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Theory of Irregular Impedance Waveguides: Generalized Method of Separation

of Variables

Conference Paper · August 2014

DOI: 10.1109/MMET.2014.6928738

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 2014 International Conference on
Mathematical Methods in Electromagnetic Theory

Theory of Irregular Impedance Waveguides:

Generalized Method of Separation of Variables

Gennadiy I. Zaginaylov1,2, Aleksandr V. Maksimenko1, Vitalii I. Shcherbinin1, Klaus Schünemann3

1
National Science Center “Kharkov Institute of Physics and Technology”
2
V.N. Karazin Kharkov National University
Kharkov, Ukraine
3
Technishe Universität Hamburg-Harburg,
Hamburg, Germany
genzag@yahoo.com

Abstract— Maxwell's equations for longitudinally
inhomogeneous (irregular) waveguides with impedance walls are
equivalently reduced to an infinite set of ordinary differential
equations (ODE) by applying transverse expansions. The
resulting set of ODE is used for analysis of gyrotron cavities. In
particular, the effects of mode conversion and ohmic losses on the
operational frequency, quality factor, and field distribution in
gyrotron cavities operating in the sub-millimeter range are
investigated.
Index Terms—irregular waveguides; impedance boundary
conditions; lossy waveguides; cross-section methods; Neumann’s
and Dirichlet’s problems; terahertz radiation; terahertz
gyrotrons, gyrotron cavities; quality factors.
I. INTRODUCTION
Longitudinally irregular waveguides of different nature
(electromagnetic, optical, acoustic, elastic, etc.) have been and
still are subject of extensive research. Boundary conditions of
impedance type (so-called Robin boundary conditions) became
also classical in mathematical physics due to their great
usefulness in modeling various practical problems. In
particular, they may be used to describe the natural attenuation
of electromagnetic fields on metal surfaces [1], to model
periodic [2] and random rough surfaces, to analyze thin
dielectric, metal, and superconducting layers, to treat
interaction of acoustic waves with the marine surface, etc.
Hence a theory of longitudinally inhomogeneous waveguides
with impedance walls can be useful for a very wide range of
practical applications.
Despite a certain diversity of approaches to the analysis of
longitudinally inhomogeneous waveguides, cross-section
methods [1-3] play a key role in their theories and practical
calculations. These approaches generalize to some extent the
method of separation of variables which is successfully used
for regular waveguides. All cross-section methods are based on
the concept of a reference waveguide. This is the regular
waveguide with same cross-section as that of the irregular
waveguide at some longitudinal coordinate. The fields in the
cross-section are presented as vector series [3-6]. These series
contain vector basis functions which are the fields of
eigenmodes of the reference waveguide. It should be pointed
out that in [3, 4] only the transverse fields of the reference
waveguide are used to represent the transverse fields of
irregular waveguides, and longitudinal fields are expressed
through the transverse ones by using Maxwell’s equations. In
[5] the 3D fields of the reference waveguide are used to
construct the 3D fields of the irregular waveguide. The
probably most general variant of cross-section methods is
addressed in [6]. According to it the transverse fields in the
irregular waveguide are expanded into series of transverse
fields of the reference waveguide, and the longitudinal fields in
the irregular waveguide are expanded into series of
longitudinal fields of the reference waveguide but with
different coefficients. The method is applicable not only for
waveguides with variable cross-section, but also for
waveguides with variable axis. Besides, the surfaces of the
cross-sections are not necessarily flat.
The methodology based on the reference waveguide
successfully works for irregular waveguides with ideally
conducting walls. In this case, it allows us to perform a
separation of variables. Just after transverse decompositions we
arrive at an infinite set of coupled ODE for the unknown
amplitudes of the expansions (the so-called famous generalized
telegraphist’s equations [3]). However, extreme mathematical
and calculational difficulties appear when the waveguide wall
is of impedance-type, i.e. that on the surface of the walls, the
more realistic impedance boundary conditions should be
imposed. If we still use the previous basis functions (namely
the eigenfunctions of the regular waveguide with ideal walls),
the total fields constructed in such a manner do not satisfy the
boundary conditions on the walls of the irregular waveguides.
Attempts to adopt such an approach to irregular impedance
waveguides [7] have shown that in the general case, the
problem cannot be reduced to a set of ODE. Even in the case of
small impedances or of small irregularities, the problem is still
rather complicated. It can then be reduced approximately to a
set of ODE along with a singular integral equation. An
alternative approach based on the same idea has been

The work is supported in part by DAAD, Germany.

978-1-4799-6864-0/14/$31.00 ©2014 IEEE 31

 2014 International Conference on
Mathematical Methods in Electromagnetic Theory

developed in [8]. It utilizes a curvilinear coordinate system to expressed in terms of two scalar functions (Hertz potentials)
transform the irregular waveguide to a regular one before which satisfy the Helmholtz equation [1]:
performing any expansions. Such a procedure is associated
with a great amount of analytical manipulations and results in a ' A  w 2 / wz 2  k 2 <  
0 , ' A  w 2 / wz 2  k 2 )  0, (1)
complicated set of ODE. Moreover, since basis functions and
total fields in the resulting regular waveguide still satisfy where ' A means transverse Laplace operator and the time
different boundary conditions, it can suffer from the Gibbs dependence exp(iZt ) is omitted.
instability and from non-uniform convergence of its numerical
results.
Another theoretically possible way is to use the regular
impedance waveguide as the reference waveguide and,
consequently, its eigenfunctions as basis functions. In this case,
however, the transverse boundary value problem for the
reference waveguide is not self-adjoint and eigenfunctions may
not form a basis. Although the basis may be formed by
eigenfunctions and associated functions [9], the mathematical
properties of such spectral problems may be very complicated
and, up to now, such an approach has not been used
consequently for practical applications. Only a partial case of a Fig 1. Geometry of irregular waveguide.
planar irregular impedance waveguide had been considered in In particular,
[10]. But the issue regarding the completeness of the used basis
functions had not been discussed. Besides, the field expressions Hz w 2

/ wz 2  k 2 < , E z w 2

and the solution of the spectral problem for such a reference
waveguide can also be extremely inconvenient for numerical
implementation.
Here we propose a variant of the cross-section method or
generalized method of separation of variables for the case of
irregular impedance waveguides, which allows us to get a set
of ODE just after transverse expansions. The corresponding
transverse expansions are two scalar expansions for the
magnetic and electric Hertz potential (the z-components of the
magnetic and electric Hertz vector, respectively). The basis
functions are eigenfunctions of the transverse Laplace operator
which are defined in a fixed cross-section of the irregular
waveguide with Neumann’s and Dirichlet’s boundary
conditions on the contour of the cross-section. The
mathematical properties of such self-adjoint eigenvalue/eigen-
function problems are well studied.
The analysis of a terahertz gyrotron cavity is addressed to
illustrate the efficiency of the proposed approach. For terahertz
gyrotron cavities, the ohmic quality factors are comparable to
the diffraction ones, and the level of energy dissipation inside
such cavities can reach 65-85 % [11]. On the other hand, in this
/ wz 2  k 2 ) , (2)
and the other field components can be found from Maxwell’s
equations.
In addition, boundary conditions of impedance-type on the
waveguide walls are assumed to be satisfied:
& & & & &
n c u E  Z s n c u (n c u H ) , (3)
C(z)
where Z s kG(1  i ) / 2 means wall impedance which models
&
the natural losses in the wall material. n c is normal to the
waveguide wall at the contour C (z ) .
The question arises whether it is possible to equivalently
reduce the problem (without any approximations) to a set of
ODE by using suitable transverse expansions. To the best of
our knowledge, such a problem has not yet been solved (see
also, for example, [7]). In the following, we will, however,
demonstrate that such a solution exists.
Introduce two countable sets of orthogonal cross-section
functions:
  
' A  D i2 <i 0 ' A  Ei2 ) i 0 r&A  S ( z )
, , (4)

range the condition Gk  1 still holds, where
1/ 2
G c /( 2 SVZ) means skin depth of the wall material, V wall
conductivity, and k Z / c vacuum wavenumber. Hence the
transverse eigenvalue/eigenfuction problems, appearing in the
waveguide theory, are still weakly non-self-adjoint and an
application of the proposed basis functions seems to be
numerically efficient. In particular, the influence of spurious
modes and of ohmic losses on eigenfrequencies, quality
factors, and field distributions are presented.
II. CONVERSION OF MAXWELL’S EQUATIONS TO THE SET OF
ORDINARY DIFFERENTIAL EQUATIONS
Consider a section of an irregular lossy waveguide (see,
Fig.1). All the components of the electromagnetic fields can be
(w / wn)<i C ( z ) 0 ) i C ( z ) 0 i 1,...f
Problems (4) are self-adjoint, well-known, and well-studied
Neumann’s and Dirichlet’s problems for the Helmholtz
equation in a two-dimensional region. The orthogonality
conditions for the solutions of these problems look like
³’ ³’
A <i ’ A <k ds Gik , A ) i ’ A ) k ds Gik . (5)
S ( z) S ( z)
In [3, 4] these functions had been used for constructing the
vector eigenfunctions of the regular waveguides. In turn, these
vector eigenfunctions were then used to describe the total fields
of irregular waveguides with ideal walls. Unfortunately, in the
case considered here, such an approach does not lead to a
separation of the variables in order to get a set of ODE [7]. It is
namely impossible to express the boundary conditions (3) in
terms of the unknown expansion coefficients.
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 2014 International Conference on
Mathematical Methods in Electromagnetic Theory

Hence we will proceed here in a somewhat different way tgT R c(z ) . m means azimuthal index, the prime denotes
by using (4) directly to describe two Hertz potentials: differentiation with respect to argument, and the azimuthal
f f
dependence exp(imM) has been omitted.
¦ ¦ B ( z )) ( r ; z )
& &
< Ai ( z )<i (rA ; z ) , ) i i A (6)
The two equations (8) contain four unknown functions. For
i 1 i 1
determining < we can use (6) directly. For (w / wr )) one can
Series (6) uniformly converge inside S (z ) . On the contour
from (1) obtain the relation
C (z ) , however, only the series for < uniformly converges, but
R
the series for ) converges to zero.
As next step, transform (1) into two infinite sets of (w / wr )) C ( z ) ³
(1 / R )  w 2 / w z 2  k 2  m 2 / r 2 )rdr . (9) 
projection equalities: 0
Under the integral sign in (9), we can use the representation

³ < ' 
(6) for ) , thereby expressing it in terms of Bi . After that (8)
i A  w 2 / wz 2  k 2 <ds 0
S(z)
will contain only two new unknown functions:

³ ) ' )ds

 w 2 / wz 2  k 2 0 (1 / k )(w / wr ) < C ( z ) { A0 and ) C ( z ) { B0 . All partial z-
i A
S(z) derivatives entering to (8) can be expressed in terms of A0 ,
After some algebraic manipulations (details are addressed A and B0 , B and their derivatives [14]:
elsewhere [12-14]), these equations can be reduced to two sets
of ODE: a0 A0c  b0 A0  c0 B0c  d 0 B0
f

( Lˆ12 A) i  pi2 Ai  I iA 0 (7) ¦ a Fˆ A  d b Lˆ B   c B 

i 1
i 1 i 1 i
2
2 i i i
(10)

( Lˆ22 B) i  qi2 Bi  I iB 0 , (7)

f
where A ^ `Ai if 1 , B Bi if 1 , pi^ ` 2
k 2  Di2 , qi2 k 2  Ei2 , B0cc  d 2 B0 ¦ a Fˆ A  b Gˆ Lˆ B   c Gˆ B   ,
i 1
i 2 i i
2
2 i i i

Lˆ1,2 Gik ( d / dz )  Tik(1,2 ) , Tik(1) Di2 ³

S ( z)
<i (w / wz ) <k ds ,
where a0 iZ s sin T , b0 k (1  iZ s tan T sin T / kR) ,
c0 m / R , d 0 iZ s km sin T / R , d1 m tan T / R 2 ,
³ ) (w / wz)) ds , I ³ < (w / wn)<dl ,

Tik( 2 ) Ei2 A
Di2
 
i k i i
S ( z) C(z) Fˆ
1 f 0  f1Lˆ 21 , Fˆ2 f 2 k sin T  iZ s Lˆ1 , Gˆ g 0  g1Lˆ2 ,
I iB Ei2 ³ )(w / wn)) dl .

i f0  
iZ s cosT k 2 1  tan 2 T  tan 2 T m 2 / R 2 ,  
C( z)
Equations (7) contain unknown contour integrals f1 iZ s cosT (1  tan 2 T ) , J m (P i ) 0 , J mc ( P ic ) 0,
I iA, B
which cannot be evaluated by using (6). To solve them, it f2 m / R cosT (1  tan 2 T ) , ai SPc i
2
m 
2 1 / 2
,
is necessary to utilize the boundary conditions. Formulation of R

³ ) rdr , c k 
boundary conditions (3), however, in terms of potentials for the
bi i i
2
 Pi2 / R 2 bi  S 1 / 2 ,
case of an arbitrary cross-section is complicated, and it is
0
furthermore necessary to consider each specific case
separately. Here the case of a circular cross-section with an g0 §¨ tan 2 T  tan Tc R  iZ kR (1  tan 2 T) cos 1 T ·¸ R  2 ,
s
azimuthally symmetric radius variation will be addressed. © ¹
The expressions (3) in terms of Hertz potentials have the g1 1  tan T tan T / R , d
2
2  
tg2T k 2  m2 / R2  k 2 (1  tg2T) .
form
w The set of ODE (7), (10) differs from that obtained by other
Dˆ 1 ( z ) §¨ < ·¸ Dˆ 2 ( z )§¨ < ·¸ , (8) methods (see, for example, [1-6]) in that we introduce just two
wr © ) ¹ © ) ¹ C z 
sets of unknown coefficients ^Ai `if 0 and ^Bi `if 0 . Instead in
where
[3, 4] four infinite sets of unknown coefficients should be
§ iZ s sin T w · introduced. Moreover, there is no direct coupling between TE
¨1  0 ¸
Dˆ 1 ( z ) ¨ k wz ¸’ and TM modes. They are coupled only through the boundary
¨ iZ s k w
¨ 0  tan T ¸¸ conditions.
© cosT wz ¹
§ § 2 ·
1 w · ·¸ III. NUMERICAL EXAMPLE
¨ iZ cosT ¨ k  1 w ¸ m§
¨ iZ s sin T  ¸
¨ s ¨ k wz 2 ¸¹ R© k wz ¹ ¸ An ideal example for the application of the developed
Dˆ 2 ( z ) ¨ ©
¸’ approach is the “cold” analysis of a gyrotron cavity operating
¨ m § k tan T  iZ s w · § 2 w2 · ¸
¨ R ¨© ¸  ¨¨ k  2 ¸¸ ¸
in the sub-millimeter (terahertz) wave range. The gyrotron
© cosT wz ¹ © w z ¹ ¹ cavity usually is a section of a circular waveguide with varying
radius (Fig. 1). The central part of the cavity is of constant

33
 2014 International Conference on
Mathematical Methods in Electromagnetic Theory

radius. It is connected with the input part, which contains a TABLE I. EIGENFREQUENCIES AND QUALITY FACTORS OF THE TWO FIRST
AXIAL RESONANCES
critical cross-section (for the operational mode) and the output
part in the form of a down-taper or an up-taper, respectively. Presented Method SMA
Mode
To analyze the gyrotron cavity, the set of ODE (7), (10) frequency Q frequency Q
must be supplemented by boundary conditions at the ends of TE17,4,1 1029.2 1065.7 1029.3 1383
the cavity. Usually these are either the radiation conditions or
the evanescent conditions (if the corresponding wave is not TE17,4,2 1033.7 351.9 1033 383
propagating). For simplicity, we assume that the resonator at its
both ends is connected to semi-infinite regular waveguides.
This allows us to put both A0 0 and B0 0 at both ends of
the cavity.
Specific calculations were carried out for the cavity of a 1
THz gyrotron [11] designed to operate in the TE17,4 mode. The
longitudinal profile of its radius has been depicted in [12, 13].
The set of ODE (7), (10) has been solved by the finite
difference method. Convergence of the numerical results with
respect to both the number of discretization points as well as
the number of decomposition terms taken into account in (6),
has been achieved. The accuracy of the calculations was
controlled by testing the law of energy balance:
Fig 4. Convergence of the normalized quality factor at the first axial
2 Im ZW Pdif  Pohm , (11) resonance with respect to the number of modes considered.

where W means energy stored in the cavity, Pdif total

energy radiated from both ends of the cavity per unit time, and
Pohm energy flux to the cavity walls.

Fig 5. Convergence of the normalized quality factor at the first axial

resonance with respect to the number of discretization points N 100n.

Longitudinal field distributions of different modes are

Fig 2. Field distributions of the operational and the largest spurious modes at
the first axial resonance.
Fig 3. The same as in Fig. 2 but for the second axial resonance.
presented in Fig. 2. The eigenfrequencies and quality factors of
the two first axial resonances of the TE17,4 mode are addressed
in Table 1 for 5 radial modes taken into account and for 1500
discretization points in axial direction. For comparison, the
results of the single mode approximation (SMA) are also given.
Convergence of the quality factor with respect to the number of
radial modes considered and the discretization points is
demonstrated in Figs. 4, 5, where [ ( M ) Q M 1 / Q M  1 ,
Q M means quality factor calculated for the total number of
modes M in (6) and for 1500 discretization points,
] (n) Qn 1 / Qn  1 , Qn means quality factor calculated for
100n discretization points and 5 modes taken into account. It
should be pointed out that the calculated operational frequency
(for mode TE17, 4, 1) pretty well coincides with the
experimentally measured value (at 1.023 THz) and that it is just
slightly sensitive to the number of modes considered as well as
to the number of discretization points.

34
 2014 International Conference on
Mathematical Methods in Electromagnetic Theory
IV. DISCUSSION OF NUMERICAL RESULTS
An analysis of the numerical results presented in the
previous section allows us to find some common features of
mode conversion and ohmic losses in a terahertz gyrotron
cavity.
1. Mode conversion and ohmic losses slightly influence
both the operational frequency and the longitudinal
field profile in a terahertz gyrotron cavity. However,
they substantially lower the quality factor of the
operational mode. The ohmic losses are mainly
responsible for this effect.
2. Spurious modes mostly appear in the output section of
a terahertz gyrotron cavity. The neighboring radial
modes of both polarizations, here the TE17,4 , TE17,3 ,
TE17,5 , TM17,4 , TM17,3 mode, have largest amplitudes
and influence (the modes are listed in descending order
of their excitation efficiency). Their total output power
(from both ends of the cavity) is about 7%.
3. Spurious modes are excited more efficiently at high
axial resonances.
The effects considered substantially decrease the
terahertz gyrotron efficiency, since the efficiency is
proportional to (1  Qohm / Qtot ) , where Qohm ZW / Pohm
is the ohmic quality factor, and Qtot ZW /( Pohm  Pdif ) is
the total quality factor. For terahertz gyrotrons Qohm ~ Qtot ,
so that an even not too large decrease of Qtot can lead to a
notable decrease of the efficiency of the terahertz gyrotron.
Moreover, as is well known, the gyrotron operation is very
sensitive to the appearance of spurious radiation,
reflections, so-called after cavity interaction, and so on. In
this regard, the level of spurious modes can also notably
influence the efficiency of the terahertz gyrotron. One
method to suppress ohmic losses in terahertz gyrotron
cavities can be based on the application of corrugated
surfaces [15, 16].
V. CONLUSIONS
The presented method is the further development of cross-
sectional methods which are used for the analysis of
longitudinally inhomogeneous waveguides. It allows us to treat
longitudinally inhomogeneous impedance waveguides by
directly reducing the 3D boundary value problem for
Maxwell’s equations to an infinite set of ODE by mean of
transverse expansions. Their basis functions are well-studied
eigenfunctions of the Laplace operator for a two-dimensional
region with Neumann’s and Dirichlet’s boundary conditions at
the boundary of this region. An application of the method is not
associated with a lot of analytical or numerical calculations and
can hence be performed using moderate computational
facilities by a wide range of professionals even without deep
knowledge in applied or computational mathematics (hence by
engineers, experimentalists, young researchers, and so on).
Moreover, in some specific cases even further simplifications
are still possible.
These advantages are clearly demonstrated and confirmed
by specific calculations of a gyrotron cavity operating in the
terahertz region. In particular, it is shown that the ohmic losses
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in the cavity walls are the main reason for a substantial
reduction of the cavity Q-factor. The contribution of mode
conversion to this effect is not too significant, although for
gyrotrons it is still large enough. It is quite possible that the
effects considered above are the main reason for the low
efficiency of present-day terahertz gyrotrons. In this regard it
should be pointed out that an efficient method of reducing
ohmic losses can be based on the use of corrugated walls in the
gyrotron cavity [15,16].
Appropriate generalizations of the method developed are
seen in the consideration of irregular impedance waveguides of
arbitrary cross section, of dielectric waveguides, and of
problems of excitation of such waveguides.
ACKNOWLEDGMENT
The authors are deeply indebted to Prof. Yu. V. Gandel,
Department of Mathematics and Mechanical Engineering, V.N.
Karazin Kharkov National University, for consultations about
some mathematical issues.
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