguide simulator set up and possibly loss in the arrays,” in Proc. SPIE, vol. 3464, July 1999, pp. 239–248.
susbtrate. Mismatch between the simulation and measurement [14] L. Zhang, N. G. Alexopoulos, D. Sievenpiper, and E. Yablonovitch, “An
efficient finite-element method for the analysis of photonic band-gap
for the PBG case may be due to the nonlongitudinal currents materials,” in Proc. IEEE Int. Microwave Symp. Dig., vol. 4, 1999, pp.
excited on the patches and vias which affects the waveguide 1703–1706.
simulator accuracy. For a resonance frequency at 3.25 GHz, the [15] I. E. Rana and N. G. Alexopoulos, “Current distribution and input
substrate thickness is . The good agreement verifies that impedance of printed dipoles,” IEEE Trans. Antennas Propagat., vol.
29, pp. 99–105, 1981.
the MoM analysis is also valid for thick substrates. [16] J. T. Aberle and D. M. Pozar, “Analysis of infinite arrays of probe-fed
rectangular microstrip patches using a rigorous feed model,” IEE Proc.,
pt. H, vol. 136, no. 2, pp. 109–119, Apr. 1989.
VII. CONCLUSION [17] L. Zhang and N. G. Alexopoulos, “Finite-element based techniques
for the modeling of PBG materials,” Electromagn., Special Issue on
Scan properties of phased arrays on PBG substrates have been Theory and Applications of Photonic Band-Gap Materials, vol. 19, pp.
investigated. Through the example of printed dipoles on PBG 225–239, May-June 1999.
[18] L. Zhang, “Numerical characterization of electromagnetic band-gap ma-
substrates, it is found in both simulation and experiment that terials and applications in printed antennas and arrays,” Ph.D. disserta-
scan blindness can be completely eliminated, due to the sup- tion, Univ. Calif., Los Angeles, 2000.
pression of surface wave propagation inside PBG substrates. [19] P. W. Hannan and M. A. Balfour, “Simulation of a phase-array antenna
in waveguide,” IEEE Trans. Antennas Propagat., vol. 13, pp. 342–353,
PBG substrates, especially those with complete surface wave
May 1965.
bandgaps, will find extensive applications in printed antennas [20] N. Amitay, V. Galindo, and C. P. Wu, Theory and Analysis of Phased
and arrays. Array Antennas. New York: Wiley-Interscience, 1972, pp. 59–63.
ZHANG et al.: SCAN BLINDNESS FREE PHASED ARRAY DESIGN USING PBG MATERIALS 2007

Lijun Zhang received the B.S. and M.S. degrees in electrical engineering from Nicoloas G. Alexopoulos (S’68–M’69–SM’82–F’87) received the B.S.E.E.,
University of Science and Technology of China, in 1993 and 1996, respectively, M.S.E.E., and Ph.D.E.E. degrees from the University of Michigan, Ann Arbor,
and the Ph.D. degree in electrical engineering from the Department of Electrical in 1965, 1967, and 1968, respectively.
Engineering, University of California, Los Angeles, in 2000. He was a member of the faculty in the Department of Electrical Engineering,
From June 2000 to December 2000, he was with Agilent Technology in West University of California, Los Angeles (UCLA), from 1969 to 1996. While at
Lake Village, CA, working on RF-CMOS CAD. Since December 2000, he has UCLA, he served as Associate Dean for Faculty Affairs from 1986 to 1987,
been working for Broadcom Corporation, Irvine, CA, in the areas of on chip and Chair of the Electrical Engineering Department from 1987 to 1992. Under
passives modeling and wireless radio transceiver design. his leadership and tenure as Chair the department doubled in size, created a
highly successful Corporate Affiliates Program, raised more than $30 million
in gifts and endowments and established the High Frequency Electronics
Laboratory. In 1997, he joined the Electrical Engineering and Computer
Science Department, University of California, Irvine, and has been Dean
of The Henry Samueli School of Engineering. As Dean he led the efforts
to establish The Integrated Nanosystems Research Facility, The Biomedical
Engineering Department, The Center for Pervasive Communications and
Computing, The California Institute for Telecommunications and Information
Technology, supported the establishment of The National Fuel Cell Research
Center and initiated The Arts, Computing and Engineering Program. In
addition, he is the Principal Investigator of the University of California
Irvine Mathematics Engineering Science Achievement Program (MESA)
and Co-PI of The National Science Foundation UC Systemwide California
Alliance for Minority Participation (CAMP). His research contributions over
time include the first contributions in the interaction of electromagnetic
waves with active surfaces and particles in the early 1970s. He was the
first to define and publish on Active and Passive Magnetic Walls (PBG
and EBG structures) and their realization with artificial periodic structures
and specifically arrays of antennas terminated at variable load impedances.
He demonstrated how such surfaces can be used for beam scanning, and
radar cross section elimination or enhancement. Subsequently he focused on
Jesus A. Castaneda received the B.S. degree in physics from Saint Mary’s Col- developing, with his students, a single full wave theory for the simultaneous
lege, Moraga, CA, in 1970, and the M.S.E.E. and Ph.D.E.E. degrees from the design of microstrip circuits and printed antennas, thus taking into account
Department of Electrical Engineering, University of California, Los Angeles all wave phenomena and mutual interactions. This work also led to the
(UCLA), in 1978, 1981, and 1988, respectively. study of substrate-superstrate effects and anisotropic and gyrotropic substrate
From 1978 to 1985, he was with the Antenna Department, Radar Systems materials. This body of research contributed significant progress in the use
Group, Hughes Aircraft Company, working in the area of microwave antenna of the MoMs for the development of useful design algorithms for microstrip
design and analysis, including electronically scanned antenna arrays. Other antennas and circuits. More recently, he and his students focused in the
work areas included planar arrays, frequency selective surfaces, radomes, development of percolation theory and its applications in materials and
and adaptive arrays. From 1986 to 1997, he was with Phraxos Research and wave propagation in complex media, as well as the design of artificial
Development, Inc. as Senior Research Engineer and Engineering Manager materials. Presently, he is working on the integration of the above mentioned
with responsibility for the technical management of projects in the area of experience in the research of electromagnetically metamorphic objects and
electromagnetic modeling for microwave and millimeter wave applications. interfaces. He has more than 250 publications and lectures on a variety
From 1995 to 2000, he was a Senior Lecturer at the School of Engineering of subjects including a popular lecture on “The Genesis and Destruction
and Applied Science, UCLA. Since 2000, he has been with Broadcom of The First Research University; The Library/Museum of Alexandria.”
Corporation, Irvine, CA, as a Senior Principal Scientist working in the Dr. Alexopoulos was the corecipient (with his students) of the Schelkunoff
areas of antennas for wireless systems and on-chip passives design. Award in 1985 and 1998.
2008 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fractile Arrays: A New Class of Tiled Arrays With


Fractal Boundaries
Douglas H. Werner, Senior Member, IEEE, Waroth Kuhirun, and Pingjuan L. Werner, Senior Member, IEEE

Abstract—In this paper, a new class of antenna arrays are in- parameter. Planar fractal array configurations, based on Sier-
troduced, which we call fractile arrays. A fractile array is defined pinski carpets, were also considered in [2], [3], [5], [9]. The
as any array with a fractal boundary contour that tiles the plane fact that Sierpinski carpet and related arrays can be generated
without gaps or overlaps. It will be shown that the unique geo-
metrical features of fractiles may be exploited in order to make
recursively (i.e., via successive stages of growth starting with a
available a family of deterministic arrays that offer several highly simple generating array) has been exploited in order to develop
desirable performance advantages over their conventional peri- rapid algorithms for use in efficient radiation pattern computa-
odic planar array counterparts. Most notably, fractile arrays have tions and adaptive beamforming, especially for arrays with mul-
no grating lobes even when the minimum spacing between ele- tiple stages of growth that contain a relatively large number of
ments is increased to at least one-wavelength. This has led to the
elements [2], [3], [5]. The Cantor linear and Sierpinski carpet
development of a new design methodology for modular broadband
low-sidelobe arrays that is based on fractal tilings. Several exam- planar fractal arrays have also been shown to be examples of
ples of fractile arrays will be considered including Peano–Gosper, deterministically thinned arrays [2], [3], [5].
terdragon, 6-terdragon, and fudgeflake arrays. Efficient iterative More recently, a new type of deterministic fractal array was
procedures for calculating the radiation patterns of these fractile introduced in [10]–[12] that is based on the Peano–Gosper
arrays to arbitrary stage of growth are also introduced in this family of space-filling curves. The elements of the array are
paper.
uniformly distributed along a Peano–Gosper curve, which
Index Terms—Fractal antennas, fractal arrays, broad-band leads to a planar array configuration with parallelogram cells
arrays, grating lobes, low-sidelobe arrays. that is bounded by a closed Koch-type fractal curve. These
unique properties were exploited in [10]–[12] to develop a
design methodology for deterministic arrays that have no
grating lobes even when the minimum spacing between ele-
I. INTRODUCTION ments is increased to at least one wavelength. Hence, these
Peano–Gosper arrays are relatively broadband when compared

S EVERAL book chapters and review articles have been pub-


lished recently that deal with the subject of fractal antenna
engineering [1]–[5]. A considerable amount of this literature is
to more conventional periodic planar arrays with square or
rectangular cells and regular boundary contours. This type of
fractal array differs fundamentally from other types of fractal
devoted to new concepts for antenna arrays that employ fractal array configurations that have been studied previously, such as
geometries in their design. The first application of fractal geom- those reported in [1]–[9], which have regular boundaries with
etry to antenna array theory was proposed by Kim and Jaggard elements distributed in a fractal pattern on the interior of the
[3], [5], [6], where properties of random fractals were used to array. However, in direct contrast to this, the boundary contour
develop a design methodology for quasirandom arrays. These of the Peano–Gosper array is fractal but the elements on the
quasirandom arrays were shown to possess radiation character- interior of the array do not follow a fractal distribution.
istics capable of bridging the gap between those produced by A new category of fractal arrays, which we call fractile ar-
completely ordered (i.e., periodic) arrays and completely disor- rays, will be introduced in this paper. A fractile array is defined
dered (i.e., random) arrays. to be any array which has a fractal boundary contour that tiles
The design of multiband and low-sidelobe linear arrays based the plane. Tilings of the plane using fractal shaped tiles have
on a Cantor fractal distribution of elements was considered in been considered in [13]–[15]. These fractal tiles, or fractiles,
[1], [3], [5], [7]. Other properties of Cantor fractal linear arrays represent a unique subset of all possible tile geometries that can
have been studied more recently in [2], [3], [5]. The electro- be used to cover the plane without gaps or overlaps. Here we
magnetic radiation produced by planar concentric-ring Cantor exploit the unique geometrical properties of fractiles to develop
arrays was investigated in [3], [5], [8]. These arrays were gener- a new design methodology for modular broadband low-sidelobe
ated using polyadic Cantor bars, which are described by their antenna arrays.
similarity fractal dimension, number of gaps, and lacunarity In Section II-A we demonstrate that the Peano–Gosper arrays
recently considered in [10]–[12] may be classified as fractile
Manuscript received June 16, 2003; revised August 18, 2003. arrays. The radiation characteristics of other types of fractile
The authors are with the The Pennsylvania State University, Depart- arrays will also be investigated in this paper. These include the
ment of Electrical Engineering, University Park, PA 16802 USA (e-mail:
dhw@psu.edu). tredragon, 6-terdragon, and fudgeflake fractile arrays discussed
Digital Object Identifier 10.1109/TAP.2004.832327 in Section II-B, Section II-C, and Section II-D, respectively.
0018-926X/04$20.00 © 2004 IEEE
WERNER et al.: FRACTILE ARRAYS: A NEW CLASS OF TILED ARRAYS WITH FRACTAL BOUNDARIES 2009

(a)

(b)
Fig. 2. First three stages in the construction of a terdragon curve. The initiator
is shown in (a) as a dashed line superimposed on the stage 1 generator. The
generator (unscaled) is shown again in (b) as the dashed curve superimposed on
the stage 2 terdragon curve. The stage 3 terdragon curve is shown in (c).

by the stage 1 Peano–Gosper curve shown in Fig. 1(a) con-


tains a total of eight elements, while the stage 2 Peano–Gosper
array represented by the curve shown in Fig. 1(b) contains 50
elements.
Fig. 1(b) indicates that seven stage 1 Gosper islands can be
tiled together to form a stage 2 Gosper island. Likewise, seven
stage 2 Gosper islands can be tiled together in a similar way
to form a stage 3 Gosper island, and so on. Fig. 1(c) shows a
stage 4 Gosper island (which consists of seven stage 3 Gosper
islands tiled together) as well as the corresponding stage 4
Peano–Gosper curve that fills its interior. The tiling process
depicted in Fig. 1 can be repeated to produce Gosper islands
(c)
having any desired stage of growth. This implies that Gosper
Fig. 1. Gosper island fractiles and their corresponding Peano–Gosper curves island tiles are self-similar since they may be divided into
for (a) stage 1, (b) stage 2, and (c) stage 4.
seven equal tiles that are similar to the whole [13]. Moreover, it
follows that the boundary of these Gosper island tiles is repre-
II. SOME EXAMPLES OF FRACTILE ARRAYS sented by a type of Koch fractal curve. It is also obvious from
Fig. 1 that these Gosper islands are examples of fractiles since
A. The Peano–Gosper Fractile Array they can be used to tile the plane. Finally, because each Gosper
The radiation properties of Peano–Gosper arrays have been island has a corresponding Peano–Gosper curve that fills its
recently investigated in [10]–[12]. These arrays derive their interior, then we are led to the conclusion that Peano–Gosper
name from the fact that the elements are uniformly distributed arrays do in fact belong to the family of fractile arrays.
along a space-filling Peano–Gosper curve. This results in a
deterministic planar array configuration composed of a unique B. The Terdragon Fractile Array
arrangement of parallelogram cells that is bounded by a variant In this section, we will introduce the terdragon fractile array
of an irregular closed Koch fractal curve. It was shown in as well as derive a useful compact product representation for the
[10]–[12] that these arrays exhibit relatively broadband low corresponding array factor. The terdragon is a member of the
side-lobe performance when compared to their conventional family of space-filling dragon curves [14]. The first three stages
counterparts. in the construction of a terdragon curve are shown in Fig. 2. The
Here, we show that Peano–Gosper arrays are in actuality a initiator for the terdragon curve is indicated in Fig. 2(a) by the
type of fractile array. In order to see this, it is convenient to dashed line segment of unit length. The generator for the ter-
start by considering the sequence of Gosper islands illustrated in dragon curve is obtained from the initiator by replacing it with
Fig. 1. Also shown in Fig. 1 are the Peano–Gosper curves that fill a three-sided polygon as shown in Fig. 2(a), where each side
the interior of the associated Gosper islands. The array elements has a length of . Now in order to obtain the stage
are assumed to be equally spaced along these Peano–Gosper construction of the terdragon curve shown in Fig. 2(b), each of
curves [10]–[12]. For example, the generating array represented the three sides of the generator polygon at stage (shown
2010 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 3. Element locations and associated current distributions for the (a) stage 1, (b) stage 3, and (c) stage 6 terdragon fractile arrays. The spacing d between
consecutive array elements uniformly distributed along the terdragon curve is assumed to be the same for each stage.

reproduced in Fig. 2(b) as the dashed curve) are replaced by an TABLE I


EXPRESSIONS OF x AND y IN TERMS OF THE PARAMETERS d AND 
appropriately scaled, rotated, and translated copy of the entire
generator. This iterative process may be repeated to generate
terdragon curves up to an arbitrary stage of growth . For in-
stance, the stage construction of the terdragon curve is
shown in Fig. 2(c) superimposed on a copy of the stage
curve from Fig. 2(b). The geometry for a stage 1, a stage 3, and
a stage 6 fractile array based on the terdragon curve are shown
in Fig. 3. Fig. 3 also indicates the location of the elements in
the plane and their corresponding values of current am-
plitude excitation. For this example, the minimum spacing be-
tween array elements is held fixed at a value of for each
stage of growth. The nonuniform current amplitude distribu-
tions arise from the fact that the initiator consists of a uniformly
excited two-element linear array with spacing between the ele-
ments denoted by . Hence, we can consider the generator
array shown in Fig. 3(a) to be composed of three copies of the
two-element initiator array appropriately rotated and translated.
In this case there are two instances where two of the array ele-
ments will share a common location. From a physical point of
view the two colocated elements can be interpreted as a single
element having twice the value of current amplitude excitation.
With this in mind the mathematical six-element uniformly ex-
cited array model can be replaced by a physically equivalent
four-element array model that has a nonuniform current dis-
tribution of 1:2:2:1. This process is then repeated to generate
higher-order versions of the fractile array.
Fig. 4. First stage in the construction of a 6-terdragon fractile. The initiator is
The array factor for a stage terdragon fractile array may be shown as the dashed curve superimposed on the stage 1 generator shown as the
conveniently expressed in terms of a product of matrices solid curve.
WERNER et al.: FRACTILE ARRAYS: A NEW CLASS OF TILED ARRAYS WITH FRACTAL BOUNDARIES 2011

Fig. 6. 6-terdragon fractile arrays for (a) stage 4 and (b) stage 6.

Fig. 5. Element locations and associated current distributions for the (a) stage
1, (b) stage 2 and (c) stage 3 6-terdragon fractile arrays. The spacing d
between consecutive array elements uniformly distributed along the 6-terdragon
curve is assumed to be the same for each stage.

which are pre-multiplied by a vector and postmultiplied by


a vector such that

(1)

where

(2)
(3)
(4)
(5)
(6)

(7)

(8) Fig. 7. The first three stages in the construction of a fudgeflake fractile.
The initiator is shown in (a) as the dashed curve superimposed on the stage 1
(9) generator. The generator (unscaled) is shown again in (b) as the dashed curve
superimposed on the stage 2 fudgeflake. The stage 3 fudgeflake curve is shown
in (c).
(10)

(12)
(11) (13)
2012 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 8. Element locations and associated current distributions for the (a) stage 1, (b) stage 3, and (c) stage 5 fudgeflake fractile arrays. The spacing d between
consecutive array elements uniformly distributed along the fudgeflake curve is assumed to be the same for each stage.

Note that the parameter represents the scale factor used to where represents the empty set. Note that if then
generate the terdragon fractile arrays shown in Fig. 3. The values for the corresponding values of and . The values of
of required in (8) are found from and for – required to evaluate (9) and (10) are
listed in Table I.

C. The 6-Terdragon Fractile Array


(14) Fig. 4 shows the first stage in the construction of a fractile
array that is based on six copies of the stage 1 terdragon array,
WERNER et al.: FRACTILE ARRAYS: A NEW CLASS OF TILED ARRAYS WITH FRACTAL BOUNDARIES 2013

Fig. 9. Fudgeflake fractile array aperture divided into three self-similar


subarray apertures. Fig. 11. Plot of the normalized stage 6 terdragon fractile array factor versus '
for  = 90 and d = .

Fig. 10. Plot of the normalized stage 6 terdragon fractile array factor versus  Fig. 12. Plot of the normalized array factor versus  with ' = 90 for a
for ' = 90 . The dashed curve represents the case where d = =2 and the 2
uniformly excited 18 18 periodic square array. The dashed curve represents
solid curve represents the case where d = . the case where d = =2 and the solid curve represents the case where
d = .
shown in Fig. 3, arranged in the plane around the point at
the origin. Therefore, we introduce the terminology 6-terdragon where the matrices and are defined in (2) and (6),
array to denote a fractile array generated from the curve shown respectively.
in Fig. 4. The first three stages (i.e., , and )
in the construction of a 6-terdragon fractile array are shown in D. The Fudgeflake Fractile Array
Fig. 5. Also indicated in Fig. 5 are the locations of the elements
In this section, another type of fractile, known as the fudge-
and their corresponding values of current amplitude excitation.
The minimum spacing between array elements is held fixed at a flake, is investigated for its potential utility in the design of
value of for each stage of growth. Fig. 6 shows the geom- broadband low-sidelobe antenna arrays. The first three stages in
etry for a stage 4 and a stage 6 6-terdragon fractile array. This the construction of a fudgeflake fractile are illustrated in Fig. 7
figure also clearly illustrates how these arrays can be considered [14]. The initiator appears as the dashed curve (i.e., the triangle)
as being composed of six associated terdragon subarrays tiled in Fig. 7(a) superimposed on the stage 1 generator. This gener-
together around a common central point. The array factor for a ator is shown again in Fig. 7(b) as the dashed curve superim-
stage 6-terdragon fractile array may be expressed in terms of posed on the stage 2 fudgeflake, while Fig. 7(c) shows the stage
the product of matrices which are premultiplied by a 3 fudgeflake with the associated generator from stage 2 super-
vector and postmultiplied by a vector such that imposed. The geometry and current distributions for a stage 1,
stage 3, and stage 5 fudgeflake fractile array located in the
(15)
plane are depicted in Fig. 8. Finally, an example is presented in
(16) Fig. 9 that illustrates how a fudgeflake fractile array can be di-
(17) vided into three self-similar subarray apertures.
2014 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE II
MAXIMUM DIRECTIVITY FOR SEVERAL DIFFERENT TERDRAGON FRACTILE ARRAYS

TABLE III
COMPARISON OF MAXIMUM DIRECTIVITY FOR A STAGE 6 TERDRAGON FRACTILE ARRAY WITH 308 ELEMENTS AND AN 18 2 18 SQUARE ARRAY OF
COMPARABLE SIZE WITH 324 ELEMENTS

The array factor for a stage fudgeflake fractile array may III. RESULTS
be expressed as Fig. 10 contains a plot of the normalized array factor (in deci-
bels) versus with for the stage 6 terdragon fractile
(18) array shown in Fig. 3(c). The dashed curve represents the ra-
diation pattern slice for a terdragon fractile array with element
spacings of while the solid curve represents the
where the matrices and have been defined in (2) and (6), corresponding radiation pattern slice for the same array with
respectively, and . Fig. 11 shows a plot of the normalized array factor
for the case where , and .
(19) This plot demonstrates that there are no grating lobes present
anywhere in the azimuthal plane of the terdragon fractile array,
(20) even with elements spaced one-wavelength apart. For compar-
ison purposes, we consider a uniformly excited periodic 18 18
square array of comparable size to the stage 6 terdragon fractile
Finally, we point out that the self-similar and associated itera- array, which contains a total of 308 elements. Plots of the nor-
tive properties of fractile arrays could be exploited to develop malized array factor for the 18 18 periodic square array are
fast algorithms for calculating their driving point impedances. shown in Fig. 12 for element spacings of
This could be accomplished by following a similar procedure to (dashed curve) and (solid curve). A grating lobe
that introduced in [5] and [16] for the more conventional Cantor is clearly visible for the case in which the elements are periodi-
linear and Sierpinski carpet planar fractal arrays. cally spaced one wavelength apart.
WERNER et al.: FRACTILE ARRAYS: A NEW CLASS OF TILED ARRAYS WITH FRACTAL BOUNDARIES 2015

Fig. 13. Plots of the normalized array factor versus  for ' = 0 with
mainbeam steered to  = 45 and ' = 0 . The solid curve represents the
radiation pattern of a stage 6 terdragon fractile array with d = =2 and the Fig. 15. Plot of the normalized stage 5 fudgeflake fractile array factor versus
dashed curve represents the radiation pattern of a uniformly excited 18 182  for ' = 90 . The dashed curve represents the case where d = =2 and
square array with d = d = =2. Note that terdragon arrays are examples the solid curve represents the case where d = .
of almost uniformly excited arrays.

may be readily obtained by setting in (21) and substi-


tuting the result into

(22)

This leads to the following expression for the maximum direc-


tivity given by [10]:

(23)

Table II lists the values of maximum directivity, calcu-


lated using (23), for several terdragon fractile arrays with
Fig. 14. Plot of the normalized stage 4 6-terdragon fractile array factor versus different minimum element spacings and stages of growth
 for ' = 90 . The dashed curve represents the case where d = =2 and . Table III provides a comparison between the maximum
the solid curve represents the case where d = . directivity of a stage 6 terdragon fractile array and that of a con-
ventional uniformly excited 18 18 planar square array. These
The array factor of any stage planar fractile array with directivity comparisons are made for three different values
elements may be expressed in the general form: of array element spacings (i.e., ,
and ). In the first case, where the element spacing
is assumed to be , we find that the maximum
directivity of the stage 6 terdragon array and the 18 18 square
array are comparable. This is also found to be the case when
the element spacing is increased to (see Table III).
However, in the third case where the element spacing is in-
creased to , we see that the maximum directivity for
(21) the stage 6 terdragon fractile array is about 9 dB higher than its
conventional 18 18 square array counterpart. This is because
where and represent the excitation current amplitude and the maximum directivity for the stage 6 terdragon fractile array
phase of the th element respectively, is the horizontal posi- increases from 25.6 to 29.8 dB when the element spacing is
tion vector for the th element with magnitude and angle , changed from a half-wavelength to one-wavelength, respec-
and is the unit vector in the direction of the far-field observa- tively, while on the other hand, the maximum directivity for the
tion point. Therefore, an expression for the maximum directivity 18 18 square array drops from 26.9 dB down to 20.9 dB. The
of a broadside stage planar fractile array of isotropic sources drop in value of maximum directivity for the 18 18 square
2016 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE IV
MAXIMUM DIRECTIVITY FOR SEVERAL DIFFERENT 6-TERDRAGON FRACTILE ARRAYS

array may be attributed to the appearance of grating lobes in cited 15 15 planar square array for three different values of
the radiation pattern. element spacings.
Next, we consider the case where the mainbeam of the ter- Finally, the last example to be considered will be the stage
dragon fractile array is steered in the direction corresponding to 5 fudgeflake fractile array illustrated in Fig. 8(c). A plot of
and . In order to accomplish this, the element the normalized array factor for this array is shown in Fig. 15,
phases for the terdragon fractile array are chosen according to where the dashed curve and solid curve represent the cases
where and , respectively. Table VI
(24) lists the values of maximum directivity for several fudgeflake
fractile arrays with different minimum element spacings and
stages of growth , while Table VII provides a comparison
Fig. 13 shows normalized array factor plots with the mainbeam
between the maximum directivity of a stage 5 fudgeflake
steered to and , where the solid curve re-
fractile array and a uniformly excited 18 18 planar square
sults from a stage 6 terdragon fractile array and the dashed curve
array for element spacings of , and . Therefore,
results from a conventional uniformly excited 18 18 square
this example provides yet another illustration of the unique
array. The minimum spacing between elements for both arrays
feature characteristic of fractile arrays; namely, the fact that
is assumed to be a half-wavelength. This comparison demon-
they possess very low sidelobes and no grating lobes will
strates that the terdragon fractile array is superior to the 18 18
appear in the radiation patterns when the minimum spacing is
square array in terms of its overall sidelobe characteristics.
changed from a half-wavelength to at least a full-wavelength.
At this point the radiation characteristics of the 6-terdragon
It is also interesting to note that terdragon, 6-terdragon, and
fractile array illustrated in Fig. 6(a) will be investigated. A plot
fudgeflake fractile arrays are all deterministic examples of
of the normalizad array factor as a function of for the stage 4
almost uniformly excited arrays [17].
6-terdragon fractile array is shown in Fig. 14 for . The
dashed curve represents the case where , whereas
IV. CONCLUSION
the solid curve represents the case where . Again,
we see from Fig. 14 that there are no grating lobes present for A new class of antenna arrays, which we call fractile arrays,
this array when the minimum spacing between elements is as has been introduced in this paper. These fractile arrays are
much as one-wavelength. The values of maximum directivity characterized by having a fractal boundary contour that tiles
for several 6-terdragon fractile arrays with different minimum the plane without gaps or overlaps. The unique geometrical
element spacings and stages of growth are listed in Table IV. properties of fractiles have been exploited in order to develop
Table V provides a comparison between the maximum direc- a deterministic design methodology for modular broadband
tivity of a stage 4 6-terdragon fractile array and a uniformly ex- low-sidelobe arrays. The radiation properties of several different
WERNER et al.: FRACTILE ARRAYS: A NEW CLASS OF TILED ARRAYS WITH FRACTAL BOUNDARIES 2017

TABLE V
COMPARISON OF MAXIMUM DIRECTIVITY FOR A STAGE 4 6-TERDRAGON FRACTILE ARRAY WITH 211 ELEMENTS AND A 15 2 15 SQUARE ARRAY OF
COMPARABLE SIZE WITH 225 ELEMENTS

TABLE VI
MAXIMUM DIRECTIVITY FOR SEVERAL DIFFERENT FUDGEFLAKE FRACTILE ARRAYS

TABLE VII
COMPARISON OF MAXIMUM DIRECTIVITY FOR A STAGE 5 FUDGEFLAKE FRACTILE ARRAY WITH 292 ELEMENTS AND AN 18 2 18 SQUARE ARRAY
WITH 324 ELEMENTS

fractile arrays have been investigated including Peano–Gosper, REFERENCES


terdragon, 6-terdragon, and fudgeflake arrays. Efficient iterative [1] J. L. Vehl, E. Lutton, and C. Tricot, Eds., Fractals in Engineering. New
procedures for calculating the radiation patterns of these fractile York: Springer-Verlag, 1997.
[2] D. H. Werner, R. L. Haupt, and P. L. Werner, “Fractal antenna engi-
arrays to arbitrary stage of growth have also been developed neering: The theory and design of fractal antenna arrays,” IEEE An-
in this paper. tennas Propagat. Mag., vol. 41, no. 5, pp. 37–59, Oct. 1999.
2018 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

[3] D. H. Werner and R. Mittra, Eds., Frontiers in Electromagnetics. Pis- Douglas H. Werner (S’81–M’89–SM’94) received
cataway, NJ: IEEE Press, 2000. the B.S., M.S., and Ph.D. degrees in electrical en-
[4] J. P. Gianvittorio and Y. Rahmat-Samii, “Fractal antennas: A novel gineering and the M.A. degree in mathematics from
antenna miniaturization technique, and applications,” IEEE Antennas The Pennsylvania State University (Penn State),
Propagat. Mag., vol. 44, pp. 20–36, Feb. 2002. University Park, in 1983, 1985, 1989, and 1986,
[5] D. H. Werner and S. Ganguly, “An overview of fractal antenna engi- respectively.
neering research,” IEEE Antennas Propagat. Mag., vol. 45, pp. 38–57, He is an Associate Professor in the Department of
Electrical Engineering, Penn State. He is a member of
Feb. 2003.
the Communications and Space Sciences Lab (CSSL)
[6] Y. Kim and D. L. Jaggard, “The fractal random array,” Proc. IEEE, vol.
and is affiliated with the Electromagnetic Communi-
74, no. 9, pp. 1278–1280, 1986. cation Research Lab. He is also a Senior Research
[7] C. P. Baliarda and R. Pous, “Fractal design of multiband and low side- Associate in the Electromagnetics and Environmental Effects Department of
lobe arrays,” IEEE Trans. Antennas Propagat., vol. 44, pp. 730–739, the Applied Research Laboratory at Penn State. He is a former Associate Editor
May 1996. of Radio Science. He has published numerous technical papers and proceedings
[8] D. L. Jaggard and A. D. Jaggard, “Cantor ring arrays,” Microwave and articles and is the author of nine book chapters. He is an Editor of Frontiers
Opt. Technol. Lett., vol. 19, pp. 121–125, 1998. in Electromagnetics (Piscataway, NJ: IEEE Press, 2000). He also contributed
[9] D. H. Werner, K. C. Anushko, and P. L. Werner, “The generation of sum a chapter for Electromagnetic Optimization by Genetic Algorithms (New York:
and difference patterns using fractal subarrays,” Microwave and Opt. Wiley Interscience, 1999). His research interests include theoretical and com-
Technol. Lett., vol. 22, no. 1, pp. 54–57, July 1999. putational electromagnetics with applications to antenna theory and design, mi-
[10] D. H. Werner, W. Kuhirun, and P. L. Werner, “The Peano–Gosper fractal crowaves, wireless and personal communication systems, electromagnetic wave
array,” IEEE Trans. Antennas Propagat., vol. 51, pp. 2063–2072, Aug. interactions with complex media, meta-materials, fractal and knot electrody-
2003. namics, and genetic algorithms.
[11] , “A new class of modular broadband arrays based on gosper islands Dr. Werner is a Member of the American Geophysical Union (AGU), Inter-
national Scientific Radio Union (URSI) Commissions B and G, the Applied
and associated Peano–Gosper curves,” in Proc. IEEE Int. Antennas and
Computational Electromagnetics Society (ACES), Eta Kappa Nu, Tau Beta Pi,
Propagation Symp. and URSI North American Radio Science Meeting,
and Sigma Xi. He received the 1993 Applied Computational Electromagnetics
vol. 4, Columbus, OH, June 22–27, 2003, pp. 250–253. Society (ACES) Best Paper Award and a 1993 URSI Young Scientist Award.
[12] , “A new design methodology for modular broadband arrays based In 1994, he received the Pennsylvania State University Applied Research Lab-
on fractal tilings,” in Proc. IEEE Topical Conf. Wireless Communication oratory Outstanding Publication Award. He received a College of Engineering
Technology, Honolulu, HI, Oct. 15–17, 2003. PSES Outstanding Research Award and Outstanding Teaching Award in March
[13] B. B. Mandelbrot, The Fractal Geometry of Nature. New York: 2000 and March 2002, respectively. He recently received an IEEE Central Penn-
Freeman, 1983. sylvania Section Millennium Medal. He has also received several Letters of
[14] G. A. Edgar, Measure, Topology, and Fractal Geometry. New York: Commendation from Penn State’s Department of Electrical Engineering for
Springer-Verlag, 1990. outstanding teaching and research. He is an Editor of IEEE ANTENNAS AND
[15] B. Grunbaum and G. C. Shephard, Tilings and Patterns. New York: W. PROPAGATION MAGAZINE.
H. Freeman and Company, 1987.
[16] D. H. Werner, D. Baldacci, and P. L. Werner, “An efficient recursive pro-
cedure for evaluating the impedance matrix of linear and planar fractal Waroth Kuhirun received the B. Eng. degree from Chulalongkorn University,
arrays,” IEEE Trans. Antennas Propagat., vol. 52, pp. 380–387, Feb. Thailand, in 1994 and the M.S. and Ph.D. degrees in electrical engineering from
2004. Pennsylvania State University, University Park, in 1998 and 2003, respectively.
[17] P. Lopez, J. A. Rodríguez, F. Ares, and E. Moreno, “Low sidelobe level From 1994 to 1995, he worked at Kasetsart University, Thailand. His research
in almost uniformly excited array,” Inst. Elect. Eng. Electron. Lett., vol. interest is in the area of fractal and fractile antenna arrays.
36, no. 24, pp. 1991–1993, Nov. 2000. Dr. Kuhirun received a scholarship from the Thai Government for his M.S.
and Ph.D. studies.

Pingjuan L. Werner (SM’02) is an Associate Pro-


fessor with the Pennsylvania State University Col-
lege of Engineering. Her primary research focuses
are in the area of electromagnetics, including fractal
antenna engineering and the application of genetic al-
gorithms in electromagnetics.
Prof. Werner is a Fellow of the Leonhard Center,
College of Engineering, The Pennsylvania State Uni-
versity, and a Member of Tau Beta Pi National Egi-
neering Honor Society, Eta Kappa Nu National Elec-
trical Engineering Honor Society, Sigma Xi National
Research Honor Society. She received The Best Paper Award from the Applied
Computational Electromagnetics Society in 1993.
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 2019

A New Millimeter-Wave Printed Dipole Phased Array


Antenna Using Microstrip-Fed Coplanar Stripline
Tee Junctions
Young-Ho Suh, Member, IEEE, and Kai Chang, Fellow, IEEE

Abstract—A new millimeter-wave printed twin dipole phased


array antenna is developed at Ka band using a new microstrip-fed
CPS Tee junction, which does not require any bonding wires,
air bridges, or via holes. The phased array used a piezoelectric
transducer (PET) controlled tunable multitransmission line phase
shifter to accomplish a progressive phase shift. A progressive
phase shift of 88.8 is achieved with the 5 mm of perturber length
when the PET has full deflection. Measured return loss of the
twin dipole antenna is better than 10 dB from 29.5 to 30.35 GHz.
Measured return loss of better than 15 dB is achieved from 30 to
31.5 GHz for a 1 8 phased array. The phased array antenna has
a measured antenna gain of 14.4 dBi with 42 beam scanning and
has more than 11 dB side lobe suppression across the scan.
Index Terms—Coplanar stripline (CPS), CPS Tee junction,
coplanar transmission lines, dipole antenna, microstrip-to-CPS
transition, phase shifter, phased array antenna, piezoelectric
transducer phase shifter, twin dipole antenna.

I. INTRODUCTION
Fig. 1. CCPS structure (a) original CPS, (b) CCPS, (c) cross-sectional view at
A-A’ with fields distributions of the CCPS for different layers of metallization.

P HASED array antenna systems usually associated with


large and complex active device networks for phase
shifters, which occupies large portion of the system expenses. array. In 1998, a wideband microstrip-fed twin dipole antenna
Phased array used in military radar system requires low profile was introduced with double-sided structure operating at the
for invisibility against opponents. It also needs to be light frequency range from 0.61 to 0.96 GHz [3]. Zhu and Wu [4]
weight especially in the applications of satellite communica- developed a 3.5 GHz twin dipole antenna fed by a hybrid
tions. Correspondingly, the demands for low cost, low profile, finite ground coplanar waveguide (FGCPW)/CPS Tee junction.
small size, light weight, and less complicated phased array An X-band monolithic integrated twin dipole antenna mixer
antenna systems are increasing nowadays for both commercial was reported in [5] with devices directly integrated into the
and military applications. antenna, so no feeding network was necessary.
A printed dipole antenna satisfies the benefits of low profile, In this paper, a new planar printed dipole phased array
light weight, low cost and compact size, which is suitable for antenna using a tunable phase shifter controlled by PET is
building phased arrays if proper phase shifters are provided. presented at 30 GHz. The phased array antenna uses a new twin
To construct a printed dipole array, several configurations have dipole antenna excited by a microstrip-fed CPS Tee junction
been proposed. Nesic et al. [1] reported a one-dimensional [8]. The piezoelectric transducer (PET) controlled phase shifter
printed dipole antenna array fed by microstrip at 5.2 GHz. does not require any solid-state devices and their associated
Scott [2] introduced a microstrip-fed printed dipole array using driving circuits. The 1 8 twin dipole phased array antenna
a microstrip-to-coplanar stripline (CPS) balun. In [1] and [2], has compact size, low loss, low cost, light weight and reduced
the balun designs were not easy to match the impedance complexity as well as good beam scanning with low side lobe
and the structures were too big and complicated to build an levels.
The PET controlled phase shifter was adopted for the low
cost phased array antenna systems for the first time in [6] and
Manuscript received August 1, 2002; revised June 17, 2003. This work was [7]. In this structure, a dielectric perturber controlled by PET
supported in part by the National Science Foundation and NASA Glenn Re-
search Center.
is used to introduce a progressive phase shift. The deflection
Y.-H. Suh was with the Department of Electrical Engineering, Texas A&M takes place at the PET when the proper voltages are applied.
University, College Station, TX 77840 USA. He is now with Mimix Broadband Using this property of the PET, a dielectric perturber can have
Inc., Houston, TX 77099 USA (e-mail: ysuh@mimixbroadband.com). upward and downward movement according to the applied
K. Chang is with Department of Electrical Engineering, Texas A&M Univer-
sity, College Station, TX 77840 USA (e-mail: chang@ee. tamu.edu). voltages. Consequently, if a transmission line is perturbed by
Digital Object Identifier 10.1109/TAP.2004.832510 a PET actuated dielectric perturber, its propagation constant
0018-926X/04$20.00 © 2004 IEEE
2020 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 2. Simulated performances comparison at Ka band between conventional and coupled CPS.

will be changed. This phenomenon induces a variable phase is better than 10 dB. The radial stub provides virtual short to
shift along the transmission line controlled by PET. In [6] and the bottom layer metallization, which depends on the radius of
[7], an end-fire Vivaldi antenna was used for covering a wide the radial stub. Hence, smaller radius of radial stub gives higher
bandwidth, and a transition was required to feed antennas. operating frequency with minimal insertion loss and return loss
Consequently, the system was large and bulky. deteriorations compared to the original CPS configuration.
The new printed twin dipole phased array using a mi- Performances of CCPS are simulated with IE3D and com-
crostrip-fed CPS combined with a PET phase shifter provides pared with those of conventional CPS as shown in Fig. 2. The
low-cost, low-loss, low-profile, compact-size and low-com- simulated transmission line length is about 5 mm and the con-
plexity with simple antenna feeding. ventional CPS has almost zero insertion loss with that short
length transmission line. Fig. 2 shows that the insertion loss of
II. A MICROSTRIP-FED CPS TEE JUNCTION CCPS is deteriorated by about 1 dB as compared with that of
conventional CPS for the frequency range from 29.2 GHz to 35
The twin dipole antenna is fed by a CPS. Since conventional
GHz and the return loss is better than 10 dB. Insertion loss de-
planar transmission line is microstrip line, a microstrip-to-CPS
terioration of less than 2 dB covers the wider frequency range
transition is needed to feed the dipole. A microstrip-fed CPS
from 26.4 GHz to 35 GHz. From the above results, CCPS shows
Tee junction without using bonding wires or air bridges was in-
that fields are continuous all over the transmission line with the
troduced in [8]. In [8], the operating frequency is centered near
aid of radial stub, though a discontinuity is introduced at one of
3.5 GHz with 0.7 dB insertion loss ranged from 2 to 4.15 GHz.
the CPS strips.
The Tee junction utilized novel coupled CPS (CCPS). This
The structure of microstrip-fed CPS Tee junction at 30 GHz
transmission line can have a physical discontinuity while fields
is shown in Fig. 3. The Tee junction has the characteristic
are continuous over the whole transmission line using CCPS.
impedance of 202 at each output port 1 and 2. The input
The structure of original CPS and CCPS at 30 GHz is shown
impedance to the microstrip feed at port 3 is about 101 , which
in Fig. 1(a) and (b). For the CPS, CCPS, Tee junction and
is half of 202 . Radial stubs effectively rotate the electric
antenna design, IE3D software [9], which uses the method of
fields from parallel to the normal to the substrate to have a
moments, is employed for full wave electromagnetic simulation.
good coupling to the bottom metallization, which provides the
A 31 mil RT/Duroid 5870 substrate with a dielectric constant
ground of microstrip line.
of 2.33 is used for the antenna and feeding network fabrication.
The Tee junction is simulated with IE3D to verify the per-
The width ( ) of CPS strip is 0.65 mm and gap ( ) between
formance at 30 GHz. Simulated performance of the Tee junc-
the strips is 0.5 mm, which has the characteristic impedance
tion is shown in Fig. 4. The simulated performance shows that
of 202 . This impedance is chosen to match a dipole an-
the Tee junction equally splits the power to each CPS port with
tenna input impedance which will be shown later. As shown
1.2 dB insertion loss at 30 GHz. Simulated 2 dB insertion loss
in Fig. 1(b), one of the CPS strips is discontinued and is
bandwidth of the Tee junction is from 27.2 to 34.8 GHz, and the
terminated with radial stubs with a rotation angle of 30 and
return loss is better than 20 dB. Because of high frequency oper-
a radius of 0.65 mm for coupling to the bottom layer met-
ation bandwidth restriction of the microstrip-to-CPS transition
allization. The bottom layer metallization, which is coupled
in [8], the Tee junction is not measured but simulation results
from the top layer’s radial stubs, works as a CPS strip shown
quite verifies its performances.
in Fig. 1(c). The radial stub is used to accomplish the smooth
field transition. The wideband coupling performance of radial
stubs has been reported in the microstrip-to CPS-to-microstrip III. TWIN DIPOLE ANTENNA USING MICROSTRIP-FED CPS
back-to-back transition for lower frequency operation [10]. The TEE JUNCTION
back-to-back transition has a measured 3 dB insertion loss over The structure of the twin dipole antenna is illustrated in
a frequency range from 1.3 to 13.3 GHz (1:10.2) and return loss Fig. 5. The twin dipole antenna utilizes the microstrip-fed CPS
SUH AND CHANG: A NEW MILLIMETER-WAVE PRINTED DIPOLE PHASED ARRAY ANTENNA 2021

Fig. 3. Structure of Ka-band microstrip-fed CPS Tee junction for twin dipole antenna feeding near 30 GHz.

Tee junction as discussed in Section II. The antenna is placed


in front of a reflector for uni-directional radiation. The reflector
is spaced from the antenna at the distance of 1.5 mm (60 mil),
which is about 0.15 . The length of dipole is 5.3 mm or
0.53 . The spacing between dipoles was optimized to be
0.36 because of an insertion loss increase in CCPS in the
Tee-junction with a long coupled line such as 0.5 , causing a
gain drop. Mutual coupling normally takes place when antenna
spacing is less than a half wavelength. Twin dipole antenna’s
input impedance is supposed to have some reactance due to
this coupling effect. By adjusting the reflector’s spacing, this
reactance can be minimized with a small change in input
Fig. 4. Simulated performance of the Tee junction near 30 GHz. impedance.
The input impedance of a single dipole antenna is around
202 . The strip width ( ) and gap ( ) between strips of CCPS
at the CPS Tee junction in Section II are determined to have a
CCPS characteristic impedance identical to the dipole antenna
input impedance for good impedance matching.
Measured return loss of the twin dipole antenna is better than
10 dB from 29.5 to 30.35 GHz as shown in Fig. 6. Measured
and simulated return losses have good agreements. For mea-
surements, a quarter-wavelength transformer with limited band-
width is used and causes small discrepancies between simulated
data and measurements. Radiation patterns of the antenna are
measured in an anechoic chamber. The measured radiation pat-
terns are shown in Fig. 7. and -plane radiation patterns are
quite similar to each other for the twin dipole antenna as dis-
cussed in [4]. Measured and -plane gains are about 7.6 and
7.7 dBi with the 3 dB beamwidths of 32 and 34 , respectively.
The measured cross-polarizations at broadside are about 47.7
and 42.4 dB down compared with the copolarization levels in
and -plane, respectively. Gains and 3 dB beam widths of
and -planes are quite close to each other. Some discrepancies
Fig. 5. Structure of printed twin dipole antenna using a microstrip-fed CPS of gains and 3 dB beam widths are partly due to the small mis-
Tee junction. alignments of the antenna in millimeter-wave frequencies.
2022 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 6. Simulated and measured return loss of the twin dipole antenna.

Fig. 7. Measured radiation patterns of the twin dipole antenna.

IV. PHASED ARRAY ANTENNA WITH MULTITRANSMISSION distributions are more recognizable [11]. It is assumed that the
LINE PET CONTROLLED PHASE SHIFTER reference point is the physical center of the array.
For the linear phased array, an array factor is a function of the
progressive phase shift and the element spacing . The array (4)
factor is given as
The total field of array is equal to the field of a single element
(1) positioned at the origin multiplied by an array factor, which is
expressed as

where (5)

(2) From (4), the maximum value of array factor is [11]. Hence
maximum achievable gain of the array can be found from (4)
where is expressed as and is beam scanning angle. and (5), which is expressed as
is the number of elements.
The progressive phase shift causes the radiation emitted from
the array to have a constant phase front that is pointing at the
angle . This beam scanning angle ( ) is also a function of (6)
and , given by
In (6), the effect of mutual coupling between elements is
excluded for the simplicity. Mutual coupling normally degrades
(3) arrayed antenna gain. Equation (6) can be used for the gain
approximation of the array. To achieve more accurate calculation
The array factor in (1) can also be expressed as (4) below in including mutual coupling effects, a full-wave electromagnetic
an alternate, compact and closed form whose function and their simulation can be used for antenna array analysis.
SUH AND CHANG: A NEW MILLIMETER-WAVE PRINTED DIPOLE PHASED ARRAY ANTENNA 2023

Fig. 8. Structure of printed dipole phased array antenna controlled by PET (a) top view and (b) side view.

The structure of 1 8 printed twin dipole phased array


antenna is shown in Fig. 8. A conventional microstrip power
divider with binominal impedance transformers is used for
feeding network to cover the wide bandwidth. The bottom
metallization provides good ground plane for the microstrip.
To obtain the required phase shift, the 101 microstrip line,
which has the same input impedance as the twin dipole antenna,
is perturbed with a dielectric perturber actuated by PET. The
length of dielectric perturber varies linearly from 5 to 35 mm
on top of line 2 to line 8 in Fig. 8. The first line is not perturbed.
The PET is configured to have no deflection (no perturbation)
when a DC voltage of 0 V is applied, and full deflection (full
perturbation) when a DC voltage of 50 V is applied. A 50 mil Fig. 9. Differential phase shift for 5 mm dielectric perturber controlled by PET.
RT/duroid 6010.2 with a dielectric constant of 10.2 is used as
the dielectric perturber. With a dielectric perturber of 5 mm, Fig. 9 shows that a dif-
The amount of phase shift is linearly proportional to the ferential phase shift of 88.8 takes place with a 2 dB insertion
length of perturber [7], which is expressed as loss. Narrower microstrip line generates larger phase shift but
the insertion loss is increased. Hence, a proper microstrip line’s
(7) width should be chosen for having a good phase shift as well as
low insertion loss.
where, is the perturber length along the th trans-
Table I summarizes the design and measured parameters for
mission line. represents the differential propagation con-
the twin dipole phased array. The parameter values in Table I
stant expressed as
are useful in analytical calculations of the scanning angle ( ),
(8) maximally achievable gain, and optimum element spacing ( )
of the phased array.
where represents the propagation constant of the According to (7) and (8), the perturber’s length can be
th perturbed transmission line, which is microstrip in this case. determined for a desired phase shift. A length of 5 mm
Since the first perturbed microstrip line (i.e., the second line or dielectric perturber produces about 88.8 differential phase
line 2) has the minimum perturbed length, the following rela- shift. Accordingly, the length of each neighboring perturbed
tionship is obtained. line is increased by 5 mm. The length of perturber for the
final microstrip ( ) is about 35 mm, which gives
(9) a differential phase shift of 621.6 .
2024 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE I
PARAMETER VALUES OF THE TWIN DIPOLE PHASED ARRAY

TABLE II
COMPARISON AMONG ANALYTICAL, SIMULATION, AND MEASURED RESULTS OF THE 1 2 8 PHASED ARRAY

Fig. 10. Measured return loss of the printed twin dipole phased array antenna.

IE3D analysis shows that a progressive phase shift of 88.8 V. PHASED ARRAY MEASUREMENTS
gives around beam scanning with low side lobe levels. The phased array is measured in an anechoic chamber. As
An analytical scan angle can also be obtained using (3), and shown in Fig. 8, the antenna is arrayed for the -plane beam
maximally achievable gain of the phased array can be obtained scanning. To accomplish bidirectional beam scanning, two tri-
from (6). The maximum spacing ( ) between elements to avoid angular perturbers are used side by side [12]. PET actuation for
grating lobes is expressed as the dielectric perturber is configured as 0 V for no perturbation
(no PET deflection) and 50 V for full perturbation (full PET de-
(10) flection). The measured twin dipole phased array antenna gain
without perturbation (0 V for PET) is about 14.4 dBi with a 3 dB
From analytical equations in (3), (6) and (10) and the parameters beam width of 6 as shown in Fig. 11. The fully perturbed an-
in Table I, the calculated , maximally achievable gain, and tenna with a dielectric perturber controlled by PET shows about
maximum spacing are calculated to be 19.47 , 16.73 dBi, and 42 ( ) beam scanning with the gain of 12.2 dBi.
7.5 mm, respectively. The results agree very well with IE3D Side lobe levels of the steered beam are more than 11 dB down
simulation as given in Table II. compared with main beam. The gains of steered beams are about
Measured return loss of the 1 8 twin dipole array is 2.2 dB down due to the insertion loss incurred by dielectric per-
plotted in Fig. 10. The measured return loss is about 41.9 dB at turbation. The beam can be dynamically steered depending on
30.3 GHz for the unperturbed twin dipole phased array antenna. the voltages applied to PET because the amount of phase shift
With perturbation by the dielectric perturber, the return loss is changes according to the applied voltages on PET as shown in
about 31.8 dB at 30.7 GHz, which shows a 0.4 GHz frequency Fig. 9.
shift compared with the unperturbed result. For a bandwidth The comparison among analytical, simulation, and measured
from 30 to 31.5 GHz, a measured return loss is better than results of the phased array are exhibited in Table II. Beam scan-
15 dB. ning angle is following closely among analytical, IE3D simula-
SUH AND CHANG: A NEW MILLIMETER-WAVE PRINTED DIPOLE PHASED ARRAY ANTENNA 2025

Fig. 11. Measured H-plane radiation pattern for twin dipole phased array antenna at 30 GHz. Measured beam scanning is from 020 to +22 with full
perturbation.

tion, and measured results. Measured unperturbed gain is about [5] K. L. Deng, C. C. Meng, S. S. Lu, H. D. Lee, and H. Wang, “A fully
2.3 dB lower than analytical or IE3D simulated data. This is due monolithic twin dipole antenna mixer on a GaAs substrate,” in Proc.
Asia Pacific Microwave Conf. Dig., Sydney, NSW, Australia, 2000, pp.
to the insertion loss of power divider and the mutual coupling ef- 54–57.
fects among elements, which normally degrades antenna gain. [6] T. Y. Yun and K. Chang, “A phased-array antenna using a multi-line
The measured gains of steered beams are about 2.2 dB down phase shifter controlled by a piezoelectric transducer,” in IEEE Int. Mi-
crowave Symp. Dig., vol. 2, Boston, MA, 2000, pp. 831–833.
compared to that of unperturbed beam due to the insertion loss [7] , “A low-cost 8 to 26.5 GHz phased array antenna using a piezoelec-
incurred by dielectric perturbation. tric transducer controlled phase shifter,” IEEE Trans. Antennas Prop-
agat., vol. 49, pp. 1290–1298, Sept. 2001.
[8] Y. H. Suh and K. Chang, “A microsatrip fed coplanar stripline Tee junc-
VI. CONCLUSION tion using coupled coplanar stripline,” in Proc. IEEE Int. Microwave
Symp. Dig., vol. 2, Phoenix, AZ, 2001, pp. 611–614.
A new printed twin dipole phased array antenna is developed [9] IE3D, 8.1 ed., Zeland Software Inc., 2001.
at 30 GHz using a multitransmission line tunable phase shifter [10] Y. H. Suh and K. Chang, “A wideband coplanar stripline to microstrip
controlled by a PET. The new twin dipole antenna is designed transition,” IEEE Microwave and Wireless Components Lett., vol. 11,
pp. 28–29, Jan. 2001.
using a microstrip-fed CPS Tee junction. To construct the [11] C. A. Balanis, Antenna Theory Analysis and Design, 2nd ed. New
Tee junction, CCPS is used to have a physical discontinuity York: Wiley.
at CPS while fields are continuous all over the transmission [12] T. Y. Yun, C. Wang, P. Zepeda, C. T. Rodenbeck, M. R. Coutant, M. Y.
line. The Tee junction effectively splits power to each CPS Li, and K. Chang, “A 10- to 21-GHz, low-cost, multifrequency, and full-
duplex phased-array antenna system,” IEEE Trans. Antennas Propagat.,
output port with low insertion loss. The PET actuated phase vol. 50, pp. 641–650, May 2002.
shifter requires only one (one-directional beam scanning) or
two (bi-directional beam scanning) applied voltages to produce
the progressive phase shift. A PET controlled phase shifter is
tested and optimized for the proper phase shift with minimal
insertion loss. The twin dipole phased array antenna shows a
42 ( ) beam scanning with more than 11 dB
side lobe suppression across the scan. The phased array should Young-Ho Suh (S’01–M’02) received the B.S degree
in electrical and control engineering from Hong-Ik
find many applications in wireless communications and radar University, Seoul, Korea, in 1992, and the M.S and
systems. Ph.D. degrees in electrical engineering from Texas
A&M University, College Station, TX, in 1998, and
2002, respectively.
ACKNOWLEDGMENT From 1992 to 1996, he worked for LG-Honeywell
The authors would like to thank C. Wang of Texas A&M Uni- Co. Ltd., Seoul, Korea, as a Research Engineer.
From 1996 to 1998, he worked on developing robust
versity for technical assistance. wireless communication systems for GSM receiver
under multipath fading channel for his M.S degree.
REFERENCES From 1998 to 2002, he was a Research Assistant in the Electromagnetics and
Microwave Laboratory, Department of Electrical Engineering, Texas A&M
[1] A. Nesic, S. Jovanovic, and V. Brankovic, “Design of printed dipoles University, College Station, TX, where he was involved in rectenna design
near the third resonance,” in Proc. IEEE Int. Antennas and Propagation for wireless power transmissions, phased array antennas, and coplanar trans-
Symp. Dig., vol. 2, Atlanta, GA, 1998, pp. 928–931. mission line circuit components development. In May 2002, he joined Mimix
[2] M. Scott, “A printed dipole for wide-scanning array application,” in Broadband Inc., Houston, TX, as a Senior Microwave Design Engineer, where
Proc. IEEE 11th Int. Conf. Antennas and Propagation, vol. 1, 2001, pp. he is working on state-of-the-art microwave/millimeter-wave active circuit
37–40. designs including low noise/power amplifiers, receivers, transmitters, and trans-
[3] G. A. Evtioushkine, J. W. Kim, and K. S. Han, “Very wideband printed ceiver modules for LMDS, point-to-point, point-to-multipoint radio systems
dipole antenna array,” Electron. Lett., vol. 34, no. 24, pp. 2292–2293, in Ka band using GaAs MMICs. His research area includes state-of-the-art
Nov. 1998. millimeter-wave transceiver modules, transitions between dissimilar transmis-
[4] L. Zhu and K. Wu, “Model-based characterization of CPS-fed printed sion lines, uniplanar transmission line analysis and components development,
dipole for innovative design of uniplanar integrated antenna,” IEEE Mi- microwave power transmission, antennas for wireless communications, and
crowave and Guided Wave Lett., vol. 9, pp. 342–344, Sept. 1999. phased array antennas.
2026 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Kai Chang (S’75–M’76–SM’85–F’91) received the


B.S.E.E. degree from the National Taiwan Univer-
sity, Taipei, Taiwan, R.O.C., the M.S. degree from the
State University of New York at Stony Brook, and the
Ph.D. degree from the University of Michigan, Ann
Arbor, in 1970, 1972, and 1976, respectively.
From 1972 to 1976, he worked for the Microwave
Solid-State Circuits Group, Cooley Electronics
Laboratory, University of Michigan, as a Research
Assistant. From 1976 to 1978, he was employed
by Shared Applications, Inc., Ann Arbor, where he
worked in computer simulation of microwave circuits and microwave tubes.
From 1978 to 1981, he worked for the Electron Dynamics Division, Hughes
Aircraft Company, Torrance, CA, where he was involved in the research
and development of millimeter-wave solid-state devices and circuits, power
combiners, oscillators and transmitters. From 1981 to 1985, he worked for
the TRW Electronics and Defense, Redondo Beach, CA, as a Section Head,
developing state-of-the-art millimeter-wave integrated circuits and subsystems
including mixers, VCOs, transmitters, amplifiers, modulators, upconverters,
switches, multipliers, receivers, and transceivers. He joined the Electrical
Engineering Department of Texas A&M University in August 1985 as an
Associate Professor and was promoted to a Professor in 1988. In January 1990,
he was appointed E-Systems Endowed Professor of Electrical Engineering.
He authored and coauthored several books “Microwave Solid-State Circuits
and Applications” (New York: Wiley, 1994), “Microwave Ring Circuits and
Antennas” (New York: Wiley, 1996), “Integrated Active Antennas and Spatial
Power Combining” (New York: Wiley, 1996), and “RF and Microwave Wireless
Systems” (New York: Wiley, 2000). He served as the editor of the four-volume
“Handbook of Microwave and Optical Components” (New York: Wiley, 1989
and 1990). He is the Editor of the Microwave and Optical Technology Letters
and the Wiley Book Series in Microwave and Optical Engineering. He has
published over 350 technical papers and several book chapters in the areas of
microwave and millimeter-wave devices, circuits, and antennas. His current
interests are in microwave and millimeter-wave devices and circuits, microwave
integrated circuits, integrated antennas, wideband and active antennas, phased
arrays, microwave power transmission, and microwave optical interactions.
Dr. Chang received the Special Achievement Award from TRW in 1984, the
Halliburton Professor Award in 1988, the Distinguished Teaching Award in
1989, the Distinguished Research Award in 1992, and the TEES Fellow Award
in 1996 from the Texas A&M University.
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 2027

Physical Limitations of Antennas in a Lossy Medium


Anders Karlsson

Abstract—The dissipated power and the directivity of antennas and the power gain of antennas are defined and studied for the
in a homogeneous, lossy medium are systematically analyzed in this simplified geometry where the antenna is enclosed in a loss-
paper. The antennas are ideal and located inside a lossless sphere.
less sphere. The optimal values of these three quantities are the
In the lossy space outside the sphere, the electromagnetic fields are
expanded in a complete set of vector wave functions. The radia- main results in this paper. The optimal value of the directivity is
tion efficiency, the directivity, and the power gain are defined for shown to be related to the maximum number of ports, or chan-
antennas in a lossy medium, and the optimal values of these quan- nels, of the antenna, a result that holds also in a lossless medium.
tities are derived. Simple relations between the maximal number of
It is emphasized that in a lossy medium the magnetic dipole is
ports, or channels, an antenna can use and the optimal directivity
and gain of the antenna are presented. the most radiation efficient antenna, a well known and impor-
tant result, cf. [11].
Index Terms—Antenna theory, lossy systems.

II. PRELIMINARIES
I. INTRODUCTION
The antennas are confined in a spherical, lossless region,

I N some applications there is a need for wireless communica-


tion with devices in lossy materials. A conductive medium
is a low-pass filter for the electromagnetic waves, and one is
denoted
ohmic losses in
. They are idealized in the sense that there are no
. The volume is denoted
an infinite, homogeneous, conducting medium with a complex
and is

then often forced to use low frequencies, or equivalently, long permittivity


wavelengths. If the space for the antenna is limited it results in
an antenna that is small compared to the wavelength. The draw- (2.1)
back is that small antennas in lossy materials consume much
power, due to the ohmic losses in the near-zone of the antenna. where the time-dependence is assumed. The corresponding
Hence, the design of the antenna and the choice of frequency wave number is denoted and is given by
are delicate problems, where two power loss mechanisms with
counteracting frequency dependences are involved. This power (2.2)
problem is addressed in this paper.
Antennas in lossy materials are found in various areas. In geo- The permeability is assumed to be real. The wave
physical applications underground antennas are used, e.g., in impedance in reads
bore holes. In marine technology antennas are used for commu-
nication with underwater objects. In medical applications there (2.3)
is an increased usage of wireless communication with implants.
Implants, e.g., pacemakers, have limited power supply and it is
important to use power efficient antennas. III. GENERAL ANTENNAS IN CONDUCTING MEDIA
Some of the results in this paper are based on the results
obtained by Chu [4] and Harrington [8], who investigated In the exterior region the electric field is expanded in
physical limitations for antennas in free space. Chu derived spherical vector waves , also referred to as partial
the optimal value of the directivity and the optimal value of the waves. These waves satisfy Maxwell’s equations and are com-
ratio between the directivity and the -value of omni-directional plete on a spherical surface. The details of the spherical vector
antennas and Harrington derived the corresponding results for waves are given in Appendix A. The expansion reads
general antennas. There are a number of other articles that
address the optimization of the -value of an antenna, cf. [5], (3.1)
[7], and [12].
For a lossy material it is the dissipated power, rather than the
-value, that is the most important quantity in the design of an The corresponding magnetic field is given by the induction law
antenna. In this paper, the radiation efficiency, the directivity,

Manuscript received May 9, 2003; revised August 6, 2003. This work was
supported by the Competence Center for Circuit Design at Lund University.
The author is with the Department of Electroscience, Lund Institute of Tech-
nology, S-221 00 Lund, Sweden (e-mail: anders.karlsson@es.lth.se). (3.2)
Digital Object Identifier 10.1109/TAP.2004.832335

0018-926X/04$20.00 © 2004 IEEE


2028 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

where . Here, is the index for the two C. The Power Flow
different wave types (TE and TM), for waves that are The complex power radiated from an antenna is given
even with respect to the azimuthal angle and for the by
waves that are odd with respect to is the index
for the polar direction, and is the index for the
(3.3)
azimuthal angle. For only the partial waves with
are nonzero, cf., (A.2). The expansion in (3.1) covers all possible
types of time harmonic sources inside . where is the surface is the radial unit vector,
and is the complex conjugate of the magnetic field. The
complex power is decomposed as
A. Classification

Antennas that radiate partial waves with are referred (3.4)


to as magnetic antennas, since the reactive part of their radiated
complex power is positive, i.e., inductive. Antennas radiating The active part of the power is the power dissipated in the
partial waves with are referred to as electric antennas, region , whereas and are the time averages of the
since they are capacitive when they are small compared to the stored magnetic and electric energies in the exterior region.
wavelength. The impedance and admittance of the antenna are related
The expansion coefficients in the expansion (3.1) can to the complex power by the power relation
theoretically be altered independently of each other. Hence,
each partial wave corresponds to an independent port of the an- (3.5)
tenna. The maximum number of ports, or channels, an antenna
can use is then equal to the maximum number of partial waves where and are the complex current and voltage that feeds
the antenna can radiate. the antenna, respectively. The star denotes complex conjugate.
The following classification of antennas is used in this paper: For a nonideal antenna the powers inside should be added
Partial wave antenna—antenna that radiates only one to the left-hand side of (3.5).
partial wave . The antenna has one port. The complex power radiated from a combined antenna of
Magnetic multipole antenna of order An antenna that order follows from (A.4) and (A.5), and from (3.1)–(3.3)
radiates partial waves with and index . The max-
imum number of ports is .
Electric multipole antenna of order An antenna that ra-
diates partial waves with and index . The maximum
number of ports is .
Magnetic antenna of order An antenna that radiates
partial waves with and with . The
maximum number of ports is . (3.6)
Electric antenna of order An antenna that radiates
partial waves with and with . The The complex powers of the other types of antennas in Sec-
maximum number of ports is . tion III-A are special cases of (3.6). The normalized complex
Combined antenna of order An antenna that radi- power, , of multipole antennas of order depends
ates partial waves with and . The only on the indices and . If the transmitted complex power
maximum number of ports is . of such an antenna is denoted and the corresponding
impedance is denoted then
B. Rotation of an Antenna

If an antenna is rotated, the new set of radiated partial waves (3.7)


is determined by the rotational matrix for the vector waves, cf.
[3]. That matrix is diagonal in the index and in the index , but
not in the other two indices and . Thus, a magnetic multipole
antenna of index is still a magnetic multipole antenna of index where is the wave impedance.
, after it is rotated. This type of invariance under rotation is
true for all types of antennas in Section III-A, except for the D. Asymptotic Values of and
partial wave antenna. The invariance is utilized in Section IV to When the asymptotic behavior of the Hankel func-
determine the optimal values of the directivity and power gain. tions, (A.6), implies that the asymptotic values of the radiated
A partial wave antenna that radiates the partial wave , is complex power, cf., (3.6) and of the impedance, cf., (3.5), are
under a rotation transformed to an antenna that radiates several
partial waves , where can be both , , and can
(3.8)
take the values .
KARLSSON: PHYSICAL LIMITATIONS OF ANTENNAS IN A LOSSY MEDIUM 2029

As the limiting values of the Hankel functions yield

(3.9)

The asymptotic values in (3.8) and (3.9) are valid for all of the
antennas in Section III-A. The values are illustrated in Fig. 1.
In the rest of the pape,r only active power will be considered
and for this reason the term power is understood to mean active
power.

E. Far-Field and Directivity


The far-field amplitude is defined as

(3.10)
Fig. 1. Argument of the impedance, arg(Z ) of magnetic multipole antennas
of order l = 1 (lower dashed line), 2 (middle dashed), and 3 (upper dashed)
The far-field amplitude of a combined antenna of order is and for the electric multipole antennas of order l = 1 (upper solid line), 2
given by the asymptotic values of the spherical Hankel func- (middle solid), and 3 (lower solid). The frequency is 400 MHz, " = 50, and
 = 1 S/m, corresponding to an argument of the wave impedance arg( ) =
tions, cf., (A.6)
!
0:37 rad. The asymptotic values in (3.8) and (3.9) are reached when a
1
0 and
, respectively.

much of the power fed to the antenna is radiated in the far-zone.


(3.11) In the far-zone

The far-field amplitude of the antenna corresponding to (3.1) is


thus completely defined by the coefficients .
The directivity is defined in the same way as for a lossless (3.13)
medium, cf., [10]. The directivity of the combined antenna is
obtained from the far-field amplitude of the antenna and from for a combined antenna of order , as seen from (3.6) and
the orthogonality of the vector spherical harmonics, cf., (3.12), (A.6). The radiated powers of the other types of antennas are
as shown in (A.4), at the bottom of the page, where special cases of this expression. In order to have a definition
, and where max is with respect to and . of radiation efficiency that is independent of the radius , the
Hence, also the directivity is completely defined by the expan- following dimensionless quantity is used
sion coefficients. The far-field amplitudes and the directivities
of the other antennas in Section III-A follow from (3.11) and (3.14)
(3.12).
where
F. Radiation Efficiency and Power Gain
For antennas in a lossless space the radiation efficiency, , (3.15)
is defined as the ratio of the power radiated from the antenna to
the power put into the antenna. This definition is not applicable
here since the antenna is ideal and hence, the efficiency would The radiated power at a distance from an antenna is expressed
be one. A possible alternative definition for an ideal antenna in in terms of the radiation efficiency and the input power, , as
a lossy material is the quotient , where is the . The notation is in accordance
power radiated from the antenna and is the power radiated with most antenna literature. It should not be confused with the
through a spherical surface of radius . That ratio indicates how notation for the wave impedance.

(3.12)
2030 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

The asymptotic value of for large radii is

(3.16)

which is in agreement with the graph of the efficiency in Fig. 2.


The radiation efficiencies of multipole antennas of order are
denoted and according to (3.6), (3.14), and (3.15) they
read as in (3.17), shown at the bottom of the page.
The product of the directivity and the radiation efficiency,
, is proportional to the quotient of the maximum power
flow density in the far-zone and the input power to the antenna.
It is referred to as the power gain of the antenna and the
notation

(3.18)

is adopted. This definition is in concordance with the power Fig. 2. Radiation efficiency,  , of six different multipole antennas. The
gain of antennas in lossless media, also referred to as the dashed curves are for the magnetic antennas and the solid curves are for electric
antennas. The curves are for l = 1 (upper), l = 2 (middle), and l = 3 (lower).
maximum value of the gain, cf. [2]. The notations and These curves emphasize that the magnetic dipole is the most radiation efficient
are below used for the power gains of magnetic and electric antenna. When a = 5 mm the magnetic dipole is approximately 10 dB more
antennas, respectively. efficient than the electric dipole. The frequency is 400 MHz, " = 50, and
 = 1 S/m.

In Appendix B it is shown that the optimal directivity of an


IV. OPTIMIZATION electric or magnetic antenna of order is
Optimization of an antenna is in this context to find the
amplitudes of the radiated partial waves such that a
specified quantity is optimized. The techniques used by Chu
and Harrington, cf. [4] and [8] can be used to derive the optimal The corresponding value for a combined antenna of order
(i.e., maximal) values of the directivity and of the power gain, is .
, of general spherical antennas in a lossy medium. Harrington For magnetic and electric multipole antennas of order the
showed that the optimal value of the directivity for a com- corresponding results for the directivities and , respec-
bined antenna of order in vacuum is , i.e., half of tively, are
the number of ports for the antenna. That proof holds also for
conductive media. For convenience a derivation of the optimal (4.1)
directivity, analogous to the one given by Harrington, is given
The relation
in Appendix B. The other derivations are left to the reader.
Optimization of the radiation efficiency is to minimize the
power fed to an antenna for a given power flow in the far-zone, (4.2)
regardless of the directivity. Optimization of the directivity is
to maximize the power flow density in one direction in the is a result of the fact that sets of partial waves of different index
far-zone, for a given total power flow in the far-zone, regardless are independent of each other. It is notable that the optimal value
of the power fed to the antenna. Optimization of the power gain of the directivity of an electric or a magnetic multipole antenna
is to maximize the power flow density in one direction in the of order one, i.e., a dipole antenna, is 1.5. This value is the same
far-zone, for a given power fed to the antenna. as the directivity of each partial wave antenna of order one. For
For a lossy material it can be shown from (3.17) that the op- higher order antennas the directivity of a partial wave antenna
timal value of the radiation efficiency, , for any antenna is of order is always smaller than the maximum directivity of the
the one obtained for a magnetic dipole. This is seen in Fig. 2. multipole antenna of order .

(3.17)
KARLSSON: PHYSICAL LIMITATIONS OF ANTENNAS IN A LOSSY MEDIUM 2031

The optimal directivity of a general antenna that consists of


a combination of independent partial wave antennas, where
the maximum order of any of the antennas is , has a lower
and upper bound

Equality is only achieved for a combined antenna of order .


Notice also that two times the optimal value of the directivity is
an upper bound for the number of independent ports an antenna
can have.
Next the optimal power gain is presented. Using the
same method as in Appendix B the optimal values of for a
magnetic antenna and an electric antenna of order can be
derived

Fig. 3. Power gain G of three magnetic and three electric antennas. The
dashed curves are for the magnetic antennas and the solid curves for the electric
antennas. The curves are for l = 1 (lower), l = 2 (middle), and l =
(4.3) 3 (upper). The frequency is 400 MHz, " = 50, and  = 1 S/m.

where and are given by (3.17) and (4.1), and


is the optimal power gain of a multipole antenna of order . The by adding higher order multipoles, but for small antennas the
optimal value of the power gain of a combined antenna of order improvement compared to the dipole antennas is negligible.
equals the sum of the optimal gains of the electric and the Graphs like that in Fig. 3 indicate what order, , one should
magnetic antenna of order , i.e. use for an electric or magnetic antenna. In that way they also
indicate the number of useful ports of the antenna.
(4.4)
VI. CONCLUSION
According to (3.16), the asymptotic values as are
The main results in the paper are the optimal values of the ra-
diation efficiency, the directivity, and the power gain of antennas
confined in a lossless sphere. Only ideal antennas are treated in
(4.5)
this paper. Real antennas have ohmic losses in the wires that re-
duce the radiation efficiency as well as the power gain. However,
that power problem is associated with the actual antenna design
V. NUMERICAL EXAMPLES and is out of the scope of this paper. A comprehensive study of
From the formulas in this paper it is straightforward to the design of antennas in lossy materials is found in [9].
write short programs that illustrate the difference between the The purpose with the optimal values of the radiation effi-
antennas in Section III-A. The three graphs given here are for ciency, the directivity, and the power gain is to give the an-
antennas at 400 MHz, located in a material that is similar to tenna designer relative measures and theoretical limitations of
muscles in a body. The conceivable application is implanted the properties of antennas. Optimization of the radiation effi-
devices with wireless communication, even though the infinite ciency of an antenna is to minimize the dissipated power for
lossy region is somewhat unrealistic. The conductivity a given power flow in the far-zone. The most radiation efficient
is S/m and the relative permittivity is . In antenna is the magnetic dipole. The radius of the sphere should
Fig. 1 the phase of the impedance of six different multipole be as large as possible.
antennas is plotted as a function of the radius . The argument Optimization of the directivity of an antenna is to maximize
of the wave impedance of the material in is 0.37 radians. the power flow density in one direction in the far-zone for a
It is seen that the asymptotic values in (3.8) and (3.9) are given total power flow in the far-zone. For an electric antenna
approached for large and small values of , respectively. In or magnetic antenna of order the optimal directivity is
Fig. 2 the radiation efficiency is given as a function and the amplitudes of the radiated partial
of for the same six multipole antennas. The figure clearly waves are given by (B.5). The maximum number of ports the an-
shows that for a small radius the magnetic dipole is the tenna can use is twice the optimal directivity. The optimal value
most efficient antenna. For a radius mm it is more of the directivity is independent of frequency and of the material
than 20 dB more efficient than the electric dipole, and 30 dB in . In theory one can achieve any directivity, even for small
better than the magnetic quadrupole . In Fig. 3, the antennas, by a suitable choice of . However, for a small an-
power gain is plotted for electric and magnetic antennas tenna the dissipated losses increase very rapidly with and
with , and . One always obtains a larger gain it costs a lot of power to obtain high directivity.
2032 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Optimization of the power gain of an antenna is to maximize APPENDIX B


the power flow density in one direction for a given input power OPTIMAL DIRECTIVITY
to the antenna. For an electric antenna or magnetic antenna of The optimization problems of finding the maximum value the
order the optimal power gain is given by (4.3). The power directivity, is a multivariable optimization problem. First as-
gain increases with increasing . A graph like that in Fig. 3 sume the following function of variables
indicates the most suitable value of .

APPENDIX A (B.1)
VECTOR WAVES
The definition of spherical vector waves can be found in dif- where are given real numbers and are given positive real
ferent textbooks, e.g., [6] and [8]. In this paper they are defined numbers. This function has a maximum when all of its first order
using vector spherical harmonics, cf. [1] derivatives with respect to are zero. That leads
to the following relations for the variables

(B.2)

The corresponding maximum value of is

(A.1)
(B.3)
The following definition of the spherical harmonics is used:
Now consider electric antennas and magnetic antennas of order
and let and denote the corresponding directivities.
Without loss of generality the maximum power flow density is
assumed to be in some direction given by the spherical angles
(A.2)
and , and in that direction the polarization of the corre-
where and take the values sponding wave is assumed to be parallel to some unit vector .
The optimal value of the directivity is independent of the angles
and , and of the vector , due to the invariance under ro-
(A.3) tation described in Section III-B. If , then
and are identified as the real quantities
In the current application the index will never take the value
0, since there are no monopole antennas. The vector spherical
harmonics constitute an orthogonal set of vector function on the (B.4)
unit sphere
According to (B.2), the optimal directivity is obtained when
(A.4)
(B.5)
where the integration is over the unit sphere and where
The optimal value of the directivity is given by (B.3)
. The outgoing divergence-free spherical vector
waves are defined by (A.5), show at the bottom of the page,
where is the spherical Hankel function of (B.6)
the second kind. The asymptotic behavior in the far-zone and
the limiting values in the near-zone of the spherical Hankel
Next, is expressed in terms of and as
functions are
. Since is independent of one may integrate
(B.6) in from 0 to . The result is

(B.7)
(A.6)

(A.5)
KARLSSON: PHYSICAL LIMITATIONS OF ANTENNAS IN A LOSSY MEDIUM 2033

where . Furthermore, is also independent of [4] L. J. Chu, “Physical limitations of omni-directional antennas,” Appl.
and , and the relation above can be integrated over the unit Phys., vol. 19, pp. 1163–1175, 1948.
[5] R. E. Collin, “Minimum Q of small antennas,” J. Elect. Waves Applicat.,
sphere. The orthonormality of the vector spherical harmonics, vol. 12, pp. 1369–1393, 1998.
(A.4), results in [6] J. E. Hansen, Ed., Spherical Near-Field Antenna Measurements. ser.
Number 26 in IEE electromagnetic waves series, Stevenage, U.K.: Pere-
grinus, 1988, ISBN: 0-86 341-110-X.
(B.8) [7] R. C. Hansen, “Fundamental limitations in antennas,” Proc. IEEE, vol.
69, no. 2, pp. 170–182, 1981.
This is in accordance with the result in [8]. [8] R. F. Harrington, Time Harmonic Electromagnetic Fields. New York:
Notice that that (B.5) and (B.6) can be generalized. Assume McGraw-Hill, 1961.
a general antenna consisting of independent partial wave [9] R. W. P. King and G. S. Smith, Antennas in Matter, Cambridge, London,
U.K.: MIT Press, 1981.
antennas that are to be fed so that the directivity function [10] J. D. Kraus, Antennas, 2nd ed. New York: McGraw-Hill, 1988.
, cf. [10], is optimized in a prescribed direction and [11] H. A. Wheeler, “Fundamental limitations of a small vlf antenna for sub-
with a prescribed polarization of the radiated wave. Then a marines,” IRE Trans. Antennas Propagat., vol. 6, pp. 123–125, 1958.
[12] , “Small antennas,” IEEE Trans. Antennas Propagat., vol. 23, no.
slight modification of (B.5) and (B.6) gives the amplitudes of 4, pp. 462–469, 1975.
the antennas and the value of the optimal directivity function.
It also follows that the mean value of the optimal directivity
function, with respect to and , is . Hence, the optimal
value of the directivity is always greater than or equal to . Anders Karlsson was born in 1955, Gothenburg,
Sweden. He received the M.Sc. and Ph.D. degrees
from Chalmers University of Technology, Gothen-
REFERENCES burg, Sweden, in 1979 and 1984, respectively.
[1] G. Arfken, Mathematical Methods for Physicists, 3rd ed. Orlando, FL: Since 2000, he has been a Professor at the De-
Academic Press, 1985. partment of Electroscience, Lund University, Lund,
[2] C. A. Balanis, Antenna Theory, 2nd ed. New York: Wiley, 1997. Sweden. His research acivities comprehend scat-
[3] A. Boström, G. Kristensson, and S. Ström, “Transformation properties tering and propagation of waves, inverse problems,
of plane, spherical and cylindrical scalar and vector wave functions,” and time-domain methods. Currently, he is involved
in Field Representations and Introduction to Scattering, V. V. Varadan, in projects concerning propagation of light in blood,
A. Lakhtakia, and V. K. Varadan, Eds, Amsterdam: Elsevier Science wireless communication with implants, and design
Publishers, 1991, ch. 4, pp. 165–210. of passive components on silicon.
2034 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Minimum Norm Mutual Coupling Compensation


With Applications in Direction of
Arrival Estimation
C. K. Edwin Lau, Raviraj S. Adve, Senior Member, IEEE, and Tapan K. Sarkar, Fellow, IEEE

Abstract—This paper introduces a new mutual coupling com- for arrays with strong mutual coupling, the phase front is sig-
pensation method based on the minimum norm solution to an un- nificantly corrupted and the DOA estimate is inaccurate. Any
derdetermined system of equations. The crucial advantage over practical implementation of DOA estimation therefore requires
previous techniques is that the formulation is valid independent
of the type of antenna element and provides good results in situa- compensation for mutual coupling.
tions where signal strengths vary considerably. In using the matrix Research into compensating for the mutual coupling has been
pencil algorithm to estimate the directions of arrival, the examples based mainly on the idea of using open circuit voltages, first
show that the proposed method results in significantly lower bias proposed by Gupta and Ksienski [5]. The authors argue that due
than the traditional open circuit method. The analysis of mutual to the lack of a terminal current, the open circuit voltages are free
coupling is also applied in the context of a Code Division Multiple
Access communication system. of mutual coupling. However, as shown in [7], this only reduces
the effects of mutual coupling. The technique presented there is
Index Terms—Code division multiaccess, direction of arrival es- more effective in suppressing mutual coupling effects [7], [8].
timation, matrix pencil, MUSIC, mutual coupling compensation.
A big drawback with the approaches of [5] and [7], is that
they are valid for only linear dipoles. The work of [5] is
I. INTRODUCTION valid only for a linear array of half wavelength dipoles spaced
apart by half a wavelength. The work of [7] is restricted to
D IRECTION of arrival (DOA) estimation is an important
feature of smart antenna arrays. It could serve as a fun-
damental building block for applications such as space divi-
linear arrays of linear dipoles, though of arbitrary length and
spacing. In this paper we introduce the use of a minimum norm
sion multiple access (SDMA) and Enhanced 911 (E911), the technique, based on the technique in [7], for general arrays with
proposed wireless emergency service [1]. Several algorithms arbitrary elements. As an aside we also extend the open circuit
have been proposed for DOA estimation, including the popular technique of [5] to arbitrary arrays. The method of moments
MUSIC-type techniques, ESPRIT [1] and matrix pencil (MP) (MoM) is used to accurately model the interactions between
[2]–[4]. These signal processing algorithms have been shown antenna elements. In the minimum norm approach, the MoM
to provide accurate estimates, even in moderate signal to noise admittance matrix is used to estimate the incident fields, with
(SNR) conditions. minimum energy, that would generate the received voltages.
The problem is that these signal processing algorithms gen- Unlike in [9], this technique does not require the solution to
erally ignore the electromagnetic behavior of the receiving an- the entire MoM problem. The compensation matrix depends
tenna. The receiver is assumed to be an ideal, equispaced, linear only on the MoM admittance matrix and can be calculated
array of isotropic point sensors. In this case, the array sam- a priori to reduce computation load.
ples, but does not reradiate the incident signals. Each signal In this paper, we use the MP [2] and the popular MUSIC [1],
can be associated with a linear phase front, the slope of which [10] DOA estimation algorithms to compare various compensa-
is directly related to the DOA. Most signal processing tech- tion methods. Section II presents the model for mutual coupling
niques rely heavily on this assumption. In practice, this ideal using antenna analysis based on the MoM. This eventually leads
situation cannot be met. The elements of the array must be of to the formulation of minimum norm mutual coupling compen-
some nonzero size. The elements sample and reradiate the inci- sation method. Section III presents examples illustrating the per-
dent fields, causing mutual coupling. Mutual coupling distorts formance of the open circuit and the minimum norm methods
the linear phase front of the incoming signal, significantly de- in case of a equispaced, linear array of dipoles. Section IV ends
grading performance [5]–[7]. Only in the case of a single in- with some conclusions and a summary of the contributions pre-
coming signal is the phase front somewhat retained. However, sented here.

Manuscript received July 23, 2002; revised September 7, 2003. This research II. MUTUAL COUPLING AND COMPENSATION
was supported by a grant from the Nortel Institute for Telecommunications, Uni-
versity of Toronto. Most DOA estimation algorithms including MP and MUSIC
C. K. E. Lau and R. S. Adve are with the University of Toronto, Toronto, ON assume an ideal, linear array of isotropic sensors. Unfortunately,
M5S 3G4, Canada (e-mail: rsadve@comm.utoronto.ca).
T. K. Sarkar is with Syracuse University, Syracuse, NY 13244 USA. such an ideal sensor is clearly not realizable. A practical antenna
Digital Object Identifier 10.1109/TAP.2004.832511 array comprises elements of some physical size. Such elements
0018-926X/04$20.00 © 2004 IEEE
LAU et al.: MINIMUM NORM MUTUAL COUPLING COMPENSATION WITH APPLICATIONS 2035

sample and reradiate incident fields that interact with other ele-
ments, i.e., the elements are mutually coupled. Mutual coupling
severely degrades the accuracy of the DOA estimator [6]. Any
implementation of DOA estimation must account for the mutual
coupling between elements.
In a practical antenna array, the received signals are the volt-
ages measured across the load at the port of each element. To
deal with mutual coupling, researchers originally proposed pro-
cessing these measured voltages to obtain the open circuit volt-
ages, the voltages if all the ports were open circuited [5], [6]. Fig. 1. Linear array of wire dipoles terminated in loads Z .
Open circuiting the ports reduces the currents on the elements,
consequently the reradiated fields and therefore the mutual cou-
entry corresponds to the port. This th entry is the load
pling. However, as shown in [7], this methodology is valid only
impedance of the corresponding element. The matrix is
when all signals have similar strengths. In [7], we use a MoM
the MoM impedance matrix. Assuming a single basis function
analysis to compensate for mutual coupling. That technique is
corresponds to the current at a port of the array, from (4), the
very effective, but is valid only for a linear array of parallel
measured voltages, affected by mutual coupling are given by
dipoles.
We present here a technique that is theoretically valid for all
kinds of arrays. Based on a minimum norm solution to an un- (7)
determined system of MoM equations, the technique makes no
assumptions regarding the type of antenna, or the spacing be- The matrix is the submatrix of corre-
tween elements. However, for simplicity, this methodology is sponding to the ports. , a compressed version of , is
presented here for a linear array of dipoles. We begin with a the diagonal matrix of port impedances. is a
brief review of the analysis technique, as the MoM analysis for matrix of dimensionless entries. Note that the entries of
dipole arrays is well known [7], [11]. The review included here are directly related to the incident fields and are free of mutual
sets the stage for the minimum norm solution. coupling.
In this paper, this general formulation is applied to a linear
A. System Model array of dipoles. It must be emphasized that this choice is not
fundamental to the theoretical development here and is made
We begin with the general formulation of the MoM based only for purposes of illustration. Consider a wire dipole antenna
on subdomain basis functions for a receiving antenna array of array of -directed elements as shown in Fig. 1. Each element
-elements. The central assumption is that only a single basis has a centrally located port terminated in impedance . To an-
function contributes to the current at the port of each element in alyze this array we use sinusoidal basis functions. Each element
the array. The incident electric field is related to the currents on is divided into segments of equal length. To satisfy the
the antenna through a linear operator [12] requirement that only a single basis function corresponds to the
current on the array is chosen to be odd. Based on a Galerkin
(1)
formulation, the weighting and testing functions are the same.
The entries for the MoM voltage and impedance matrices are
The current is approximated by a set of subdomain basis func-
available in [7], [11].
tions, , with basis functions per element, i.e.

B. Open Circuit Voltages


(2)
The principal idea of [5] is to use the open circuit voltages
instead of the measured voltages for further signal processing.
where is the th current coefficient. Using a set of testing However, the theory is valid only for half wavelength dipoles
functions, , and a convenient definition of inner product, (1) with half wavelength spacing. In the more general case, one can
can be reduced to a matrix equation use the MoM analysis in conjunction with the Thevenin and
Norton equivalent circuits to obtain the open circuit voltages.
(3) Define the MoM admittance matrix to be the inverse of
(4) the impedance matrix . Note that this is not the same ma-
trix, , in (4). Also define a new matrix whose
where the th element of and the th element of entries are those rows and columns of the MoM admittance ma-
the matrix are trix that correspond to ports, i.e.

(5) (8)
(6)
(9)
The matrix is the matrix with zero en-
tries other than the diagonal entries, where the th (10)
2036 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 2. Example 3.1. MP, using uncompensated voltages. Fig. 3. Example 3.1. MP, using open circuit voltages.

The open circuit voltages are then related to the short circuit
currents as

(11)

and the measured voltages to the short circuit currents as

(12)

Eliminating the short circuit currents from (11) and (12) yields
the open circuit voltages

(13)

In the following sections the open circuit voltages we refer to


are obtained from the measured voltages using (13).

C. Minimum Norm Compensation Formulation Fig. 4. Example 3.1. MP, using minimum norm compensation.
As shown in [7], using the open circuit voltages only some-
what reduces the effects of mutual coupling. In [7], we recon- Physically, the compensation procedure may be interpreted
struct a part of the MoM voltage vector under the assumption of as finding the signal with minimum energy that results in the
a linear dipole array. The motivation comes from the fact that, measured voltages. Since the MoM analysis and so the matrix
from (5), the MoM voltages are directly related to the incident may be obtained a priori, the computation load to use (14)
fields and so are free of mutual coupling. is no greater than finding the open circuit voltages or using the
In the general case, from (7), the equation relating the mea- technique of [7]. In the following section, we compare the per-
sured and MoM voltages is underdetermined and the formance of the two compensation methods in various settings.
cannot be reconstructed exactly. However, one can find the min-
imum norm solution to this equation. This solution provides
the vector with the minimum two-norm (minimum energy) that III. NUMERICAL EXAMPLES
would result in the received voltages. The resulting vector is an In this section, we present numerical examples to illustrate the
estimate of the MoM voltage vector. Using (7), the minimum workings of the two compensation techniques, the open circuit
norm solution to the MoM voltage vector is and minimum norm methods. The application here is DOA es-
timation. The first two examples deal with the DOA estimation
(14) of multiple signals and demonstrates the impact of mutual cou-
pling and compares the two compensation techniques. The third
where is the conjugate transpose (Hermitian) of matrix . example deals with the impact of mutual coupling on code di-
Entries in corresponding to the ports may be used for vision multiple access (CDMA) communications in particular,
further signal processing. and the effectiveness of mutual coupling compensation in this
LAU et al.: MINIMUM NORM MUTUAL COUPLING COMPENSATION WITH APPLICATIONS 2037

TABLE I
COMPARING OPEN CIRCUIT AND MINIMUM NORM TECHNIQUES. EQUAL SIGNAL STRENGTHS

case. Due to mutual coupling, the signal level at each element


may be different. The SNR is defined here as the average SNR
at all ports of the array, i.e., in adding white, complex Gaussian
noise at each element, the power level is chosen to set an av-
erage SNR. In all examples using MP, the pencil parameter is
set to .

A. Three Signals of Equal Strength


This example uses a seven element array with interelement
spacing of . The MoM analysis uses 7 unknowns per ele-
ment, i.e., a total of 49 unknowns are used. The array receives
three signals from 40 , 90 and 140 . Each signal has a SNR of
1 dB. The MP algorithm uses only a single snapshot. The plots
shown here use the results of 1000 independent trials.
Fig. 2 shows a histogram of the results of using MP without
any compensation for mutual coupling. 38 times, the estima-
tion procedure fails completely by resulting in imaginary an-
gles. This happens because MP estimates the complex phase Fig. 5. Example 3.1. Phase front of three incoming signals.
before estimating the direction . In 38 instances,
the argument to the function becomes greater than 1.
As is clearly seen in the figure, the DOA estimation is very poor
with very large errors.
Figs. 3 and 4 plots the performance after compensation for
mutual coupling. Fig. 3 plots the use of open circuit voltages
while Fig. 4 plots the results of using the minimum norm tech-
nique. In both figures, the hugely improved performance over
the uncompensated case is very clear. Neither technique results
in any imaginary angles. Note that because of the accurate per-
formance, we can estimate a standard deviation, which for all
cases is approximately 3.5 .
As Table I shows, the crucial difference between the two
compensation techniques is in the bias. The bias resulting
from using the minimum norm compensation approach is
significantly smaller than using the open circuit voltages. This
is because using the open circuit voltages only implies the lack
of a terminal current. Physically, there is still a nonzero current
on the dipole arms. These currents reradiate, resulting in some
Fig. 6. Example 3.2. MP, using uncompensated voltages.
residual mutual coupling.
Fig. 5 explains the improved performance of the minimum
norm technique over the open circuit approach. The figure using the open circuit voltages. This explains, from the phase
plots of the phase front of the three incoming signals in the point of view, why the two compensation methods work and
various scenarios of this example. It plots the phase at each why the proposed approach is better than the traditional open
element in the ideal case, in the case of no mutual coupling circuit approach.
compensation, using the open circuit approach and using the
minimum norm solution. Without compensation, the phase B. Three Signals of Unequal Strength
information is significantly corrupted, explaining the erroneous In this example we use the same array as in the first example
results. Both compensation techniques correct this somewhat. with the the signal bearings at 40 , 70 , and 140 , with SNR’s of
However, clearly the minimum norm solution is better than 7, 15, and 5 dB respectively. We use 10 000 independent trials.
2038 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 7. Example 3.2. MP, using open circuit voltages.


Fig. 9. Example 3.2. MUSIC.

Fig. 8. Example 3.2. MP, using minimum norm compensation.

Fig. 10. Example 3.2. MUSIC. The middle signal is at 60 .


Fig. 6 shows a histogram of MP estimate without any mutual
coupling compensation. 2269 estimates result in imaginary an-
gles. Clearly the remaining estimates are not of any practical for the MP algorithm. If the signal at 70 is moved to 60 ,
use. as shown in Fig. 10, the results are even more dramatic. If no
Figs. 7 and 8 are results of using MP compensated with the compensation is used, the signals at 40 and 60 merge. But
open circuit and minimum norm approaches respectively. Both after the compensation, the two spikes are recovered. Again,
compensation methods improve the estimation dramatically. All using the open circuit voltages results in a greater bias than the
the imaginary angles are recovered. Similar to the previous ex- minimum norm method.
ample, the open circuit method exhibits a larger bias than the Figs. 11 and 12 show the results if the strength of the signal at
minimum norm approach. The bias is even stronger in this ex- 70 is increased to 25 dB. The results are shown in . We can see
ample than the last one as the signal at 70 is relatively strong from the figures that the bias in not significant when using the
and closer to the 40 signal. minimum norm method in Fig. 12. When using the open circuit
Fig. 9 shows the pseudo-spectrum generated by MUSIC method, the bias in the weaker signals is 2 and 3.7 . Table II
without compensation, using the open circuit voltages and with summarizes our statistical findings of this example.
minimum norm compensation. In all cases, 15 time samples
are used to estimate the covariance matrix. As can be seen, C. Mutual Coupling Compensation in CDMA Communications
with either compensation technique, the resolution improves One motivation for this research is position location in
and the bias is reduced. Again, the bias in the estimation is wireless communication systems. Here we focus on a CDMA
less with minimum norm method than that with open circuit system. In applying the MP technique to a practical array in a
method. This is in agreement with the examples presented CDMA based communication setting, a curious fact emerges.
LAU et al.: MINIMUM NORM MUTUAL COUPLING COMPENSATION WITH APPLICATIONS 2039

Fig. 11. Example 3.2. MP, using open circuit voltages. Signal at 70 is 25 dB. Fig. 12. Example 3.2. MP, using minimum norm compensation. Signal at 70
is 25 dB.

The CDMA processing gain provides some resistance to mu-


tual coupling. This is because, after the matched filter, there
is effectively only one signal plus relatively weak residual
interference. With only one signal impinging on the array, the
linear phase front is not fatally corrupted and it is possible
to estimate the DOA. This is true particularly of arrays with
moderate mutual coupling.
To illustrate this effect, we use the same example as in Sec-
tion III-A. However, each signal is spread with a spreading gain
of 128. We use four signal samples per chip. For a fair compar-
ison, the power of each signal is reduced by the spreading gain.
Using the filter matched to the first signal, two of three signals
are suppressed. Note that in using MP to estimate the DOA of
this signal after the matched filter, we set the number of signals
to one, i.e., . This also eliminates a drawback associated
with MP, the restriction on the number of signals that can be
estimated simultaneously [13]. MP is applied without compen-
sating for mutual coupling. Fig. 13. Example 3.3. CDMA/MP, using uncompensated voltages.
Fig. 13 plots the histogram of the resulting estimates. In
comparison to Fig. 2 the accuracy is dramatically improved. create the mutually coupled measured signals. The overhead as-
No estimate results in imaginary angles. In fact, the accuracy sociated with the compensation procedure is limited to a matrix
is comparable to using the open circuit voltages as in Fig. 3. multiplication.
It must be emphasized that this resistance to mutual coupling In testing the proposed approach, the technique proves to be
is only an approximation. Depending on the accuracy required, more accurate than the classical open circuit approach. The min-
compensation for mutual coupling can still play an important imum norm technique reduces the bias in the estimates because
role. Fig. 14 plots the results of using the minimum norm ap- the phase response is reconstructed more accurately than when
proach. The performance is improved with significantly reduced using open circuit voltages.
bias. In applying DOA estimation specifically to CDMA com-
munications a curious fact emerges. If DOA estimation is
applied after the matched filter, the CDMA spreading gain re-
IV. CONCLUSION sults in the desired signal plus residual interference. The phase
front of a single signal is not significantly corrupted and so
Practical implementations of DOA estimation must deal with the resulting DOA estimation, without compensation is fairly
the problem of mutual coupling between antenna elements. The accurate. However, one cannot conclude that mutual coupling
work of [7] introduced the concept of reconstructing a part of compensation is not required. Applying compensation further
the MoM voltage vector. We extend this concept here and de- improves performance. Since the additional cost is restricted to
velop a very effective technique based on the minimum norm a matrix multiplication, the resulting performance gains would
solution to an underdetermined system of equations. The ap- probably outweigh the cost of implementing mutual coupling
proach is to find the signals, with minimum energy, that would compensation.
2040 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE II
COMPARING OPEN CIRCUIT AND MINIMUM NORM TECHNIQUES. UNEQUAL SIGNAL STRENGTHS.

[6] C.-C. Yeh, M.-L. Leou, and D. R. Ucci, “Bearing estimations with mu-
tual coupling present,” IEEE Trans. Antennas Propagat., vol. 37, pp.
1332–5, Oct. 1989.
[7] R. S. Adve and T. K. Sarkar, “Compensation for the effects of mu-
tual coupling on direct data domain algorithms,” IEEE Trans. Antennas
Propagat., vol. 48, pp. 86–94, Jan. 2000.
[8] M. Ali and P. Wahid, “Analysis of mutual coupling effect in adaptive
array antennas,” in Proc. IEEE Antennas and Propagation Soc. Int.
Symp., June 2002.
[9] K. M. Pasala and E. M. Friel, “Mutual coupling effects and their reduc-
tion in wideband direction of arrival estimation,” IEEE Trans. Aerospace
and Electron. Syst., vol. 30, pp. 1116–1122, Apr. 1994.
[10] R. O. Schmidt, “Multiple emitter location and signal parameter estima-
tion,” IEEE Trans. Antennas Propagat., vol. 34, pp. 276–290, Mar. 1986.
[11] B. J. Strait, T. K. Sarkar, and D. C. Kuo, “Special programs for
analysis of radiation by wire antennas,” Syracuse Univ., Tech. Rep.
AFCRL-TR-73-0399, 1973.
[12] R. F. Harrington, Field Computation by Moment Methods. Melbourne,
FL: Kreiger, 1982.
[13] C. K. E. Lau, R. S. Adve, and T. K. Sarkar, “Combined CDMA and
matrix pencil direction of arrival estimation,” in Proc. IEEE Vehicular
Technology Conf., 2002, pp. 496–499.

Fig. 14. Example 3.3. CDMA/MP, using minimum norm compensation.


Edwin C. K. Lau received the B.A.Sc. and M.A.Sc.
degrees, both in electrical engineering, from the Uni-
In summary, we have presented a practical and accurate min- versity of Toronto, Toronto, ON, Canada, in 2000 and
imum norm mutual coupling compensation method. The new 2003, respectively.
approach proves to more accurate than the traditional open cir- He is one of the participants of the Communica-
tions and Information Technology Ontario (CITO)
cuit approach. This method can theoretically also be applied to Research Partnerships Program. His area of research
arrays of arbitrary elements. includes retrodirective antennas, microwave circuit
and antenna design, and direction of arrival estima-
tion algorithm.

REFERENCES
[1] J. C. Liberti Jr and T. S. Rappaport, Smart Antennas for Wireless Com-
munications: IS-95 and Third Generation CDMA Applications. Engle- Raviraj S. Adve (S’88–M’97–SM’03) received the
wood Cliffs, NJ: Prentice Hall, 99. B.Tech. from the Indian Institute of Technology,
[2] Y. Hua and T. K. Sarkar, “Matrix pencil method for estimation param- Bombay, in 1990 and the Ph.D. degree from Syracuse
eters of exponentially damped/undamped sinusoids in noise,” IEEE University, Syracuse, NY, in 1996, all in electrical
Trans. Acoust. Speech and Signal Processing, vol. 38, pp. 814–24, May engineering. His dissertation, on the impact of
1990. mutual coupling on the performance of adaptive
[3] J. E. F. del Rio and T. K. Sarkar, “Comparison between the matrix pencil antenna arrays, received the Syracuse University
method and the Fourier transform for high-resolution spectral estima- “Outstanding Dissertation Award” in 1997.
tion,” Digital Signal Processing: A Review Journal, vol. 6, pp. 108–125, From 1997 to August 2000, he was a Senior
1996. Research Engineer with Research Associates for De-
[4] R. S. Adve, O. M. Pereira-Filho, T. K. Sarkar, and S. M. Rao, “Extrapo- fense Conversion (RADC) Inc., Marcy, NY, working
lation of time domain responses from three dimensional objects utilizing on contract with the Air Force Research Laboratory, Sensors Directorate,
the matrix pencil technique,” IEEE Trans. Antennas Propagat., vol. 45, Signal Processing Branch, Rome, NY. He is currently an Assistant Professor
pp. 147–156, Jan. 1997. in the Department of Electrical and Computer Engineering, University of
[5] I. J. Gupta and A. A. Ksienski, “Effect of mutual coupling on the per- Toronto. He has also been a consultant to Stiefvater Consultants. His research
formance of adaptive array,” IEEE Trans. Antennas Propagat., vol. 31, interests are in practical adaptive signal processing algorithms for wireless
pp. 785–91, Sept. 1983. communication and airborne radar systems.
LAU et al.: MINIMUM NORM MUTUAL COUPLING COMPENSATION WITH APPLICATIONS 2041

Tapan K. Sarkar (S’69–M’76–SM’81–F’92) re-


ceived the B.Tech. degree from the Indian Institute
of Technology, Kharagpur, in 1969, the M.Sc.E.
degree from the University of New Brunswick,
Fredericton, NB, Canada, in 1971, and the M.S. and
Ph.D. degrees from Syracuse University, Syracuse,
NY, in 1975.
From 1975 to 1976, he was with the TACO Divi-
sion, General Instruments Corporation. He was with
the Rochester Institute of Technology, Rochester, NY,
from 1976 to 1985. He was a Research Fellow at the
Gordon McKay Laboratory, Harvard University, Cambridge, MA, from 1977
to 1978. He is now a Professor in the Department of Electrical and Computer
Engineering, Syracuse University. He has authored or coauthored more than
210 journal articles and numerous conference papers and has written 28 chap-
ters in books and ten books, including his most recent, Iterative and Self Adap-
tive Finite-Elements in Electromagnetic Modeling (Boston, MA: Artech House,
1998). His current research interests deal with numerical solutions of operator
equations arising in electromagnetics and signal processing with application to
system design.
Dr. Sarkar is a Registered Professional Engineer in the State of New York. He
is a member of Sigma Xi and the International Union of Radio Science Com-
missions A and B. He received one of the ”best solution” awards in May 1977
at the Rome Air Development Center (RADC) Spectral Estimation Workshop.
He received the Best Paper Award of the IEEE Transactions on Electromag-
netic Compatibility in 1979 and in the 1997 National Radar Conference. He
received the College of Engineering Research Award in 1996 and the Chan-
cellor’s Citation for Excellence in Research in 1998 at Syracuse University. He
received the title Docteur Honoris Causa from Universite Blaise Pascal, Cler-
mont Ferrand, France in 1998 and the medal of the city of Clermont Ferrand,
France, in 2000. He was an Associate Editor for feature articles of the IEEE An-
tennas and Propagation Society Newsletter, and he was the Technical Program
Chairman for the 1988 IEEE Antennas and Propagation Society International
Symposium and URSI Radio Science Meeting. He is on the editorial board of
Journal of Electromagnetic Waves and Applications and Microwave and Optical
Technology Letters. He has been appointed a U.S. Research Council Represen-
tative to many URSI General Assemblies. He was the Chairman of the Inter-
commission Working Group of International URSI on Time Domain Metrology
from 1990 to 1996.
2042 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

A Phase-Space Beam Summation Formulation for


Ultrawide-Band Radiation
Amir Shlivinski, Member, IEEE, Ehud Heyman, Fellow, IEEE, Amir Boag, Senior Member, IEEE, and
Christine Letrou, Member, IEEE

Abstract—A new discrete phase space Gaussian beam (GB) I. INTRODUCTION


summation representation for ultrawide-band (UWB) radiation
from an aperture source distribution is presented. The formula-
tion is based on the theory of the windowed Fourier transform
(WFT) frames, wherein we introduce a novel relation between the
B EAM based phase-space formulations are an important
tool in the wave theory since they provide a systematic
framework for ray-based construction of spectrally uniform
frequency and the frame overcompleteness. With this procedure, local solutions in complex configurations [1]–[3]. In these for-
the discrete lattice of beams that are emitted by the aperture mulations, the field is expanded into a phase-space spectrum of
satisfies the main requirement of being frequency independent,
so that only a single set of beams needs to be traced through the
beams that emanate at a given set of points and directions in the
medium for all the frequencies in the band. It is also shown that source domain, and thereafter are tracked locally in the medium
a properly tuned class of iso-diffracting (ID) Gaussian-windows (cf. Fig. 1). The advantages of the beam formulations over the
provides the “snuggest” frame representation for all frequen- more traditional representations are: 1) unlike the plane waves,
cies, thus generating stable and localized expansion coefficients. the beam propagators can be tracked locally in inhomogeneous
Furthermore, due to the ID property, the resulting GBs prop- media or through interactions with interfaces, and unlike rays,
agators are fully described by frequency independent matrices
whose calculation in the ambient environment need to be done they are insensitive to the geometrical optics (GOs) transition
only once for all frequencies. Consequently, the theory may also zones; 2) the formulations are a priori localized in the vicinity
be expressed directly in the time-domain as will be presented of the phase-space skeleton of GOs (the so-called Lagrange
elsewhere. The localization implied by the new formulation is manifold; see Section IV-C) since only those beam propagators
demonstrated numerically for an UWB focused aperture. It is that pass near the observation point actually contribute there.
shown that the algorithm extracts the local radiation properties
Thus, beam representations combine the algorithmical ease of
of the aperture source and enhances only those beams that con-
form with these properties, i.e., those residing near the phase GOs with the uniform features of spectral representations, and
space Lagrange manifold. Further localization is due to the fact therefore have been used recently in various applications [4].
the algorithm accounts only for beams that pass within a few An important property of these formulations is that the spec-
beamwidths vicinity of the observation point. It is thus shown trum of beam propagators is overcomplete and thus may be a
that the total number of beams is much smaller than the Landau priori discretized as, for example, in the Gabor series repre-
Pollak bound on the aperture’s degrees of freedom.
sentation. This attractive feature has led to the utilization of
Index Terms—Beam summation representations, frame theory, Gabor-based beam algorithms in various applications involving
Gaussian beams (GBs), phase space, ultrawide-band (UWB), win- radiation, scattering and inverse scattering in complex environ-
dowed Fourier transform (WFT). ments [1], [5]–[12].
The Gabor representation is critically complete, i.e., the
phase-space grid is constrained by the Gabor condition
, where and are the step sizes of the spatial and
spectral discretization [see (9)]. Consequently, it suffers from
NOMENCLATURE
two inherent difficulties:
GB Gaussian beam. a) Nonlocality and instability of the expansion coefficients:
ID isodiffracting. The “analysis function” (the dual or biorthogonal func-
UWB ultrawide-band. tion), which is used to calculate the expansion coeffi-
WFT windowed Fourier transform. cients tends to be highly nonlocal and irregular, and in
certain cases it is even not integrable (see Fig. 3(f)
and [13]–[17]), hence, the Gabor coefficients represent a
nonlocal and unstable sampling of the field [1], [3].
Manuscript received November 21, 2001; revised June 12, 2003. The work of
E. Heyman was supported in part by the Israel Science Foundation under Grant b) Frequency-dependent beam lattice: The beam lattice
216/02 and in part by the Air Force Office of Scientific Research (AFOSR) under obtained in the Gabor representation changes with fre-
Grant F49620-01-C-0018. The work of A. Boag was supported in part by the quency [18], hence a different set of beams needs to be
Israel Science Foundation under Grant 577/00.
A. Shlivinski was with the School of Electrical Engineering, Tel Aviv Uni-
tracked for each frequency (as opposed to the situation in
versity, Tel Aviv 69978, Israel. He is now with the Department of Electrical Fig. 1). This difficulty stems from the Gabor condition
Engineering, University of Kassel, 34109 Kassel, Germany. on the phase space grid: choosing to be constant for all
E. Heyman and A. Boag are with the School of Electrical Engineering Tel frequencies (i.e., constant beam initiation points) results
Aviv University, Tel Aviv 69978, Israel.
C. Letrou is with GET/INT, CNRS SAMOVAR, UMR 5157, France. in frequency dependent beam directions, and vice versa
Digital Object Identifier 10.1109/TAP.2004.832513 [see discussion accompanying (20), (21)].
0018-926X/04$20.00 © 2004 IEEE
SHLIVINSKI et al.: PHASE-SPACE BEAM SUMMATION FORMULATION FOR ULTRAWIDE-BAND RADIATION 2043

Fig. 2. Coverage of an overcomplete phase space grid with  = 0:5 using the
Gaussian window (14) with  = 0:5 ; 1; and 2 (dotted, solid, and dash-dotted
lines, respectively). Heavy dots: Grid points.

transform (WFT) frames that form the basis of the beam sum-
mation representation (Sections II-B and II-C). Using analysis
Fig. 1. Discrete phase space beam summation representation for wideband and numerical examples, we identify the relevant frame pa-
radiation from an extended aperture source.
rameters for a snug and stable representation. The UWB beam
summation representation is presented in Section III, starting
Difficulty (b) makes the conventional Gabor-based beam formu- with the formulation of the frequency independent beam lattice
lation inapplicable for UWB applications. Difficulty (a) makes (Section III-A) followed by the parameterization of the ID-GB
it inconvenient even for monochromatic fields. windows for an UWB snuggest representation and a thorough
For monochromatic applications, difficulty (a) has been cir- analysis of the algorithm (Section IV). The localization and
cumvented recently by using a frame-based beam summation frequency independence issues implied by the new formula-
representation [19], [20]. The overcomplete nature of this rep- tion are demonstrated numerically in Section V for an UWB
resentation smoothes out and localizes the dual function, ending focused aperture. It is shown that the algorithm extracts the
up with stable and local coefficients at the expense of having to local radiation properties of the aperture source and enhances
calculate more coefficients and trace more beam propagators. only those beams that conform with these properties, i.e., those
This poses a tradeoff in the choice of the oversampling ratio residing near the phase space Lagrange manifold. The pre-
versus the stability and localization of the representation. A rea- sentation concludes in Section VI with an extensive summary
sonable solution has been found at an oversampling of order 4/3 of the algorithm, the various considerations in choosing the
or larger for one dimensional (1-D) apertures. expansion parameters.
In this paper, we introduce a novel scheme wherein the
frame formulation accommodates the difficulty under (b) for II. ELEMENTS OF FRAME FORMULATIONS
UWB fields [21], [22]. The scheme is based on the fact that the This section presents a brief review of the relevant theory of
overcomplete frame removes the Gabor constraint and hence frames, starting in Section II-A with general frames and then
by a proper scaling of the overcompletness with the frequency proceeding in Section II-B with a detailed analysis of the WFT
(see Section III-A) one may construct a frequency independent frames that form the basis of our beam summation representa-
beam lattice, so that the same set of beams is used for the tion. Extensive treatments of frame theory can be found in [16],
entire relevant frequency spectrum as schematized in Fig. 1. In [17], yet the results are presented here with a new slant that is
Section IV, it is shown further that the iso-diffracting Gaussian more relevant to our UWB wave analysis.
beams (ID-GBs) provide the “snuggest” frame basis for all
frequencies (thus providing local and stable coefficients). These A. Frames, Dual Frames and Frame Representation of Signals
windows, which in fact have been introduced in a different
The theory of frames has been introduced originally in [30],
context [23]–[26], also simplify the beam calculations since,
but it has gained renewed interest recently since it provides a
the resulting ID-GB propagators are fully described by fre-
framework for an advanced phase-space signal processing [16],
quency independent matrices whose calculation in the ambient
environment need to be done only once for all frequencies. [17].
Consequently, these beams can be transformed in closed form Definition [17, Sec. 3.2]: A family of functions , ,
into the time domain, where they describe the so-called ID in a Hilbert space is called a frame if there exist “frame
pulsed beams [23]–[28]. Based on this property, we have also bounds” such that for all
introduced in [29] a new discrete phase space beam summation
(1)
representation for short-pulse fields directly in the time domain
(full papers will be published elsewhere).
The paper is organized as follows: Section II reviews the In the context of this paper, we shall be interested in the function
relevant elements of frame theory, starting with general frames space with the inner product for
(Section II-A) and then concentrating on the windowed Fourier , where the asterisk denotes complex conjugate. For the
2044 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 3. Exact and approximate dual functions '(x) and ' (x) (solid and dotted lines) corresponding to the Gaussian window (14) for 6 different values of  .
6 =2 are depicted as two vertical lines.
In all cases, the phase space grid has been chosen to match to the window according to (16), and the unit cell boundaries at x

2-D aperture distributions considered later on in this paper, the The frame representation requires a choice of an appropriate
frame will be obtained by a Cartesian multiplication of the 1-D frame for a given application, and a calculation of its
frames in each of the Cartesian coordinates. dual via (3). The computations involve the inversion of
Generally, the set is overcomplete, thus, it is not orthog- , which can be performed via several methods, e.g., an iter-
onal and not even a basis. It does not have to be normalized and ative Neumann series procedure [17, Sec. 3.2] or a projection
the bounds and may depend on the relative magnitude of of on a finite Hilbert space (e.g., a set of sufficiently dense
the elements in . sampling points) discussed in the Appendix . The frame calcu-
The frame operator is defined as lations to be presented below have been performed via the latter
approach, yet, we shall briefly comment on the former since it
(2) explains some properties of frames, which will be used in our
UWB beam representation of Sections III and IV.
Clearly is self adjoint. Rephrasing (1) in operator conventions, Recasting as where and
yields the bounds on , is a constant, leads to a Neumann series expansion of
[17, Sec. 3.2], where is the identity operator. Since
has a lower bound , it has an inverse. Applying to (5)
, yields the set

(3) This series converges if . Since from (1)


, it follows that the series in (5) con-
which is also a frame with bounds , and frame operator verges if [31]. The optimal value that mini-
[17, Proposition 3.2.3]. is termed the dual frame and mizes is readily found to be
is the dual frame operator.
A frame representation for is given by [17, eq. 3.2.8]
(6)
(4)
The series converges fast if the ratio tends to 1 so that
with a dual expression using . It should be noted that tends to 0. Such frame is called snug, whereas if
the frame representation (4) is not unique, i.e., there are other the frame is tight [17]. For a snug frame, one may use the
sets of coefficients that can be used in (4) instead of term in (5), i.e.
and still express , yet the latter minimizes the norm of the
coefficient series [17, Proposition 3.2.4]. (7)
SHLIVINSKI et al.: PHASE-SPACE BEAM SUMMATION FORMULATION FOR ULTRAWIDE-BAND RADIATION 2045

In general however, and are not known analytically, hence , (11) is known analytically and does not require numerical
the calculation of for each frequency may be time con- calculations; this becomes essential when the frame expansion
suming. In our UWB formulation, we shall therefore choose a is used for UWB fields where needs to be calculated for
parameter range where one can use an analytic approximation each frequency in the band. Equation (11) also yields simple an-
for and [see (11)]. This not only simplifies the frequency alytic expressions when the formulation is transformed to obtain
domain calculations but also leads to closed form expressions a beam representation in the time domain [29].
in the time domain theory [29]. The properties of the frame and of its dual depend on two
main parameters: the “overcompleteness” parameter of (9)
B. WFT Frames and the “matching” parameter that describes how well the spa-
In two types of frames are mostly used: the wavelet tial and spectral distributions of fit into the phase space lattice.
frames and the WFT frames (also termed Weyl-Heisenberg It is defined as
frames or Gabor frames). In this paper, we utilize the latter.
Choosing a proper window function , the ele- (12)
ments of the frame and of its dual are given by [16], [17]
where and
(8a) are the spatial and spectral widths
(8b) of . When , the spatial and spectral window coverage
of the unit cell are balanced, but if or ,
where we use conveniently the vector index . the window is spatially narrow or wide, respectively (i.e.,
The parameters define the spatial and spectral displace- spectrally wide or narrow), with respect to the unit cell (see
ment units, i.e, is centered at the lattice point in Fig. 2). As we shall show in Figs. 3 and 5, for a given , the
the phase-space. For the set to constitute a frame, snuggest frame and, thus, the most localized dual function
it is necessary that the unit-cell area be smaller than , i.e. are obtained when .
Finally, in view of (4), the WFT frame representation for
(9) is given by
The parameter describes the overcompleteness or the redun-
(13a)
dancy of the frame ( is the oversampling factor). The frame
is overcomplete for and it is critically complete in the
Gabor limit , where it becomes a basis. A necessary con-
dition on [17, Proposition 3.4.1] basically states that the phase
space should be covered without “holes”, i.e., and all its (13b)
translations should provide a full coverage of the real axis with
From (13b), are samples of the WFT of with respect to
no gaps, with a similar condition on its Fourier transform .
the “analysis function” at the phase space points ,
The dual window needs to be calculated for a given
while (13a) synthesizes in terms of all the phase space trans-
and a phase space lattice . One numerical approach is
lations of the “synthesis function” .
outlined in the Appendix . An exact reference solution can also be
In general, it is desired that and its dual be localized
computed via the Zak transform for rational oversampling [33].
both spatially and spectrally, so that (13a) expresses in term
Though not used in computations below, the Neumann series
of localized phase space constituents with local and stable
approach (5)–(7) is helpful here since it explains properties that
coefficients . Balian-Low theorem [17, Theorem 4.1.1] and
will be employed in constructing the UWB beam representation
[32] implies in this case is required to be strictly less than 1.
of Sections III and IV. In general, finding of (6) involves
elaborate calculations for the frame bounds and (see C. Special Case: Gaussian Windows
Appendix). For WFT frames, we may use the bounds [17,
eq.. 3.4.2] We consider the Gaussian window

(14)
(10)
which is normalized to . Noting that the spatial and
to find an approximation to (6): spectral widths are and , respec-
, so that the term in the Neumann series tively, the matching parameter (12) is found to be
(5) for becomes (cf. (7))
(15)
(11)
where the second expression follows via (9). The cell dimen-
is not only the limit of for , but it also approxi- sions that “match” this window are obtained by setting ,
mates over a wide range of provided that the window is giving
matched to the lattice over that range as discussed in (12). We
prefer (11) with over the “optimal” value in (7) since unlike (16)
2046 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

k 0
Fig. 4. Relative error ' ' kk k
= ' between the exact ' and its Fig. 5. Exact dual function ' corresponding to the Gaussian window (14) for
approximation ' of (11), as a function of  .  = 0:5 with three values of :  = 0:5 ; 1; and 2 (dotted, solid and dash-dotted
lines, respectively).

The dual function corresponding to (14) is depicted in Fig. 3


for a wide range of the overcompleteness parameter . For each
, the cell dimensions have been chosen via (16) to “match” the
window, and the resulting cell’s boundaries at are shown
as vertical lines. The exact functions , calculated by the method
in the Appendix , are shown by the full lines, while the dotted
lines are the approximate functions of (11), which basically
replicate up to a proportionality constant. One observes that
in the range , provides a good approximation of ,
while for , becomes increasingly less localized and
in the limit it tends to the Gabor biorthogonal function
[1], [13], [14], which is seen to be nonlocal and irregular. The
quality of the approximation is further examined in Fig. 4 which
depicts the relative error as a function of .
The role of the matching parameter in (12) is explored in Fig. 6. Frame-bound ratio B=A as a function of , calculated numerically
(via the method in the Appendix ) for the Gaussian window (14) with  =
Fig. 5, which depicts the numerically calculated for 0:5 (dash-dotted line) and  = 0:75 (solid line). For each  , B=A is minimal
and for three values of : , 1, and 2 (i.e., have (snuggest frame) at  = 1.
been chosen such that is spatially narrow, matched, and wide
with respect to the lattice, respectively; cf. Fig. 2). As expected,
We use the caret to denote frequency domain field constituents
the smoothest and most localized is obtained for . This
with a suppressed time-dependence ; time-domain con-
observation is further supported by Fig. 6, which shows that for
stituents which will be considered in subsequent publications
a given the frame is snuggest with minimal [see (6)]
have no caret.
when .
The method is presented here in a general format, while ex-
plicit expressions for the ID Gaussian window functions, which
III. WIDEBAND BEAM SUMMATION FORMULATION provide an UWB snug frame representation will be given in
The WFT frame discussed above is used now to construct the Section IV.
UWB discrete beam summation representation. Such represen-
tation should satisfy the following requirements: (a) It should A. Frequency Independent Phase-Space Beam Lattice
utilize a frequency independent beam lattice so that the beam We start by defining the plane wave spectrum of the initial
axes do not have to be retraced for each frequency. (b) The distribution, denoted by a tilde
window function should properly scale with the frequency to
provide the snuggest frame for the entire frequency band. (c)
The resulting GB propagators should be trackable in the am- (17)
bient environment.
The method is presented in the context of radiation into the where is the wave number and is the wave speed.
uniform half space due to a given UWB scalar field The frequency normalized spectral wavenumber
distribution in the plane, with frequency band is used instead of the conventional spectral wavenumber
. The coordinate conventions in the 3-D space since is a pure geometrical constituent that
are with denoting the coordinates trans- defines the spectral propagation direction in a frequency inde-
verse to , and the radiated field is denoted as (Fig. 1). pendent sense.
SHLIVINSKI et al.: PHASE-SPACE BEAM SUMMATION FORMULATION FOR ULTRAWIDE-BAND RADIATION 2047

We therefore define the spatial-spectral phase space as Assuming that is localized around , the coefficients
are the local spectrum of sampled at the grid points .
(18) The radiated field for is obtained now by replacing
in (23a) by the “beam propagators” , giving
The UWB phase space grid is, thus, defined in the domain by
(24)

(19)
where are the unit cell dimensions, and we use where denote the fields radiated into by the synthesis
conveniently a vector index notation windows . They may be described, for example, by the
. In general, the unit cell dimensions Kirchhoff integral
along the and axes need not be the same as long as they
satisfy the overcompleteness condition (21) in each coordinate. (25)
Here, however, we shall not utilize these options. This grid
defines the origins and directions of the beam lattice hence
it is required to have the same grid for all frequencies in the where is the free space Green’s function,
relevant band, while providing an overcomplete coverage of with .
the domain. Alternatively, can be expressed by a plane wave
To construct this grid we first choose a reference frequency representation
such that (the choice of will be discussed in
Section IV.B), and then choose to be critically complete at
(26)
, i.e., it satisfies the Gabor condition at

(20) where is the spectrum (17) of

The same grid is then used for all . The unit cell area is , with being the spectrum of the “mother” , and
given by is the spectral wavenumber in the direction.
If is wide on a wavelength scale then behave like
collimated beams whose axes emerge from the points in the
(21)
plane in the frequency independent directions
defined via . Propagating beams
Thus, scaling the overcompleteness parameter with the fre-
occur only for where is the spectral width of
quency such that yields a frequency independent
( for collimated beams). For , propagate
beam lattice for all .
tangentially along the plane and decay exponentially
with . In practice, we ignore all the evanescent beams and use
B. Wideband Beam Expansion of the Field
in (24) only the beams with , thereby expressing the
Next, for a proper window function and its dual radiated field as a discrete superposition of beams that emerge
, we introduce the WFT frames in for all from all lattice points in the aperture plane and in all real
[cf. (8a) and (8b)] lattice directions .
(22a)
IV. ID GAUSSIAN WINDOWS
(22b)
The ID Gaussian windows are the preferable basis functions
The window and its dual are obtained from a for the UWB beam synthesis, either in the frequency or time
Cartesian multiplication of the 1-D functions, i.e., domains, because they have the following properties:
. Note that in general, and do not have 1) Their width is scaled with the frequency in a specific
to be the same as long as they are valid windows in each coordi- fashion, termed “isodiffracting” [see (31)] that provides the
nate for all the relevant frequencies. Nevertheless, here assume snuggest frame for all frequencies in the relevant band [see
that . (33)].
Referring to the synthesis (13), the WFT frame representation 2) They give rise to GB propagators that can be tracked lo-
of the field in the plane for all is given by cally in the ambient environment. In view of the ID scaling,
the beam propagation through inhomogeneous nondispersive
(23a) media or through interfaces need to be calculated only at a
reference frequency, and can then extrapolated to all other
frequencies [23], [25], [26].
3) The corresponding time-domain phase-space propagators
have closed form expressions, known as the ID pulsed beams
(23b) [23], [25], [26].
2048 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

The ID windows have the general form [25], [34] . The collimation distances are given, accordingly,
where is a frequency independent, com- by
plex symmetric matrix such that is positive definite and
is the transpose of . The positive definiteness of (30)
guarantees that has a Gaussian decay as the distance
from the origin increases. These determines the waists , the beamwidths ,
For the sake of simplicity, we consider here the special case the wavefront radii of curvature and the diffraction an-
of a real symmetric window gles in the cuts, via

(27)

where is a frequency-independent parameter whose


optimal value for the present application will be determined (31)
following (33). This parameter is the collimation (or Rayleigh)
distance of the GB that emerges from this window [see (30)],
and the term ID implies that this distance is the same for all Thus, since we are interested in collimated beams with narrow
frequencies. spectral spread that can be tracked analytically via paraxial
models, we shall choose for all in the relevant
A. The Phase-Space Propagators: ID-GBs frequency band and for the largest relevant tilt angle in the
source data (see further discussion in Section IV-B).
The phase-space propagators are calculated by sub- The expression in (29) can be extended to UWB propagation
stituting into (26). For large (collimated beams), the in inhomogeneous media or transmission through curved inter-
integral can be evaluated asymptotically as detailed in [34], faces. The result has the generic ID-GB form [23], [25], [26]
[35]. For a given , the result can be expressed in the most
physically appealing format by utilizing the beam coordinates
defined for a given phase-space point : is
a coordinate along the beam axis that emerges from in the
plane in the direction as discussed after (26).
(32)
The coordinates transverse to the beam axis
are chosen such that the projection of on the plane
coincides with the direction of , while This expression describes the beam along its (generally curved)
where the over-circle denotes unit vectors along the corre- propagation trajectory, which is the GOs ray that emerges from
sponding axes. With this choice, the linear phase implied in a direction specified by , with and being the axial
by the window function in (22a) is operative in the direc- and transversal coordinates. Here is the wavespeed along
tion but not in the direction. These coordinates are related this axis while the 2 2 complex symmetric matrices and
to the system coordinates via are found by solving a Ricatti type equation along the axis.
It can readily be shown that is positive definite for all
, hence the quadratic form in the exponent exhibits a
Gaussian decay as increases away from the beam axis, and
that [26].
It thus follows that the ID-GB is determined by the frequency
independent functions and which need to be solved
(28) once for all frequencies.

Utilizing these coordinates, we find by saddle point integration B. Choosing the Frame Parameters
of (26) that is a GB of the form The optimal value of is determined by considering the
matching parameter in (12). Using
and , where
, yields the frequency independent result
. Setting for a “balanced” window which provides
the snuggest frame (see Section II-B and Fig. 5), we obtain
(29)

This expression is an astigmatic GB with principle axes , (33)


, 2, with waist at and collimation distances
. The astigmatism is caused by the beam tilt which reduces where in the second and third expressions we utilized (20).
the effective initial beamwidth in the direction by a factor Thus, the ID Gaussian window (27) with related to and
SHLIVINSKI et al.: PHASE-SPACE BEAM SUMMATION FORMULATION FOR ULTRAWIDE-BAND RADIATION 2049

Fig. 7. Relative error of the GB approximation (29) to the exact beam Fig. 8. Ray trajectories for the focused aperture in (40). The figure also
propagators, shown as a function of the tilt angle n for several values of the shows four observation points where the field will be tested: (a) (near zone)
collimation parameter kb, at k = 0:1. Without loss of generality, the beams r = (x; z ) = (0; 50), (b) (cusp point) (0, 400), (c) (far zone) (0,600), and
are tilted only in the x direction (i.e.,  n = (sin n ; 0)). The error is (d) (shadow zone) (200 360). The phase space observation manifolds O (r )
calculated at a distance z = 400 from the source by integrating the beam corresponding to these points are depicted in Fig. 11.
profile normal to the axis along the beam coordinate x (the field structure
along x is not affected by the beam tilt; see (30).
where we also used . Choosing, for example,
via (33), provides the snuggest WFT frame for all frequencies yields hence from Fig. 4 the error in
in the band. calculating the expansion coefficients at via the approx-
This leads to the following considerations for choosing the imate of (35) is bounded by 4%, and it becomes smaller
frame parameters , and : for as gets smaller. The field reconstruction
First, is chosen to be sufficiently large so that will be error is also bounded by this level: see Figs. 10 and 12–14.
collimated even at the lowest end of the frequency spectrum to Choosing a larger improves the accuracy (e.g., yields
justify the GB solution. Recalling (31), should satisfy and a 2% error bound). Note that actually Fig. 4
depicts the error for the 1-D frames considered in Section II-C;
(34) for the 2-D frames considered here, the error is larger by a factor
of roughly 1.5.
It follows that the choice of depends on and on the source Clearly for the cases noted above, is localized (ap-
spectral (directional) spread. If the source has a wide spectral proximately a Gaussian) and the expansion coefficients are local
range that give rise to large propagation angles, it is required and stable as required.
to choose the beam collimation to be sufficiently large Finally, it is important to note though that the UWB beam
so that GB be collimated even at the largest in the source expansion is valid in the entire band even if is taken to be
spectrum. smaller, yet the approximation (35) can be used only for the
Another factor that should be considered in this context is lower frequencies where is small enough (say,
that the quality of the GB approximation (29) to the exact beam ).
propagators (given by either the Kirchhoff or the plane wave in- Once and are determined subject to these considera-
tegrals in (25)–(26) with Gaussian initial condition) deteriorates tions, the lattice is determined via (33). Note that
for large tilt angles . This is demonstrated in Fig. 7 which also is proportional to , hence in choosing one should also
shows that for a given , the quality of the GB approximation consider the desired degree of spatial localization which sets
improves by increasing the collimation . Thus, it is also re- a limit on .
quired to choose to be sufficiently large so that from Fig. 7
the GB approximation of the propagators at the largest is ac- C. Phase-Space Localization
curate to a desired level.
An important feature of the phase-space representation is the
Next, we set where is a constant to a priori localization of and around well defined regions in
be chosen, as a tradeoff between the desired accuracy and the the domain. We assume that the initial distribution is given
numerical efficacy, see the discussion in Section V. From (21), by
, so that should be as small as possible
to minimize the oversampling. For analytic simplicity, on the (36)
other hand, should be sufficiently large making small
enough for all so that the dual ID window can where the “amplitude” and “phase” functions and are
be approximated by the 2-D extension of (11) slowly varying functions of on a wavelength scale. The local
direction of radiation at a given and is given by
(35)
(37)
2050 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

^ at k = 0:25 and 0.5, shown in the m ; n plane for m ; n = (0; 0). The expansion parameter b has been taken as: (a,b) b = jRj=2 =
Fig. 9. Coefficients a
x; ) are determined by b via (33). The gray scale is in decibels.
200, (c,d) b = jRj = 400, and (e,f) b = 2jRj = 800. The corresponding grids (

In the continuous phase space of (18), this relation defines the points near the discrete Lagrange manifold [1], [3], [25],
so called Lagrange submanifold (the phase-space skeleton [34], [36]
of GOs).
As mentioned after (23b), the coefficients are samples (38)
of the local spectrum of with respect to the window at
the phase space grid points . If in (23b) is wide on the The number of nonnegligible elements near depends on the
wavelength scale, then it senses the local radiation properties of width of . This limits the number of beams that are excited by
. Consequently the coefficients are nonnegligible only for the aperture.
SHLIVINSKI et al.: PHASE-SPACE BEAM SUMMATION FORMULATION FOR ULTRAWIDE-BAND RADIATION 2051


Fig. 10. Real part of the reconstructed field in the aperture, shown only for x 0 (for x < 0, the field is symmetrical). (a) k = 0:4 and (b) k = 0:5. Full lines:
the exact field. Dashed and dotted lines: the reconstructed field using the exact and the approximated dual function (the analysis window) '
^ , respectively. The
dashed lines are almost indistinguishable from the full lines).

The effective range of summation in (24) is constrained fur-


ther since only those beams that pass near actually contribute
to the field. For a given in a homogeneous region, these beams
correspond to in the vicinity of the discrete observation
manifold [1], [25], [34]

(39)

which simply relates the initiation points and directions


of these beams. The width of the contributing zone near
depends on the spatial width of at the observation point. As
will be demonstrated in Section V.C, it is sufficient to account
only for those beams that pass within the three beam-widths
vicinity of .
The simultaneous constraints above implement the a priori Fig. 11. Observation manifolds O corresponding to some typical observation
localization. points. They are plotted on the phase space map of the coefficients a
^ for the
case b = 400 and k = 0:5 in Fig. 9(d). The indexes (a,b,c,d) correspond to the
observation points in Fig. 8.
V. NUMERICAL EXAMPLES
As an example, we consider the radiation from an UWB fo-
which leads to . It was chosen in order to explore
cusing aperture distribution
the error in calculating the expansion coefficients using
(40) the approximate of (35) instead of the exact . With this
choice, using the approximate yields noticeable error in the
and zero otherwise, with frequency band and field for (where ) while being sufficiently
. The parameter is the radius of curvature of the accurate for , whereas using the exact (which is
wavefront in the aperture and it is taken here to be , calculated numerically for each ) yields accurate results ev-
so that the field focuses to a cusp at (see Fig. 8). The erywhere (see numerical experiments in Figs. 10 and 12–14).
width of the aperture is . Such apertures are usually We used three choices of the window parameter
characterized by the Fresnel number [39], [40] and . For , the beam propagators start
to diverge around , before the focal zone, while for
(41) they are still collimated there. Note that in all cases the
beams are collimated and satisfy [see discussion
where is the Fresnel length, while the -number after (35)]. For each , the cell dimensions are calculated
defines the spectral width. Thus, the given distribution is via (33).
characterized by large Fresnel numbers ranging from 16 at The expansion coefficients have been calculated using
to 32 at . (23b) and the results are shown in Fig. 9 for the three values
of and for two frequencies. The coefficients are shown in the
A. Wideband Phase Space Coefficients plane for a slice of the phase space where
We choose the reference frequency to be , i.e., . . In all the figures, the dominant coefficients are concen-
This value is smaller than recommended after (35), trated near the Lagrange manifold of (38), which yields, for
2052 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 12. Radiated field at three frequencies k = 0.25, 0.4, and 0.5, shown in the z = 200 plane for x  0 (the field for x < 0 is symmetrical). The algorithm
utilizes threshold level " = 0.03 and summation over all beams passing within a three beamwidths vicinity of the observation point. Dashed and dotted lines: The
^ , respectively. Solid line: Exact reference solution.
field synthesized by using the exact and the approximated dual function (the analysis window) '

Fig. 13. As in Fig. 12, but for z = 360.

the distribution in (40), . In the discrete phase space, One may readily verify that the dominant coefficients in (44) are
this condition becomes using (33) indeed aligned along the discretized Lagrange manifold of (42).

(42)
B. Reconstruction of the Aperture Field
Note that this condition is frequency independent, but the width
of the strip of coefficients and their magnitudes depend on the The quality of the representation is explored first by consid-
frequency. Also note the difference in the unit cell dimensions ering the field reconstruction in the aperture. We apply thresh-
for the different values of . olding to the set , i.e., we consider only the significant coef-
One also observes large contributions along the phase space ficients that satisfy where is a small error
lines corresponding to the diffraction at the end parameter, thus reducing the number of elements in the summa-
point of the aperture. They were termed diffraction manifolds tion. Specifically we use , i.e., we neglect the terms in
[1], [25], [36]. Fig. 9 below .
The phase space characteristics can be explored analytically We compare reconstruction using the exact coefficients
by evaluating the coefficients approximately, using (dashed lines), and using the approximate ones that are obtained
from (35). Substituting into (23b) yields the following integral by processing the data with the approximate of (35) [dotted
for the coefficients lines]. In the former case, the error is mainly due to the thresh-
olding at a level [for the reconstructed field is
almost indistinguishable from the exact field (solid line)]. In the
latter, there is a noticeable error for , which is due to the
(43) error in (35) for , whereas for where ,
the reconstruction error is smaller than 6% as predicted in Fig. 4
For grid points that are far away from the aperture boundaries,
and the discussion after (35). One also observes a weak Gibbs
the end points effect in the integral can be neglected leading to
effects at the aperture truncation points . We there-
the closed form result for :
fore consider here only and 0.5 since the quality of the
approximate reconstruction is excellent for .
In view of these results it is recommended to use or
even in order to obtain accurate results while using the
(44) approximate dual function of (35).
SHLIVINSKI et al.: PHASE-SPACE BEAM SUMMATION FORMULATION FOR ULTRAWIDE-BAND RADIATION 2053

Fig. 14. As Fig. 12, but for z = 600.

C. Radiated Field TABLE I


NUMBER OF BEAMS USED IN OUR ALGORITHM. 2ND COLUMN: NUMBER OF
EXCITED BEAMS AFTER THRESHOLDING AT LEVEL " = 0:03. 3RD-6TH
The radiated field has been calculated via the beam summa- COLUMNS: NUMBER OF BEAMS USED TO SYNTHESIZE THE FIELD AT THE
tion formula (24) using the ID-GB propagators of (29), and OBSERVATION POINTS (A)–(D) IN FIG. 8
the results are shown in Figs. 12–14. In view of our UWB phase
space construction, the beam trajectories and the beam param-
eters are frequency independent. The summation includes only
the propagating beams with [see discussion after (26)].
As noted in Section V-B, the number of beams excited is reduces
by applying thresholding to at an error level (i.e.,
). of (35), respectively. As in Fig. 10, the former provides ac-
Furthermore, only those beams that pass “near” a given curate beam amplitudes and excellent agreement with the exact
observation point are summed in (24): As follows from the solution (full lines) for the entire frequency band: the minor no-
numerical results below, it is sufficient to include only those ticeable discrepancies are due to the thresholding of at a level
passing within the three beam-widths vicinity of , where of , and are essentially eliminated by using .
the beamwidth is given in (31). Viewed from a phase-space Using the approximate leads to accurate results for
perspective, the beams that pass near are defined by the but a noticeable error for . Note that the beam formula-
observation manifold of (39), which is illustrated in tion provides a good representation for the field near the shadow
Fig. 11 for the four observation points (a)–(d) that are indicated in boundary of edge diffraction (see Fig. 12 around ), for
Fig. 8, and the algorithm selects the beams that are located within the field in the focal zone in Fig. 13, and for the transition to the
a three beam-widths vicinity of . Dominant contributions far zone in Fig. 14.
at a given are therefore obtained only from those phase-space D. The Phase Space Degrees of Freedom
points in the vicinity of the intersection of of with the
Lagrange and diffraction manifolds of the beam amplitudes The manifestation of localization in discrete phase-space
(shown by the gray scale in Fig. 11). representations like the discrete Fourier transform or the beam
Considering as an example the near zone point (a), the beam summation, can be quantified in view of the Landau-Pollak
(LP) bound that specifies the number of discrete degrees of
contributions obtained from the intersection of in Fig. 11
freedom required for a given field to be approximated to a
with the Lagrange manifold describe the GOs field near the aper-
prescribed accuracy [3]. This issue is explored here in the
ture center, while those obtained from the intersection with the
context of our UWB beam summation representation. Clearly,
diffraction manifolds describe edge diffraction contributions at
the oversampling increases the number of terms, but on the
. At the focal point (b), on the other hand, in Fig. 11 is
other hand, the snug localization extracts the local features of
essentially parallel to the Lagrange manifold and the field is de-
the field and renders the phase space coefficients highly local-
scribed by significant beam contributions from the entire aper-
ized near the Lagrange manifold. Consequently the number of
ture. Finally, at point (d) in the shadow zone, the beams along the
degrees of freedom may be significantly reduced relative to the
corresponding in Fig. 11 are weakly excited hence there LP bound. Further savings are achieved for UWB fields since
are no sgnificant GOs contributions but there are contributions the beams need to be traced only once at a reference frequency.
from the intersection of with the diffraction manifolds. The We start with the LP dimension that
total numbers of beams used in the formulation are summarized defines the degrees of freedom in a discrete representation of
in Table I. For further discussion, see Section V-D. a 2-D (aperture) domain, with and being the spatial and
Figs. 12–14 depict cross sectional cuts of the UWB field cal- spectral cross sections of the field distribution, respectively [3].
culated at several distances in the near, intermediate and far Setting yields
zones, and at three different frequencies and
. The dashed and dotted lines compare, respectively,
(45)
the fields calculated by using the exact and the approximated
2054 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

This expression describes a complete phase space coverage and those in the second column of Table I for the beams that are actu-
it is obtained, for example, by assigning visible spectrum ally excited by the aperture at the same threshold level. The dif-
points to each of the spatial points in the aperture where ference is essentially due to the edge diffraction beams that are
. included in the calculations of Table I but not in (48). Recalling
A smaller number is obtained if one includes only the GOs the discussion before (47), it is expected that for larger apertures
radiation from the aperture and excludes edge diffraction. Re- the relative difference between the estimate for in (48)
ferring to the aperture source distribution in (40) we use and the results of Table I will diminish.
and obtain

(46) VI. SUMMARY AND CONCLUDING REMARKS


A novel discrete phase space beam summation representation
where is the Fresnel number of (41). for UWB radiation from extended source distributions was in-
In the beam summation formulation, the actual number of troduced. The representation is based on a WFT frame analysis
elements is further reduced since it is sensitive to the local of the aperture source distribution. The formulation comprises
structure of the phase space. We consider only the nonnegligible the following key features:
coefficients that satisfy where is a small 1) It utilizes a frequency independent beam lattice (unlike
error parameter. Referring to Fig. 9, the number of phase the conventional Gabor scheme), emerging from a discrete
space coefficients is then a sum of elements set of points and orientations in the aperture. This important
along the discrete Lagrange (or GOs) manifold of (38) and feature is achieved by introducing relation (21) between the
elements near the diffraction manifold. The latter will overcompleteness and the frequency.
be neglected in the estimates in view of the bound 2) The ID-GB are shown to provide snuggest frames for
, which applies asymptotically for large apertures ( all frequencies, provided that the beam parameter and the
is proportional to the linear dimension while is phase-space grid are related via (33).
proportional to the area). From (44), the relevant coefficients
3) The ID-GB propagators are also fully described by fre-
near are enclosed within a 4-D tube
quency independent parameters [see (28) and (32)]. Con-
sequently, the calculation of the ID-GB propagation in the
(47) ambient environment need to be done only once for all
frequencies.
4) The expansion coefficients are samples of the WFT of
For a given , (47) represents the interior of a circle the source distribution with respect to the dual (or “analysis”)
of radius in the window. An important parameter is the reference frequency
plane, which is centered at on . The which is larger than , the highest frequency in the source
number of points in that circle is equal to its area spectrum. If is chosen to be sufficiently large (
. Hence accounting for all the with ), the overcompleteness is greater than
points in the aperture yields an estimate on for all and the dual window can be approximated
(48) by the ID-GB window as in (35). This greatly simplifies the
calculations since the dual function does not have to be calcu-
with , where the second expression lated numerically for each frequency in the band (the numer-
follows from (33). It follows that the minimal number of ele- ical procedure for calculating the dual function numerically
ments is obtained with . is described in the Appendix). Furthermore, in this case the
Comparing (48) with (46) one obtains the asymptotic relation dual function can be transformed in closed form to the time
, i.e., the phase space beam representa- domain, thus providing a starting point for the new time do-
tion consists, asymptotically, of a smaller number of elements. main theory that has been briefly reported in [37], [38].
This property follows from the fact that the beam formulation 5) Following item 4, the overcompleteness poses a tradeoff
extracts the local radiation property of the source and thus in- between analytical simplicity and numerical efficacy. Refer-
cludes only the elements along the Lagrange manifold, whereas ring to [19], [20] is sufficient for expansion coef-
LP is a global bound ( bounds the spectral cross section of the ficient localization. If, like in our case, an approximate dual
entire aperture field). function is desired, we have found that is preferable
One should also note the term appearing in (48) which since in this case the error due to the approximate dual func-
represents the frame oversampling. tion is bounded by 6% at , and it is lower for
Finally, the number of elements needed to describe the field where (Fig. 4 and numerical examples in Sec-
at a given may be further reduced if out of all the phase space tion V). Choosing reduces the error bound at to
points in (48) one keeps only those corresponding to beams that 3%. Large increases the overcompleteness and the number
pass near , as discussed in Section V-C, and summarized in of elements, but simplifies the calculations of the wideband
Table I. expansion coefficients (item 4) as well as the field calcula-
Applying (48) to the present configuration, using threshold tions (items 1 and 3). Furthermore, the snug localization of
level we obtain and for the formulation renders the phase space representation highly
and , respectively. These numbers are smaller than localized near the Lagrange manifold (the GOs skeleton),
SHLIVINSKI et al.: PHASE-SPACE BEAM SUMMATION FORMULATION FOR ULTRAWIDE-BAND RADIATION 2055

hence, depending on the source properties, the number of el- number of rows, however, it may be truncated since from [41]
ements in the expansion can be significantly reduced relative we have for . This property holds for any
to the LP bound (see Section V-D). frame, yet it may readily be verified for the present WFT frame
In view of the frequency independence of the various charac- by recalling the essentially finite support of . Since is
teristics above, the formulation can be transformed in closed a frame set, (50) is overdetermined and its solution may be ob-
form into the time domain, where the propagators are the ID tained by the singular value decomposition (SVD) [42], yielding
pulsed-beams and the expansion amplitudes are found via a new , being the pseudo inverse obtained after trun-
discrete local slant-stack (or Radon) transform. Initial results of cating the low singular values (see [43]).
these new formulations have been reported in [29], [37], [38], A convenient choice for the expansion set is the Galerkin set
but full details will be published separately. in which case is Hermitian. In
Referring to item 1, we note that the oversampling increases this case, the largest and smallest singular values of are the
at lower frequencies so that the numerical efficiency there de- upper and lower frame bounds and , respectively [41].
creases (see item 5). Thus, although the bandwidth of the for-
mulation above can be arbitrarily large, we have introduced in REFERENCES
[37], [38] a modified formulation for excitations with bandwidth [1] B. Z. Steinberg, E. Heyman, and L. B. Felsen, “Phase space beam sum-
larger than one octave, . For these cases, we mation for time-harmonic radiation from large apertures,” J. Opt. Soc.
Amer. A, Opt. Image Sci., vol. 8, pp. 41–59, 1991.
divide the excitation band into a hierarchy of one-octave sub- [2] , “Phase space beam summation for time dependent radiation from
bands, and apply the UWB formulation above in each band large apertures: Continuous parameterization,” J. Opt. Soc. Amer. A, Opt.
Image Sci., vol. 8, pp. 943–958, 1991.
while choosing the parameters in each band such that the spatial [3] J. M. Arnold, “Phase-space localization and discrete representations of
and spectral discretizations are obtained by a multilevel binary wave fields,” J. Opt. Soc. Amer. A, Opt. Image Sci., vol. 12, pp. 111–123,
decimation of those at the highest band. The result is a self-con- 1995.
[4] V. Červený, “Gaussian beam synthetic seismograms,” J. Geophys., vol.
sistent representation wherein the beam sets at the lower bands 58, pp. 44–72, 1985.
are decimated subsets of those at the highest band, so that only [5] M. J. Bastiaans, “The expansion of an optical signal into a discrete set
the set of beam-propagators at the highest frequency band needs of Gaussian beams,” Optik, vol. 57, pp. 95–102, 1980.
[6] P. D. Einziger, S. Raz, and M. Shapira, “Gabor representation and aper-
to be traced, while for the lower bands one may use properly ture theory,” J. Opt. Soc. Amer. A, Opt. Image Sci., vol. 3, pp. 508–522,
decimated subsets. The resulting multiband algorithms in the 1986.
[7] J. J. Maciel and L. B. Felsen, “Gaussian beam analysis of propagation
UWB frequency domain and in the time domain have been re- from an extended plane aperture distribution through dielectric layers:
ported in [37], [38], but full papers are in preparation. I-Plane layer,” IEEE Trans. Antennas Propagat., vol. 38, pp. 1607–1617,
We are also engaged in extending the expansion algorithm 1990.
[8] , “Gaussian beam analysis of propagation from an extended plane
to circular cylinders, mainly in connection with applications to aperture distribution through dielectric layers: II-Circular cylindrical
indoor propagation. This subject will be reported elsewhere. layer,” IEEE Trans. Antennas Propagat., vol. 38, pp. 1618–1624, 1990.
[9] R. J. Burkholder and P. H. Pathak, “Analysis of EM penetration into and
scattering by electrically large open waveguide cavities using Gaussian
APPENDIX beam shooting,” Proc. IEEE, vol. 79, pp. 1401–1412, 1991.
DUAL FRAME CALCULATION VIA AN EXPANSION IN A FINITE [10] H. T. Chou, P. H. Pathak, and R. J. Burkholder, “Novel Gaussian beam
method for the rapid analysis of large reflector antennas,” IEEE Trans.
HILBERT SPACE Antennas Propagat., vol. 49, pp. 880–893, 2001.
[11] B. Rao and L. Carin, “Hybrid (parabolic equation) (Gaussian beam) al-
We present the numerical algorithm used for calculating the gorithm for wave propagation through large inhomogeneous regions,”
dual window of the WFT frames shown in Figs. 3 and 5 and IEEE Trans. Antennas Propagat., vol. 46, pp. 700–709, 1998.
of the frame bounds in Fig. 6. Two other approaches, namely [12] , “Beam-tracing-based inverse scattering for general aperture an-
tennas,” J. Opt. Soc. Amer. A, Opt. Image Sci., vol. 16, pp. 2219–2231,
the Neumann series and the Zak transform, have been discussed 1999.
after (8b). [13] M. J. Bastiaans, “Gabor’s expansion of a signal into Gaussian elemntary
The dual window is defined in (8b) by , which signals,” Proc. IEEE, vol. 68, pp. 538–539, 1980.
[14] , “Signal descriptions by means of a local frequency spectrum,”
in view of (2) yields explicitly with Proc. SPIE, Transformation Opt. Signal Processing, vol. 373, pp. 49–62,
. To calculate , we expand it as , 1981.
where , is a valid expansion set in a finite [15] A. J. E. M. Janssen, “Bargmann transform, Zak transform and coherent
states,” J. Math. Phys., vol. 23, no. 5, pp. 720–731, 1982.
Hilbert space that covers the support of (i.e., can [16] I. Daubechies, “The wavelet transform, time-frequency localization and
be a basis, a set of sampling delta functions, or a frame set), and signal analysis,” IEEE Trans. Inform. Theory, vol. 36, pp. 961–1005,
1990.
are unknown coefficients. We therefore obtain [17] , Ten Lectures on Wavelets. Philadelphia, PA: SIAM Publ., 1992,
CBMS-NSF Series in Applied Mathematics.
(49) [18] B. Z. Steinberg and E. Heyman, “Phase space beam summation for time
dependent radiation from large apertures: Discretized parametrization,”
J. Opt. Soc. Amer. A, Opt. Image Sci., vol. 8, pp. 959–966, June 1991.
[19] D. Lugara and C. Letrou, “Alternative to Gabor’s representation of plane
Recalling that for , this equation is satisfied aperture radiation,” Electron. Lett., vol. 34, pp. 2286–2287, 1998.
if [20] , “Printed antennas analysis by a Gabor frame-based method of mo-
ments,” IEEE Trans. Antennas Propagat., vol. 50, pp. 1588–1597, 2002.
[21] A. Shlivinski, E. Heyman, A. Boag, D. Lugara, and C. Letrou, “Gabor-
(50) frame phase space beam summation formulation for wideband radiation
from extended apertures,” in Proc. URSI Trianum Int. Symp. Electro-
where , is a column vector and magnetic Theory, Victoria, Canada, May 2001, pp. 56–58.
[22] D. Lugara, C. Letrou, A. Shlivinski, E. Heyman, and A. Boag, “The
is a column vector of nulls except for the term corresponding frame based Gaussian beam summation method: Theory and applica-
to that equals 1. has columns but an infinite tion,” Radio Sci., vol. 38, no. 2, pp. VIC27/1–15, 2003.
2056 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

[23] E. Heyman, “Pulsed beam propagation in an inhomogeneous medium,” Ehud Heyman (S’80–M’82–SM’88–F’01) was
IEEE Trans. Antennas Propagat., vol. 42, pp. 311–319, 1994. born in Tel Aviv, Israel, in 1952. He received the
[24] E. Heyman and T. Melamed, “Certain consideration in aperture syn- B.Sc. degree in electrical engineering from Tel Aviv
thesis for ultra-wideband/short-pulsed fields,” IEEE Trans. Antennas University, Israel (summa cum laude) as Valedicto-
Propagat., vol. 42, pp. 518–525, 1994. rian, the M.Sc. degree in electrical engineering (with
[25] E. Heyman and L. B. Felsen, “Gaussian beam and pulsed beam dy- distinction) from The Technion—Israel Institute of
namics: Complex source and spectrum formulations within and beyond Technology, Haifa, and the Ph.D. degree in electro-
paraxial asymptotics,” J. Opt. Soc. Amer. A, Opt. Image Sci., vol. 18, pp. physics from the Polytechnic Institute of New York
1588–1611, 2001. (now Polytechnic University), Brooklyn, in 1977,
[26] E. Heyman, “Pulsed beam solutions for propagation and scattering prob- 1979, and 1982, respectively.
lems,” in Scattering: Scattering and Inverse Scattering in Pure and Ap- In 1983, he joined the Department of Physical
plied Science, R. Pike and P. Sabatier, Eds. New York: Academic, Electronics of the Faculty of Engineering, Tel Aviv University where he is
2002, vol. 1, ch. 1.5.4, pp. 295–315.
now a Professor of electromagnetic theory and Heads the School of Electrical
[27] S. Feng and H. G. Winful, “Spatiotemporal transformations of isod-
Engineering. From 1991 to 1992, he was on sabbatical at Northeastern Uni-
iffracting ultrashort pulses by nondispersive quadratic phase media,” J.
Opt. Soc. Amer. A, Opt. Image Sci., vol. 16, pp. 2500–2509, 1999. versity, Boston, MA, the Massachusetts Institute of Technology, Cambridge,
[28] M. A. Porras, “Nonsinusoidal few-cycle pulsed light beams in free and the A. J. Devaney Association, Boston. He spent several summers as a
space,” J. Opt. Soc. Amer. A, Opt. Image Sci., vol. 16, pp. 1468–1474, Visiting Professor at various universities. He has published over 80 articles and
1999. has been an Invited Speaker at many international conferences. His research
[29] A. Shlivinski, E. Heyman, A. Boag, A. Fluerasu, and C. Letrou, “A interests involve analytic methods in wave theory, including high-frequency and
discretized-phase-space pulsed beam representation for time dependent time-domain techniques for propagation and scattering, short-pulse antennas
radiation,” in Proc. URSI Trianum Int. Symp. Electromagnetic Theory, and pulsed beams, inverse scattering and target identification, imaging and
Victoria, Canada, May 2001, pp. 71–73. synthetic aperture radar propagation in random medium.
[30] R. J. Duffin and A. J. Schaeffer, “A class of nonharmonic Fourier series,” Prof. Heyman is a Member of Sigma Xi and the Chairman of the Israeli Na-
Trans. AMS, vol. 72, pp. 341–366, 1952. tional Committee for Radio Sciences (URSI). He is an Associate Editor of the
[31] K. Gröchenig, “Acceleration of the frame algorithm,” IEEE Trans. IEEE Press Series on Electromagnetic Waves and was an Associate Editor of
Signal Processing, vol. 41, pp. 3331–3340, 1993. the IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION. While at the Poly-
[32] Gabor Analysis and Algorithms: Theory and Applications, H. G. Fe- technic Institute he was a Research Fellow and later a Postdoctoral Fellow, as
ichtinger and T. Strohmer, Eds., Birkhäuser, Boston, MA, 1998. well as a Rothschild, a Fullbright, and a Hebrew Technical Institute Fellow.
[33] M. J. Bastiaans, “Gabor’s signal expansion and the Zak transform
for continuous-time and discrete-time signals: critical sampling and
rational oversampling,” Eindhoven Univ. Technol., Faculty Elect. Eng.,
Eindhoven, Netherlands, EUT Report 95-E-295, ISBN 90-6144-295-8,
1995.
[34] E. Heyman and T. Melamed, “Space-time representation of ultra-wide-
band signals,” in Advances in Imaging and Electron Physics, P. W.
Hawkes, Ed. New York: Academic, 1998, vol. 103, pp. 1–66. Amir Boag (S’89–M’91–SM’96) received the B.Sc.
[35] T. Melamed, “Phase space beam summation: A local spectrum analysis degree in electrical engineering and the B.A. degree
of time dependent radiation,” J. Electromagn. Waves Appl., vol. 11, pp. in physics (both summa cum laude) in 1983, the
739–773, 1997. M.Sc. degree in electrical engineering in 1985, and
[36] J. M. Arnold, “Rays, beams and diffraction in a discrete phase space: the Ph.D. degree in electrical engineering in 1991
Wilson bases,” Optics Express, vol. 10, no. 16, pp. 716–722, Aug. 2002. from The Technion—Israel Institute of Technology,
[37] A. Shlivinski, E. Heyman, A. Boag, and C. Letrou, “Frame-based beam- Haifa.
summation algorithms for ultra wideband radiation from extended aper- From 1991 to 1992, he was on the Faculty of the
tures. Part I: Formulations in the multi-frequency domain,” and “Part Department of Electrical Engineering, The Tech-
II: Time domain formulation,” in Ultra-Wideband, Short-Pulse Electro- nion—Israel Institute of Technology. From 1992
magnetics, E. Mokole, K. Gerlach, and M. Kragalott, Eds. New York:
to 1994, he was a Visiting Assistant Professor with
Plenum Press, 2003, vol. 6, pp. 101–122.
the Electromagnetic Communication Laboratory,
[38] , “A frame based phase-space beam and pulsed beam summation
formulations for ultra wideband/short pulse radiation,” in Proc. XXVII Department of Electrical and Computer Engineering, University of Illinois at
General Assembly Int. Union of Radio Science (URSI), Maastricht, The Urbana-Champaign. In 1994, he joined Israel Aircraft Industries as a Research
Netherland, August 2002, manuscript #699, pp. 1–4. Engineer where he became a Manager of the Electromagnetics Department in
[39] A. E. Siegman, Lasers. Mill Valley, CA: Univ. Sci. Books, 1986. 1997. Since 1999, he has been with the Department of Physical Electronics, the
[40] J. J. Stamness, Waves in Focal Regions: IOP Publishing, 1986. School of Electrical Engineering, Tel Aviv University, Israel. He has published
[41] A. Teolis and J. J. Benedeto, “Local frames and noise reduction,” Signal more than 40 journal articles and presented more than 70 conference papers on
Processing, vol. 45, pp. 369–387, 1995. electromagnetics and acoustics. His research interests are in electromagnetic
[42] G. H. Golub and C. V. Loan, Matrix Computations, 2nd ed. Baltimore, theory, wave scattering, and design of antennas and optical devices.
MD: The Johns Hopkins Univ. Press, 1989.
[43] T. Strohmer, “Approxiamtion of dual Gabor frames, window decay, and
wireless communications,” App. Comp. Harmonic Anal., vol. 11, pp.
243–262, 2001.

Amir Shlivinski (S’98–M’04) was born in Tel-Aviv, Christine Letrou (M’96) received the Diplôme
Israel, in February 1969. He received the B.Sc. (cum d’Ingénieur of Institut National des Télécommu-
laude), M.Sc. (summa cum laude), and Ph.D. (with nications (INT), Evry, France, in 1982 and the
distinction) degrees in electrical engineering, all from Docteur-Ingénieur and Ph.D. degrees from Uni-
Tel-Aviv University, Israel, in 1991, 1997, and 2003, versité Paris XI, Orsay, France, in 1985 and 1988,
respectively. respectively.
From 1991 to 1999, he worked as a research and Since then, she has been an Assistant Professor
development Electromagnetic Engineer, and between at INT in charge of microwaves, electromagnetics
1999 and 2003, he was a full-time Ph.D. student and a and antennas, teaching, and research activities. Cur-
Teaching Assistant at Tel-Aviv University. Currently, rently, she is also a Member of the CNRS Laboratory
he is a Postdoctorate Fellow at the Department of SAMOVAR (UMR 5157), Paris, France. Her main
Electrical Engineering, University of Kassel, Kassel, Germany. His main fields research interests are in phase-space methods development, antennas and
of interest are electromagnetics, wave theory and antenna theory, with emphasis quasioptical devices and systems design, and propagation modeling for high
on analytic methods and time-domain phenomena. bit rate communication systems.
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 2057

Theoretical Considerations in the Optimization of


Surface Waves on a Planar Structure
Samir F. Mahmoud, Senior Member, IEEE, Yahia M. M. Antar, Fellow, IEEE, Hany F. Hammad, and
Al P. Freundorfer, Senior Member, IEEE

Abstract—The problem of optimum excitation of surface waves


on a grounded dielectric slab by means of slots in the ground plane
is considered. By adopting a two-dimensional (2-D) model, anal-
ysis lead to closed forms for the power launched as surface waves
and power leaked as radiation. Input admittance of a single slot
source and mutual admittance between two slots are derived and
utilized to design a three element Yagi array of slots to achieve a
prescribed ratio of forward to backward surface wave power. As a
development of the 2-D model, we allow finite extent of slot exci- (a)
tation by assuming a Gaussian E-field distribution across the slot.
The effect of the Gaussian width on the excited surface wave power
is studied. The analysis is relevant to the study of surface waves
on printed circuits. Specifically, it applies to the implementation of
power combiners based on quasioptical slab beam that have been
recently introduced in the literature for use in the millimeter wave
band.
Index Terms—Millimeter wave power combiners, planar struc-
tures, quasioptical power combiners, surface waves.

I. INTRODUCTION (b)
Fig. 1(a). 2-D model of a grounded dielectric slab of relative permittivity "
E XCITATION of surface waves on planar integrated mi-
crowave circuits is often considered as an adversary effect
causing power loss and undesired coupling. However there
with a slot source in the ground plane. (b). Grounded dielectric slab fed by a
Yagi array of three slots. The middle slot of width “s” is the driven one and the
other two are director and reflector slots having widths s and s , respectively.
exist situations when the main objective is to efficiently excite The spacing between the driven slot and the director/reflector slots are “c ”=c ,
a surface wave with least possible leakage, or radiated power. respectively.
One recent example of these situations is the implementation
of quasioptical slab beam power combiners in the millimeter admittance of a single slot and mutual admittance between
band, in which surface waves are the means of power transport two slots are derived in Section III. Numerical examples are
[1]–[4]. These combiners depend on the efficient excitation given in Section IV including design examples of Yagi slot
of the dominant surface wave mode inside a dielectric slab. arrays that achieve high surface wave front to back ratio. In
Recent investigations by the authors [3], [4] have suggested Section V, we alleviate the assumption of uniformly excited
the use of coplanar waveguide (CPW) driven slots as the most slot by allowing a Gaussian distribution of the E-field inside
suitable surface wave launchers for monolithic fabrication in the slot. This breaks the two dimensionality of the problem,
the millimeter regime. In this paper an attempt is made to but still allows the derivation of closed forms for the surface
establish the theoretical foundation for operation of the slab wave and radiated powers. Comparison is made between the
beam power combiner. Accordingly we seek to maximize the present theory and experimental implementations as given by
surface wave excited by a slot dipole on the ground plane of the authors in earlier work [4].
a grounded dielectric slab. Starting with a two-dimensional
(2-D) model of the grounded slab and the slot, a rigorous II. THEORY OF GROUNDED SLAB EXCITATION BY A SLOT
theory is presented in Section II that leads to closed forms SOURCE (2-D MODEL)
for the excited surface wave and leakage powers. The input We start by considering a 2-D model of the problem where
a grounded dielectric slab of uniform thickness is assumed
Manuscript received January 5, 2003; revised July 9, 2003. to extend infinitely parallel to the - plane. A -directed slot
S. F. Mahmoud is with the Electrical Engineering Department, Kuwait Uni- of width “ ” (along ) in the ground plane is used to excite
versity, Kuwait (e-mail: samir@eng.kuniv.edu.kw).
Y. M. M. Antar is with the Department of Electrical and Computer Engi- the slab as shown in Fig. 1(a). The slot itself is excited by
neering, Royal Military College of Canada, Station Forces Kingston, ON K7K a uniform -oriented electric field and therefore, acts as
7B4, Canada (e-mail: antar-y@rmc.ca). an infinite magnetic line source of magnetic current given by
H. F. Hammad and A. P. Freundorfer are with the Electrical and Computer
Engineering Department, Queen’s University, Kingston, ON K7L 3N6, Canada. (volts). To limit the problem to the 2-D
Digital Object Identifier 10.1109/TAP.2004.832498 model, we assume that the slot is infinite in the direction and
0018-926X/04$20.00 © 2004 IEEE
2058 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

is uniformly excited. In Section V, we consider a finite slot across leading to the modal equation for a surface wave
excitation. The excited fields can be expressed by a discrete set and determines for a pseudomode as
of (say ) surface wave modes traveling along as well as a
continuous spectrum over the transverse wavenumber (along )
that account for radiated fields. This is known as the transverse (5)
spectral representation for the fields [5]–[8]. This representation
is adopted here since it facilitates the determination of the Obviously, the range of the spectrum represents
modal amplitudes as will be seen. Since the slot acts as a fields with active radiation power while the range
-oriented uniform magnetic line source, fields are obviously of corresponds to the evanescent part of the field. While a pseudo-
TM type with magnetic field and electric field components mode does not satisfy the radiation condition on its own, the sum
and . Assuming a time harmonic excitation of the form of pseudomodes making up the radiated and evanescent fields
, and that the source lies in planes, general does satisfy the radiation condition, as it should [6]. The modal
expressions for the total fields in the directions are electric field vector is .
Orthogonality relationships can be established among the sur-
face wave modes and pseudomodes and can be expressed by [8]

(1)

(6)

where the unless whence it is equal to unity,


(2) while is the usual Dirac Delta function. In addition there is
orthogonality between a surface wave mode and a pseudomode.
The surface wave factor is easily obtained as
where the superscript and signs apply for and
, respectively, and , and, are surface wave mode
(7)
and pseudomode amplitudes. The integration is taken over the
transverse wavenumber . Here , are the
magnetic -field component and the vector electric field of the where the modal fields have been normalized such that
th surface wave mode; namely for the surface wave mode .
The second integration in (6) is a bit more difficult to evaluate.
Following [8], it is useful to change that integration to a contour
integral as follows:
(3)

and .
Here, , ,
the attenuation rate of the th mode in air, and
(8)
is the free space wavenumber.
On the other hand, , are the fields of a pseu-
Evaluating the right-hand side (RHS) and using the identity
domode [6]–[8] with a transverse real wavenumber . A pseu-
, we get
domode is the result of an incident plane wave on the slab and
in (6) as
a reflected one; namely

(9)
(4)
It is worth noting that, in the absence of any loss in the struc-
where: , and . Ob- ture, is real and stands for the surface wave power flowing
viously, (3) and (4) ensure the continuity of the -magnetic field along . Meanwhile is real and represents spectral power
across the interface . The associated electric field is ob- density over the range , while in the range ,
tainable from (3) and (4) through Maxwell’s equations. The is pure imaginary and so is , which then represents re-
continuity of requires that be continuous active power density.
MAHMOUD et al.: THEORETICAL CONSIDERATIONS IN THE OPTIMIZATION OF SURFACE WAVES 2059

Now consider a -directed infinite slot of infinitesimally accounting for the finite width of the slot and the variation of
narrow width ; Fig. 1, over which a uniform exists. over the slot. Therefore
This acts as a magnetic line source of magnetic current
. The fields generated by this source
take the general form in (1) and (2) and the coefficients and
are to be determined from the electric field discontinuity
and the magnetic field continuity across the source; namely (15)
where which is real over the range of
integration. Performing the integrals over and , and substi-
(10) tuting for from (9), we arrive at

Inserting and from (1) and (2) and using the orthogonality
relations in (6), we get the modal amplitudes as

(16)
Note, that the square bracketed term accounts for the finite width
(11) of the slot. As tends to , this term behaves as , rendering
the whole integrand to behave as , which ensures a conver-
Now, we are able to obtain both the guided surface wave power gent integral.
(in both ) and radiation power in simple summation and in- The results obtained so far also allow us to determine the
tegral form, respectively. Namely mutual admittance between two parallel slots of given
widths and given spacing “ .” For “ ” sufficiently larger than
slot widths, the mutual admittance is given by
(12)

and
(17)
(13)

where is the magnetic field at slot 2 due to a voltage


where and are given by (7) and (9), respectively. applied to slot 1. Note that in the range
It is constructive at this point to compare between the , and in the range .
transverse wavenumber spectral representation with the more
conventional longitudinal wavenumber spectral representation. IV. NUMERICAL RESULTS
The latter has been used for several decades by Wait [9], Fuller
and Wait [10] and many others, and recently pursued by Bhat- The percentage power launched in surface waves relative to
tacharyya [11]. While the transverse spectral representation the total power delivered by the source is computed from (12)
explicitly displays the surface wave and the radiation spectra and (13) versus normalized frequency for different values of the
separately, the longitudinal spectral representation does not. relative permittivity . The frequency is limited to allow for
However, the latter representation can be converted to the the propagation of only a single surface wave mode. Defining
former by changing the path of integration on the real axis of a normalized frequency as , a single mode
the longitudinal wavenumber (say ) to the complex plane operation occurs when . Results in Fig. 2 show a mono-
where the poles contribution gives the surface wave modes and tonic increase of the percentage surface wave power with up
the branch cut gives the radiation part [9]–[11]. to about where there is a broad maximum whose value
increases with the substrate . For example a peak value of 88%
is attained for , and 68% for .
III. SLOT ADMITTANCE
The slot conductance and susceptance per one free
The slot admittance (Siemens per unit length along ) is given space wavelength along are plotted versus in Figs. 3 and
by 4. The conductance displays a peak around and the
peak value depends on the substrate relative dielectric constant,
(14) while has a maximum slope near the peak of . While the
slot conductance is independent of the slot width for a narrow
enough slot, the slot susceptance changes considerably with the
where is given by (1). It turns out that the slot con- slot width as seen in Fig. 4. The break up of the slot in surface
ductance is given, as expected, by the sum of surface wave wave and radiation components; and , are plotted in
and radiation powers divided by . As for the slot susceptance Fig. 5 for two values of . The surface wave conductance at-
, per unit length, care should be taken in evaluating (14) by tains its maximum around . For , both and
2060 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

normalized frequency F
p 0
Fig. 2. Percentage surface wave power excited by a slot source versus
 k d " 1. The relative permitivity " is a
Fig. 3. Slot conductance in milli-mho per a free space wavelength versus
normalized frequency F . The relative permitivity " is a varying parameter.
varying parameter.

are reduced, but is reduced at a slightly higher rate.


This explains the shift of the maximum percentage surface wave
power to higher values of than 1.6 (see Fig. 2). These obser-
vations agree with experimental work conducted by the authors
in [4].

A. Design of a Yagi Slot Array


Having obtained the self and mutual admittance of slots, one
can design an array of such slots to achieve maximum front
( ) to backward ( direction) ratio of excited surface wave.
A three-element Yagi slot array is shown in Fig. 1(b). It is com-
posed of one fed slot, of width “ ” and parasitic director and
reflector slots of widths and . The separation between the
fed slot and each of the director and reflector slots is denoted by
and , respectively. The results of two design examples are
Fig. 4. Slot conductance and susceptance versus F for " = 9:8. The slot
shown in Fig. 6 where the relative forward and backward surface susceptance varies with the relative slot width parameter s=d.
wave powers are plotted against frequency. Each array is numer-
ically optimized with respect to the slot widths and the spacing
between the elements for a maximum front to back ratio of sur-
face wave power at the center frequency. As seen in Fig. 6, It is
possible to achieve a front to back ratio better than 20 dB over a
bandwidth of 2.7% (Design 1) or 4.4% (Design 2) around the
normalized frequency .
The theoretical results displayed in Fig. 6 can be compared
to simulated and measured data reported by the authors in [4,
Fig. 12], where a three element Yagi array launcher is imple-
mented on a Duroid substrate with 2.54 mm thick-
ness. The resulting at a frequency of 11.8 GHz.
A comparison between the present theory, represented by de-
sign 1 and 2 of Fig. 6 and the simulated results in [4] is given in
Table I in terms of the bandwidth of the 20 dB and 15 dB front to
back ratio. Although the theory is based on a 2-D model, there
is a good agreement with the simulated results in [4].
Fig. 5. Surface wave and radiation conductance of a slot versus F . " takes
the values 3 and 9.8.
V. FIELDS OF A FINITE LENGTH SLOT
So far we have carried out a 2-D analysis. Now we wish to on the ground surface is considered to have a Gaussian
consider a more realistic situation where the slot source, which form; i.e.
is equivalent to a magnetic line source, is effectively of finite
length along . We shall continue to assume that the slab is
(18)
having infinite width in the direction. The magnetic current
MAHMOUD et al.: THEORETICAL CONSIDERATIONS IN THE OPTIMIZATION OF SURFACE WAVES 2061

The other field components; , , , and are derived


from (20) through well-known relations [8]. The normalizing
factors and are still defined as in (6), but now they
are functions of . After some manipulations, we get

(22)

where and are those given by (7) and (9). The


amplitudes of the surface wave modes and pseudomodes are
obtained by using (18) and (19), and applying the boundary
conditions (10)
Fig. 6. Forward and backward surface wave power versus frequency f =f for
two designs. The center frequency corresponds to F = 1:9 and " = 9:8.
With reference to Fig. 1(b), the parameters of the two designs are: Design 1:
s = 0:1d, s = 0:1d, and s = 0:15d, and c = 2:066d, and c = 0:817d. (23)
Design 2: s = 0:1d, s = 0:125d, and s = 0:2d, and c = 2:066d and
c = 0:817d.
and
TABLE I
FBR BANDWIDTH OF THREE ELEMENT YAGI; COMPARISON BETWEEN
THEORY AND SIMULATION (24)

Combining these equations with (20) and (21), we obtain a


closed form expression for . Next considering the TE waves,
similar expressions for the TE part of the spectrum can be
which is a source of effectively a finite length. The fields gener- derived, with replacing . Namely [(23), (24)] apply to
ated by this source are no longer independent of . Working in TE modes after multiplying the RHS by . We are
the spectral domain we use the Fourier transform to get now in a position to obtain the fields and powers launched as
surface waves. Assuming the propagation of a single TM mode,
we can derive the component of inside the dielectric
(19)
layer as

The fields generated by this source vary along as


instead of being independent of as before. The surface wave
modes and pseudomodes are now a mixture of both TM and
TE to parts. As it is well known the TE surface wave exists
only when . Considering first the TM to fields all
components can be derived from only. Similar to the mode (25)
expansion in (1) we can write as
A similar expression exists for the TE field component with
an extra term inside the integral term. This manifests the
fact that this component vanishes when .
Expression (25) can be evaluated for and to get [12]
(20)

whose -inverse Fourier transform is


(26)
(21)
where is the Gaussian beam width at a distance
from the slot, and . A similar expression is
In (20), and are the -component obtained for the TE field component that has an extra mul-
of the electric field of the th surface wave mode and a tiplying . It is seen that the Gaussian beamwidth
pseudomode with transverse wavenumber . The longi- increases linearly with and the field magnitude decays with
tudinal wavenumbers are: and as as expected for the diffraction of a Gaussian beam
. [12].
2062 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Now turning attention to the surface wave power, we can


write

(27)

where should now be taken as the sum of of the TM


and TE field. Note however that the TE mode does not exist
when .
Substituting from (25) in (27), we get after some manipula-
tions

(28)
Fig. 7.Surface wave conductance versus F for a Gaussian excited slot with
k w = =2 and  . Two values of " ; 3.0 and 9.8, are considered.
where

It is instructive to note that in the limit , tends


to one and tends to zero. In this case, (28) reduces to (12)
which applies to an infinite uniformly excited slot. Thus, the
terms and account for the Gaussian distribution of the
source. This suggests that we define a Gaussian SW efficiency
equal to . Namely
Fig. 8. Gaussian efficiency versus F for different slot Gaussian width k w=
=2 and  and " = 9:8 and 3.0.

VI. CONCLUSION
(29)
Rigorous analysis of surface wave excitation and radiation
We can define an effective length of the Gaussian source as the
from a grounded dielectric slab driven by a slot source has been
length of a uniformly excited slot that would produce the same
presented. The analysis is relevant to the design of quasioptical
TM surface wave power as the Gaussian excited slot. Denoting
slab beam power combiners that use surface waves to transport
that length by , we have from (28)
power on a dielectric slab. Adopting a 2-D model of the slab and
the slot, closed form expressions for the surface wave and radia-
(30) tion powers have been derived. In addition, slot self-admittance
and mutual admittance of two parallel slots have been derived.
A plot of the surface wave conductance versus This facilitates the design of Yagi slot arrays aiming at achieving
normalized frequency is shown for different and different maximum front to back ratio of excited surface waves.
normalized Gaussian width in Fig. 7. Here is the ef- Numerical results show that ratio better than 20 dB can
fective wavenumber on the dielectric slab and is taken equal to be achieved over a bandwidth of 4%. The analytical results are
. It is worth noting here that the TE mode contri- supported by previously published simulation and experimental
bution to the power is zero for . For the example given work by the authors [4]. In order to improve the 2-D model, the
in Fig. 7, the contribution of the TE mode is less than 5% up to case of a Gaussian -excited slot is treated. Analysis shows that
for and less than 8.5% for . As the surface wave power decays linearly with distance traveled
it is the case with uniform excitation (Fig. 5), the surface wave along the slab for much greater than the Gaussian beamwidth.
conductance peaks around . It increases with except An effective length of the Gaussian slot is derived. Although the
for low values of . The Gaussian efficiency parameter defined present theory has been applied to a single homogeneous dielec-
in [(29), (30)] is plotted in Fig. 8. It is seen that , which is tric slab, extension to an inhomogeneous slab, or a multiplayer
also equal to , increases with up to a satura- slab, is straightforward. Such extension should lead to the study
tion level. The variation with depends on the value of as of the interplay between surface wave and radiated powers on
seen in the figure. printed circuits. This study is underway.
MAHMOUD et al.: THEORETICAL CONSIDERATIONS IN THE OPTIMIZATION OF SURFACE WAVES 2063

REFERENCES Yahia M. M. Antar (S’73–M’76–SM’85–F’00) was


born on November 18, 1946, in Meit Temmama,
[1] J. Harvey, E. R. Brown, D. B. Rutledge, and R. A. York, “Spatial power
Egypt. He received the B.Sc. (Hons.) degree in 1966
combining for high-power transmitters,” IEEE Microwave Mag., pp. from Alexandria University, Egypt, and the M.Sc.
48–59, Dec. 2000.
and Ph.D. degrees from the University of Manitoba,
[2] A. R. Perkons, Y. Qian, and T. Itoh, “TM surface wave power combining Winnipeg, Canada, in 1971 and 1975, respectively,
by planar active-lens amplifier,” IEEE Trans. Microwave Theory Tech., all in electrical engineering.
vol. 46, pp. 775–783, June 1998.
In 1966, he joined the Faculty of Engineering
[3] H. F. Hammad, A. P. Freundorfer, and Y. M. M. Antar, “CPW slot an- at Alexandria University,where he was involved in
tenna for TM slab mode excitation,” presented at the Proc. IEEE Antenna
teaching and research. At the University of Manitoba
and Propagation and URSI Int. Symp., Boston, MA, July 2000. he held a University Fellowship, an NRC Postgrad-
[4] H. F. Hammad, Y. M. M. Antar, A. P. Freundorfer, and S. F. Mahmoud,
uate and Postdoctoral Fellowships. From 1976 to 1977, he was with the Faculty
“Uni-planar CPW-fed slot launchers for efficient TM0 surface wave ex- of Engineering, University of Regina. In June 1977, he was awarded a Visiting
citation ,” IEEE Trans. Microwave Theory Tech, vol. 51, pp. 1234–1240,
Fellowship from the Government of Canada to work at the Communications
Apr. 2003. Research Centre, Department of Communications, Shirley’s Bay, Ottawa,
[5] E. Bahar, “Scattering of VLF radio waves in curved earth-ionosphere where he was involved in research and development of satellite technology with
waveguide,” Radio Sci., vol. 3, no. 2, pp. 145–154, 1968.
the Space Electronics group. In May 1979, he joined the Division of Electrical
[6] V. V. Shevchenco, Continuous Transitions in Open Waveguides: The Engineering, National Research Council of Canada, Ottawa, where he worked
Golem Press, 1971, ch. 1, sec. 1–7.
on polarization radar applications in remote sensing of precipitation, radio wave
[7] S. F. Mahmoud and J. C. Beal, “Scattering of surface waves at a dielectric propagation, electromagnetic scattering and radar cross section investigations.
discontinuity on a planar waveguide,” IEEE Trans. Microwave Theory
In November 1987, he joined the staff of the Department of Electrical and
Tech., vol. MTT-23, pp. 193–198, 1975. Computer Engineering, Royal Military College of Canada, Kingston, ON,
[8] S. F. Mahmoud, “Electromagnetic waveguides; theory and applications,” Canada, where he is now a Professor of electrical and computer engineering.
in IEE Electromagnetic Waves Series 32. Stevenage, U.K.: Peregrinus, He is presently the Chairman of the Canadian National Commission (CNC),
1991, sec. 4.3. International Scientific Radio Union (URSI), holds adjunct appointment at the
[9] J. R. Wait, Electromagnetic Waves in Stratified Media. New York:
University of Manitoba, and has a cross appointment at Queen’s University
Pergamon, 1970, ch. 6, pp. 33–35. in Kingston. He has authored or coauthored over 100 journal papers on these
[10] J. A. Fuller and J. R. Wait, “A pulsed dipole in the earth,” J. Appl. Phys.,
topics, and supervised or cosupervised over 45 Ph.D. and M.Sc. theses at the
vol. 10, pp. 238–270, 1976. Royal Military College and Queen’s University, of which three have received
[11] A. K. Bhattacharyya, “Characteristics of space and surface waves in a
the Governor General Gold Medal. His current research interests include
multilayered structure,” IEEE Trans. Antennas Propagat., vol. 38, pp. polarization studies, integrated antennas, microwave, and millimeter wave
1231–1238, Aug. 1990. circuits.
[12] L. C. Shen and J. A. Kong, Applied Electromagnetism, 2nd ed. Boston,
Dr. Antar is a Fellow of the Engineering Institute of Canada (FEIC). He
MA: PWS-Kent, 1987, sec. 8.3. received the 2003 RMC Excellence in Research Prize. In May 2002, he be-
came the holder of a Canada Research Chair (CRC) in Electromagnetic Engi-
neering. He is an Associate Editor of the IEEE TRANSACTIONS ON ANTENNAS
ACKNOWLEDGMENT AND PROPAGATION and Associate Editor (Features) of the IEEE ANTENNAS AND
S. F. Mahmoud acknowledges the support of Kuwait Uni- PROPAGATION MAGAZINE.
versity for providing him with Sabbatical leave to perform this
research.
Hany F. Hammad received the B.Sc. degree with
honors from Ain Shames University, Cairo, Egypt, in
1994 and the M.Sc. and Ph.D. degrees from Queen’s
University, Kingston, ON, Canada, in 1997 and 2002,
Samir F. Mahmoud (S’69–M’73–SM’83) graduated respectively. His Ph.D. thesis was ranked as the “Out-
from the Electronic Engineering Department, Cairo standing Thesis of Engineering and Applied Science
University, Cairo, Egypt, in 1964 and received the Division” at Queen’s University.
M.Sc. and Ph.D. degrees from the Electrical Engi- His research areas of interests are the analysis and
neering Department, Queen’s University, Kingston, design of antennas and microwave integrated circuits.
ON, Canada, in 1970 and 1973, respectively.
During academic year 1973 to 1974, he was a
Visiting Research Fellow at the Cooperative Institute
for Research in Environmental Sciences (CIRES),
Boulder, CO, doing research on communication in
tunnels. He spent two sabbatical years, 1980 to 1982, Al P. Freundorfer (M’90) received the B.A.Sc.,
between Queen Mary College, London and the British Aerospace, Stevenage, M.A.Sc., and Ph.D. degrees from the University
U.K., where he was involved in design of antennas for satellite communication. of Toronto, ON, Canada, in 1981, 1983, and 1989,
Currently he is a Full Professor at the Electrical Engineering Department, respectively.
Kuwait University. Recently, he has visited several places including Interuni- In 1990, he joined the Department of Electrical
versity Micro-Electronics Centre (IMEC), Leuven, Belgium, and spent a Engineering, Queen’s University, Kingston, ON,
sabbatical leave at Queen’s University and the Royal Military College of Canada. Since then he has done work in nonlinear
Canada, Kingston, ON Canada, from 2001 to 2002. His research activities have optics of organic crystals, coherent optical network
been in the areas of antennas, geophysics, tunnel communication, e.m wave analysis as well as microwave integrated circuits.
interaction with composite materials and microwave integrated circuits. Currently he is focusing his attention on monolithic
Dr. Mahmoud is a Fellow of the Institution of Electrical Engineers (IEE), microwave circuits used in lightwave systems with
London, U.K. He was a recipient of the Best IEEE/ Microwave Theory Tech- bit rates in excess of 20 Gb/s and on monolithic millimeter wave integrated
nology Paper for 2003. circuits used in wireless communications.
2064 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Generalized System Function Analysis of Exterior and


Interior Resonances of Antenna and
Scattering Problems
Long Li and Chang-Hong Liang, Senior Member, IEEE

Abstract—The generalized system function ( ), directly as- have been proposed for dealing with these numerical problems
sociated with radiated and scattered fields, is presented to effec- [8]–[12]. Most of these methods generate a system of equations
tively analyze the exterior and interior resonances of antenna and that has a unique solution for the current and external fields at
scattering systems in this paper. ( ) is constructed by using the
model-based parameter estimation technique combined with the all frequencies.
complex frequency theory. The behaviors of the exterior and inte- The complex resonant frequency presented in circuit
rior resonances can be distinguished by analyzing the character- theory [13], [14] is firstly introduced to antenna and scat-
istics of pole-zero of ( ) in a finite operational frequency band. tering systems in this paper, which relates the real resonant
The intensity of the exterior resonance can be effectively estimated frequency with radiated or scattered losses. The generalized
in terms of values and residues at the complex resonant frequen-
cies. The truly scattered fields from a closed conducting region can system function, , directly associated with radiated and
be obtained by eliminating the poles corresponding to the interior scattered fields, is presented to effectively analyze the exterior
resonances from ( ). Some examples of the practical antenna and interior resonances of the antenna and scattering problems
arrays and scattering systems are given to illustrate the applica- in this paper, which is constructed by using model-based pa-
tion and validity of the proposed approach in this paper. rameter estimation (MBPE) technique. The MBPE [15]–[19]
Index Terms—Generalized system function, exterior and is a form of “smart” curve fitting, with broad applications to
interior resonances, complex resonant frequency, factor, a fast analysis of radiation patterns or RCS of antennas or
model-based parameter estimation (MBPE). scatterers in a widely operating bandwidth. By analyzing the
characteristics of poles and zeros of, we can determine the
I. INTRODUCTION exterior and interior resonant frequencies of antenna and scat-
tering systems efficiently. The complex frequency method for

W ITH the increasingly complicated electromagnetic envi-


ronment, the interaction and mutual coupling between
antennas and scatterers become more and more severe that
calculating antenna or scattering external is also presented
in this paper. Furthermore, The exterior resonance strength can
be effectively estimated by the values of and residues at the
sometimes give rise to the strong electromagnetic oscillation complex resonant frequencies. The truly scattered fields from
phenomena. Therefore, the study of resonance behaviors in the a closed conducting region can be got by eliminating the poles
electromagnetic compatibility (EMC) has been an interesting corresponding to the interior resonances from the generalized
and challenging problem for years [1]–[6]. The -field integral system function. Some examples and discussion, parallel
equation (EFIE) and the -field integral equation (MFIE) dipoles antenna, two conducting objects scattering system and
have been used extensively to analyze antennas radiation and an infinitely long elliptical cylinder scattering problem are
scattering from perfectly conducting bodies. It is well known given in this paper.
that bodies with closed conducting regions can support inte-
rior resonance at certain discrete frequencies where both the II. COMPLEX RESONANT FREQUENCY
-field and -field integral equations fail to calculate the
scattered (external) field [7]. Theoretically, the undeterminable For an arbitrary lossy resonant system, the complex resonant
component of the surface current associated with the cavity frequency [13], [14] can be introduced and written as
mode does not radiate. However, due to truncation error and
(1)
numerical error effects, at these frequencies the cavity mode
is both very weakly excited and radiated very weakly, so the where is a real resonant frequency of the system, re-
matrix problem was found to have a different structure from pressents the losses of the resonant system. In general sense,
that of the functional equation problem [8]. Some techniques the electric field can be written as
(2)
Manuscript received July 11, 2003; revised October 25, 2003. This work was
supported by the National Natural Science Foundation of China under Contract With the presence of the losses, the energy stored in the resonant
69931030. system will decay at a rate proportional to the average energy
The authors are with the School of Electronic Engineering, Xidian Uni-
versity, Xi’an 710071, Shaanxi, China; (e-mail: Lilong@mail.xidian.edu.cn; presented at any time, so that
Chhliang@xidian.edu.cn).
Digital Object Identifier 10.1109/TAP.2004.832319 (3)
0018-926X/04$20.00 © 2004 IEEE
LI AND LIANG: GENERALIZED SYSTEM FUNCTION ANALYSIS OF EXTERIOR AND INTERIOR RESONANCES 2065

where is the average energy present at . But the rate of where and represent the
decrease of must equal the power loss, so that coefficients of numerator and denominator polynomials, respec-
tively. Note that or can be normalized to 1 in denominator
(4) coefficients. Thus, (8) has unknown complex
coefficients. represents the complex frequency . It is ob-
vious that MBPE utilizes the rational function approximation
In addition, an important parameter specifying selectivity, and
and extends it into complex frequency domain, which provides
performance in general, of a resonant system is the quality
an appropriate tool for analyzing the resonance characteristics
factor, . A general definition of applicable to all resonant
of antenna and scattering systems from the point of view of com-
system is
plex frequency. According to the uniform approximation theory
[21], the error of MBPE interpolation is minimum when
(5) or , and the properties of existence and uniqueness
of rational function approximation can be demonstrated [22].
Substituting (5) into (4), we can easily get Based on the theory of signals and systems, we know a partic-
ularly important and useful class of linear time-invariant (LTI)
systems is those for which the input and output satisfy a linear
(6)
constant-coefficient differential equation of the form [23]

Therefore, the general expression of is


(9)
(7) where and represent the input and output time func-
tions, respectively. Taking the Laplace transform of (9), we
It can be seen that the introduction of unifies the resonant obtain
frequency and of a resonant system, and each complex
resonant frequency corresponds to one resonant mode. It is
well known that antenna or scattering system is essentially (10)
equivalent to a lossy network. Assume the system media are is commonly referred to as the system function or, alterna-
lossless, the loss represents the radiated or scattered power tively, the transfer function. Many properties of LTI systems are
from the antennas or scattering bodies. The average stored energy closely associated with the characteristics of the system function
denotes the sum of stored electric field and magnetic field in the plane. It is very interesting that (10) is consistent with (8)
energies around the antennas or scatterers, which is independent formed by MBPE in mathematical representation. In physical
of the radiated energies from the antennas or scatterers [20]. sense, (10) represents the system function, which is the Laplace
Therefore, the complex resonant frequency is applicable to transform of impulse response of LTI systems. In the analysis of
not only the resonant cavity in the closed system, but also the antenna or scattering electromagnetic systems, the ideal source
antenna and scattering resonant problems in the open system. If models [24] of voltage, current, or unit plane wave are com-
the system media are lossless, the complex resonant frequency monly utilized as the excitation functions, and the frequency re-
corresponding to a nonradiated mode (cavity mode) will sponses of antenna properties, such as the current distribution
reduce to the real resonant frequency . , input impedance , radiation patterns ,
RCS, or near fields , etc., can be thought of as
III. GENERALIZED SYSTEM FUNCTION CONSTRUCTED the output functions. In this case, the output functions just cor-
BY MBPE respond to the impulse responses of the antenna or scattering
system in time domain. If we make use of MBPE technique
The MBPE is a smart curve fitting technique [15]–[19], which to approximate the output function frequency responses, (8) is
has been widely applied to the fast analysis of radiation pat- characterized by the system function. Therefore, the general-
terns or RCS of antennas or scatterers over a wide frequency ized system function directly associated with the radiated
band. MBPE makes use of low-order analytical formulas as fit- or scattered fields can be constructed by MBPE technique in
ting models, while the unknown coefficients for the fitting model a limited operational bandwidth with a model containing a fi-
are obtained by matching it to multipoint sampled values [18] nite number of suitably chosen complex poles, which describes
or fitting it to frequency derivatives of the function at one or the intrinsic characteristics of the antenna or scattering systems.
two frequencies [15]. In this paper, MBPE is mainly used to Equation (8) can be further factored into the form (let )
construct the generalized system function associated with elec-
tromagnetic fields in the complex frequency domain. According
to the observed objects, one form of a fitting model that is com-
monly employed in MBPE is represented by Padé rational func-
tion as follows:

(8)
(11)
2066 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

where is scale factor and are the


complex poles and zeros of the generalized system function, re-
spectively. We know the denominator polynomial of rep-
resents the characteristic polynomial of antenna or scattering
systems. The zeros of the denominator polynomial, namely the
poles of , define the locations of the natural resonances of
antenna or scattering systems, involving the exterior and inte-
rior resonances. It is worth pointing out that only the exterior
resonance can be interpreted as intrinsic to the scatterer in prin-
ciple. According to the stability of the electromagnetic systems,
we know the true poles of the systems should reside in the left
half of the complex frequency plane. The validity of the com-
plex poles obtained by (11) will be discussed in the following
section. It is assumed that the poles are all simple. This has been
numerically substantiated. A partial fraction expansion yields Fig. 1. Two parallel dipoles system.

(12)

where represents the complex pole and is the corre-


sponding residue. Therefore, many properties of antenna and
scattering electromagnetic systems can be characterized by a
few pole locations with the corresponding residues.
When the antenna and scattering systems are regarded as the
multiport networks, assumed input ports and output ports,
the generalized system function matrix can be similarly con-
structed by MBPE based on the linear superposition principle,
which can be expressed as

.. .. .. .. ..
. . . . . Fig. 2. Frequency response of system function (far E -field) magnitude.

(13) IV. EXTERIOR AND INTERIOR RESONANT FREQUENCIES AND


FACTOR
Namely
We know that a finite number of suitably chosen complex
(14) poles of define the natural resonances of the antenna or
scattering electromagnetic open systems. Assume the pole
where represents the generalized system function ma- , the corresponding partial fraction of the gen-
trix, and is referred to as the subsystem function. All eralized system function can be expressed as
true poles of the generalized system function matrix define the
natural resonances of the antenna or scattering systems.
is a square matrix when , and thus the poles are the solu- (17)
tions to the following:
The time response corresponding to the complex pole is
(15)
(18)
where symbol indicates taking the determinant of matrix.
While combining MoM with MBPE technique deals with the Comparing (18) with (2), we can see that the residue rep-
antenna or scattering problems, the generalized impedance ma- resents the complex magnitude of the electric field at , if
trix can be obtained in -plane in terms of the theory of the complex frequency response of the electric field at one
generalized networks [24], which describes the intrinsic charac- point in space is chosen as the generalized system function. The
teristics of the system structures and is independent of the com- relationship of the complex pole with the complex resonant fre-
plicate excitations and loads. Therefore, the complex poles of quency presented in the previous section is
the antenna or scattering systems are determined by

(16) (19)
LI AND LIANG: GENERALIZED SYSTEM FUNCTION ANALYSIS OF EXTERIOR AND INTERIOR RESONANCES 2067

TABLE I
ZEROS, POLES, AND RESIDUES OF THE GENERALIZED SYSTEM FUNCTION

Fig. 3. Frequency response of the near E -field magnitude.

Therefore, the resonant frequency and of the electromagnetic


open system can be easily obtained

(20)

Obviously, by calculating the complex poles of the generalized


system function based on the physical models, we can di-
rectly get the resonant frequency and corresponding . It is
well-known that the quantitative analysis of electric and mag-
netic field energies stored in the near-field zone of the antennas
or scatterers is very difficult to give, and thus the calculation
of antenna or scattering external has also been an interesting Fig. 4. Comparison of the electric field magnitude distribution around dipoles
at resonance with nonresonance (a) resonance and (b) nonresonance.
and challenging problem for years [20], [25]–[27]. In this paper,
the complex frequency method combined with the generalized
system function is used to calculate the antenna or scattering By analyzing the characteristics of poles and zeros of the gen-
efficiently, which has been illustrated by the later numerical eralized system function and combining with adaptability
tests. of MBPE, we can accurately predict the occurrence of resonance
For a scattering from a closed perfect conducting region, the phenomena and determine the exterior and interior resonant fre-
total current flowing on the surface is not determined by EFIE or quencies of the antenna and scattering systems. The intensity of
MFIE and the incident external field at the interior resonant fre- resonance can be effectively estimated by the values of and
quencies. Theoretically, the undeterminable component of the residues at the complex resonant frequencies. Only when both
surface current that associated with the cavity mode does not the external resonant and the residues are larger, are the res-
radiate. Therefore, the poles corresponding to the interior res- onance phenomena characterized by the strong peak field in the
onances should locate on the positive imaginary axis of the near region and large frequency sensitivity in the far field region
plane in principle. However, due to truncation error and numer- of the antennas and scattering bodies.
ical error effects, the cavity mode is both very weakly excited It should be pointed out that the complex poles referred above
and radiated very weakly [8]. So these poles do not strictly occur must be the true and stable poles of the antenna or scattering
on the imaginary axis of the plane but reside in the left half of electromagnetic systems. A discussion on the validity of the
the plane off imaginary axis very small. To get the truly scat- poles of the generalized system function constructed by MBPE
tered field, these poles corresponding to the interior resonances is given here. On the one hand, according to the stability of the
must be eliminated. practical antenna and scattering systems, these complex poles
2068 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

must locate in the left half of the plane. Therefore, the poles oc-
curred in the right half of the plane must be invalid poles of the
system. On the other hand, in MBPE, if the Padé rational func-
tions with different numerator and denominator orders
are used to construct the generalized system function, we might
get some different complex poles. One knows that the true poles
are corresponding to the complex natural exterior resonant fre-
quency of systems, which should be independent of the form of
fitting function and the orders of the rational function. Thus, the
locations of the true poles are stable or invariant. However, the Fig. 5. Two conducting bodies scattering system.
other poles besides those residing in the right half of the plane
will vary with the orders of the rational functions, which must be
invalid poles and referred to as “parasitical” poles. In addition,
as previous discussion, the poles corresponding to the interior
resonances are not strictly occur on the imaginary axis of the
plane but reside in the left half of the plane off imaginary axis
very small. The truly external scattered field can be obtained by
eliminating these poles from (12).

V. APPLICATIONS AND DISCUSSION


In the following examples, some special resonance behaviors
will be analyzed by the generalized system functions directly
associated with the radiated or scattered fields of some local re-
gions, involving far fields and near fields. The results of numer-
ical tests show that the exterior resonance phenomena are very
remarkable by virtue of the strong interaction and mutual cou-
pling between antennas or scatterers, and the interior resonance
behaviors in EFIE give rise to a false scattered field.

A. Test 1 Parallel Dipole Antennas


Consider the two parallel dipoles system shown in Fig. 1.
Dipole 1 will be excited by the ideal voltage source, and the
terminal of dipole 2 shorted. The length both of them is
m, with radius m. The distance between them
is m. The frequency response of the radiated electric
field of observation point at in the far zone
is chosen as the output function, i.e., the generalized system
function . The MBPE technique is applied to the antennas
system over a frequency range of 15–25 MHz, using the radiated
electric field data obtained from a numerically rigorous method
of moments (MoM) computer codes based on EFIE. The Padé
Fig. 6. Frequency responses of the generalized system function matrix
(scattered near field. (a) E component and (b) E component.
rational function is chosen to set the numerator order
and the denominator order .
Fig. 2 shows the frequency response of the generalized
system function constructed by MBPE, with comparisons The characteristics of zeros, poles, and corresponding
being made of the MoM result. As can be seen from Fig. 2, the residues of the generalized system function are shown in
two curves are nearly graphically indistinguishable. In this case, Table I. Note that the data in the table have been transformed
only six sampling frequencies are required for the MBPE tech- from to (MHz).
nique. The actual sampling points that were used are indicated The facts show that there are two true and stable complex
by dots on the plots contained in Fig. 2. It is interesting that poles in the antenna system within the finite operation frequency
all of the fitting frequencies are sampled before the resonant band, which are marked by asterisks in the Table I. On the
frequency, but the resonant behavior can be found efficiently basis of the complex frequency theory presented in the previous
due to the adaptability of MBPE technique. It is worth pointing section, from (20), the exterior resonant frequencies and of
out that MoM direct calculation using 102 unknowns took 28 s the two parallel dipoles system are obtained, respectively, as
to calculate the frequency response at 100 frequency values follows:
from 15 to 25 MHz. MBPE took a total of 2 s to generate the
solutions with 0.1 MHz increment, poles and zeros.
LI AND LIANG: GENERALIZED SYSTEM FUNCTION ANALYSIS OF EXTERIOR AND INTERIOR RESONANCES 2069

TABLE II
ZEROS, POLES, AND RESIDUES OF THE SUB-SYSTEM FUNCTION H (s)

TABLE III
ZEROS, POLES, AND RESIDUES OF THE SUB-SYSTEM FUNCTION H (s )

Fig. 8. Plane wave incident upon an infinite long perfect conducting elliptical
cylinder.

for finding presented in [20], [24], based on the Foster


reactance theorem

has been used to calculate the antenna of the two parallel


dipoles system. Utilizing a first-order accurate difference ap-
proximation to the partial frequency derivative of the reactance
matrix , we obtain at the resonant frequency
19.6921 MHz, which is very closed to the result of the complex
frequency method. It can be seen that the other resonant mode,
XZ
Fig. 7. Scattered electric field magnitude distributions in and Y Z plane
at resonance (18.169 MHz). (a) XZ plane and (b)YZ plane.
18.4607 MHz, makes a little contribution to the resonance be-
havior in this case for the low .
To further understand the behavior of the resonance, we
It can be found that the exterior resonance behavior to occur calculated the frequency response of the electric field magnitude
at the frequency 19.6921 MHz with high , as shown in at the observation point in the vicinity of the dipole 1 indicated
Fig. 2. It is worth pointing out that the calculation of antenna by dot in Fig. 1. It can be seen that the behavior of the resonance
is definite and efficient by using the complex frequency is also remarkably embodied by the phenomenon of strong
method. To demonstrate the validity of , a classical formula peak field in the near zone of the antenna system, as shown
2070 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE IV
ZEROS, POLES, AND RESIDUES OF THE GENERALIZED SYSTEM FUNCTION (E )

in Fig. 3. The comparison of the electric field magnitude


distribution in the xz-plane in the near zone of the two parallel
dipoles system at resonance with nonresonance is given in
the Fig. 4(a) and (b), respectively. It should be noted that the
electric fields are much stronger at resonance than those at
nonresonance in the same excitation, but only accumulating
in the vicinity of the dipoles. The symmetric distribution of
the electric fields magnitude at resonance implies the balance
of the electric field energy and magnetic field energy stored
in the antenna open system physically.

B. Test 2 Two Conducting Bodies Scattering System


Consider the two perfectly conducting bodies scattering
system shown in Fig. 5, which is excited by the normalized
-polar plane wave , and the direction of prop-
agation is . The sizes of two perfect conducting bodies are
m, m, m, and
the two conducting bodies are m apart. The scattered
electric fields of the observation point, , in Fig. 9. Frequency response of backscattered RCS.
the near zone of the scattering bodies are chosen as the output
functions. Because the scattered electric field in the near region
electric fields accumulate mainly in the region between the two
has two main components and , the generalized
conducting bodies, being strong at both sides and weak at center,
system function matrix can be constructed by MBPE technique
with stand-wave-like distribution.
in two directions in order to analyze the exterior resonance
characteristics of near fields. The Padé rational function is
C. Test 3 Infinitely Long Elliptical Cylinder Scattering
chosen to have the same numerator order and denomi-
Problem
nator order . From Fig. 6, it can be seen that the solid line
calculated by MoM is mostly hidden by the MBPE curve. Consider an infinite long perfect conducting elliptical
The zeros, poles and residues of the subsystem functions of cylinder scattered by transverse magnetic (TM) plane wave
and directions are calculated and shown in Tables II and III, incident in the direction, as shown in Fig. 8. The cross section
respectively. is an ellipse with semimajor axis 1.0 meter and semiminor axis
From Tables II and III, we found that there exist two true and 0.25 meter. A method of moments formulation of the EFIE
stable complex poles in the scattering system, which represent is used to obtain the scattered electric field. We have utilized
the external natural resonances and marked by asterisks respec- pluses as expansion functions and delta functions as weighting
tively. Based on the theory of the complex frequency, we can functions. Using 180 unknowns, we numerically found two
easily get the exterior resonant frequencies and scattering as interior resonances to occur at 327.33 and 435.42 MHz within
follows: the bandwidth from 200 to 500 MHz. The radar cross section
(RCS) for backscatter as a function of the frequency for the
elliptical cylinder is shown in Fig. 9. It can be seen that the
backscattered fields are uncorrected in the frequencies near the
According to the values and the corresponding residues, we interior resonances. The locally magnified figures show clearly
can estimate that the resonance phenomenon of strong peak near the RCS has a sharp dip at the two interior resonant frequencies.
field would appear at the frequency 18.169 MHz, as shown in We choose the frequency response of the backscattered elec-
Fig. 6. The magnitude distributions of the scattered electric field tric field as the generalized system function, . The MBPE
in and plane at resonance (18.169 MHz) are shown in technique is applied to the scattering problem over a frequency
Fig. 7(a) and (b), respectively. It is interesting that the scattered range 200–500 MHz, using the backscattered electric field data
LI AND LIANG: GENERALIZED SYSTEM FUNCTION ANALYSIS OF EXTERIOR AND INTERIOR RESONANCES 2071

and fitting to the sampling values accurately models


both resonances. MoM direct solution took 4175 s to calculate
the frequency response with 0.01 MHz increment from 200 to
500 MHz. The MBPE technique took a total of 32 s to generate
the solutions, poles, and zeros. Table IV shows the zeros, poles,
and corresponding residues of the generalized system function.
By analyzing the characteristics of the poles and combining
with the complex frequency theory discussed previously, we
found two “true” complex poles occur in the left half of the
plane but off the imaginary axis very small, which just define
the interior resonant frequencies and are marked by asterisks
in the Table IV. It can be seen the residues corresponding to the
two poles are very small, which imply the scattered contribution
from the interior resonances should become especially small. As
pointed out in [8], the scattered contribution results from the nu-
merical error in EFIE. To get the truly scattered field, we modify
the generalized system function by eliminating those poles cor-
responding to the interior resonances from (12). The comparison
of the modified system function response with the results calcu-
lated by the combined field integral equation (CFIE) is shown
in Fig. 10. The two curves are nearly graphically indistinguish-
able, and the phenomena of the interior resonance are removed
successfully.

VI. CONCLUSION
This paper has presented the generalized system function
which directly associate with radiated and scattered fields
to give an efficient analysis of the exterior and interior reso-
nances of antenna and scattering problems. is constructed
by using the MBPE technique combined with the complex
frequency theory. The behaviors of the exterior and interior res-
onances can be distinguished by analyzing the characteristics
of pole-zero of in a finite operational frequency band.
The exterior complex resonant frequencies must reside in the
left half of the plane off the imaginary axis. The imaginary
part of is related to the radiated or scattering losses, i.e.,
. The intensity of the exterior resonance can be estimated
effectively in terms of values and residues at the complex
resonant frequencies. The interior resonant frequencies occur
on the positive imaginary axis of the plane theoretically, but
due to truncation error and numerical error effects, the internal
(cavity) modes are both very weakly excited and radiated
very weakly. Therefore, those poles corresponding to interior
resonances also locate in the left half of the plane but off
Fig. 10. Comparison of the modified system function response with the results imaginary axis very small. It is shown that only exterior poles
calculated by CFIE and EFIE: (a) Full frequency band, (b) near interior resonant can be interpreted as intrinsic to the scatterer. The truly scat-
frequency 1, and (c) near interior resonant frequency 2.
tered fields from a closed conducting region can be obtained
simply by eliminating the poles corresponding to the interior
obtained from the MoM formulation of EFIE, which are trans- resonances from the generalized system function.
formed into RCS and indicated by circles on the plots con-
tained in Fig. 9. The Padé rational function is chosen to have
a numerator order and a denominator order . REFERENCES
In this case, the MBPE-calculated curve is excellent agreement [1] H. C. Pocklington, “Electrical oscillations in wires,” in Proc. Cambridge
with the MoM result, including those in the vicinity of the in- Phil. Soc., vol. 9, 1897, pp. 324–332.
terior resonances. It is worth pointing out that MoM requires a [2] L. Page and N. Adams, “The electrical oscillations of a prolate spheroid,
paper I,” Phys. Rev., vol. 65, pp. 819–831, 1938.
very larger number of evaluations in order to resolve these in- [3] J. A. Stratton, Electromagnetic Theory. New York, NY: McGraw-Hill,
terior resonance behaviors. However, the MBPE with 1941.
2072 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

[4] C. H. Liang and L. Li, “On the generalized resonance,” presented at the [21] S. V. Polstyanko, R. Dyczij-Edlinger, and J. F. Lee, “Fast frequency
Proc. China-Japan Symp. Microwave, China, Apr. 2002. Invited Talk, sweep technique for the efficient analysis of dielectric wave-guides,”
Xi’an. IEEE Trans. Microwave Theory Tech., vol. 45, pp. 1118–1126, June
[5] J. Mouping, “Study of generalized resonance in electromagnetic scat- 1997.
tering by multiple conductors,” Ph.D. Dissertation, School of Elect. [22] P. J. Davis, Interpolation and Approximation. London, U.K.: Blaisdell,
Eng., Xidian Univ., 2000. 1963.
[6] L. Li and C. H. Liang, “Study of generalized resonance in antenna [23] A. V. Oppenheim, A. S. Willsky, and I. T. Young, Signals and Sys-
system,” in Proc. 3rd Int. Symp. Electromagnetic Compatibility, Beijing, tems. Englewood Cliffs, NJ: Prentice-Hall, 1983.
China, May 2002, pp. 162–165. [24] R. F. Harrington, Field Computation by Moment Method. New York:
[7] J. R. Mautz and R. F. Harrington, “H-field, E-field, and combined field IEEE Press, 1993.
solutions for conducting bodies of revolution,” A.E.Ü., vol. 32, no. 4, pp. [25] R. L. Fante, “Quality factor of general ideal antennas,” IEEE Trans. An-
157–164, Apr. 1978. tennas Propagat., vol. AP-17, pp. 151–155, Feb. 1969.
[8] F. X. Canning, “Singular value decomposition of integral equations of [26] J. S. McLean, “A re-examination of the fundamental limits on the radia-
EM and applications to the cavity resonance problem,” IEEE Trans. An- Q
tion of electrically small antennas,” IEEE Trans. Antennas Propagat.,
tennas Propagat., vol. AP-37, pp. 1156–1163, Sept. 1989. vol. 44, pp. 672–675, May 1996.
[9] R. Mittra and C. A. Klein, “Stability and convergence of moment Q
[27] R. E. Collin, “Minimum of small antennas,” J. Electromagn. Waves
method solutions,” in Numerical and Asymptotic Techniques in Electro- Applicat., vol. 12, pp. 1369–1393, 1998.
magnetics, R. Mittra, Ed. New York: Springer Verlag, 1975.
[10] T. K. Sarkar and S. M. Rao, “A simple technique for solving E-field
integral equations for conducting bodies at internal resonances,” IEEE
Trans. Antennas Propagat., vol. AP-30, pp. 1250–1254, June 1982.
Long Li was born in Anshun, Guizhou, China, in
[11] J. R. Mautz and R. F. Harrington, “A combined-source solution for ra-
January 1977. He received the B.Eng. degree in
diation and scattering from a perfectly conducting body,” IEEE Trans.
electromagnetic field and microwave technology
Antennas Propagat, vol. AP-27, pp. 445–454, Apr. 1979.
from Xidian University, Xi’an, China, in 1998.
[12] F. X. Canning, “Protecting EFIE-based scattering computations from
Since 1999, he has taken a combined Master-Doctor
effects of interior resonances,” IEEE Trans. Antennas Propagat, vol. 39,
program and is working toward the Ph.D. degree
pp. 1545–1552, Nov. 1991.
in the National Key Laboratory of Antenna and
[13] R. E. Collin, Foundations for Microwave Engineering. New York: Mc-
Microwave Technology, Xidian University.
Graw Hill, 1966.
His research interests include computational elec-
[14] C. H. Liang and Y. J. Xie, “The accurate variational analysis for the
tromagnetics, slot antenna array, hybrid algorithms
measurement of the complex dielectric constant of a sample rod inserted
and electromagnetic compatibility.
in a cavity,” Microwave Opt. Technol. Lett., vol. 5, no. 5, pp. 209–211,
1992.
[15] C. J. Reddy, “Application of model based parameter estimation for RCS
frequency response calculations using method of moments,” NASA/CR-
1998-206 951, Mar. 1998. Chang-Hong Liang (M’80–SM’83) was born in
[16] E. K. Miller and G. J. Burke, “Using model-based parameter estima- Shanghai, China, in December 1943. He gradu-
tion to increase the physical interpretability and numerical efficiency of ated from Xidian University (Formerly Northwest
computational electromagnetic,” Comput. Phys. Commun., vol. 68, pp. Telecommunications Institute), Xi’an, China, in
43–75, 1991. 1965, and continued his graduate studies until 1967.
[17] C. J. Reddy, “Application of model based parameter estimation From 1980 to 1982, he worked at Syracuse Uni-
for fast frequency response calculations of input characteristics of versity, New York, as a Visiting Scholar. Since 1986,
cavity-backed aperture antennas using hybrid FEM/MoM technique,” he has been a Professor and Ph.D. student advisor
NASA/CR-1998-206 950, Mar. 1998. in the School of Electronic Engineering, Xidian Uni-
[18] D. H. Werner and R. J. Allard, “The simultaneous interpolation of an- versity, where he is also a Director of the Academic
tenna radiation patterns in both the spatial and frequency domains using Committee of National Key Lab of Antenna and Mi-
model-based parameter estimation,” IEEE Trans. Antennas Propagat., crowave Technology. He has published numerous papers and proceeding arti-
vol. 48, pp. 383–392, Mar. 2000. cles, is the author of five books. He is an Editor-in-Chief of the Journal of Xidian
[19] R. J. Allard and D. H. Werner, “The model-based parameter estimation University. He has wide research interests, which include computational mi-
of antenna radiation patterns using windowed interpolation and spherical crowave and computational electromagnetics, microwave network theory, mi-
harmonics,” IEEE Trans. Antennas Propagat., vol. 51, pp. 1891–1906, crowave measurement method and data processing, lossy variational electro-
Aug. 2003. magnetics, electromagnetic inverse scattering, electromagnetic compatibility.
[20] W. Geyi, P. Jarmuszewski, and Y. Qi, “The foster reactance theorem for Prof. Liang is a Fellow of the Chinese Institute of Electronics (CIE), and has
Q
antennas and radiation ,” IEEE Trans. Antennas Propagat., vol. 48, pp. received the titles of “National Distinguished Contribution,” “National Excel-
401–407, Mar. 2000. lent Teacher,” etc.
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 2073

MIMO Wireless Communication Channel


Phenomenology
Daniel W. Bliss, Member, IEEE, Amanda M. Chan, and Nicholas B. Chang

Abstract—Wireless communication using multiple-input mul- reported. Third, experimental phenomenological results are re-
tiple-output (MIMO) systems enables increased spectral efficiency ported for both 4 4 and relatively large 8 8 MIMO systems,
and link reliability for a given total transmit power. Increased including channel stationarity, both in time and frequency.
capacity is achieved by introducing additional spatial channels
which are exploited using space-time coding. The spatial diversity Fourth, two metrics of channel variation are introduced. One
improves the link reliability by reducing the adverse effects of metric provides a measure of capacity loss assuming that
link fading and shadowing. The choice of coding and the resulting receiver beamformers are constructed using incorrect channel
performance improvement are dependent upon the channel estimates, which is useful to determine performance losses
phenomenology. In this paper, experimental channel-probing due to channel nonstationarity (either in time or frequency).
estimates are reported for outdoor environments near the per-
sonal communication services frequency allocation (1790 MHz). The other metric is sensitive to the shape of the channel eigen-
A simple channel parameterization is introduced. Channel dis- value distribution, which is appropriate for space-time coding
tance metrics are introduced. Because the bandwidth of the optimization, assuming a uniformed transmitter (UT) (that
channel-probing signal (1.3 MHz) is sufficient to resolve some is transmitters without channel state information). Finally, a
delays in outdoor environments, frequency-selective fading is also simple channel parameterization is provided which empirically
investigated. Channel complexity and channel stationarity are in-
vestigated. Complexity is associated with channel-matrix singular matches channel eigenvalue distributions well and provides a
value distributions. Stationarity is associated with the stability of simple approach to generate representative simulated channels
channel singular value and singular vector structure over time. for space-time coding optimization.
Index Terms—Channel coding, information theory, multipath MIMO systems provide a number of advantages over single-
channels, multiple-input multiple-output (MIMO) systems. antenna communication. Sensitivity to fading is reduced by the
spatial diversity provided by multiple spatial paths. Under certain
environmental conditions, the power requirements associated
I. INTRODUCTION with high spectral-efficiency communication can be significantly
reduced by avoiding the compressive region of the information
M ULTIPLE-INPUT multiple-output (MIMO) systems are
a natural extension of developments in antenna array
communication. While the advantages of multiple receive an-
theoretic capacity bound. This is done by distributing energy
amongst multipath modes in the environment. Spectral efficiency
tennas, such as gain and spatial diversity, have been known and is defined as the total number of bits per second per Hz
exploited for some time [1]–[3], the use of transmit diversity transmitted from one array to the other. Because MIMO systems
has been investigated more recently [4], [5]. Finally, the advan- use antenna arrays, interference can be mitigated naturally.
tages of MIMO communication, exploiting the physical channel In this paper, outdoor MIMO channel phenomenology near
between many transmit and receive antennas, are currently re- the PCS frequency allocation, 1.79 GHz, is discussed. The
ceiving significant attention [6]–[8]. Because MIMO commu- channel-probing signal has a bandwidth of 1.3 MHz. This
nication capacity is dependent upon channel phenomenology, bandwidth is sufficient to resolve some delays, inducing fre-
studying and parameterizing this phenomenology is of signifi- quency-selective fading in outdoor environments. In Sections II
cant interest [9]–[19]. and III, information theoretic capacity of MIMO communi-
This paper makes a number of contributions to this area cation systems and channel estimation are reviewed. Channel
of study. First, while most experimental results have focused difference metrics are introduced in Section IV. Performance
on indoor phenomenology, the phenomenology investigated of MIMO communication systems and optimal selection
here focuses on outdoor environments. Second, results for of space-time coding are dependent upon the complexity
both stationary and vehicle-mounted moving transmitters are of the channel [20], [21]. This phenomenology for outdoor
environments is investigated using MIMO channel-probing
experiments. The results are interpreted using a simple parame-
terization introduced in Section V. The channel phenomenology
Manuscript received March 19, 2003; revised September 27, 2003. This work
was supported by the U.S. Air Force under Air Force Contract F19628-00-C-
experiments are described in Section VI, and the experimental
0002. results, reporting estimates of channel complexity and station-
D. W. Bliss and A. M. Chan are with Advanced Sensor Techniques arity, are discussed in Section VII.
Group, MIT Lincoln Laboratory, Lexington, MA 02420-9185 USA (e-mail:
bliss@ll.mit.edu, achan@ll.mit.edu.
N. Chang is with the Department of Electrical Engineering and Computer II. CHANNEL CAPACITY
Science, University of Michigan, Ann Arbor, MI 48109-2122 USA (e-mail:
changn@eecs.umich.edu). The information theoretic capacity of MIMO systems has
Digital Object Identifier 10.1109/TAP.2004.832363 been discussed widely [6]–[8]. It is assumed for the sake of the
0018-926X/04$20.00 © 2004 IEEE
2074 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

following discussion that the receiver can accurately estimate a If (6) is not satisfied for some , it will not be satisfied for any
pseudostationary channel. Given this assumption, there are two smaller .
types of spectral-efficiency bounds: informed transmitter (IT)
and UT, depending on whether or not channel estimates are fed B. UT
back to the transmitter. If the channel is not known at the transmitter, then the optimal
For narrowband MIMO systems, the coupling between the transmission strategy is to transmit equal power with each an-
transmitter and receiver can be modeled using tenna, , [7]. Assuming that the receiver can
accurately estimate the channel, but the transmitter does not at-
(1) tempt to optimize its output to compensate for the channel, the
maximum spectral efficiency is given by
where is the (number of receive by transmit
antenna) channel matrix, containing the complex attenuation
(7)
between each transmit and receive antenna, is an
matrix containing the samples of the transmit array vector,
is an matrix containing the samples of the This is a common transmit constraint as it may be difficult to
complex receive-array output, and is an matrix provide the transmitter channel estimates.
containing zero-mean complex Gaussian noise. It is often useful Similarly to the IT case, the UT spectral-efficiency bound
to investigate the structure of the channel matrix and the is purely a function of the channel-matrix singular values. Ex-
mean-square attenuation independently. This can be achieved pressing the channel matrix with a singular vector decomposi-
by studying the root-mean-square normalized channel matrix tion, , the capacity is a function of eigenvalues, but
not of the eigenvectors, of
(2)

(3)
(8)
where is the mean-square transmitter-to-receiver attenuation,
is the normalized channel matrix, and indicates the where the singular-value entries of the diagonal matrix are
Frobenius norm. given by .

A. IT C. Frequency-Selective Channels
There are a variety of possible transmitter constraints. Here In environments where there is frequency-selective fading,
it is assumed that the fundamental limitation is the total power the channel matrix is a function of frequency . As has been
transmitted. The optimization of the noise-nor- discussed in [22], the resulting capacity is a function of this
malized transmit covariance matrix is constrained by the fading structure. Exploiting the fact that frequency channels are
total noise-normalized transmit power . Allowing different orthogonal, the capacity in frequency-selective fading can be
transmit powers at each antenna, this constraint can be enforced calculated using an extension of (5) and (7). For the UT, this
using the form . The results of the channel-spec- leads to the frequency-selective spectral-efficiency bound
tral-efficiency bounds discussions presented in [8] are repeated
here. The capacity can be achieved if the channel is known by
both the transmitter and receiver, giving

(4)

where the notation indicates determinant, indicates Her-


mitian conjugate, and indicates an identity matrix of size (9)
. Solving for the optimal , the resulting capacity is given
by
where the distance between frequency samples is given by ,
and -bin frequency-partitioned channel matrix is given by
(5)

where is an diagonal matrix with entries .. (10)


, whose values are the top eigenvalues .
of . The values must satisfy
The approximation is exact if the supported delay range of the
(6)
channel is sampled sufficiently.
BLISS et al.: MIMO WIRELESS COMMUNICATION CHANNEL PHENOMENOLOGY 2075

For the IT channel capacity, power is optimally distributed sampling, the explicit frequency-selective form can be con-
amongst both spatial modes and frequency channels. The ca- structed using a discrete Fourier transform
pacity can be expressed
(16)
(11)
or equivalently
which is maximized by (5) with the appropriate substitutions
for the frequency-selective channel, and diagonal entries in
in (6) are selected from the eigenvalues of . Because of
the block diagonal structure of , the (17)
space-frequency noise-normalized transmit covariance matrix
is a block diagonal matrix, normalized so that . where the -point discrete Fourier transform is represented by
and the Kronecker product is represented by .
III. ESTIMATION
The Gaussian probability density function for a multivariate, IV. CHANNEL DIFFERENCE METRICS
signal-in-the-mean, statistical model of the received signal is A variety of metrics are possible. Here, two metrics are dis-
given by cussed. Both metrics are ad hoc, but are motivated by limiting
forms of the information theoretic capacity.
(12) The first metric, discussed in Section IV-A, is sensitive to the
differences in channel eigenvalue distributions. While there are
an unlimited number of channel eigenvalue distributions that
where is the noise covariance matrix. The maximum-likeli- can provide a particular capacity, for a given mean channel at-
hood estimate of is given by tenuation and power, performance of space-time codes is sensi-
tive to the shape of the distribution. Because the optimization of
(13) UT space-time codes depends upon the eigenvalue distribution
but not the eigenvector structure, the metric introduced in Sec-
assuming that the reference signals in are known and tion IV-A is an appropriate metric for investigating this issue.
is nonsingular. As one might intuit from the structure of (13), Specifically, space-time codes must select a rate versus redun-
if a signal’s sole use is channel estimation, then the choice of dancy operating point [20], [21]. The optimal operating point
, such that is proportional to the identity matrix (that is is a function of the shape of the channel eigenvalue distribution.
equal-power orthogonal signals) is optimal for channel probing This metric is used to estimate the channel parameter introduced
in finite signal-to-noise ratio (SNR) environments. However, if in Section V-C.
joint channel and signal detection is used, then orthogonal sig- The second metric, discussed in Section IV-B, is sensitive
nals are not necessarily optimal for link performance. to differences in both the singular-value distribution and the
The previous channel-estimation discussion explicitly as- channel eigenvector structure. In general, MIMO receivers
sumed flat fading. However, the frequency-selective channels employ some sort of beamformer to coherently combine the
can be estimated by first estimating a finite impulse-response signals impinging upon each receive antenna. In dynamic
MIMO channel which can be transformed to the frequency environments (either in time or frequency) channel estimates
domain. can quickly become inaccurate. A measure of the adverse
A finite impulse-response extension of (1) is given by intro- effects of using these “stale” estimates is provided by this
ducing delayed copies of at delays metric. Effectively, this metric provides a measure of the
fractional capacity loss in the low SNR (or equivalently low
spectral-efficiency) limit. Because performance in the low SNR
limit is not affected by interference introduced by the other
.. (14) transmit antennas, MIMO systems operating at higher SNR will
. experience greater interference and thus worse performance.
Consequently, this metric is an optimistic estimate of the
expected performance due to dynamic channels.
so that the transmit matrix has dimension . The
resulting wideband channel matrix has the dimension
A. Eigenvalue-Based Metric
As was mentioned in Section II, MIMO capacity is only a
(15) function of the channel singular values. Equivalently, capacity
is invariant under channel-matrix transformations of the form
Using this form, an effective channel filter is associated with
each transmit-to-receive antenna link. Assuming regular delay (18)
2076 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

where and are arbitrary unitary matrices. Conse- where is the column of the channel matrix associated with
quently, for some applications it is useful to employ a metric transmitter . In the low SNR limit, the optimal receive beam-
which is also invariant under this transformation. Because ca- former is given by the matched response given in . If some
pacity is a function of the structure of the channel singular-value other beamformer is employed, , then signal energy is lost,
distribution, the metric should be sensitive to this structure. adversely affecting the capacity
The channel capacity is a function of . A natural metric
would employ the distance between the capacity for two channel (23)
matrices at the same average total received power, that is, the
same
One possible reason that a beamformer might use the wrong
matched spatial filter is channel nonstationarity. Assuming the
SNR is sufficiently low, the fractional capacity loss is given by

(19)

However, there are two problems with this definition. First, the
difference is a function of . Second, there is degeneracy in
singular values that gives a particular capacity. To address
the first issue the difference can be investigated in a high SNR
limit, resulting in

(24)

which is the power-weighted mean estimate, where


(20) is defined to be the inner product between the “good”
and “bad” unit-norm array responses for the th transmitter. It
where indicates the th largest eigenvalue of . To in- is generally desirable for metrics to be symmetric with respect
crease the sensitivity to the shape of the eigenvalue distribution, to and , thus avoiding moral attributions with regard to
the metric is defined to be the Euclidean difference, assuming channel matrices. Using the previous discussion as motivation,
that each eigenvalue is associated with an orthogonal dimension, a symmetric form of fractional capacity loss is given by
resulting in
(25)

(21) where the “power-weighted” average is evaluated over


transmitters.
The metric presented in (25) provides an estimate of the loss
in capacity if the incorrect channel is assumed in a low SNR en-
B. Fractional Receiver-Loss Metric vironment. In general, the loss of capacity is much more signifi-
In this section a power-weighted mean metric is intro- cant if operating in a high spectral efficiency, and therefore high
duced. The metric takes into account both the eigenvalue and SNR regime. If only spatial mitigation is employed (as opposed
eigenvector structure of the channels. It is motivated by the ef- to a combination of spatial processing and multiuser detection
fect of receive beamformer mismatch on capacity. Starting with [23], [24]), a slight channel mismatch will introduce significant
(7), the low SNR UT capacity approximation is given by interference, and thus strongly adversely affect demodulation
performance.

V. CHANNEL PHENOMENOLOGY
A. Singular Values
The singular-value distribution of , or the related eigen-
value distribution of , is a useful tool for understanding
the expected performance of MIMO communication systems.
From the discussion in Section II, it can be seen that the
channel capacity is a function of channel singular values, but
not the singular-vector structure of the channel. Thus, channel
phenomenology can be investigated by studying the statistics
(22)
of channel singular-value distributions.
BLISS et al.: MIMO WIRELESS COMMUNICATION CHANNEL PHENOMENOLOGY 2077

B. Channel Parameterization
A commonly employed model assumes the channel is pro-
portional to a matrix, , where the entries are independently
drawn from a unit-norm complex circular Gaussian distribu-
tion. While the distribution is convenient, it does suffer from
a singular-value distribution that is overly optimistic for many
environments. One solution is to introduce spatial correlations
using the transformation [10]–[12]. While
this approach is limited [8], it produces simply more realistic
channels than the uncorrelated Gaussian model.
The spatial correlation matrices can be factored so that
and , where and are unitary
Fig. 1. Ratio of bounds on mean UT capacity of = 0:2, 0.4, 0.6 to = 1.
matrices, and and are positive semidefinite diagonal
matrices. When the arrays are located in environments that are
significantly different, then correlations seen by one array will the ratio of capacity bounds for 0.2, 0.4, and 0.6 for a 4 4
typically be much stronger than the other, and the effect of either MIMO system is displayed. In practice, the ratio of bounds tends
the left or right will dominate the shaping of the channel ma- to produce slightly optimistic capacity results at values of . The
trix singular-value distribution. Conversely, if the environments essential features are accurate. Assuming that the space-time
are similar then one would expect that . In prac- coding takes the channel statistics into account for values of
tice, similar channel matrix singular-value distributions can be 0.6 or greater, performance loss is not overwhelming. A second
achieved given either assumption. However, the required values interesting feature is that at very high SNR the ratio of capacity
of and , are, of course, different. For the experiments dis- slowly approaches 1. This is because at very high SNR even
cussed in this paper, both arrays are in similar environments and strongly attenuated channel modes become useful. Modeling
a symmetric form seems a reasonable model. Assuming that the approaches that introduce reduced “effective” numbers of an-
number of transmit and receive antennas are equal and have sim- tennas do not reproduce this phenomenon well.
ilar spatial correlation characteristics, the diagonal matrices can
be set equal, , producing the new random C. Channel Parameter Estimation
channel matrix An estimate for associated with particular transmit and re-
ceive locations is given by minimizing the mean-square metric
given in (21)
(26)
(29)
(27)
where indicates the estimated value of . Here the expecta-
where is used to set overall scale, is given by the size of tion, denoted by , indicates averaging is over an ensemble
, and and indicate random unitary matrices. The form of for a given and an ensemble of for given transmit and
of given here is somewhat arbitrary, but has the satisfying receiver sites.
characteristics that as a rank-one channel matrix is pro- It is worth noting that this approach does not necessarily pro-
duced, and as a spatially uncorrelated Gaussian matrix vide an unbiased estimate of . Estimates of , using the metric
is produced; thus, the parameterization can easily approximate, introduced in here, are dependent upon the received SNR. To
in a statistical sense, nearly all environments. This stochastic reduce the bias, one can add complex Gaussian noise to
channel parameterization has the advantage that it is not depen-
to produce , mimicking the integrated SNR of the estimate
dent upon the particular causes of the correlation, or details of
of .
the arrays or environment. The normalization for is chosen
Data presented here has sufficiently high SNR such that can
so that the expected value of is .
be estimated within .
The model can be related to the ergodic or mean capacity [8]
(averaged over an ensemble channel). Exploiting the fact that
VI. EXPERIMENT
MIMO capacity is convex cap, a bound on the mean capacity is
given by The experimental system employed is a slightly modified
version of the Massachusetts Institute of Technology (MIT)
Lincoln Laboratory system used previously [3], [23], [25]–[27].
The transmit array consists of up to eight arbitrary waveform
transmitters. The transmitters can support up to a 2 MHz
bandwidth. These transmitters can be used independently, as
(28) two groups of four coherent transmitters or as a single co-
herent group of eight transmitters. The transmit systems can
This bound is not necessarily tight, but is useful for illustrating be deployed in the laboratory or in vehicles. When operating
the effects of channel parameter value on capacity. In Fig. 1, coherently as a multiantenna transmit system, the individual
2078 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

TABLE I
LIST OF TRANSMIT SITES

Fig. 2. Scatter plot of mean-squared SISO link attenuation, a , versus link


range for the outdoor environment near the PCS frequency allocation. The error
6
bars indicate a range of 1 standard deviation of the estimates at a given site.

transmitters can send independent sequences using a common


local oscillator. Synchronization between transmitters and re-
ceiver and transmitter geolocation is provided by GPS receivers
in the transmitters and receivers.
The MIT Lincoln Laboratory array receiver system is a high-
performance 16-channel receiver system that can operate over
a range of 20 MHz to 2 GHz, supporting a bandwidth of up to
8 MHz. The receiver can be deployed in the laboratory or in a Fig. 3. CDF of channel a estimates, normalized by the mean a for each site,
stationary “bread truck.”
2 2
for SISO, 4 4 and 8 8 MIMO systems.

A. MIT Campus Experiment VII. EXPERIMENTAL RESULTS

The experiments were performed during July and August Channel-complexity and channel-stationarity performance
2002 on and near the MIT campus. These outdoor exper- results are presented in this section. A list of transmit sites
iments were performed in a frequency allocation near the used for these results is presented in Table I. The table includes
PCS band (1.79 GHz). The transmitters periodically emitted distance between transmitter and receiver, velocity of trans-
1.7 s bursts containing a combination of channel-probing and mitter, the number of transmit antennas, and the estimated
space-time-coding waveforms. A variety of coding and inter- for the transmit site. Uncertainty in is determined using the
ference regimes were explored for both moving and stationary bootstrap technique [28]. Cumulative distribution functions
transmitters. The space-time-coding results are beyond the (CDF) reported here are evaluated over appropriate entries
scope of this paper and are discussed elsewhere [23], [24]. from Table I. The systematic uncertainty in the estimation of
Channel-probing sequences using both four and eight transmit- caused by estimation bias, given the model, is less than 0.02.
ters were used.
A. Attenuation
The receive antenna array was placed on top of a tall one-story
building (Brookline St. and Henry St.) surrounded by two- and The peak-normalized mean-squared single-input single-
three-story buildings with a parking lot along one side. Different output (SISO) attenuation (path gain) averaged over transmit
four or eight antenna subsets of the 16-channel receiver were and receive antenna pairs for a given transmit site is displayed
used to improve statistical significance. The nearly linear re- in Fig. 2 for the outdoor environment. The uncertainty in the
ceive array had a total aperture of less than 8 m, arranged as three estimate is evaluated using a bootstrap technique.
subapertures of less than 1.5 m each. The transmit arrays were
located on the top of vehicles within 2 km of the receive array. B. Channel Complexity
On each vehicle four antennas were approximately located at Channel complexity is presented using three different ap-
the vertices of a square, with separation of greater than two to proaches. Variation in estimates, eigenvalue CDFs, and
three wavelengths. When operating as an eight-element trans- estimate CDFs are presented.
mitter, two adjacent parked vehicles were used, connected by a In Fig. 3, CDFs of estimates nor-
cable that distributed a local oscillator signal. malized by mean for each transmit site are displayed. CDFs
The channel-probing sequence supports a bandwidth of are displayed for narrowband SISO, 4 4, and 8 8 MIMO
1.3 MHz with a length of 1.7 ms repeated ten times. All systems. As one would expect, because of the spatial diversity,
four or eight transmitters emitted nearly orthogonal signals the variation in mean antenna-pair received power decreases
simultaneously. dramatically as the number of antenna pairs increases. This
BLISS et al.: MIMO WIRELESS COMMUNICATION CHANNEL PHENOMENOLOGY 2079

2
Fig. 4. CDF of narrowband channel eigenvalue distributions for 4 4 MIMO 2
Fig. 5. CDF of narrowband channel eigenvalue distributions for 8 8 MIMO
systems: (a) simulated Gaussian channel and (b) experimental results. systems: (a) simulated Gaussian channel and (b) experimental results.

demonstrates one of the most important statistical effects that


MIMO links exploit to improve communication link robustness.
For example, if one wanted to operate with a probability of 0.9
to close the link, one would have to operate the SISO link with
an excess SISO SNR ( ) margin of over 15 dB. The MIMO
systems received the added benefit of array gain, which is not
accounted for in the figure.
In Figs. 4 and 5, CDFs of eigenvalues are presented for 4 4
and 8 8 mean-squared-channel-matrix-element-normalized
narrowband channel matrices, . Both simulated
Gaussian channels and experimental results are displayed. Su-
perficially, the distributions of the simulated and experimental Fig. 6. CDF of estimates for 4 2 4 and 8 2 8 MIMO systems.
distributions are similar. However, closer inspection reveals that
the experimental distributions cover a greater range of eigen-
values. This is the result of the steeper channel-eigenvalues The values of the channel-complexity parameter, , are, of
distribution that is observed in the experimental data compared course, dependent upon the details of the environment and
to the simulated Gaussian channel. The experimental CDFs are the geometry of the transmit and receive arrays. As can be
evaluated over all site lists. Some care must be taken in inter- seen in Table I, the values of vary from one transmit site
preting these figures because eigenvalues are not independent. to another transmit site. Furthermore, one would anticipate
Nonetheless, the steepness of the CDFs is remarkable. One significantly different values of in unlike environments,
might interpret this to indicate that optimized space-time codes such as the open plains of the Midwest or in highly elevated
should operate with a relatively high probability of success. towers. The dependency upon array geometries is somewhat
The CDFs for estimates are presented in Fig. 6. The mean less clear. Because the arrays employed in this experiment
values of for each environment are are spatially undersampled, the received signal experiences
significant spatial aliasing. Increasing the array aperture may
help resolve closely spaced scatterers; this occurs at the expense
of folding other widely spaced scatterers back on similar
array responses. Consequently, while perturbations in array
While one might expect smaller variation in the 8 8 systems geometries certainly affect particular received signals, these
because of the much larger number of paths, this effect may have perturbations are not expected to affect strongly the statistical
been exaggerated in Fig. 6 because of the limited number of properties of the channel; thus values of are not expected
8 8 sites available in the experiment. to be a strong function of array geometry.
2080 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

Fig. 8. Example time variation of power-weighted mean cos  ,


fH H g 2
(t ); (t) , for stationary and moving 4 4 MIMO systems.

Fig. 7. Eigenvalues, , of HH as a function of time for (a) stationary and


(b) moving transmitters. The same overall attenuation, estimated at t = 0, is Fig. 9. CDF of time variation of power-weighted mean cos  ,
used for all time samples. fH H g 2
(t ); (t) , for stationary 4 4 MIMO system. Contours of CDF
probabilities of 0.1, 0.2, 0.3, 0.4, 0.5, 0.6, 0.7, 0.8, and 0.9 are displayed.
Because there is little variation, all curves are compressed near of 1.
This point can be demonstrated by constraining the choice
of receive antennas used for calculating . By excluding or re- the commercial grade transmitters, there are always some small
quiring antennas to be consecutive and calculating under these relative-frequency offsets. The example variation is given for
constraints, sensitivity to antenna separation can be investigated. transmit sites #7 and #14.
In the following table, three sets of constraints are implemented. While the moving-transmitter eigenvalues fluctuate more
In the first column, all receive antennas are used. In the second than those of the stationary transmitter, the values are re-
column, employed antennas are separated by at least two un- markably stable in time. Conversely, an example of the time
used antennas. In the third column, only consecutive antennas variation of the power-weighted mean metric [from
are used. (25)], displayed in Fig. 8, varies significantly for the moving
transmitter within 10 ms. This indicates that the eigenvector
structure varies significantly, while the distribution of eigen-
values tends to be more stable. In the example, the stationary
transmitter is located at site #7, and the moving transmitter is
There is a slight bias for greater antenna separation to produce located at #14. Over the same period, the stationary transmitter
larger values of , which is consistent with the expectation that is relatively stable. CDFs for stationary and moving transmitters
greater antenna separation produces more random channel ma- are displayed in Figs. 9 and 10. In the figures, 4 4 MIMO
trices. However, this trend is very subtle, and in all cases, the experiment sites with a speed less than or equal to 0.2 m/s were
results are statistically consistent with being independent of an- considered to be “stationary” (sites: 7, 9, 16, and 18), and those
tenna separation at these relatively large antenna separations. with speeds greater than 5 m/s were considered to be “moving”
(sites: 10, 12–15, 17).
C. Channel Stationarity
As was discussed in Section IV-B, the performance implica-
The temporal variation of eigenvalues of for stationary tions of a particular value of depend upon the operating SNR
and moving transmitters is displayed in Fig. 7. In this figure the and the receiver design. At low SNR, the fractional UT capacity
normalization is fixed, allowing for overall shifts in attenuation. loss due to receiver mismatch is given directly by the value of
As one would expect, the eigenvalues of the moving transmitter . At high SNR, if interference mitigation is primarily achieved
vary significantly more than those of the stationary environment. through spatial antenna processing, then the performance loss
However, the eigenvalues of the stationary transmitter do vary can be significantly worse. This is because contamination from
somewhat. While the transmitters and receivers are physically interfering transmit antennas is allowed to overwhelm the in-
stationary, the environment does move. This effect is particu- tended signals at the outputs of inaccurate beamformers. Fur-
larly noticeable near busy roads. Furthermore, while the mul- thermore, the significant variation of the moving transmitter is
tiple antennas are driven using the same local oscillator, given an indication that implementing an IT MIMO system would be
BLISS et al.: MIMO WIRELESS COMMUNICATION CHANNEL PHENOMENOLOGY 2081

delay spread, and the resulting frequency-selective fading, is


both a function of environment and link length. Consequently,
some care must be taken in interpreting this result.

VIII. SUMMARY
In this paper, outdoor MIMO channel phenomenology was
discussed. Data from an experiment performed on and near
the MIT campus was used to study the phenomenology. The
phenomenology was investigated from the perspective of the
singular-value distributions of the channel matrices. A channel
CDF of time variation of power-weighted mean cos  , parameterization approach was introduced. Two channel-dif-
H(t ); H(t)g,
Fig. 10.
f 2
for moving 4 4 MIMO system. Contours of CDF ference metrics were introduced. The first was used to estimate
probabilities of 0.1, 0.2, 0.3, 0.4, 0.5, 0.6, 0.7, 0.8, and 0.9 are displayed.
the channel parameter. The second metric was employed to
demonstrate significant channel variation both as a function
of time and frequency.

ACKNOWLEDGMENT
Opinions, interpretations, conclusions, and recommendations
are those of the authors and are not necessarily endorsed by the
United States Government.
The authors would like to thank the excellent MIT Lincoln
Laboratory staff involved in the MIMO experiment, in par-
ticular S. Tobin, J. Nowak, L. Duter, J. Mann, B. Downing,
P. Priestner, B. Devine, T. Tavilla, A. McKellips and G. Hatke.
Fig. 11. Example of frequency-selective variation of the power-weighted The authors would also like to thank the MIT New Technology
mean cos  , fH H g
(f ); (f ) . Initiative Committee for their support. The authors would also
like to thank K. Forsythe, A. Yegulalp, and D. Ryan of MIT
Lincoln Laboratory and V. Tarokh of Harvard University for
their thoughtful comments. The authors would like to thank
N. Sunkavally of MIT for his contributions to the experiment
and the analysis.

REFERENCES
[1] W. C. Jakes, Microwave Mobile Communications. New York: Wiley,
1974.
[2] R. A. Monzingo and T. W. Miller, Introduction to Adaptive Ar-
rays. New York: Wiley, 1980.
[3] K. W. Forsythe, D. W. Bliss, and C. M. Keller, “Multichannel adaptive
beamforming and interference mitigation in multiuser CDMA systems,”
in Proc. 33rd Asilomar Conf. Signals, Systems & Computers, vol. 1, Pa-
fH H g
Fig. 12. CDF of frequency-selective variation of the power-weighted mean cific Grove, CA, Oct. 1999, pp. 506–510.
cos  , (f ); (f ) . Contours of CDF probabilities of 0.1, 0.2, 0.3, 0.4,
[4] A. Wittneben, “Base station modulation diversity for digital SIMUL-
0.5, 0.6, 0.7, 0.8, and 0.9 are displayed. CAST,” in Proc. IEEE Vehicular Technology Conf., 1991, pp. 848–853.
[5] V. Weerackody, “Diversity for direct-sequence spread spectrum using
multiple transmit antennas,” in Proc. IEEE ICC, vol. 3, Geneva, 1993,
very challenging for the moving transmitter, but might be viable pp. 1775–1779.
for some stationary MIMO systems. [6] G. J. Foschini, “Layered space-time architecture for wireless commu-
nication in a fading environment when using multi-element antennas,”
Bell Labs Tech. J., vol. 1, no. 2, pp. 41–59, 1996.
D. Frequency-Selective Fading [7] I. E. Telatar, “Capacity of multi-antenna Gaussian channels,” Eur. Trans.
Telecommun., vol. 10, no. 6, pp. 585–595, Nov.-Dec. 1999.
An example of the frequency variation of the power-weighted [8] D. W. Bliss, K. W. Forsythe, A. O. Hero, and A. F. Yegulalp, “Environ-
mean is displayed in Fig. 11. The variation is indicated mental issues for MIMO capacity,” IEEE Trans. Signal Processing, vol.
50, pp. 2128–2142, Sept. 2002.
using the metric presented in (25). In the example, the stationary [9] P. Marinier, G. Y. Delisle, and C. L. Despins, “Temporal variations of the
transmitter is located at site #7. Relatively small frequency indoor wireless millimeter-wave channel,” IEEE Trans. Antennas Prop-
offsets induce significant changes in . The agat., pp. 928–934, June 1998.
[10] D. Gesbert, H. Bolcskei, D. A. Gore, and A. J. Paulraj, “Performance
CDF of the frequency-selective channel variation is displayed evaluation for scattering MIMO channel models,” in Proc. 34th Asilomar
in Fig. 12 (using sites: 7, 9, 16, and 18). This sensitivity indi- Conf. Signals, Systems & Computers, vol. 1, Pacific Grove, CA, Oct.
cates that there is significant resolved delay spread and that to 2000, pp. 748–752.
[11] D.-S. Shui, G. J. Forschini, M. J. Gans, and J. M. Kahn, “Fading corre-
safely operate using the narrowband assumption, bandwidths lation and its effect on the capacity of multielement antenna systems,”
less than 100 kHz should be employed. It is worth noting that IEEE Trans. Commun., vol. 48, pp. 502–513, Mar. 2000.
2082 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

[12] D. Chizhik, F. Rashid-Forrokhi, J. Ling, and A. Lozano, “Effect of an- Daniel W. Bliss (M’97) received the B.S.E.E. degree
tenna separation on the capacity of blast in correlated channels,” IEEE in electrical engineering from Arizona State Univer-
Commun. Lett., vol. 4, pp. 337–339, Nov. 2000. sity, Tuscon, in 1989 and the M.S. and Ph.D. degrees
[13] D. Hampicke, C. Schneider, M. Landmann, A. Richter, G. Sommerkorn, in physics from the University of California at San
and R. S. Thoma, “Measurement-based simulation of mobile radio chan- Diego, in 1995 and 1997, respectively.
nels with multiple antennas using a directional parametric data model,” Employed by General Dynamics from 1989 to
in Proc. IEEE Vehicular Technology Conf., vol. 2, 2001, pp. 1073–1077. 1991, he designed avionics for the Atlas-Centaur
[14] M. Stoytchev and H. Safar, “Statistics of the MIMO radio channel in launch vehicle and performed research and devel-
indoor environments,” in Proc. IEEE Vehicular Technology Conf., vol. opment of fault-tolerant avionics. As a member
3, 2001, pp. 1804–1808. of the Superconducting Magnet Group at General
[15] D. P. McNamara, M. A. Beach, and P. N. Fletcher, “Experimental in- Dynamics from 1991 to 1993, he performed mag-
vestigation of the temporal variation of MIMO channels,” in Proc. IEEE netic field calculations and optimization for high-energy particle accelerator
Vehicular Technology Conf., vol. 2, 2001, pp. 1063–1067. superconducting magnets. His doctoral work rom 1993 to 1997, was in the
[16] C. C. Martin, N. R. Sollenberger, and J. H. Winters, “MIMO radio area of high-energy particle physics, searching for bound states of gluons,
channel measurements: Performance comparison of antenna configu- studying the two-photon production of hadronic final states, and investigating
rations,” in Proc. IEEE Vehicular Technology Conf., vol. 2, 2001, pp. innovative techniques for lattice gauge theory calculations. Since 1997, he
1225–1229. has been employed by MIT Lincoln Laboratory, where he is currently a Staff
[17] J. F. Kepler, T. P. Krauss, and S. Mukthavaram, “Delay spread measure- Member at in the Advanced Sensor Techniques Group, where he focuses on
ments on a wideband MIMO channel at 3.7 GHz,” in Proc. IEEE Vehic- multiantenna adaptive signal processing, primarily for communication systems,
ular Technology Conf., vol. 4, 2002, pp. 2498–2502. and on parameter estimation bounds, primarily for geolocation. His current
[18] T. Svantesson, “A double-bounce channel model for multi-polarized research topics include algorithm development for multichannel multiuser
MIMO systems,” in Proc. IEEE Vehicular Technology Conf., vol. 2, detectors (MCMUD) and information theoretic bounds and space-time coding
2002, pp. 691–695. for MIMO communication systems.
[19] J. P. Kermoal, L. Schumacher, K. I. Pedersen, P. E. Mogensen, and
F. Frederiksen, “A stochastic MIMO radio channel model with ex-
perimental validation,” IEEE J. Select. Areas Commun., vol. 20, pp.
1211–1226, August 2002. Amanda M. Chan received the B.S.E.E. and
[20] L. Zheng and D. Tse, “Optimal diversity-multiplexing tradeoff in mul- M.S.E.E. degrees in electrical engineering from the
tiple antenna fading channels,” in Proc. 35th Asilomar Conf. Signals, University of Michigan, Ann Arbor, in 2000 and
Systems & Computers, Pacific Grove, CA, Nov. 2001. 2002, respectively.
[21] H. E. Gamal, “On the robustness of space-time coding,” IEEE Trans. Currently, she is an Associate Staff Member
Signal Processing, vol. 50, pp. 2417–2428, Oct. 2002. in the Advanced Sensor Techniques Group, MIT
[22] G. G. Raleigh and J. M. Cioffi, “Spatio-temporal coding for wireless Lincoln Laboratory, Lexington, MA. Her interests
communications,” IEEE Trans. Commun., vol. 46, pp. 357–366, Mar. are in channel phenomenology. She has previously
1998. worked with implementation of synthetic aperture
[23] D. W. Bliss, P. H. Wu, and A. M. Chan, “Multichannel multiuser detec- geolocation of cellular phones. Most recently, she
tion of space-time turbo codes: Experimental performance results,” in has worked on the implementation of MIMO channel
Proc. 36th Asilomar Conf. Signals, Systems & Computers, Pacific Grove, parameterization.
CA, Nov. 2002.
[24] D. W. Bliss, “Robust MIMO wireless communication in the presence of
interference using ad hoc antenna arrays,” presented at the Proc. Military
Communications Conf., MILCOM 2003, Boston, MA, Oct. 2003. Nicholas B. Chang received the B.S.E. degree in
[25] , “Angle of arrival estimation in the presence of multiple access electrical engineering (magna cum laude) from
interference for CDMA cellular phone systems,” in Proc. 2000 IEEE Princeton University, Princeton, NJ and the M.S.E.
Sensor Array and Multichannel Signal Processing Workshop, Cam- degree in electrical engineering from the Univer-
bridge, MA, Ma. 2000. sity of Michigan, Ann Arbor, in 2002 and 2004,
[26] C. M. Keller and D. W. Bliss, “Cellular and PCS propagation measure- respectively.
ments and statistical models for urban multipath on an antenna array,” He worked for MIT Lincoln Laboratory, Lex-
in Proc. 2000 IEEE Sensor Array and Multichannel Signal Processing ington, MA, in 2001 and 2002, focusing on synthetic
Workshop, Cambridge, MA, Mar. 2000, pp. 32–36. aperture geolocation of wireless systems and channel
[27] D. W. Bliss, “Robust MIMO wireless communication in the presence of phenomenology of MIMO communications systems.
interference using ad hoc antenna arrays,” presented at the MILCOM, He is currently a Graduate Student in the Department
Boston, MA, Oct. 2003. of Electrical Engineering and Computer Science, University of Michigan, Ann
[28] B. Efron, The Jackknife, the Bootstrap and Other Resampling Arbor.
Plans. Bristol, U.K.: Society for Industrial and Applied Mathe- Mr. Chang is a Member of Tau Beta Pi and Sigma Xi, the Scientific Research
matics, 1982. Society.
IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004 2083

Service Oriented Statistics of Interruption Time Due


to Rainfall in Earth-Space Communication Systems
Emilio Matricciani

Abstract—The paper reports and discusses simulated statistics The necessity to distinguish between channel unavailability
obtained by the synthetic storm technique, in the Po Valley, and service unavailability calls for statistics on the number (or
Northern Italy, on the interruptions (outages), due to rainfall, probability) of outages of a given duration in specific times of
observed in contiguous (clock) periods of the day of duration ,
with 1 min 24 h. The results refer to a 32 slant path at the day, i.e., statistics on the interruptions of a service because
11.6 GHz, although the main conclusions are independent of car- of excessive rain attenuation.
rier frequency and of site, and are based on a large experimental To author’s knowledge, however, this kind of statistics,
rain rate database (10.6 years of observation). The results can be or service grades, and a clear distinction between channel
used to assess the quality and unavailability of services of duration unavailability and service unavailability, have not yet been
during a day in earth-space communication systems affected
by rain attenuation. A distinction is made and discussed between established. Once this is done, the kind of statistics and the
channel unavailability and service unavailability. The numerical scaling methods proposed in this paper could be used to design
results and the best fit and extrapolation formulas derived might a satellite system based on service unavailability rather than on
provide a rough approximation to the same statistics at different channel unavailability.
elevation angles, clock intervals and carrier frequencies, for sites The assessment of these statistics for a geographical area and
with the same climate of the Po Valley.
a satellite system requires long term experiments and thus a very
Index Terms—Channel unavailability, diurnal cycles, fade large economic and human effort. Few experimental data col-
duration, microwave propagation, rain attenuation, service lected many years ago in relatively short observations and for
unavailability.
long intervals of the day (e.g., four hours), are available in the
open literature [1]–[5]. Reliable simulations, based on physical
I. INTRODUCTION prediction models and a long observation, are then welcome.
One such method is the “synthetic storm” technique [6] and the
T HE design of satellite systems working in frequency bands
affected by rain attenuation, (dB), are based, today, only
on the long term probability distribution (i.e., fraction of time)
long observation is our database of rain-rate time series.
For each rainstorm, physically described by a rain rate time
that is exceeded in an average year (or in the worst series collected at a site with a rain gauge, the synthetic storm
month). In an age of a large variety of services offered, or to be technique can generate a rain attenuation time series at any car-
offered, to users from satellites or from troposphere platforms, rier frequency and polarization, for any slant path with elevation
it would be useful to match system design to the time of the angle larger than about 10 . The synthetic storm technique was
day and to the expected duration of the services offered, e.g., successfully tested to predict conventional long term ’s
internet sessions, digital video and audio broadcasting. The ap- [6], long term statistics of fade duration [7], long term ’s
plication of forward error correction (FEC) codes, as currently relative to contiguous periods of the day of four hours [8]. If
done, may make rainfall attenuation a less severe problem for a simulated rain attenuation time series are compared to simulta-
satellite system in the 12-GHz band, if the system is designed neous real measurements (e.g., as done for Spino d’Adda in a
by taking into account not and its low values (i.e., the 37.8 slant path to Italsat, at 18.77 GHz [9]), the agreement is
range – ) and thus very short fade durations usually very good, especially when the rain storm motion is parallel to
considered in telephony services, a concept we can call channel projection to ground of the slant path. When the motion is not
unavailability, but the number of interruptions of a maximum parallel to projection to ground, the simulated time series are so
duration that a user can tolerate for a certain service, a TV or realistic that they might as well be measured in a long obser-
radio show, etc., a concept we can call service unavailability. vation. In fact, the synthetic storm technique yields results that
At higher frequencies (e.g., 20–30 and 40–50 GHz frequency are averaged over all the rain storms velocity field. These indi-
bands), coding gain may be, however, largely ineffective, both rect tests are of considerable importance for the present work
for rain attenuation and for the “quasistatic” extra attenuation because, in our opinion, they suggest that our simulations can
due to other sources of fading, such as oxygen, water vapor provide results that remind experimental ones.
and clouds. Rain attenuation, however, is likely to cause long An earth-space microwave radio link is also affected by
random interruptions as the results below show. fading due to clouds, water vapor and oxygen. The fading due
to these phenomena can be large (e.g., see [10]), but more
static than rain attenuation. They must be taken, of course,
Manuscript received March 3, 2003; revised October 27, 2003. into account in a full design of the communication system. At
The author is with the Dipartimento di Elettronica e Informazione, Politec-
nico di Milano, 20133 Milan, Italy (e-mail: matricci@elet.polimi.it). microwaves, however, rainfall is still the major random physical
Digital Object Identifier 10.1109/TAP.2004.832374 cause of fading that can affect a channel for intervals of time
0018-926X/04$20.00 © 2004 IEEE
2084 IEEE TRANSACTIONS ON ANTENNAS AND PROPAGATION, VOL. 52, NO. 8, AUGUST 2004

comparable to the duration of many services, so that the service


oriented statistics of interruptions reported below refer to rain
attenuation only.
We have applied the synthetic storm technique to simulate
11.6-GHz rain attenuation time series in a 32 slant path in
Northern Italy by means of a large and reliable database of rain
rate time series. As discussed above, we think that the results
can be considered a good estimate of true measurements of rain
attenuation in an earth-space channel in the 12 GHz band, or in
higher microwave frequency bands, once the results are scaled.
In [8], [11] we simulated, tested and discussed long term
probability distributions concerning contiguous (clock) periods
of equal duration (min) in a day, for several values of . In
the present paper, we present detailed long term statistics on the
Fig. 1. Example of a rain attenuation time series generated by the synthetic
number and probabilities of service interruption. The results are storm technique at 11.6 GHz, circular polarization, in a 32 slant path at Spino
then useful to assess the quality and unavailability (i.e., inter- d’Adda. For 1 dB threshold, for instance, a 2-h partial outage occurs between
ruptions or outages) of services of duration in a day. 14:00 and 16:00 UT (15:00 and 17:00 local time), a 2-h full outage occurs
between 16:00 and 18:00 UT (17:00 and 19:00) and another (synchronized) 2-h
Next section sets the stage for our simulations, Section III partial outage at 18:00 UT (19:00).
reports the simulated results, Sections IV and V provide em-
pirical formulas useful to generate predictions at different sites,
(dB), is continuously less than in any clock period of dura-
frequencies, duration of contiguous periods and elevation an-
tion . For example, for , the results yield the long term
gles, and Section VI draws some conclusions.
probability distribution that is exceeded in any 1-h period of
the day. Now, since in a day there are 24 such contiguous pe-
II. RADIO LINK SIMULATIONS AND EXPERIMENTAL riods, the statistics have been averaged over all the total number
RAINFALL DATABASE of 1-h contiguous intervals in the observation period.
The results have been derived from a statistically reliable set
Once the radio link geometric and radio electrical parameters
of rain rate time series (for a definition of a rain storm and
have been specified and the synthetic storm technique has been
its duration, as measured with a rain gauge, see [6]) collected
applied to a ra