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Journal of Modern Optics

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A General Solution to the Scattering

of Electromagnetic Waves from a
Strip Grating
a

S. Sohail H. Naqvi & N.C. Gallagher

Department of Electrical and Computer Engineering,

University of New Mexico, Albuquerque, NM, 87131, U.S.A.
b

School of Electrical Engineering, Purdue University, West

Lafayette, IN, 47907, U.S.A.
Available online: 01 Mar 2007

To cite this article: S. Sohail H. Naqvi & N.C. Gallagher (1990): A General Solution to the
Scattering of Electromagnetic Waves from a Strip Grating, Journal of Modern Optics, 37:10,
1629-1643
To link to this article: http://dx.doi.org/10.1080/09500349014551791

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JOURNAL OF MODERN OPTICS,

1990,

VOL .

37,

NO .

10, 1 62 9-1643

A general solution to the scattering of

electromagnetic waves from a strip grating

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S. SOHAIL H . NAQVI
Department of Electrical and Computer Engineering,
University of New Mexico, Albuquerque, NM 87131, U .S .A .
and N . C . GALLAGHER
School of Electrical Engineering, Purdue University,
West Lafayette, IN 47907, U .S .A.
(Received 10 November 1989 ; revision received and accepted
13 February 1990)

Abstract. We describe a new robust approach for the analysis of strip gratings,
both of finite and infinite conductivity, for the TE and TM cases . The field
distributions in the plane of the grating are expanded in a Fourier series, whose
coefficients are derived as the solution to an infinite-dimensional system of linear
equations . Various configurations of the scatterer are considered and it is shown
that even in cases where the Tsao-Mittra SIT procedures fails to converge and
the moment method requires a large matrix to arrive at a solution, our method
yields reasonable results even for small matrix sizes . The accuracy of the solution
procedure is analysed by considering the mean-square error in the field
magnitudes as a function of the truncation size of the infinite system of linear
equations .
1.

Introduction
The scattering of electromagnetic waves from periodic metallic structures is a
classic problem that has been looked at by numerous researchers over the past few
decades [1-8] . The geometry of the problem under consideration in this paper is
given in figure 1 . The basic assumptions are that we have infintely thin periodic strips
of metal of finite or infinite conductivity . These strips are of infinite length and are
located in the xy plane . A plane wave is obliquely incident at an angle 0 from the
normal and we wish to determine the electric field distribution everywhere . The
standard approach to the solution of this problem is to formulate the E-field or
H-field integral equations . A matrix equation is then obtained by using the method
of moments [9]. The infinite system of linear equations obtained can then be solved
using any of the techniques described in [10] . The C-G method [11] was proposed
by Hestenes and Stiefel nearly 30 years ago for the solution of a system of linear
equations . However, it is only in the last decade that this method has been applied to
the electromagnetic scattering problem [12,13] . A different approach to the solution
of this problem was proposed by Tsao and Mittra [5] . Formulating the problem in
the spectral domain they obtained a set of algebraic equations for the coefficients of
the Electric field and current distributions . These equations are solved using the
spectral iteration technique developed by the authors .
We find that both the moment method and the spectral iteration method have
`regions of operation' associated with them when applied to the perfectly conducting
0950-0340/90 $3-00 1990 Taylor & Francis Ltd .

1 63 0

S . S . H . Naqvi and N . C . Gallagher

Region 1
Y
r. .

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Region 3

Figure 1 . Geometry of scatterer.

strip-grating problem . These regions are defined by the particular method of

solution, the scattering geometry and the angle of incidence of the incoming wave .
Various researchers have addressed these problems by proposing modifications to
these solution procedures which make a particular method work better under certain
circumstances . These include the addition of an edge mode to improve convergence
of the electric field expansion [14-16] . Techniques to improve the convergence of the
spectral iteration routine have been proposed in [17, 18] . Kas and Yip [19] show that
the addition of preconditioners can improve the convergence rate of the conjugate
gradient method .
In this paper, we introduce a new method for the solution of scattering of
electromagnetic waves from a strip grating . The initial formulation of the problem is
carried out as described in [5] . The iteration procedure is, however, applied by
representing the truncation of the electric and current fields as a matrix multiplication . Assuming that the initial guess is the solution to the problem a system of
linear equations for the field coefficients is derived . The significant result is that the
solution of this system of linear equations is actually the closed form solution of the
iteration procedure . The system of equations derived is equivalent to that arrived at
by using the moment method solution . A solution is obtained by truncating the
infinite-dimensional matrix and using any of the procedures described in [10], to
solve the system of linear equations . In this paper, we use Gauss elimination for the
solution of the system of equations . Although a proof of convergence is not given, a
solution is obtained for all `regions of operation' and for any matrix size . Thus the
accuracy of the solution is directly related to the size of the truncated matrix . It is
observed that the error decreases monotonically with increasing matrix size in all the
cases considered .

Strip grating general solution

1631

2.

Problem formulation
Moharram and Gaylord in [20] discuss the formulation of the general problem of
the scattering of a plane wave from a periodic surface . The total field in region 1 can
be written in the most general form as the sum of an incident plane wave and multiple
backward diffracted orders .
00

F1 (x,y,z)=exp(-ik 1 r )+

Rexp(-ik li r ),

(1)

with harmonic exp (iwt) assumed and suppressed . Similarly for region 3 we have
only the forward diffracted orders and

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F3 (x,Y, z)= Y-

Texp (-ik 3i r),

(2)

where r=xil+yk'+z4 and k, 9 and 4 are unit vectors in the x, y and z directions
respectively . Thus the scattered field can be treated as a sum of plane waves with
wave vectors k l ,, . Where the incident electric field lies parallel to the metallic strips
(TE case), the field F(x, y, z) represents the electric field expansion . For the dual case
of the incident magnetic field lying parallel to the strips (TM case), the field F(x, y, z)
represents the magnetic field . In either case the only component of the field present is
in the y direction . F 1 and F 3 represent these y components .
In the limiting case of zero grating modulation, we have an infinite metallic sheet
and only the n=0 diffracted mode is present and has to be phase matched to the
incident field at the z=0 boundary . Thus
k 1 k= kio k .
Since the scattering surface is periodic, each diffracted mode must satisfy the
'Floquet condition' whereby the scattered field is also periodic in the x direction with
period d. We then have
k l k =k 1 . 4- n

(3)

Simplifying we obtain
sing=sing-

,
d

which is nothing other than the usual grating formula .

The problem formulation is continued by Moharram and Gaylord by noting that
each nth diffracted mode in regions 1 and 3 must be phase matched at the z=0
boundary . Thus the x component of the wavevector of the nth diffracted mode in
region I and the nth diffracted mode in region 3 must be the same, that is
k 1 k = k3 . - '-

(4)

Since the waves in regions 1 and 3 are travelling in opposite directions, for the z
components of the wave vector we have
k 1 .4=-k10 . =k 30 .~~
and
k1

=-k 3i '4 .

(5)

1 63 2

S . S . H . Naqvi and N. C . Gallagher

k
z=0
Y
r. .

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Figure 2 .

Decomposition of wave vectors, of the incident wave and the zero order reflected
and transmitted waves, into rectangular components .

Figure 2 displays graphically the result of applying the formalism of [20] to the strip
graing problem . In regions 1 and 3 the wave vectors have magnitudes

Ik11=lkt .l,

Ik31=Ik3n1

Since these regions are filled with the same material

Iki1=1k31 .

(6)

We now wish to find the coefficients R and T such that the total wave satisfies the
boundary conditions .
In the TE polarized case only the following field components are present

Ey , Hx, HZ ,

J, .

For the TM polarized case we have

Hy , Ex,

E2, Jx,

where H is the magnetic field and J is the induced surface current on the metallic
strips.

2 .1 . Assumptions
(a) We have an infinitely thin metallic grating .
(b) The grating is periodic and of infinite dimension .
(c) The incident wave is TM or TE polarized with wave vector in the xz plane .
The procedure developed in this paper can be conveniently extended to
consider the case of an arbitrarily polarized incident field [21] .
(d) Regions 1 and 3 separated by the metallic strips are filled with the same
homogeneous material . We assume the material is air in this problem . An
identical procedure can be developed for the case where regions 1 and 3
contain different materials [22] . The procedure has also been extended to
consider a strip grating placed on a dielectric slab of some thickness h
[22,231 .

Strip grating general solution

1633

2 .2 . Application of Maxwell's equations and boundary conditions

In the TE case we wish to obtain an expression for the surface current density on
the metallic strips . For the dual TM case we require an expression for the electric
field distribution in the z = 0 plane . We apply the following boundary conditions :
(i) The tangential electric field is continuous across the z = 0 boundary . In the
TE case we get then
Rn +

b o = T n.

(7 a)

-R n +Sn0 .

(7 b)

While for the TM case we obtain

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Tn =

(ii) In the presence of surface current density J, the H-field is abruptly

discontinuous by J [24] so
4 x (H 3 -H 1)=J .

(8)

In the TE case using Maxwell's equations we obtain an expression for the

magnetic field and substitute into the above equation to get
ao
Jy =

Y Cn exp(-ik tn xk),

(9)

n=-ao

where
(10)

Cn = BnRn,
Bn=

).

(k1

(11)

For the TM case by similar arguments we obtain

.11x=

(RI. +ano) exp (-ikl n xA),

n=-co

where
R 1,, +S no =R n .

The electric field can then be represented as,

ao

E1x(x)= E

Cn exp(-ik ln xk),

(9 a)

n=-co

where
Cn = 1 kln 4Rln,
CUE

(10a)

= BnR1n,

and
I
Bn=

Coe

k1n 4 .

(11 a)

S . S. H. Naqvi and N . C. Gallagher

1634

In both cases we have

kin Q

[ki -(kin' t)2] 1/2,

{i[(kln 31) 2 -kl] 112 ,

k2 > ( kl .1)2 ,
k 2 < (k 1 8)2 .

(12)

The strip grating is made either from an infinitely conducting material or

from a resistive sheet material, whereby the losses in the material can be
approximated by a surface boundary condition [25] . This boundary
condition is also known as the Leontovitch boundary condition [26] . The
electric field on the metallic strips satisfies the relationship

E(x) =R,J(x),

on metallic surface .

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where Rg is the resistivity of the metallic strips .

3.

Solution
In order to solve for the reflected and diffracted waves we use the following two
equations at the z = 0 plane .
For the TE case
cc

El y l .=O =

Y (Rn+an0)exp( - ik1n . 'xk),

n= - ao
ao

Jylz=o -

` Cn exp(-lk ln xk) .
n=-oo

.=0=
.1
E1

Y Cn exp(-ik ln x *),
n=-m

For the TM case

X

J1xIZ=o =

n= - oo

(Rln+5no)exp( - ikln x k) .

As a first step, let us describe the iterative procedure based on the Tsao-Mittra SIT
approach . The procedure is described in detail for the TE case . The solution in the
TM case can be obtained in a similar manner .
We utilize the periodicity of the grating and use equation (1) to write the above
equations for the TE case as

El ylz=o =

n=-ao

(Rn +Bno )exp(-ik l xk)exp

2n

in -Xx /,

00

Jy lz=0 =

Cn exp(-ik l x k)exp/ in

n=-ao

d x' .

These equations can be recognized as being in the form of a Fourier Series . The
iteration procedure is as follows :

(a) Make any initial guess E1j(x) for El y (x)IZ=o .

(b) Calculate the coefficients Rn using this E-field representation by applying the
Fourier series coefficient fomula .
(c) Using equation 10, calculate C,lo) , the current-density Fourier-series
coefficients .

Strip grating general solution

Jy)(x)=

n= - 00

1635

2it
C ;,) exp (-ik l xk) exp i d x

Now make a new estimate J Y(' ) (x) of J (Y' )(x) by applying the constraint that the
surface current density is zero where there is no metal . So
;,)(x)S(x),
Jyl)(x) =J
where
S(x) = (0, in gap,
j 1, else .

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The Fourier coefficients for the truncated J field can thus be obtained by
convolving the Fourier coefficients of the square wave S(x) with the Fourier
coefficients of the field Jy)(x) . Thus if we write
00

Jyl) (x) =

C ;,1) exp (-ik l x*) exp im

,
d

M= - .0

then
00

Cm)-

1
i21t

C"

exp [i27t(n-m)]

n = _ W (n-m)
n#m

c
c(n-m)

-exp Ci

C ( ) .

+d d

(d) To obtain Eiy)(x), we use equation (10) to write

RM
(1 a) =1 CM
m .
B
B.

This electric field, however, does not satisfy the boundary condition for the
electric field on the metallic surface .
(e) We require that
Eili,) = R.Jy1)(x),

on strips .

Obtain a better approximation for the electric field as follows .

EiV) (x) = Eili)[1- S(x)] + RSJ ,1)(x).
The Fourier coefficients of the new electric field can thus be evaluated by
convolving the Fourier coefficients of the field Eiy(x) with the square wave
[1 -S(x)] and adding to it the Fourier coefficients of the field R,J3,1)(x) .
Thus
ICnl)+ano=d m y~(bmo+Rlm))

expCic

m#n

+aC (S n o+R"la))+RSBRknla) .
(f) Repeat until desired accuracy is obtained .

(m-n)
d

-1

(m-n)
d

S . S . H. Naqvi and N. C . Gallagher

1636

3 .1 . Iteration procedure using matrix notation

Again the procedure is described in detail for the TE case .

(a) Let
R[m] =Rm,

- 00<m<00,

C[m] = Cm ,

- o < m <

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B(m, n) _

B m,
0,

m = n,
min,

00,

- co < m, n <

0C) .

(b) Obtain R ( using the Fourier series coefficient integration formula on the
initial guess Eiy) (x).
(c) Using equation (10) we obtain the Fourier series coefficients for the current
density

0 0) = BR (()) ,
and

C(1)=A1C(0),
where

i2n(n-m)

(1-expIic

d (n-m)1),

d-c

min,

m = n.

d '
(d) We now obtain a better approximation of the electric field from the current
density

R( 1 a) = B -1 C (1) =B -1 A 1 BR(0) .
(e) Applying the boundary conditions, the Fourier series coefficients of the
electric field after one iteration are given by
RM =A2R(1a ) + p ,
where

A2[m, n] =

-A 1 [m,n],

m#n,

c
d +R.Bn ,

m=n .

and

P[m]=

A2 [m,0],

m :A 0,

(c-d)
d ,

M=O .

Consequently the electric-field Fourier coefficients, after one iterative step, are
given by
)
R" =QR( + P,

Strip grating general solution

1637

where
Q=A 2 B- 'A1B.

(15a)

In the TM case, we begin with a guess R( for the current density and obtain the
current density R" l) after one iteration as
Rc1>=Q'Rc + P',
where
Q'=AZB - 'A'lB.

(15b)

and
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CexpIic

d (n-m)I-1),

2R8
A + B.

AZ[m,n]=

min,
m = n,

-A 1 [m,n],

min,

d-c
d '

= n'

and
M :A

0,

P[M] =

d B0

d'

M=0 .

The matrices Q and Q, are fixed once the geometry of the scatterer and the angle of
incidence of the incoming wave is defined .
In the TE case, if the initial guess is the solution to the problem, then
R") = R( O ) = QR(0) +P.
Or we have the system of linear equations
[I - Q]R = P.

(16)

where I is the identity matrix . A similar system of equations can be derived for the
TM case .
Thus any solution to the problem must satisfy equation (16) . Since we know the
solution to be unique [24, 27], we can solve equation (16) for the Fourier series
coefficients of the required field components .

4. Results
To implement this procedure on computer, we need to truncate the infinite
dimensional matrices . The electric field is now represented by 2N+ 1 Fourier series
coefficients signifying the i = - N, . . . , N diffracted modes in equation (13) . Thus,
each of the matrices A 1, A2, B is truncated to a 2N+ I by 2N+ 1 matrix and the Q

S. S . H. Naqvi and N. C. Gallagher

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1638

x
x
Figure 3 . Magnitude of electric field in the z=0 plane . The incident plane wave is TE
polarized with 0=60, d=1 . 12 and c=0-9d. R,=O . (a) N=5, (b) N=20 .

Figure 4 . Magnitude of surface current density distribution in the z=0 plane . The incident
plane wave is TM polarized with 0=45, d=5 . 022 and c=0-75d. R,=O . (a) N=5,
(b) N=20 .

matrix, given by equation (15 a), is also of dimension 2N+1 by 2N+1 . A solution to
the problem is obtained by solving the system of linear equations
[I - Q]R = P.
using the Gauss elimination procedure [9] .
In general, for the perfectly conducting grating case, the electric and current field
distribution for the TM case behaved in a similar manner to the respective dual
current and electric field distributions calculated in the case of TE incidence . For
cases where the period of the grating was near the wavelength of incident wave
(figure 3), only a few terms in the expansion were needed to obtain a good

Strip grating general solution

2 .4-

1639

2 .4-

1 .6-

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_sa-

0 .8-

0.8-

0
1
I
-0.2d
0
0.2d 0 .4d
c
x

1
0

0 .8d

B = 800
2 .4-

2 .4-

1
1
I
I I
0 .2d 0 .4d Old 0.8d c
x

0 =450

d = 1 .5X

d = 5 .02X

c = O .6d

c = 0 .75d
1 .6-

0 .8-

0
-0 .2d

---
I
I
I
1
0
0 .2d 0.4d
c
0.8d
x

1JI
-0 .1dO

I
I
I
0.2d 0 .4d 0 .6d
x

(' I
c 0.9d

Figure 5 . Magnitude of electric field in the z = 0 plane calculated for the different cases using
matrix size N=20 . The incident wave is TM polarized . R,=0 . (a) 0=0, d=1 . 5 .1,

c=0. 6d . (b) 0=0, d=1 . 5 .1, c=0.9d. (c) 0=60, d=1 . 5,, c=0 . 6d . (d) 0=45, d=5 . 02.1,
c=0-75d.

approximation to the field . Note that in all cases the incident field was a unit electricfield amplitude TM- or TE-polarized plane wave . Since the conservation of energy
criterion does not guarantee the solution to be correct [28], our criterion for
convergence here was the satisfication of the boundary conditions by the electric and
current fields . If only the reflection coefficient is desired, a good approximation can
be obtained using N= 5 . As the period of the grating increased with respect to the
wavelength (figure 4), more terms were required in the expansion to obtain an
accurate description of the field .
In figure 5 we display the electric fields calculated for different scatterer
configurations in the case of a TM polarized incident plane wave . To eliminate the
ripples due to Gibb's phenomenon, the electric field Fourier coefficients are first
multiplied with a hamming window of length 2N+ 1 .

S . S . H . Naqvi and N. C . Gallagher

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1640

For comparison purposes we implemented the Tsao-Mittra spectral iteration

procedure [5], and applied it to calculate the electric field distribution, in the TE
case, for various scatterers . We found that for small grating periods with respect to
wavelength and/or large angles of oblique incidence, it becomes impossible to supply
a good initial guess to the iteration procedure . Consequently the method fails to
converge to the correct solution .
Richmond in [14] presents two moment method solutions to the perfectly
conducting scattering problem. The second method presented, using an edge mode,
is applicable only in the normally incident case . In figure 2 of [14] the magnitudes of
the reflection coefficients are presented, calculated using the second method, for
various configurations of the scatterer . We obtain the same results using our
procedure . Since we consider oblique incidence, for comparison purpose we
implement the first moment method (equations (12), (13)) given in [14] . It is applied
to calculate the electric field distribution in various cases . We find that, using this
method, the matrix size required for the Gauss elimination procedure to arrive at a
solution becomes extremely large when the strip width becomes small compared to
the period of the grating . No such convergence problems are observed using our
method .
In figure 6 we consider the convergence of the electric-field magnitude for
various cases using a mean-square error criterion . Since the actual field distribution
is not available, the electric field calculated using various values of N is compared
with the electric field obtained using N=100 . We have
NP-1
Error=

M=0

and
E100 (NP)

EN(NP)I

}2 ,

where

EN(x)

E N (R+8 fo )exp(-ik l x 4)exp

n

in

27c

x .

NP represents the total number of sampling points for the region 0 < x < d. For a
particular matrix size, the error increases upon decreasing the strip width, increasing

Figure 6 . Mean squared error in the electric field magnitude for different strip widths and
angles of oblique incidence of TE polarized plane wave . RS =O .
: 0=0, d= 1-5A,

c=0-6d, : 0=0, d=1 . 5 .1, c=0-9d, -- - : 0=60, d=1 . 5 .1, c=0-6d .

Strip grating general solution

1641

1 .5

1 .25-

1 .0-

0.75k
- .t-

0 .5-

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0 .25-

A
0

I
0.2d

(I i
1
0.4d c 0 .6d 0.8d
x

Figure 7 . Magnitudes of electric and RR x current fields in the z=0 plane calculated using
matrix size N=20 . We have normal incidence, d=0.97 .1, c=0-5d, R,=5000 and the
incident wave is TE polarized .
2 .5

2 .0-

1 .0

0 .5-

Figure 8 . Magnitudes of electric and Ra x current fields in the z=0 plane calculated using
matrix size N=20 . We have normal incidence, (.i.-d)=3 x 10 - ', c=0-5d, Rg =500I
and the incident wave is TE polarized .
the period of the grating relative to the wavelength, or increasing the angle of oblique
incidence . Irrespective of the scatterer or the angle of incidence of the plane wave, it
can be observed that this error decreases monotonically with increasing matrix size .
The trade-off involved however is that the computer time increases correspondingly
with increasing matrix size .
Hall and Mittra in [8] consider imperfectly conducting strips . We ran our
program for the cases considered and obtained similar results for the reflection
coefficient in all cases except for the cases where we had normal incidence and the
period of the grating was nearly equal to the wavelength of the incident wave . When

1642

S . S . H . Naqvi and N . C . Gallagher

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the wavelength of incident wave is equal to the period of the grating, one of the terms
in the diagonal matrix B is equal to 0 . Thus B -1 can not be computed . To avoid this
problem we considered 2-d= + 3 x 10 - ' . As expected, almost identical results were
obtained for the two cases . In figures 7 and 8 we consider the electric and current field
distributions in the case of a TE-polarized plane wave normally incident on a strip
grating with resistivity R S = 500 . Again to reduce ripples due to Gibb's phenomenon,
the current-field Fourier coefficients are first multiplied by a hamming window of
length 2N+ 1 . Although the period of the grating used in figure 8 was only 3% larger
than the one used in figure 7, the fields changed significantly and the magnitude of
the reflection coefficient also decreased sharply . It can be observed that in both cases
the boundary condition for the tangential electric field on the conducting strips is
well satisfied by the field R,J 5,(x) .
5.

Conclusions
We have introduced a new robust method for the solution of the scattered field
distributions in the case of a plane wave obliquely incident on a metallic strip grating .
An infinite-dimensional system of linear equations is derived which is equivalent to
that arrived at using the moment method solution . A solution is obtained by
truncating the infinite-dimensional matrix and using Gauss elimination to solve this
system of linear equations . In this paper we consider both TM and TE polarized
incident plane waves . The solution procedure is general enough to treat gratings
both of finite and infinite conductivity .
We have shown how, using our method, an arbitrarily accurate description of the
electric and current fields can be obtained for any configuration of the strip grating
and for any angle of oblique incidence of the plane wave (figure 1) . Different scatterer
configurations are considered . In each case it is shown that the error in the magnitude
of the fields in the plane of the strip grating depends on the size of the truncated
matrix . It is shown that this error decreases monotonically as the matrix size
increases .
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