Chapter 8

Aperture Antennas

8.1 Introduction
Aperture antennas constitute a large class of antennas, which emit EM waves
through an opening or aperture. These antennas have close analogs in acous-
tics: the megaphone and the parabolic microphone. The pupil of the human
eye is a typical aperture receiver for optical radiation. At radio and mi-
crowave frequencies, horns, waveguide apertures, reflectors and microstrip
patches are examples of aperture antennas.

Aperture antennas are commonly used at UHF and above. It is because their
gain increases as f 2 . For an aperture antenna to be efficient and have high
directivity, it has to have an area comparable or larger than λ2 . Obviously,
these antennas are impractical at low frequencies.

Figure 8.1: Aperture antenna configurations.

The radiation characteristics of wire antennas can be determined once the

current distribution on the wire is known. For many configurations, however,
the current distribution is not known exactly and only physical intuition or
experimental measurements can provide a reasonable approximation to it.
This is even more evident in aperture antennas (slits, slots, waveguides,
horns, reflectors, lenses). It is therefore expedient to have alternate meth-
ods to compute the radiation characteristics of antennas. Emphasis will be

1
 Class Notes on ECEG-6308
8.2. THE FIELD EQUIVALENCE PRINCIPLE Analysis and Design of Antennas

placed on techniques that for their solution rely primarily not on the cur-
rent distribution but on reasonable approximations of the fields on or in the
vicinity of the antenna structure. One such technique is the Field Equiva-
lence Principle.

8.2 The Field Equivalence Principle

The field equivalence is a principle by which actual sources, such as an an-
tenna and transmitter, are replaced by equivalent sources. The fictitious
sources are said to be equivalent within a region because they produce the
same fields within that region.

The field equivalence is a more rigorous formulation of Huygens’ principle

which states that “each point on a primary wavefront can be considered to
be a new source of a secondary spherical wave and that a secondary wave-
front can be constructed as the envelope of these secondary spherical waves.”

The equivalence principle is based on the uniqueness theorem which states

that “a field in a lossy region is uniquely specified by the sources within the
region plus the tangential components of the electric field over the boundary,
or the tangential components of the magnetic field over the boundary, or
the former over part of the boundary and the latter over the rest of the
boundary.” States in other words, am EM field in a given region VS is
uniquely defined if

• all sources are given;

• either the tangential Eτ components or the tangential Hτ components,

or the former over part of the boundary and the latter over the rest of
the boundary are specified at the boundary S.

A solution is said to be unique if it is the only one possible among a given

class of solutions.

By the equivalence principle, the fields outside an imaginary closed sur-

face are obtained by placing over the closed surface suitable electric- and
magnetic-current densities which satisfy the boundary conditions. The cur-
rent densities are selected so that the fields inside the closed surface are zero
and outside they are equal to the radiation produced by the actual sources.
Thus the technique can be used to obtain the fields radiated outside a closed
surface by sources enclosed within it.

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8.2. THE FIELD EQUIVALENCE PRINCIPLE Analysis and Design of Antennas

The formulation is exact but requires integration over the closed surface.
The degree of accuracy depends on the knowledge of the tangential compo-
nents of the fields over the closed surface. In most applications, the closed
surface is selected so that most of it coincides with the conducting parts
of the physical structure. This is preferred because the vanishing of the
tangential electric field components over the conducting parts of the surface
reduces the physical limits of integration.

Considering an original problem with actual radiating source represented by

current densities J1 and M1 , as shown in Figure 8.2(a). The source radiates
fields E1 and H1 everywhere. However, it is desired to develop a method
that will yield the fields outside a closed surface. To accomplish this, a closed
surface S is chosen, which encloses the current densities J1 and M1 . The
volume within S is denoted by V1 and outside S by V2 . The primary task
will be to replace the original problem, shown in 8.2(a), by an equivalent
one which yields the same fields E1 and H1 outside S (within V2 ).

Figure 8.2: Actual and equivalent models.

An equivalent problem of 8.2(a) is shown in 8.2(b). The original sources

J1 and M1 are removed, and we assume that there exist fields E and H
inside S and fields E1 and H1 outside of S. For these fields to exist within
and outside S, they must satisfy the boundary conditions on the tangential
electric and magnetic field components. Thus on the imaginary surface S
there must exist the equivalent sources

Js = n × [H1 − H] (8.1)
Ms = −n × [E1 − E] (8.2)

and they radiate into an unbounded space (same medium everywhere). The
current densities of (8.1) and (8.2) are said to be equivalent only within V2 ,

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8.2. THE FIELD EQUIVALENCE PRINCIPLE Analysis and Design of Antennas

because they produce the original fields (E1 , H1 ) only outside S. Fields E, H,
different from the originals (E1 , H1 ), result within V1 .

Since the fields E, H within S can be anything (this is not the region of
interest), it can be assumed that they are zero. In that case the equivalent
problem of 8.2(b) reduces to that of Figure 8.3(a) with the equivalent current
densities being equal to

Js = n × [H1 − H]|H=0 = n × H1 (8.3)

Ms = −n × [E1 − E]|E=0 = −n × E1 (8.4)

This form of the field equivalence principle is known as Love’s Equivalence

Principle.
We can apply Loves equivalence principle in three different ways.

Figure 8.3: Equivalence principle models.

1. We can assume that the boundary S is a perfect conductor. As per im-

age theory, in an equivalent open problem, this eliminates the surface

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8.2. THE FIELD EQUIVALENCE PRINCIPLE Analysis and Design of Antennas

electric currents, i.e., Js = 0, and leaves just surface magnetic cur-

rents of double strength 2Ms . Such an equivalent problem is shown
in Figure 8.4.

Figure 8.4: Equivalent models for magnetic source radiation near a perfect
electric conductor.

2. We can assume that the boundary S is a perfect magnetic conductor.

As per image theory, in an equivalent open problem, this eliminates
the surface magnetic currents, i.e., Ms = 0, and leaves just surface
electric currents of double strength 2Js . This approach is illustrated
in Figure 8.5.

Figure 8.5: Equivalent models for electric source radiation near a perfect
magnetic conductor.

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8.2. THE FIELD EQUIVALENCE PRINCIPLE Analysis and Design of Antennas

3. Make no assumptions about the materials inside S, and define both Js

and Ms currents, which are radiating in free space (no fictitious con-
ductors behind them). It can be shown that these equivalent currents
create zero fields inside V1 .
The first two approaches are not very accurate in the general case of a curved
boundary surface S. However, in the case of flat infinite planes (walls), the
image theory holds exactly and all three approaches should produce the
same external field according to the uniqueness theorem. The image theory
can be applied to curved surfaces provided the curvature’s radius is large
compared to the wavelength.

The above approaches are used to compute fields in half-space as excited by

apertures. The field behind S is assumed known. This is enough to define
equivalent surface currents. Using image theory, the open-region far-zone
solutions for the vector potentials A (resulting from Js ) and F (resulting
from Ms ) are found from (refer Chapter 3)
e−jkr e−jkr
ZZ
0
A=µ Js (r0 )ejk·r ds0 = µ N, (8.5)
4πr S 4πr
e−jkr e−jkr
ZZ
0
F=ε Ms (r0 )ejk·r ds0 = ε L (8.6)
4πr S 4πr
where k = kar is the so called propagation vector or wave vector. N and L
are the space factors
ZZ
0
N= Js (r0 )ejk·r ds0 (8.7)
Z ZS
0
L= Ms (r0 )ejk·r ds0 (8.8)
S
The space factors, say N, can further be expressed as
ZZ
0
N= [ax Jx + ay Jy + az Jz ]ejkr cos ψ ds0 (8.9)
S
where ψ = θ − θ0 .

Using the rectangular-to-spherical component transformation, the θ and φ

components of the space factors can be expressed as
ZZ
0
Nθ = [Jx cos θ cos φ + Jy cos θ sin φ − Jz sin θ]ejkr cos ψ ds0 (8.10)
Z ZS
0
Nφ = [−Jx sin φ + Jy cos φ]ejkr cos ψ ds0 (8.11)
Z ZS
0
Lθ = [Mx cos θ cos φ + My cos θ sin φ − Mz sin θ]ejkr cos ψ ds0 (8.12)
Z ZS
0
Lφ = [−Mx sin φ + My cos φ]ejkr cos ψ ds0 (8.13)
S

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Figure 8.6: Coordinate system for aperture antenna analysis at far-field.

In Chapter 3, it was shown that in the far-field only the θ and φ components
of the E- and H-fields are dominant. Although the radial components are
not necessarily zero, they are negligible compared to the θ and φ components.
The relations between the far-zone fields and vector potentials are

EA = −jω(Aθ aθ + Aφ aφ ), (8.14)
HF = −jω(Fθ aθ + Fφ aφ ) (8.15)

Since
EF = ηHF × ar (8.16)
the total far-zone electric field (due to both A and F) is found as

E = EA + EF = −jω [(Aθ + ηFφ )aθ + (Aφ − ηFθ )aφ ] (8.17)

Equation (8.17) involves both vector potentials as arising from both types of
surface currents. Computations are reduced in half if image theory is used
in conjunction with an electric or magnetic wall assumption.

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8.3. APPLICATION OF.. Analysis and Design of Antennas

8.3 Application of the Equivalence Principle to

Aperture Problems
The equivalence principle is widely used in the analysis of aperture anten-
nas. To calculate exactly the far field, the exact field distribution at the
(infinite) aperture is needed. In the case of exact knowledge of the aperture
field distribution, all three approaches given above produce the same results.
However, the aperture field distribution is usually not known exactly and
approximations are used. Then, the three equivalence-principle approaches
produce slightly different results, the consistency being dependent on how
accurate our knowledge about the aperture field is.

Usually, it is assumed that the field is to be determined in half-space, leaving

the feed and the antenna behind an infinite wall S (electric or magnetic).
The aperture of the antenna SA is this portion of S where we have an ap-
proximate knowledge of the field distribution based on the type of the feed
line or the incident wave illuminating the aperture. This is the so-called
physical optics approximation, which is more accurate than the geometrical
optics approach of ray tracing. The larger the aperture (as compared to the
wavelength), the more accurate the approximation based on the incident
wave.

Let us assume that the field at the aperture SA is known: Ea , Ha , and it

is zero everywhere on S except at SA . Then the procedure that must be
followed to solve a problem using the radiation integrals will be outlined
below. Figures 8.6 is used to indicate the geometry.

1. Select a closed surface over which the total electric and magnetic fields
Ea and Ha are known.

2. Form the equivalent current densities Js and Ms over SA using (8.3)

and (8.4) with H1 = Ha and E1 = Ea .

3. Determine the A and F potentials using (8.5) and (8.6) where the
integration is over the surface SA .

4. Determine the radiated E and H fields using (8.17).

8.3.1 Directivity
The directivity of an aperture can be found in a manner similar to that of
other antennas. The primary task is to formulate the radiation intensity
U (θ, φ), using the far-zone electric and magnetic field components
1 1
U (θ, φ) = Re [(aθ Eθ +aφ Eφ )×(aθ Hθ +aφ Hφ )∗ ] = (|Eθ |2 +|Eφ |2 ) (8.18)
2 2η

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8.4. THE RECTANGULAR APERTURE Analysis and Design of Antennas

which in normalized form reduces to

Un (θ, φ) = |Eθ (θ, φ)|2 + |Eφ (θ, φ)|2 = B0 F (θ, φ) (8.19)

The directive properties can then be computed (ref. Chapter 2).

8.4 The Rectangular Aperture

In practice, the rectangular aperture is probably the most common mi-
crowave antenna. Because of its configuration, the rectangular coordinate
system is the most convenient system to express the fields at the aperture
and to perform the integration.

For the rectangular aperture shown in Figure 8.7, the nonzero components
of Js and Ms are Jx , Jy , Mx , and My . We have also

r0 cos ψ = r0 · ar
= (ax x0 + ay y 0 ) · (ax sin θ cos φ + ay sin θ sin φ + az cos θ)
= x0 sin θ cos φ + y 0 sin θ sin φ

and the differential area is ds0 = dx0 dy 0 .

Figure 8.7: Rectangular aperture positioned on the xy-plane.

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8.4. THE RECTANGULAR APERTURE Analysis and Design of Antennas

8.4.1 Uniform Distribution on an Infinite Ground Plane

Consider a rectangular aperture mounted on an infinite ground plane, as
shown in Figure 8.8. To reduce the mathematical complexities, the field
over the opening is assumed to be constant and given by

Ea = ay E0 − a/2 ≤ x0 ≤ a/2, −b/2 ≤ y 0 ≤ b/2 (8.20)

where E0 is a constant. The task is to find the fields radiated by it, the
pattern beamwidths, the side lobe levels of the pattern, and the directivity.
To accomplish these, the equivalent will be formed first.

Figure 8.8: Rectangular aperture on an infinite electric ground plane.

A. Equivalent
To form the equivalent, a closed surface is chosen which extends from −∞
to +∞ on the xy-plane.

−2n × Ea = ax 2E0 , x0 ∈ [− 12 a, 12 a], y 0 ∈ [− 21 b, 21 b];


Ms = (8.21)
0, elsewhere.
Js = 0 (8.22)

note that n = az .

B. Radiation Fields: Element and Space Factors

The far-zone fields radiated by the aperture of Figure 8.8 can be found by

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using (8.10-8.13). Thus,

Nθ = Nφ = 0 (8.23)
Z b/2 Z a/2
0 sin θ cos φ+y 0 sin θ sin φ)
Lθ = [Mx cos θ cos φ]ejk(x dx0 dy 0
−b/2 −a/2
"Z #
b/2
Z a/2
jk(x0 sin θ cos φ+y 0
Lθ = cos θ cos φ Mx e sin θ sin φ)
dx0 dy 0 (8.24)
−b/2 −a/2

The integral within the brackets represents the space factor for a two di-
mensional distribution.

Using the integral "
#

c/2 α
sin 2c
Z
ejαa dz = c α (8.25)
−c/2 2c

(8.24) reduces to
   
sin X sin Y
Lθ = 2abE0 cos θ cos φ (8.26)
X Y
where
ka
X= sin θ cos φ (8.27)
2
kb
Y = sin θ sin φ (8.28)
2
Similarly it can be shown that
   
sin X sin Y
Lφ = −2abE0 sin φ (8.29)
X Y

Substituting the above results into (8.17), the fields radiated by the aperture
can be written as

Er = 0 (8.30a)
abkE0 e−jkr
   
sin X sin Y
Eθ = j sin φ (8.30b)
2πr X Y
abkE0 e−jkr
   
sin X sin Y
Eφ =j cos θ cos φ (8.30c)
2πr X Y
Hr =0 (8.30d)
Eφ
Hθ =− (8.30e)
η
Eθ
Hφ =+ (8.30f)
η

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8.4. THE RECTANGULAR APERTURE Analysis and Design of Antennas

Equations (8.30) represent the three-dimensional distributions of the far-

zone fields radiated by the aperture. In many applications, however, only a
pair of two-dimensional plots are usually sufficient. These are the principal
E - and H -plane patterns.

E -Plane (φ = π/2)
Er = Eφ = 0 (8.31a)
 
kb

sin sin θ 
abkE0 e−jkr  2
Eθ = j   (8.31b)
2πr  kb 
sin θ
2
H -Plane (φ = 0)
Er = Eθ = 0 (8.32a)
  
kb
 
 sin sin θ 
abkE0 e−jkr
 
  2 
Eφ = j cos θ 
  (8.32b)
2πr kb 
sin θ

 
 
2
A three-dimensional pattern is shown in Figure 8.9. Multiple lobes appear,
because the dimensions of the aperture are greater than one wavelength.
The number of lobes increases as the dimensions increase.

C. Beamwidths
For the E-plane pattern given by (8.31b), the maximum radiation is directed
along the z -axis (θ = 0). The nulls (zeros) occur when
kb
sin θ|θ=θn = nπ, n = 1, 2, 3, . . . (8.33)
2
or at the angles of
   
−1 2nπ −1 nλ
θn = sin = sin rad (8.34)
kb b
 
nλ
= 57.3 sin−1 degrees, n = 1, 2, 3, . . . (8.35)
b
 
nλ nλ
' rad = 57.3 degrees, for b  nλ (8.36)
b b
The total beamwidth between nulls is given by
   
nλ nλ
Θn = 2θn = 2 sin−1 rad = 114.6 sin−1 degrees (8.37)
b b
 
2nλ nλ
' rad = 114.6 degrees, for b  nλ (8.38)
b b

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Figure 8.9: Three-dimensional field pattern of a constant field rectangular

aperture mounted on an infinite ground plane (a = 3λ, b = 2λ).

The first-null beamwidth (FNBW) is obtained by letting n = 1.

The half-power point occurs when

kb
sin θ|θ=θh = 1.391 (8.39)
2
or at an angle of
   
0.443λ 0.443λ
θh = sin−1 rad = 57.3 sin−1 degrees (8.40)
b b
   
0.443λ λ
' rad = 25.38 degrees (8.41)
b b
Thus the total half-power beamwidth (HPBW) is given by
   
−1 0.443λ −1 0.443λ
Θh = 2θh = 2 sin rad = 114.6 sin degrees
b b
(8.42)
   
0.886λ λ
' rad = 50.8 degrees (8.43)
b b

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The maximum of the first side lobe occurs when

kb
sin θ|θ=θs = 4.494 (8.44)
2
or at an angle of
   
−1 1.43λ −1 1.43λ
θs = sin rad = 57.3 sin degrees (8.45)
b b
   
1.43λ λ
' rad = 81.9 degrees (8.46)
b b

The total beamwidth between first side lobes (FSLBW) is given by

   
−1 1.43λ −1 1.43λ
Θs = 2θs = 2 sin rad = 114.6 sin degrees. (8.47)
b b

Exercise 8.1 Work out problems 12.1, 12.7, 12.8, and 12.10 from Balani’s Antenna
Theory book, 3rd ed.

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