GROUND PENETRATING RADAR
DAVID J. DANIELS
ERA Technology
Surrey, United Kingdom
1. INTRODUCTION
Ground penetrating radar (GPR) is a nondestructive mea
surement technique, which uses electromagnetic waves to
locate targets or interfaces buried within a visually opa
que substance or Earth material.
GPR is also termed ground probing, surface penetrat
ing (SPR), or subsurface radar. A GPR transmits a regular
sequence of lowpower packets of electromagnetic energy
into the material or ground, and receives and detects the
weak reﬂected signal from the buried target. The energy is
in the form of either a very shortduration impulse, a
sweep over a range of frequencies, radiation of noise over a
deﬁned band, or a pseudorandom coded sequence of puls
es. Most GPR systems, which all need to comply with the
relevant national and international regulations regarding
radio transmitters, operate within the range of frequen
cies from 10 MHz to 10 GHz and can have a bandwidth of
several GHz. GPR systems are a special class of ultra
wideband (UWB) radar systems. The typical average ra
diated power is in the order of a thousandth of a watt. The
receiver is highly sensitive and can detect reﬂected signals
of less than one millionth, of one millionth, of a watt. The
topic of radar system design is covered in many texts, and
useful information relating to GPR will be found in several
texts [1–7].
The buried target can be a conductor, a dielectric, or
combinations of both. The surrounding host material can
be soil, Earth materials, wood, rocks, ice, fresh water, or
manmade (synthetic) materials such as concrete or brick.
A typical GPR achieves a range of up to a few meters, but
some special systems can penetrate up to hundreds of me
ters or even kilometers. A few GPR systems have been
operated from aircraft and from satellites to image geo
logic features buried beneath the Sahara Desert as well as
measuring the depth of the (Earth’s) Moon and features on
Mars or comets.
The range of the GPR in the ground is limited because
of the absorption that the signal undergoes, while it trav
els, on its twoway path, through the ground material.
GPR works well through materials such as granite, dry
sand, snow, ice, and freshwater, but will not penetrate
certain clays that are high in salt content or saltwater
because of the high absorption of electromagnetic energy
of such materials. In air, the GPR signal travels at the
speed of light, but is slowed down in ground materials by
their dielectric constant; hence true range needs calibrat
ing for each material. GPR will not penetrate metal
because of the latter’s conductivity.
There are now a number of commercially available
equipments, and the technique is gradually developing
in scope and capability. GPR has also been used success
fully to provide forensic information in the course of crim
inal investigations, detect buried mines, survey roads,
detect utilities, measure geophysical strata, and in other
applications. Many GPR systems are handheld, but sys
tems can be used on vehicles for rapid survey, by means of
an array of antennas. Other GPR systems are designed to
be inserted into boreholes to provide images of the inter
vening rock. Typical GPR system attributes are given in
Table 1.
Most GPR systems use separate, humanportable,
transmit and receive antennas, which are placed on the
surface of the ground and moved in a known pattern over
the surface of the ground or material under investigation,
and an image can be generated, in real time, on a display
either in gray scale or in color. By systematically survey
ing the area in a regular grid pattern, a radar image of the
ground can be built up. GPR images are displayed either
as twodimensional representations, using horizontal (x or y)
and depth (z) axes or a horizontal plane representation (x,
y) at a given depth (z) or as a threedimensional recon
struction. GPR data may be classiﬁed as A scan, B scan, or
C scan depending on the plane of image. A scan is a mea
surement at a single ﬁxed point in space and is displayed
in amplitude (y) and range (x). B scan is a representation
usually in grayscale or colorcoded image intensity of a
plane (x, z or y, z) of scan, while C scan represents a hor
izontal plane (x, y) at a given depth (z). Alternatively, the
GPR may be designed to provide an audible warning of
target presence.
The radar image is very different from an optical image
because the wavelengths of the illuminating radiation are
similar in dimension to those of the target. This results in
a much lower definition in the GPR image and one that is
highly dependent on the propagation characteristics of the
ground. The beam pattern of the antenna is widely spread
in the dielectric, and this degrades the spatial resolution
of the image, unless corrected. Refraction and anisotropic
characteristics of the ground may also distort the image.
For some longerrange systems, synthetic aperture tech
niques processing techniques are used to optimise the res
olution of the image.
Unprocessed GPR images often show ‘‘bright spots’’
caused by multiple internal reﬂections as well as a distor
tion of the aspect ratio of the image of the target caused by
variations in the velocity of propagation. Symmetric tar
gets, such as spheres or pipes, cause migration of the re
ﬂected energy to a hyperbolic pattern. GPR images can be
processed to compensate for these effects, and this is usu
ally carried out offline. A GPR can be designed to detect
specific targets such as interfaces in roads, pipes, and
Table 1. Characteristics of GPR System
Pulse
Duration
(ns)
Center
Frequency
(mHz)
Target
Depth
(m)
Depth
Resolution
(m)
0.5 2000 o0.25 0.025
1.0 1000 o0.5 0.05
2.0 500 o1.0 0.1
4.0 250 o2.0 0.2
8.0 125 o4.0 0.4
16.0 63 o8.0 0.8
32.0 31 o16.0 1.6
GROUND PENETRATING RADAR 1833
Previous Page
cables and localized objects such as cubes, spheres, and
cylinders. GPR is capable of detecting features many hun
dreds of years old; hence a prospective site should remain
unexcavated, prior to survey, so as to preserve its infor
mation and aid interpretation of the GPR image.
2. PHYSICS OF PROPAGATION
2.1. Introduction
Maxwell’s equations are the foundation for the consider
ation of the propagation of electromagnetic waves. In free
space the magnetic susceptibility and electric permittivity
are constants; that is, they are independent of frequency
and the medium is not dispersive. In a dielectric with zero
loss tangent, no losses due to attenuation are encountered
and hence there is no consideration of the attenuation,
which occurs in real dielectric media.
If an alternating electric ﬁeld is applied to a material,
the individual molecules will be induced to rotate in an
oscillatory manner about an axis through their centers,
the inertia of the molecules preventing them from re
sponding instantaneously. Similar translational effects
can occur. The polarization produced by an applied ﬁeld
(such as a propagating radar wave) is closely related to the
thermal mobility of the molecules and is, therefore,
strongly temperaturedependent. In general, the relax
ation time (which may be expressed as a relaxation fre
quency) depends on activation energy, the natural
frequency of oscillation of the polarized particles, and tem
perature. Relaxation frequencies vary widely between dif
ferent materials.
For example, maximum absorption occurs at very low
frequencies in ice (10
3
Hz), whereas it takes place in the
microwave region in water (10
6
–10
10
Hz); thus the effects
of this phenomenon can have a direct bearing on the di
electric properties of materials at the frequencies em
ployed by surface penetrating radars, especially if
moisture is present within a material. There are a num
ber of other mechanisms that cause a separation of posi
tively and negatively charged ions resulting in electric
polarization. These mechanisms can be associated with
ionic atmospheres surrounding colloidal particles (partic
ularly clay minerals), absorbed water and pore effects, as
well as interfacial phenomenon between particles. The
general form of the model that describes the frequency
dependence of such systems is the Debye [8] relaxation
equation
e
0
Àie
00
¼e
1
þ
e
s
Àe
1
1 þiot
where
e
0
¼real part of the dielectric permittivity
e
0 0
¼imaginary part of the dielectric permittivity
e
N
¼highfrequency limiting value of the permittivity
e
s
¼lowfrequency limiting value of the permittivity
o ¼radian frequency ( ¼2pf )
t ¼relaxation time constant
The frequency of maximum movement and loss occurs
at o¼1/t.
In general, single relaxations are rarely observed in
natural systems. Instead, there are distributions of relax
ations corresponding to distributions of size scales that
inﬂuence movement of charge. There are several equa
tions describing such distributed systems, with the most
common experimental observations in agreement with the
model from Cole and Cole [9]
e
0
Àie
00
¼e
1
þ
e
s
Àe
1
1þðiotÞ
a
where a describes the breadth of the time constant distri
bution, from a single relaxation, a ¼1, to an inﬁnitely
broad distribution, a ¼0, with a common process. Different
polarization processes may be described by a series of
Cole–Cole equations with different values of a and other
parameters.
The electromagnetic properties of a buried target must
be different from those of the surrounding soil or material,
and this means that to a ﬁrst order its relative dielectric
constant should be significantly lesser or greater than the
host soil. Typically, most soils exhibit a relative dielectric
constant, which ranges between 2 and 25. Freshwater has
a relative dielectric constant of approximately 80. It
should be noted that the ground and surface are quite
likely to be inhomogeneous and contain inclusions of other
rocks of various size as well as manmade debris. This sug
gests that the signal to clutter performance of the sensor is
likely to be an important performance factor. Clutter may
be regarded as any radar return that is not associated
with the intended target and needs to be carefully deﬁned.
2.2. Attenuation
Electromagnetic waves propagating through natural me
dia experience losses, to both the electric (E) and magnetic
(H) ﬁelds. This causes attenuation of the original electro
magnetic wave. Plane waves are good approximations to
real waves in many practical situations. More complicated
electromagnetic wavefronts can be considered as a super
imposition of plane waves, and this method may be used to
gain an insight into more complex situations. For most
soils of interest in ground penetrating radar the magnetic
response is weak and need not be considered as a complex
quantity, unlike the permittivity and conductivity. Howev
er, in certain soil types such as those derived from volcanic
rocks or otherwise high in iron content, full consideration
of the magnetic properties is necessary. In the case of lossy
dielectric materials, both conduction and dielectric effects
cause absorption of electromagnetic radiation.
The electromagnetic material properties that describe
such a coupled system are in the complex propagation
constant or circular wavenumber
g ¼ik¼a þib
where
g ¼propagation constant
k ¼circular wavenumber
a ¼attenuation constant (Np/m) (nepers per meter)
k
2
¼o(m
0
Àim
00
)(o(e
0
Àie
00
) þis)
b ¼phase constant (rads/m)
1834 GROUND PENETRATING RADAR
with
a ¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
_
m
0
e
0
Àm
00
e
00
þ
s
o
_ __
2
þ
_
m
00
e
0
þm
0
e
00
þ
s
o
_ __
2
_
À
_
m
0
e
0
Àm
00
e
00
þ
s
o
_ __
2
¸
¸
¸
_
b ¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
_
m
0
e
0
Àm
00
e
00
þ
s
o
_ __
2
þ
_
m
00
e
0
þm
0
e
00
þ
s
o
_ __
2
_
þ
_
m
0
e
0
Àm
00
e
00
þ
s
o
_ __
2
¸
¸
¸
_
The ﬁeld at a distance z from the source is given by
Eðz; tÞ ¼E
0
e
Àaz
e
jðotÀbzÞ
The wavelength l in the medium is given in meters, and
the frequency f is expressed in hertz:
l ¼
2p
b
¼
n
f
The losses in such systems are described in terms of tan
gents of loss angles d between ﬁelds and ﬂuxes:
tan d
e
¼
e
00
e
0
þ
s
oe
0
The electrical loss tangent represents the sum of the
charge transport and polarization relaxation losses, and
the phase angle between electric ﬁeld and current density.
The skin depth or attenuation length is 1/a(m); the dis
tance electromagnetic energy travels while being attenu
ated by 1/e in amplitude. This distance is known as the
skin depth d and provides an initial guide to the useful
penetration depth of a ground penetrating radar system,
although in some media the useful range may be greater.
In a lossy conducting dielectric the parameters associ
ated with susceptibility can be rearranged to give
a ¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
me
0
2
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1þ
e
0
e
00
_ _
2
¸
À1
_
_
_
_
_
_
_
_
¸
¸
¸
¸
_
b ¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
me
0
2
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 þ
e
0
e
00
_ _
2
¸
þ1
_
_
_
_
_
_
_
_
¸
¸
¸
¸
_
and where the losses are low, then
tan d
e
¼
s
oe
0
This article has not considered the electromagnetic and
magnetic loss tangent, and these may need to be consid
ered in special cases.
It can be seen from the expressions above that the at
tenuation constant of a material is, to a ﬁrst order, linearly
related (in dB/m) to frequency. It is not sufﬁcient to con
sider only the lowfrequency conductivity when attempting
to determine the loss tangent over the frequency range
10
7
–10
10
Hz. In the case of a material that is dry and rel
atively lossless, it may be reasonable to consider that tan d
is constant over that frequency range. However, for mate
rials that are wet and lossy such an approximation is in
valid. There are, nevertheless, a number of other factors,
that inﬂuence the effective penetration depth, notably the
strength of reﬂection from the target sought, and the de
gree of clutter suppression of which the system is capable.
A ﬁrstorder estimate of the various contributions to
signal loss can be carried out using the standard radar
range equation, although this is only applicable for far
ﬁeld conditions and thus has restrictions:
P
r
¼
P
t
AGsk
ð4pR
2
Þ
2
e
Àa2R
where
P
t
¼transmitted power in watts
P
r
¼received power in watts
A ¼antenna gain
G ¼antenna effective aperture
R ¼range in meters
s ¼target radar cross section
k ¼calibration coefﬁcient
The cumulative losses include the transmission coefﬁ
cients into the ground, the spreading losses describe the
R
À4
losses for a target of 1 m
2
, and the attenuation losses
are for a soil with a e
r
of 9 and tand of 0.1. Fixed losses
include the transmission losses into the soil and the re
ﬂection loss from the target. In Fig. 1 the ﬁrst meter (1m)
has not been plotted, as the radar range equation is not an
accurate model in this range and the purpose of the ex
planation is to provide a basic introduction to ﬁrstorder
signal estimation.
2.3. Velocity
The velocity of propagation of electromagnetic waves in free
space is approximately 3Â10
8
m/s (2.997925Â10
8
m/s),
0
0 10 R
1 2 3 4 5 7 6 8 9 10
−100
−90
−80
−70
−60
−50
−40
−30
−20
−10
0
Reference
Fixed losses
Spreading loss
Attenuation
Noise floor
Clutter
Range in metres
S
i
g
n
a
l
l
e
v
e
l
i
n
d
B
Figure 1. Graph of the typical losses encountered at 100MHz by
a GPR probing into the ground. (This ﬁgure is available in full
color at http://www.mrw.interscience.wiley.com/erfme.)
GROUND PENETRATING RADAR 1835
but slows in a material depending on its relative permit
tivity and relative magnetic permeability. The velocity of
propagation of electromagnetic waves in a soil with a val
ue for e
r
of 9 would be slowed to 1.10
8
m/s. The time to a
target at a range of 1m is therefore 20 ns, and GPR sys
tems operate at time ranges between a few nanoseconds
up to 200ns, although some systems for probing through
ice may use ranges up to several tens of milliseconds.
In general, it is not possible to make a reliable estimate
of propagation velocity or relative permittivity in a medi
um from a single measurement without trial holing or
other supplementary information. Even in the case where
a measurement is carried out at one location, it is often
found that significant variations in velocity will occur
within comparatively short distances from the original lo
cation. This can lead to significant errors in the estimation
of depths of reﬂectors. One procedure that overcomes this
limitation is known as commondepthpoint surveying,
which utilizes two antennas in bistatic operation at a
number of transmit and receive positions. The velocity of
propagation is also slowed by tand and e
r
and assumes
m
r
¼1 and is given by
n ¼c
e
0
2e
0
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 þ
e
0
e
00
_ _
2
¸
À1
_
_
_
_
¸
¸
¸
¸
_
It is also possible to derive velocity from multiple mea
surements scanning over a target, but this works well only
in relatively uncluttered situations where the media has
no anisotropic characteristics.
2.4. Reﬂection
In any estimation of received signal level it is necessary to
consider the coefﬁcients of reﬂection and transmission, as
the wave passes through the dielectric to the target and
Snell’s laws describe the associated angles of incidence,
reﬂection, transmission, and refraction. Where lossy ma
terials are involved, complex angles of refraction may oc
cur, unlike the simple classical case, and polarization and
the Stoke’s matrix may also be required for oriented high
aspectratio features such as pipes, wires, and fractures.
The intrinsic impedance Z of a medium is the relationship
between the electric ﬁeld E and the magnetic ﬁeld H and is
a complex quantity given by
Z ¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
Àjom
s Àjoe
¸
At the boundary between two media, some energy will be
reﬂected and the remainder transmitted. The reﬂected
ﬁeld strength is described by the reﬂection coefﬁcient r
r ¼
Z
2
ÀZ
1
Z
2
þZ
1
where Z
1
and Z
2
are the impedances of media 1 and 2,
respectively.
The reﬂection coefﬁcient has a positive value when
Z
2
4Z
1
, such as where an airﬁlled void exists in a dielec
tric material. The effect on a pulse waveform is to change
the phase of the reﬂected wavelet so that targets with rel
ative dielectric constants different from those of the host
material show different phase patterns of the reﬂected
signal. However, the propagation dielectric of the host
material, and the geometric characteristics of the target
and its dielectric parameters affect the amplitude of the
reﬂected signal.
2.5. Polarization
A complete description of the radar scattering cross sec
tion of a target includes a description of its polarization
scattering characteristics. The polarizing properties of tar
gets are described by the Stokes parameters, and the po
larization coordinates can be represented on the Poincare´
sphere. All of these are well described in standard texts. In
summary, these descriptions allow the state of an electro
magnetic wave to be described in terms of linear, elliptical,
and circular polarization (lefthanded or righthanded). It
is well known that linear targets as depolarizing features
and a linearly polarized crossed dipole antenna rotated
about an axis normal to a linear target produces a sinu
soidal variation in received signal. However, the null
points are a distinct disadvantage because the operator
is required to make two separate, axially rotated mea
surements at every point to be sure of detecting pipes at
unknown orientations. An attractive technique is to radi
ate a circularly polarized wave, which automatically
rotates the polarized vector in space and hence removes
the direction of signal nulls.
2.6. Dispersion
The frequencydependent nature of the dielectric proper
ties of the material causes the phase velocity of the com
ponent frequencies of a wideband signal to suffer
differential propagation values. Hence, there will be vari
ation in the velocity of propagation with frequency. Di
electrics exhibiting this phenomenon are termed
dispersive. In this situation, the different frequency com
ponents within a broadband radar pulse would travel at
slightly different speeds, causing the pulseshape to change
with time. However, the propagation characteristics of oc
tave band radar signals remain largely unaffected by dis
persion In many instances, the potential variation in the
velocity of wave propagation over the frequency range of
interest is small and will be ignored.
2.7. Clutter
A major difﬁculty for operation of GPR systems is the
presence of clutter within the material. Clutter is deﬁned
as sources of unwanted reﬂections that occur within the
effective bandwidth and search window of the radar and
present as spatially coherent reﬂectors. The definition of
clutter depends heavily on the intended target. The oper
ator of a GPR system searching for pipes may classify the
interfaces between road layers as clutter, whereas the op
erator of a system measuring road layer thickness might
1836 GROUND PENETRATING RADAR
consider pipes and cables as sources of clutter. Careful
definition and understanding are critically important in
selecting and operating the best system and processing
algorithms. Clutter can completely obscure the buried tar
get and a proper understanding of its source and impact
on the radar is essential.
2.8. Depth Resolution
Normally the range, or in the case of GPR, the depth res
olution, of a radar is deﬁned by considering the case of
targets with identical radar scattering cross sections. In
the case of Gaussian pulses, resolution can be achieved at
pulse separations between 1.25 and 1.5 of the pulsewidth
and can be deﬁned by the Rayleigh criteria for resolution.
Essentially, range resolution is deﬁned by the bandwidth
of the received signal. A receiver bandwidth in excess of
500MHz and typically 1 GHz is required to provide a typ
ical resolution of 5–20cm, depending on the relative per
mittivity of the material.
When a number of features may be present, a signal
having a larger bandwidth is required to be able to dis
tinguish between the various targets and to show the de
tailed structure of a target. In this context it is the
bandwidth of the received signal that is important, rath
er than that of the transmitted wavelet. The material acts
a lowpass ﬁlter that modiﬁes the transmitted spectrum in
accordance with the electrical properties of the propagat
ing medium. There are some applications of subsurface
radar, such as road layer thickness measurement, where
the feature of interest is a single interface. Under such
circumstances, it is possible to determine the depth sufﬁ
ciently accurately by measuring the elapsed time between
the leading edge of the received wavelet provided the
propagation velocity is accurately known.
Although a greater depth resolution is achieved in wet
ter materials for a given transmitted bandwidth, Earth
materials with significant water content tend to have
higher attenuation properties. This characteristic reduc
es the effective bandwidth, tending to balance out the
change so that within certain bounds the resolution is ap
proximately independent of loss within the propagating
material.
Where interfaces are spaced more closely than a half
wavelength, the reﬂected signal from one interface will
become convolved with that from the other. In such cir
cumstances, some form of deconvolution processing would
be required in order to recognize the responses from the
individual interfaces and to enable them to be character
ized and traced. Such processing is seldom carried out
during standard commercial radar surveys.
It should be noted that the Rayleigh criteria for range
resolution are less appropriate for the case of a weak tar
get adjacent to strong target. For example, if the ampli
tude of the weak target is À20 dB relative to that of the
strong target, different criteria are needed. Thus the res
olution at the À20 dB amplitude level may be a more rel
evant criterion on which to assess the merits of competing
system designs. This is because of the need to detect tar
gets of low radar cross section in close proximity to targets
of high radar cross section.
It can be shown [10] that for equivalent main 3 dB
bandwidths, a radar design using a timedomain, direct
receiver has a considerably better resolution at the
À20 dB level than does a frequencydomain radar. This
is primarily because the receiver of the frequencydomain
radar crosscorrelates the received signal. In essence, res
olution has been achieved at the expense of signaltonoise
ratio, but this may not be so relevant to attenuation
limited operation.
2.9. Plan Resolution
The plan resolution of a subsurface radar system is im
portant when localized targets are sought and when there
is a need to distinguish between more than one at the
same depth. Where the requirement is for location accu
racy, which is primarily a topographic surveying function,
the system requirement is less demanding.
The plan resolution is deﬁned by the characteristics of
the antenna and the signal processing employed. In gen
eral, to achieve an acceptable plan resolution, one must
employ a highgain antenna. This necessitates transmis
sion of a sufﬁciently large aperture at the lowest frequen
cy. To achieve small antenna dimensions and high gain
therefore requires the use of a high carrier frequency,
which may not penetrate the material to sufﬁcient depth.
When selecting equipment for a particular application, it
is necessary to compromise between plan resolution, size
of antenna, the scope for signal processing, and the ability
to penetrate the material. Plan resolution improves as at
tenuation increases, provided there is sufﬁcient signal to
discriminate under the prevailing clutter conditions. In
lowattenuation media the resolution obtained by the hor
izontal scanning technique is degraded, but under these
conditions the use of advanced signal processing tech
niques becomes feasible and synthetic aperture tech
niques can dramatically increase the plan resolution.
These techniques typically require measurements to be
made using transmitter/receiver pairs at a number of an
tenna positions to generate a synthetic aperture or focus
the image. Unlike conventional radars, which generally
use a single antenna, most ground penetrating radar sys
tems use separate transmit and receive antennas in what
has been termed a bistatic mode.
3. PROPERTIES OF MATERIALS
Determination of the dielectric properties of Earth mate
rials remains largely experimental. Rocks, soils, and con
crete are complex materials composed of many different
minerals in widely varying proportions, and their dielec
tric parameters may differ greatly even within materials,
that are nominally similar. Most Earth materials contain
moisture, usually with some measure of salinity. Since the
relative permittivity of water is in the order of 80, even
small amounts of moisture cause a significant increase of
the relative permittivity of the material. A large number
of workers have investigated the relationships between
the physical, chemical, and mechanical properties of ma
terials and their electrical and in particular microwave
properties. In general, they have sought to develop
GROUND PENETRATING RADAR 1837
suitable models to link the properties of the material to its
electromagnetic parameters. Such models provide a basis
for understanding the behavior of electromagnetic waves
within these media. The real and imaginary dielectric
losses as a function of frequency can be plotted over a wide
frequency range, and a typical result is shown in Fig. 2.
Information on the geologic properties of Earth soils
can be found in the Digital Soil Map of the World and De
rived Soil Properties CD r published by the Food and
Agriculture Organisation of the United Nations. This en
ables the 10 map sheets of the world to be classiﬁed in
terms of parameters such as pH, organic carbon content,
carbon/nitrogen ratio, clay mineralogy, soil depth, soil
moisture capacity, and soil drainage class. Such informa
tion is useful in assessing the potential of RF techniques
and particularly GPR for particular geographic regions.
There are two beneﬁts to understanding soil properties
in relation to GPR. (1) to understand the applicability of
GPR to particular soils and hence the possibility of using
GPR to detect buried targets such as pipe, cables, and
landmines and (2) to use GPR to characterise soils and soil
properties.
GPR can provide a detailed map of the subsurface,
which, combined with traditional soil survey methods, can
provide information on the type, lateral extent, and depth
of the soil; the water table; and the layering and features
of the soil and hence its local geology and history.
Since the mid1970s GPR has been used in the united
states by the Department of Agriculture–Natural Resourc
es Conservation Service (USDANRCS) as a quality con
trol tool for soil mapping and investigations. The use of
GPR in soil survey activities has provided information
about the soil resource that would have been unobtainable
by other means or would have been uneconomic to obtain.
An example of the results of this work is shown in Fig. 3.
4. GPR SYSTEMS
The choice of system design is to a large extent governed
by the type of target, the resolution required, and the an
ticipated ground attenuation and clutter. The depth range
of the radar system is likely to be primarily deﬁned by the
soil attenuation, once a particular frequency range has
1×10
8
1×10
8
1×10
9
1×10
10
1×10
11
1×10
11
0 0
4
8
12
16
20
20
Frequency
V
a
l
u
e
f
f
k.f
Figure 2. Real and imaginary dielectric losses plotted as a func
tion of frequency for a typical Earth material with speciﬁed frac
tions of water, sand, silt, and clay. (This ﬁgure is available in full
color at http://www.mrw.interscience.wiley.com/erfme.)
Figure 3. Soil suitability map for GPR applications in the United States. (Courtesy of USDA
NRCS.) (This ﬁgure is available in full color at http://www.mrw.interscience.wiley.com/erfme.)
1838 GROUND PENETRATING RADAR
been chosen. However, it can be shown that considerable
variations (10–30dB) in the sensitivity of competing sys
tem designs actually translate to relatively small changes
in depth performance in lossy soils.
The selection of a suitable waveform for transmission,
at least in terms of resolution, can be considered a func
tion of the duration of the complex envelope of the mea
sured signal. The output from most ultrawideband radar
systems can be compared in terms of a timedomain rep
resentation of the waveform. Almost all types of radar can
be assessed not just by their signaltonoise and signalto
clutter ratios but also by comparing their inherent range
sensitivity. Such a procedure reveals the characteristics
that control radar performance. The design of a GPR sys
tem is deﬁned by the modulation technique and timedo
main, frequencydomain, and noisedomain radar designs
are most likely to be encountered.
The frequencydomain, matchedﬁlter, radar receiver
provides an optimum linear processing of radar in the
presence of noise. The radar signal is processed by a re
ceiver that crosscorrelates the received waveform with a
suitably timedelayed version of the transmitted wave
form. The output results in a compressed pulse in which
the amplitude of the latter and its position in delay time is
related to the target radar characteristic. This type of re
ceiver is widely used to process chirp, steppedfrequency,
coded, and noise waveforms, and the design of such wave
forms is extensively described in the literature. Timedo
main radar systems are simpler in design and use a
sampling receiver to downconvert the radar signals from
the nanosecond timeframe to a millisecond timeframe that
is easier to postprocess. However, a real disadvantage of
the sampling receiver is its limited dynamic range and
high noise ﬂoor.
A key parameter for most radar systems is the mean
power. For portable, closein radars the capacity of the
power sources limits the radiated power. The frequency
domain radar transmits, on a repetitive basis, a nominally
constant amplitude signal whose frequency increases in a
linear progression from the lowest to the highest values.
However, shaping of the envelope of the radiated signal
reduces the mean power compared with the instantaneous
peak value. The timedomain radar transmits, on a repet
itive basis, a shortduration impulse. Consequently the
peak power is significantly greater than the mean power.
This is not the case with noise radar, whose radiated pow
er per unit bandwidth is optimally low compared with the
frequencydomain and timedomain designs.
5. MODULATION TECHNIQUES
There are three basic modulation techniques: timedo
main, frequencydomain, and noisecoded radar.
5.1. TimeDomain Radar
Most commercially available ground probing radar sys
tems use short pulses or impulses such as the Ricker
wavelet shown in Fig. 4. The highspeed sequential sam
pling approach used to acquire RF waveforms produces a
low SNR because the spectrum of the sampling pulse is a
poor match for that of the received pulse. In general, the
dynamic range of the sampling receiver is typically 60 dB,
without time varying gain, and with time varying gain is
equivalent to 90 dB or more. Signal averaging can increase
the effective sensitivity by the amount of averaging, and
this can be typically 10–30dB. The overall dynamic range
is set largely by the ratio of the mean power to the effective
receiver sensitivity and can extend up to 150dB. The an
tennas that can be used are limited to linear phase designs
such as resistively loaded dipoles, TEM horns, or impulse
radiating antennas (IRAs) unless the dispersive proper
ties of the antenna used are compensated by suitable post
processing ﬁltering.
5.2. FrequencyDomain Radar
The main potential advantages of the frequencydomain
radar are the wider dynamic range, lower noise ﬁgure,
and higher mean powers that can be radiated. There are
two main types of frequencydomain radar: frequency
modulated carrier wave (FMCW) and steppedfrequency
carrier wave (SFCW). FMCW radar transmits a continu
ously changing carrier frequency by means of a voltage
controlled oscillator (VCO) over a chosen frequency range
on a repetitive basis as shown in Fig. 5. The received sig
nal is mixed with a sample of the transmitted waveform
and results in a difference frequency that is related to the
phase of the received signal; hence its time delay and
hence range of the target. The difference frequency or in
termediate frequency (IF) must be derived from an I/Q
mixer pair if the information equivalent to a timedomain
representation is required, as a singleended mixer pro
vides only the modulus of the timedomain waveform. The
FMCW radar system is particularly sensitive to certain
parameters. In particular, it requires a high degree of lin
earity of frequency sweep with time to avoid spectral wid
ening of the IF and hence degradation of system
resolution. An assessment of the sensitivity of sidelobe
level to linearity was made by Dennis and Gibbs [11], who
showed the ratio of sidelobe to peak level was dependent
on the sweep linearity. Practically the effect of a nonlin
earity of a few percent is to cause significant sidelobes.
0 16 32 48 64 80 96 112 128
−1
0
1
2
t
(df)
t
Figure 4. Ricker wavelet (amplitude vs. time).
GROUND PENETRATING RADAR 1839
The SFCW radar transmits a series of incremental fre
quencies and stores the received IF signal to then carry
out a fast fourier transform (FFT) reconstruction of the
timedomain equivalent waveform. The SFCW has found
many applications, and the impact of mobile communica
tions technology has had a significant impact on reducing
the cost of radar components for this design. Two forms of
the synthesized radar can be considered. The ﬁrst and
simplest system is steppedfrequency continuouswave ra
dar. The second form is more complex in that each indi
vidual frequency is appropriately weighted in amplitude
and phase prior to transmission. Normally the radar is
calibrated to establish a reference plane for measurement
as well as to reduce the effect of variations in the frequency
characteristics of components and antennas.
A much wider class of antenna is available for use by
the designer of frequencydomain radars. The sensitivity
of the receiver is much better than the timedomain equiv
alent, simply by virtue of its lower bandwidth and hence
lower thermal noise. Typically, a sensitivity of 120dBm is
found, and a system dynamic range of 180 dB is feasible.
However, the FMCW ground probing radar system is par
ticularly sensitive to certain parameters. In particular, it
requires a high degree of linearity of frequency sweep with
time to avoid spectral widening of the IF and hence
degradation of the system resolution.
The main potential advantages of a steppedfrequency
or FMCW ground probing radar are its ability to adjust
the range of frequencies of operation to suit the material
and targets and electromagnetic environment under in
vestigation if the antenna has an adequate passband of
frequencies. It can radiate a higher mean power level per
spectral line, and its ability to integrate the received sig
nal level improves the system sensitivity. The calibration
of the radar does, of course, depend on stable system char
acteristics and antenna parameters that are invariant
with the spacing of the front surface and the antenna. Al
though on ﬁrst consideration frequencydomain radars
should offer a sensitivity superior to that of timedomain
radars, because of their lower receiver bandwidth and,
hence thermal noise, both the type of receiver and the
range sidelobes of the radiated spectrum may result in an
equivalent or worse sensitivity in terms of range resolu
tion as discussed above.
5.3. Noise or PseudoRandom Coded Radar
More recently, work has been carried out on noise modu
lation and pseudorandom coded modulation techniques for
GPR. The main advantage of these methods is that the
energy transmitted is spread more evenly over the spec
trum than with any other modulation method, and hence
the likelihood of interference to other users of the spec
trum is minimized. In addition, the chances of other users
of, say, mobile phones interfering with the GPR operator
are also reduced. The mean power is the lowest of any of
the modulation schemes, and this is helpful in meeting
regulatory requirements.
The transmitted signal has noiselike characteristics,
and the received signal is crosscorrelated with a sample
of the transmitted signal. The range of the target is given
by the time position of the crosscorrelated signal and the
amplitude by the peak of the crosscorrelated signal. Con
trol of the crosscorrelation sidelobes is vital to achieve
good range resolution, and the sidelobes are affected by
the antenna and system characteristics as well as the du
ration and randomness of the transmitted waveform. Fur
ther information is given by Narayan et al. [12] and Sachs
et al. [13].
6. ANTENNAS
In the ultrawideband case the radar antennas are consid
ered in terms of their transfer function rather than their
gains or effective apertures. In many cases separate trans
mit and receive antennas are used; hence their transfer
functions may not be identical. The type of antenna that is
used with ultrawideband radar has an important role in
deﬁning the performance of the radar.
The types of antenna that are useful to the designer of
ultrawideband radar fall into two groups: dispersive an
tennas and nondispersive antennas. However, in princi
ple, all antennas are dispersive to some extent. Examples
of dispersive antennas that have been used in ultrawide
band radar are the exponential spiral, the Archimedean
spiral, the logarithmic planar antenna, the Vivaldi anten
na, slot antennas, and the exponential horn. The impulse
response of this class of antenna is extended, and gener
ally results in a ‘‘chirp’’ waveform if the input is an im
pulse. Examples of nondispersive antennas are the TEM
horn; the bicone; the bowtie; the resistive, lumpedele
ment loaded antenna; and the continuously, resistively
loaded antenna. The input voltage driving function to the
terminals of the antenna in an impulse radar is typically a
Gaussian pulse, and this requires the impulse response of
the antenna to be extremely short, mainly to prevent the
antenna from distorting the input function and generating
0 32 64 96 128 160 192 224 256
–1
–0.5
0
0.5
1
a
t
t
Figure 5. Typical FMCW transmitted
swept waveform (amplitude vs. time).
1840 GROUND PENETRATING RADAR
time sidelobes. These time sidelobes would obscure targets
that are close in range to the target of interest; in other
words, the resolution of the radar can become degraded if
the impulse response of the antenna is significantly
extended.
Element antennas are characterized by linear polar
ization, low directivity, and relatively limited bandwidth
unless either end loading or distributed loading tech
niques are employed, in which case bandwidth is in
creased at the expense of radiation efﬁciency. Horn
antennas have found most use with FMCW ultrawide
band radars where the generally higher frequency of op
eration and relaxation of the requirement for linear phase
response permit the consideration of this class of antenna.
FMCW ultrawideband radars have used an offset para
boloid fed by a ridged horn. This arrangement was de
signed to focus the radiation into the ground at a slant
angle to reduce the level of the reﬂection from the ground.
Care needs to be taken in such arrangements to minimize
the effect of back and sidelobes from the feed antenna,
which can easily generate reﬂection from the ground
surface.
One method of radiating circular polarization is to use
an equiangular spiral antenna. The dispersive nature of
this type of antenna causes an increase in the duration of
the transmitted waveforms, and the radiated pulse takes
the form of a ‘‘chirp’’ in which high frequencies are radi
ated ﬁrst, followed by the low frequencies. This effect,
however, may be compensated by a ‘‘spiking’’ ﬁlter, which
may take the form of a conventional matched ﬁlter or a
more sophisticated ﬁlter such as Wiener ﬁlter.
7. SIGNAL AND IMAGE PROCESSING
The most basic GPR data record is an A scan, and an ex
ample is shown in Fig. 6. An A scan provides an ampli
tude–time record of a single measurement over a target.
Only amplitude range information is plotted. Ground pen
etrating radar is generally used in such a way as to gen
erate a sequence of A scans related to the survey position
on the ground surface. This sequence can be termed a B
scan, and an example is shown in Fig. 7. This effectively
represents on one axis (z) depth and the orthogonal axis
(x or y) linear position. The amplitude of the signal may be
shown as a series of overlapping signals or alternatively a
‘‘wiggle plot’’ (borrowed from the seismic terminology) or a
grayscale coded intensity plot or a pseudocolor image. In
the modeled example shown, the hyperbolic spreading of
the target spatial response can be seen. As shown in Fig. 8,
a C scan consists of a plan view (x,y plane over a deﬁned
range of depth z).
As the antennas generally used for surface penetrating
radars have a poor directivity, the pattern of the reﬂected
waveform in the B scan represented the spatial convolu
tion of the antenna pattern with the point source of the
target. This pattern may be deconvolved using any of the
following processes: synthetic aperture processing, conju
gate gradient methods, and reverse time migration. Many
of these techniques work well on isolated targets such as
pipes, which have well deﬁned geometric boundaries. The
situation is more difﬁcult with stratiﬁed layers and, of
course, anisotropic materials. When a focused image of the
buried object is created, whether as a B or C scan (area at
a particular range of depths), it is necessary to interpret
0 20 40 60 80 100 120 140 160 180 200
−1
−0.5
0
0.5
1
composite(t−offset) output (t)
t
N
5
Figure 6. Typical example of GPR A
scan (amplitude/timemodeled data).
Figure 7. Typical example of B scan (y, z axis, gray scale image of
modeled data).
GROUND PENETRATING RADAR 1841
the radar image as being generated by a physical struc
ture. This is not always easy in the case of a cluttered im
age, and a great deal still depends on the ﬁeld experience
of the operator.
Automated methods based on standard image process
ing methods (mask ﬁltering), image matching, and similar
methods, as well as methods based on neural networks,
have been investigated. The variability of ground condi
tions, as well as the physics of EM wave propagation and
reﬂection, must be carefully taken into account in gener
ating pattern libraries. For example, the depth image of a
void is always apparently smaller than the void’s physical
size; corner reﬂectors of any reasonable size generate
large, apparently discontinuous reﬂection images; and con
ductive targets, which reverberate by means of stored en
ergy, create extendeddepth images. The image of a buried
target generated by a subsurface radar will not, of course,
correspond to the target’s geometric representation. The
fundamental reasons for this are related to the ratio of the
wavelength of the radiation and the physical dimensions of
the target. In most cases for surface penetrating radar, the
ratio is close to unity. This compares very differently with
an optical image, which is obtained with wavelengths such
that the ratio is considerably greater than unity. In ground
penetrating radar, applications, the effect of combinations
of scattering planes, for example, the corner reﬂector, can
cause ‘‘bright spots,’’ in the image and variations in the
velocity of propagation can cause dilation of the aspect
ratio of the image. While many images can be focused to
reduce the effect of antenna beamspreading, regeneration
of a geometric model is a much more complex procedure
and is rarely attempted.
The general objective of signal processing as applied to
ground penetrating radar is to present either an image
that can readily be interpreted by the operator or to
classify the target return with respect to a known test
procedure or template. While much work has been carried
out on 3D SAR processing, there is a tendency for this to
be restricted to situations where the customer is prepared
to pay for the additional information.
The general processing problem encountered in dealing
with ground penetrating radar data is in the widest sense
the extraction of a localized wavelet function from a time
series that displays timedomain characteristics very sim
ilar to those of the wavelet. This time series is generated
by signals from the ground and other reﬂecting surfaces,
as well as internally from the radar system. Unlike con
ventional radar systems in which the target can generally
be regarded as being in motion compared with the clutter,
in the ground penetrating radar case, the target and the
clutter are spatially ﬁxed and the radar antenna is moved
with respect to the environment.
It is assumed that data are recorded to an adequate
resolution and bandwidth. Most antennas used in surface
penetrating applications have a limited lowfrequency re
sponse and tend to act as highpass ﬁlters effectively dif
ferentiating the applied impulse, hence creating a
wavelet. In the case of antennas operated in close prox
imity to the ground, the antenna characteristics may vary
as a result of changes in the ground surface electrical pa
rameters. Any processing scheme that relies on invariant
antenna parameters should take into account the mode of
operation of the antennas and the degree of stability that
is practically realizable. This is a particular issue for GPR
and needs careful attention to reduce the effect of anten
na–ground surface interaction.
Alternative methods of processing are associated with
identifying target resonances using singularity expansion
methods (SEMs) to evaluate the target response. Early
research using Prony methods encountered difﬁculties
due to the illconditioned nature of natural frequency
extraction from noisy data.
Some of the ancillary requirements of an operational
subsurface radar system need to be considered. There is a
need for an accurate, smallscale, lowcost position refer
encing system for use with radar for subsurface survey
techniques. It is important that data can be related to a
true geographic reference particularly when ﬁled on dig
ital mapping systems and used to deﬁne areas of safe
working. It is necessary to provide some means of
scanning the antenna. Obviously a basic approach is the
Figure 8. Typical example of C scan (x–y plane at deﬁned zrange
color image of modeled data of buried landmines). (This ﬁgure is
available in full color at http://www.mrw.interscience.wiley.com/
erfme.)
Figure 9. GPR data from reinforcedconcrete roadway taken with
1GHz SPR radar system at 50ns time window and 3m horizontal
distance. (Courtesy of ERATechnology.) (This ﬁgure is available in
full color at http://www.mrw.interscience.wiley.com/erfme.)
1842 GROUND PENETRATING RADAR
handheld device, but this places some limitations on the
signal processing strategies.
Another consideration is the plane of polarization of the
electromagnetic energy. For targets with one large area
dimension such as a pipe, the radar crossscattering sec
tion will be larger when the polarization vector is in line
with the pipe. This means that any area that is surveyed
with, say, parallel dipoles must be surveyed in orthogonal
directions to ensure that no targets are missed. The same
principle also relates to crossed dipole antennas.
8. APPLICATIONS
8.1. Introduction
It is possible to provide only a brief summary of the wide
variety of the applications for GPR, which has in some
cases become an established and routine method of sub
surface investigation. In other applications, such as bore
hole detection, the technique is under development,
whereas in others, such as mine detection, basic research
is being carried out, although some equipment is now be
ing used in ﬁeld trials. GPR, in the hands of an expert,
provides a safe and noninvasive method of conducting
speculative searches without the need for unnecessary
disruption and excavation.
GPR has significantly improved the efﬁciency of the
exploratory work that is fundamental to the construction
and civil engineering industries, the police and forensic
sectors, security/intelligence forces, and archaeological
surveys.
GPR has been very successfully used in forensic inves
tigations. The most notorious cases are in the United
Kingdom in 1994, when the gravesites, under concrete
and in the house of Fred West, of the victims of the serial
murderer, were pinpointed. In Belgium, the gravesites of
the victims of the pedophile Dutroux were detected in
1996.
Archaeological applications of GPR have been varied,
ranging from attempts to detect the Ark to the exploration
of Egyptian (see Fig. 10) and North American Indian sites
as well as castles and monasteries in Europe. The quality
of the radar image can be exceptionally good, although
correct understanding normally requires joint interpreta
tion by the archaeologists and radar specialists see
(Fig. 11).
Abandoned antipersonnel landmines and unexploded
ordnance are a major hindrance to the recovery of many
countries from war. Their effect on the civilian population
is disastrous, and major efforts are being made by the in
ternational community to eliminate the problem. Most de
tection is done with metal detectors, which respond to the
large amount of metallic debris in abandoned battleﬁeld
areas and hence have difﬁculty in detecting the minimum
metal or plastic, mine. GPR technology is being applied to
this problem as a means of reducing the falsealarm rate
and providing improved detection of lowmetalcontent
mines. An example of data gathered from a 4m wide
GPR 32channel array is shown in Fig. 12.
GPR has been used for surveying many different types
of geologic strata ranging from exploration of the Arctic
and Antarctic icecaps and the permafrost regions of North
America, to mapping of granite, limestone, marble, and
other hard rocks as well as geophysical strata.
The thickness of the various layers of a road can be
measured using radar techniques. The great advantage is
that this method is nondestructive and highspeed
(440 km/h) and can be applied dynamically to achieve a
continuous proﬁle or rolling map. The accuracy of calibra
tion tends to reduce as a function of depth because of the
attenuation characteristics of the ground. The accuracy
may be quite high (i.e., a few millimeters) for the surface
wearing course but will degrade to centimeters at depths
of 1m. An example is shown in Fig. 9.
While most GPR systems are used in close proximity to
the ground, airborne systems have been able to map ice
formations and glaciers, and penetrate through forest can
opy. Airborne GPR, processed using synthetic aperture
techniques, has been used to detect buried metallic mines
from a height of several hundred meters. In addition, the
SIRC satellite SAR radar has imaged buried artefacts in
desert conditions, and the JPL Website http://southport.
Figure 10. GPR system in use for archaeological surveying in
Saqqara, Eygpt. (Courtesy of ERA Technology.)
Grayel ridge (manmade)
Natural desert
floor
Sand filled
ditch North face of
South wall?
Section across the south wall (Line 62)
Figure 11. Radar cross section through buried wall (horizontal
15m; vertical 3.5m). (Courtesy of ERA Technology.)
GROUND PENETRATING RADAR 1843
jpl.nasa.gov/sirc/ is an important source of radar
imagery.
A list of the applications is given below, and the reader
can ﬁnd further information from the literature and pub
lications referenced:
Archaeological investigations
Bridge deck analysis
Borehole inspection
Building condition assessment
Contaminatedland investigation
Detection of buried mines (antipersonnel and antitank)
Evaluation of reinforced concrete
Forensic investigations
Geophysical investigations
Medical imaging
Pipes and cable detection
Planetary exploration
Rail track and bed inspection
Remote sensing from aircraft and satellites
Road condition survey
Security applications
Snow, ice, and glaciers
Timber condition
Tunnel linings
Wall condition
Readers are encouraged to review the applications de
scribed in the following sources.
8.2. GPR Conferences
GPR 2000—Gold Coast, Australia 8th Int. Conf.
Ground Penetrating Radar, David Noon, University
of Queensland; email noon@cssip.uq.edu.au.
GPR ‘98—Lawrence, Kansas, USA 7th Int. Conf.
Ground Penetrating Radar Dr. Richard Plumb,
Univ. Kansas; email rplumb@binghamton.edu.
GPR ‘96—Sendai, Japan 6th Int. Conf. Ground Pene
trating Radar, Prof. Motoyuki Sato, Tohoku Univ.
email sato@cneas.tohoku.ac.jp.
GPR ‘94—Kitchener, Ontario Canada 5th Int. Conf.
Ground Penetrating Radar, David Redman, Sensors
& Software; email dr@sensoft.ca.
GPR ‘92—Rovaniemi, Finland 4th Int. Conf. Ground
Penetrating Radar, Pauli Hanninen, Geological Sur
vey of Finland.
GPR ‘90—Lakewood, Colorado (USA) 3rd Int. Conf.
Ground Penetrating Radar, Prof. Gary Olhoeft, Col
orado School of Mines; email golhoeft@mines.edu.
1988—Gainesville, Florida (USA) 2nd Int. Symp. Geo
technical Applications of Ground Penetrating Radar,
Mary Collins, Univ. Florida; email mec@gnv.ifas.
uﬂ.edu.
1986—Tifton, Georgia (USA) 1st Int. Conf. Geotechni
cal Applications of Ground Penetrating Radar.
8.3. International Workshops on Advanced GPR
IWA GPR Delft 01, 1st Int. Workshop on Advanced
Ground Penetrating Radar (International Work
shop), proceedings published in Subsurface Sensing
Technologies and Applications (Kluwer Academic
Publishers).
IWA GPR Delft 03, 2nd Int. Workshop on Advanced
Ground Penetrating Radar (International Work
shop), Weblink http://irctr.et.tudelft.nl/IWAGPR/.
8.4. Institution of Electrical Engineers (UK)
See also Radar 2002; http://www.iee.org/Publish/
Digests/conf2002.cfm.
See the IEE Proceedings of Radar, Sonar, and Naviga
tion; Weblink http://ioj.iee.org.uk/journals/iprsn.
See Edinburgh MD96, Detection of Abandoned Land
mines (Main Past Conf.); Weblink http://
www.iee.org/Publish/Digests/conf1996.cfm.
See Edinburgh MD98, 2nd Int. Conf. Detection of
Abandoned Land mines (Main Past Conf.); Weblink
http://www.iee.org/Publish/Digests/con
f1998.cfm.
8.5. Institution of Electrical and Electronic Engineers (USA)
See proceedings particularly of the societies for
Antennas and Propagation; http://www.ieeeaps.org/.
Aerospace and Electronic Systems; http://
ewh.ieee.org/soc/aes/.
For Radar conferences, see also http://www.
ewh.ieee.org/soc/aes/Conferences.html.
Geoscience and Remote Sensing; http://www.
ewh.ieee.org/soc/grss/.
Microwave Theory and Transactions; http://
www.mtt.org/.
Figure 12. Radar plan image of buried AT
mines (4m swathe width; 10m survey
length). (Courtesy of ERA Technology.) (This
ﬁgure is available in full color at http://
www.mrw.interscience.wiley.com/erfme.)
1844 GROUND PENETRATING RADAR
8.6. SPIE Conferences
SPIE Orlando—SPIE Detection and Remediation Tech
nologies for Mines and Minelike Targets 1995 to 2003;
http://spie.org/app/conferences/index.cfm?fuseaction ¼
archive & year ¼2002.
8.7. Geophysics
http://www.geoonline.org/.
8.8. Subsurface Sensing Technologies and Applications
http://www.kluweronline.com/issn/15660184.
8.9. Literature on GPR Applications
D. J. Daniels, Ground Penetrating Radar, IEE Radar
Sonar Navigation and Avionics Series, Vol. 6, 1996.
M. Skolnik, Introduction to Radar Systems, 2nd ed.,
McGrawHill, 1981.
S. Cloude, Introduction to Electromagnetic Wave Prop
agation and Antennas, UCL Press, 1995.
J. Hunter, C. Roberts, and A. Martin, Studies in Crime:
An Introduction to Forensic Archaeology, B. T. Batsford
Ltd. 1996.
9. REGULATION
All countries require that GPR systems be properly regu
lated and operated in accordance with national and inter
national requirements. Users should consult with their
national authorities to determine the regulatory environ
ment.
Within the European Union (EU) there are two main
considerations governing the use of ground penetrating
radar (GPR): (1) the use of the equipment as a deliberate
radiofrequency radiator and (2) usage as equipment that
must satisfy the EMC requirements of the EU. The ETSI
regulatory body is in the process of drafting speciﬁcations,
and information can be found at http://www.etsi.org that
will cover the use of such equipment as a deliberate ra
diofrequency radiator. Planned legislation and an ETSI
product speciﬁcation at some undeﬁned time in the future
means that this equipment will eventually need to con
form to the R&TTE directive. In the short term until a
new product speciﬁcation is introduced and formally pub
lished in the Ofﬁcial Journal of the European Communi
ties, the EMC directive should be applied. All equipment,
including ultrawideband radar or ground probing radar,
must be CE marked to demonstrate that it satisﬁes the
relevant directives of the European Union. The CE mark
may be applied only when the requirements of all other
relevant EU directives, such as safety, have also been
demonstrated.
In the United States the FCC Website http://
www.fcc.gov/aboutus.html provided the following infor
mation in February 2002:
Feb 2002 Washington, D.C.—The Federal Communication
Commission (FCC) adopted today a First Report and Order
that permits the marketing and operation of certain types
of new products incorporating ultrawideband (‘‘UWB’’)
technology. UWB technology holds great promise for a vast
array of new applications that have the potential to provide
significant beneﬁts for public safety, businesses and consum
ers in a variety of applications such as radar imaging of objects
buried under the ground or behind walls and shortrange,
highspeed data transmissions.
UWB devices operate by employing very narrow or short du
ration pulses that result in very large or wideband transmis
sion bandwidths. With appropriate technical standards, UWB
devices can operate using spectrum occupied by existing radio
services without causing interference, thereby permitting
scarce spectrum resources to be used more efﬁciently. This
First Report and Order (‘‘Order’’) includes standards designed
to ensure that existing and planned radio services, particular
ly safety services, are adequately protected. The FCC will act
vigorously to enforce the rules and act quickly on any reports
of interference.
The standards adopted today represent a cautious ﬁrst step
with UWB technology. These standards are based in large
measure on standards that the National Telecommunications
and Information Administration (‘‘NTIA’’) believes are neces
sary to protect against interference to vital federal govern
ment operations. Since there is no production UWB equipment
available and there is little operational experience with the
impact of UWB on other radio services, the Commission chose
in this First Report and Order to err on the side of conserva
tism in setting emission limits when there were unresolved
interference issues. The Commission intends within the next
six to twelve months to review the standards for UWB devices
and issue a further notice of proposed rule making to explore
more ﬂexible standards and address the operation of addition
al types of UWB operations and technology.
Ground Penetrating Radar Systems: GPR’s must be operated
below 960MHz or in the frequency band 3.1–10.6GHz. GPR’s
operate only when in contact with or within close proximity of,
the ground for the purpose of detecting or obtaining the im
ages of buried objects. The energy from the GPR is intention
ally directed down into the ground for this purpose. Operation
is restricted to law enforcement, ﬁre and rescue organizations,
to scientific research institutions, to commercial mining com
panies, and to construction companies.
It is understood that waivers have been granted to cer
tain operators and the FCC are in the process of reviewing
the policy announced in 2002. In February 2003 the fol
lowing announcement was made:
In response to the petitions, the Commission amended the
rules to facilitate the operation of throughwall imaging sys
tems by law enforcement, emergency rescue and ﬁreﬁghter
personnel in emergency situations; eliminated the require
ment that GPR’s and wall imaging systems operate with their
À10dB bandwidths below 960MHz or above 3.1 GHz; speci
ﬁed the limitations on who may operate ground penetrating
radar (GPR) systems and wall imaging systems and for what
purposes; eliminated the requirement for nonhand held
GPR’s to employ a dead man switch; clariﬁed the coordination
requirements for imaging devices; and clariﬁed the rules re
garding emissions produced by digital circuitry used by UWB
transmitters.
For more information, see http://www.gpr.com/.
GROUND PENETRATING RADAR 1845
10. SUMMARY
Advances in the performance and design of lightweight
and compact GPR radar sensors have been significant
since the mid1990s because of the impact of the telecom
munications industry and availability of affordable high
power computing; the volume of published papers and
conferences, some devoted entirely to GPR, has risen con
siderably since then. Inevitably there have been some
claims for GPR capability that are simply outside the
realms of known physics and unfortunately have been ac
cepted by some sections of the media. Tuley et al. [14] give
an excellent review of one such claim. There has also been
some duplication of basic research. However, develop
ments in the ﬁeld of noise and pseudorandom coded [15]
modulation techniques together with better signal and
image processing algorithms as well as spinoff from im
proved microwave technology originating from the tele
communications industry will have a significant impact on
GPR in the future.
It is reasonable to conclude that GPR is now an estab
lished branch of science. It has links to electronic engi
neering, mathematics, signal processing, geophysics, civil
engineering, structural engineering, archaeology, forensic
science planetary exploration, as well as unexploded or
dance (UXO) clearance and mining. GPR has achieved ac
ademic recognition as well as commercial impact and
seems set to continue its impact into all branches of
human activity where buried objects are sought.
BIBLIOGRAPHY
1. D. J. Daniels, Ground Penetrating Radar, 2
nd
ed., IEE Radar
Sonar Navigation and Avionics Series, London, 2004.
2. C. E. Cook and M. Bernfeld, Radar Signals, An Introduction
to Theory and Application, Artech House, Norwood, MA,
1993, p. 9.
3. M. Skolnik, Radar Handbook, 2
nd
ed., McGrawHill, New
York, 1985, Chap. 10.
4. F. Nathanson, Radar Design Principles, SciTech Publishing,
1969, Chap. 8, pp. 276–318.
5. D. R. Wehner, High Resolution Radar, Artech House, Nor
wood, MA, Chap. 4.
6. G. Galati, Advanced Radar Techniques and Systems, IEE
Radar Sonar Navigation and Avionics Series, London, 1994,
Vol. 4, p. 104.
7. L. Y. Astanin and A. A. Kostylev, UltraWideband Radar
Measurements Systems, IEE Radar Sonar Navigation and
Avionics Series, London, 1997, Vol. 7, Chap. 1.
8. P. Debye, Polar Molecules, Chemical Catalog Co., New York,
1929.
9. K. S. Cole and R. S. Cole, Dispersion and absorption in di
electrics, I, alternating current characteristics, J. Phys. Chem.
9: 341–351 (1941).
10. D. J. Daniels, Resolution of UWB signals, IEE Proc. Radar
Sonar and Navig. 146:189–194 (Aug. 1999).
11. P. Dennis and S. E. Gibbs, Solidstate linear FMCW
systems—their promise and their problems, Proc. IEEE Int.
Microwave Conf., Atlanta, 1974, pp. 340–345.
12. R. M. Narayanan, Y. Xu, P. D. Hoffmeyer, and J. O. Curtis,
Design, performance, and applications of a coherent random
noise radar, Opt. Eng. 37(6):1855–1869 (June 1998).
13. J. Sachs, P. Peyerl, F. Tkac, and M. Kmec, Digital ultrawide
bandsensor electronics integrated in SiGetechnology, Proc.
EuMC, Milan (Italy), Sept. 2002, Vol. II, pp. 539–542.
14. M. T. Tuley, J. M. Ralston, F. S. Rotondo, A. M. Andrews, and
E. M. Rosen, Evaluation of EarthRadar unexploded ordnance
testing at Fort A.P. Hill, Virginia, IEEE Aerospace Electron.
Syst. Mag. 17(5):10–12 (May 2002).
15. J. Sachs and P. Peyerl, Chip integrated UWB radar electron
ics, Proc. 3rd DTIF Workshop on Ground Penetrating Radar
in Support of Humanitarian Demining, JRC, Ispra (Italy),
Sept. 2002.
GUIDED ELECTROMAGNETIC WAVES
WILLIAM T. JOINES
Duke University
Closedform solutions for TEM, TM, and TE waves in
guiding structures are obtained from Maxwell’s equations.
Propagation parameters, frequency ranges, broadbanding
techniques, and design examples are presented. Dielectric
waveguides for microwave and optical frequencies are also
presented.
1. MAXWELL’S EQUATIONS
Maxwell’s equations in differential form, as determined
from Faraday’s, Ampere’s, and Gauss’ laws, respectively,
are
rÂE¼ À
@B
@t
ð1Þ
rÂH¼Jþ
@D
@t
ð2Þ
r
.
D¼r ð3Þ
r
.
B¼0 ð4Þ
In these equations, E is the electric ﬁeld intensity in V/m,
H is the magnetic ﬁeld intensity in A/m, D¼eE is the
electric ﬂux density in C/m
2
, e is the electric permittivity
in F/m, J¼sE is the conduction current density in A/m
2
,
s is the electrical conductivity in S/m, r is electric charge
density in C/m
3
, B¼mH is the magnetic ﬂux density
in Wb/m
2
(or tesla) and m is the magnetic permeability in
H/m.
2. PROPAGATING SINE WAVES AND THE
WAVE EQUATION
For signals oscillating sinusoidally in time it is convenient
to represent the time variation as e
jot
. Thus, the electro
1846 GUIDED ELECTROMAGNETIC WAVES
magnetic ﬁelds are expressed as Eðx; y; z; tÞ ¼Eðx; y; zÞe
jot
,
and Hðx; y; z; tÞ ¼Hðx; y; zÞe
jot
. Substituting these expres
sions into the differential form of Maxwell’s equations giv
en in (1)–(4) yields the sinusoidal steadystate form as
rÂE¼ ÀjomH ð5Þ
rÂH¼ðs þjoeÞE ð6Þ
r
.
D¼r ð7Þ
r
.
B¼0 ð8Þ
where the last two equations are unchanged since no time
derivative is involved.
A wave equation for E and H is derived by taking the
curl of both sides of (5) and (6), and then using the vector
identity
rÂrÂE¼rðr
.
EÞ Àr
2
E ð9Þ
Thus, from (5), (6), and (9), we obtain
rÂrÂE¼ ÀjomðrÂHÞ ð10Þ
and
rðr
.
EÞ Àr
2
E¼ Àjomðs þjoeÞE ð11Þ
If in the region of interest, r ¼0, and eOeðx; y; zÞ, then
from (7), r
.
E¼0, and (11) takes a convenient form of the
wave equation as
r
2
E¼jomðs þjoeÞE¼g
2
E ð12Þ
A similar procedure, starting with the curl of both sides of
(6), yields an identical equation involving H as
r
2
H¼jomðs þjoeÞH¼g
2
H ð13Þ
In (12) and (13), we obtain
g ¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
jomðs þjoeÞ
_
¼a þjb ð14Þ
where g is the propagation constant, a is the attenuation
constant, and b is the phase constant, all expressed per
unit length.
Solutions to the wave equations for E and H may be
obtained most conveniently by separation of variables, as
shown in the next section.
3. SOLUTIONS FOR TEM, TM, AND TE WAVES [1,2]
Allowing all polarizations of E in rectangular coordinates,
(12) may be expressed as
r
2
ðE
x
^ xx þE
y
^ yy þE
z
^ zzÞ ¼g
2
ðE
x
^ xx þE
y
^ yy þE
z
^ zzÞ ð15Þ
where ^ xx; ^ yy, and ^ zz are unit vectors. Thus, a typical term is
r
2
E
z
¼g
2
E
z
ð16Þ
Substituting the separatedvariable solution E
z
(x, y, z) ¼
X(x)Y(y)Z(z) into (16), and dividing by XYZ, produces the
result
1
X
d
2
X
dx
2
þ
1
Y
d
2
Y
dy
2
þ
1
Z
d
2
Z
dz
2
¼g
2
¼ Àk
2
x
Àk
2
y
Àk
2
z
ð17Þ
From (17), it will be convenient to let
k
2
z
¼ Àðg
2
þk
2
x
þk
2
y
Þ ¼ ÀG
2
ð18Þ
or
G¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
g
2
þk
2
x
þk
2
y
_
ð19Þ
where the propagation constants k
x
, k
y
, and G are to be
determined.
Equating terms in (17) yields three ordinary differen
tial equations that have the implied solutions indicated in
the following:
d
2
X
dx
2
þk
2
x
X ¼0 !XðxÞ ¼A
1
cos k
x
x þB
1
sin k
x
x ð20Þ
d
2
Y
dy
2
þk
2
y
Y ¼0 !YðyÞ ¼A
2
cos k
y
y þB
2
sin k
y
y ð21Þ
d
2
Z
dz
2
ÀG
2
Z¼0 !ZðzÞ ¼A
3
e
ÀGz
þB
3
e
Gz
ð22Þ
We express a sinusoidally timevarying, zpolarized wave
propagating in the þz direction as
E
z
ðx; y; z; tÞ ¼E
z
ðx; y; zÞe
jot
¼XðxÞYðyÞe
jotÀGz
ð23Þ
and all the other components of E and H are expressed in a
similar form.
In (23), in order to produce the term e
jðotÀjGjzÞ
necessary
for wave propagation to occur, G must be imaginary.
Taking the dielectric material through which the wave
propagates to be perfect (s ¼0), then g
2
¼ jomðs þjoeÞ ¼
Ào
2
me. The propagation condition is
G¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
g
2
þk
2
x
þk
2
y
_
¼j
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
o
2
me Àk
2
x
Àk
2
y
_
¼jb
g
ð24Þ
and wave propagation occurs if b
g
(the phase constant of
the waveguiding structure) is real. At b
g
¼0, no propa
gation occurs, which deﬁnes a cutoff frequency
f
c
¼
o
c
2p
¼
1
2p
ﬃﬃﬃﬃﬃ
me
p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
k
2
x
þk
2
y
_
ð25Þ
GUIDED ELECTROMAGNETIC WAVES 1847
Substituting (25) into (24) yields
G¼j
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
o
2
me Ào
2
c
me
_
¼jo
ﬃﬃﬃﬃﬃ
me
p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
f
c
f
_ _
2
¸
¼jb
g
ð26Þ
These parameters will be examined further for different
waveguiding structures.
All of the ﬁeld solutions, expressed in the form XYe
ÀGz
,
satisfy the wave equation, and the solutions must also
satisfy the boundary conditions imposed by the guiding
structure. For guided waves, the basic wave types are
transverse electromagnetic (TEM) waves, transverse mag
netic (TM) waves, and transverse electric (TE) waves. For
propagation guided in the z direction, a TEM wave has
components of E and H that are perpendicular (or trans
verse) to the z axis, and thus by definition, E
z
¼H
z
¼0. A
TM wave has components of H perpendicular to the z axis,
but by definition, H
z
¼0. A TE wave has components of E
perpendicular to the z axis, but by definition, E
z
¼0. These
wave types and polarizations are illustrated in Fig. 1,
where the TE and TM waves are guided by reﬂecting rays
at specific angles (y) between the parallel metal plates at
x ¼0 and x ¼a.
The guiding structures may take on a variety of forms,
but two important ones are diagramed in Fig. 2: Fig. 2a is
a parallelplate transmission line with plate separation a
and width w; Fig. 2b is a rectangular waveguide with in
side width a and height b. Within the parallelplate line
depicted in Figs. 1 and 2a, a TEM wave can propagate at
all frequencies, and TM and TE waves can propagate at all
frequencies above a certain cutoff frequency (f
c
) that will
be determined later. Within the closed structure of the
rectangular waveguide, TM and TE waves can propagate
at all frequencies above their cutoff frequencies (f
c
differs
for TM and TE waves in the closed waveguide), but TEM
waves cannot exist within the closed waveguide.
3.1. Transverse Electromagnetic (TEM) Waves
To show that TEM waves cannot exist, and therefore prop
agate, within the rectangular waveguide, proceed to solve
for a propagating wave as if one may exist. Assume solu
tions of the form XYe
ÀGz
for E
x
, E
y
, H
x
, and H
y
, take E
z
¼
H
z
¼0 by definition, and substitute the assumed solutions
into Maxwell’s curl equations. First, rÂE¼ ÀjomH
yields
0þGE
y
¼ ÀjomH
x
ð27Þ
ÀGE
x
þ0¼ ÀjomH
y
ð28Þ
@E
y
@x
À
@E
x
@y
¼0 ð29Þ
and rÂH¼ðs þjoeÞE yields
0 þGH
y
¼ðsþjoeÞ E
x
ð30Þ
ÀGH
x
þ0 ¼ðsþjoeÞ E
y
ð31Þ
@H
y
@x
À
@H
x
@y
¼0 ð32Þ
where the common term e
ÀGz
has been canceled in each
equation.
From (27), (28), (30), and (31), we obtain
À
E
y
H
x
¼
E
x
H
y
¼
jom
G
¼
G
sþjoe
ð33Þ
Therefore, G
2
¼jomðs þjoeÞ ¼g
2
, and k
x
¼k
y
¼0, which
allows no variation of E and H in the x–y plane. Thus,
boundary conditions cannot be satisﬁed within the closed
structure, and TEM waves cannot exist.
Since G
2
¼g
2
for TEM waves, the wave equations for E
x
and H
y
within the parallelplate transmission line are
d
2
E
x
dz
2
¼g
2
E
x
and
d
2
H
y
dz
2
¼g
2
H
y
ð34Þ
If wba for the parallelplate line, then E
x
and H
y
repre
sent uniform ﬁelds between the plates. By applying Fara
day’s law between the conducting plates, and Ampere’s
law around the plates, the ﬁelds are related to the voltage
(a)
x
a
a
a
z
y
E
P=E×H
(c)
x
z
y
H
E
P
P
(b)
x
z
y
H
P
P
E
H
Figure 1. Waves guided between parallel metal plates spaced
a distance a apart: (a) TEM waves—E¼E
x
^ xx; H¼H
y
^ yy; E
z
¼0;
(b) TM waves—E¼ ÀE
x
^ xx ÀE
z
^ zz; H¼ ÀH
y
^ yy; H
z
¼0; (c) TE
waves—E¼E
y
^ yy; H¼ ÀH
x
^ xx ÀH
z
^ zz; E
z
¼0.
x
y
a
b
z
x
y
w
a
(a) (b)
z
Figure 2. Two important structures for guiding waves: (a) par
allelplate line of width w and spacing a; (b) closed rectangular
waveguide of inside width a and height b.
1848 GUIDED ELECTROMAGNETIC WAVES
and current at any point z by
E
x
¼
VðzÞ
a
and H
y
¼
IðzÞ
w
ð35Þ
Thus, V(z) and I(z) also satisfy the wave equation, and for
waves propagating in the þz direction they have the so
lutions
VðzÞ ¼Ae
Àgz
and IðzÞ ¼
A
Z
0
e
Àgz
ð36Þ
where A is a constant and Z
0
is the characteristic imped
ance of the transmission line. As in (33), since E
x
/H
y
¼Z,
the intrinsic impedance of the material between the
plates, it is easily determined from foregoing relations
that
Z
0
¼
VðzÞ
IðzÞ
¼
E
x
a
H
y
w
¼
a
w
Z ¼
a
w
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
jom
s þjoe
¸
ð37Þ
for the parallelplate line considered here.
3.2. Transverse Magnetic (TM) Waves
Returning to the rectangular waveguide of width a and
height b, since H
z
¼0 by definition for TM waves, select
E
z
¼XYe
ÀGz
as a solution that cannot vanish if a solution
does exist. Assuming solutions of the form XYe
ÀGz
for E
x
,
E
y
, H
x
, and H
y
, substitute the assumed solutions into Max
well’s curl equations. First, rÂE¼ ÀjomH yields
@E
z
@y
þGE
y
¼ ÀjomH
x
ð38Þ
ÀGE
x
À
@E
z
@x
¼ ÀjomH
y
ð39Þ
@E
y
@x
À
@E
x
@y
¼0 ð40Þ
and rÂH¼ðsþjoeÞE yields
0þGH
y
¼ðsþjoeÞ E
x
ð41Þ
ÀGH
x
þ0 ¼ðs þjoeÞ E
y
ð42Þ
@H
y
@x
À
@H
x
@y
¼ðsþjoeÞ E
z
ð43Þ
The common term e
ÀGz
has been canceled in each equa
tion.
From (41) and (42)
À
E
y
H
x
¼
E
x
H
y
¼
G
s þjoe
¼Z
0
ð44Þ
which deﬁnes Z
0
as the characteristic impedance of TM
waves in the rectangular waveguide. Using this definition
of Z
0
, and the curl equations, all the ﬁeld components may
be expressed in terms of the onecomponent solution E
z
.
Substituting (42) into (38) and using (44), we obtain
H
x
¼
@E
z
=@y
GZ
0
Àjom
ð45Þ
Substituting (41) into (39) and using (44), we obtain
H
y
¼
À@E
z
=@x
GZ
0
Àjom
ð46Þ
The remaining components are
E
x
¼Z
0
H
y
; E
y
¼ ÀZ
0
H
x
; and H
z
¼0 ð47Þ
Again, the assumed solution for E
z
is
E
z
¼XYe
ÀGz
¼ðA
1
cos k
x
x þB
1
sin k
x
xÞ
ÂðA
2
cos k
y
y þB
2
sin k
y
yÞ e
ÀGz
ð48Þ
and the boundary conditions are that E
z
¼0 on each wall
of the waveguide. Letting E
z
(0, y) ¼0 and E
z
(x, 0) ¼0
requires that A
1
¼0 and A
2
¼0. The remaining sinu
soidal terms will satisfy the conditions E
z
(a, y) ¼0 and
E
z
(x, b) ¼0 if
k
x
¼
mp
a
and k
y
¼
np
b
ð49Þ
where m and n are integers, including zero. Thus, the
solution for E
z
is
E
z
ðx; y; z; tÞ ¼E
mn
sin
mpx
a
sin
npy
b
e
ÀGz
e
jot
ð50Þ
Depending on the choice of integers m and n, different
crosssectional ﬁeld patterns may occur in the x–y plane.
These different modes are designated by TM
mn
. Observe
from (50) that the TM
23
mode (for example) has two half
sinewave variations in the x direction and three halfsine
wave variations in the y direction. The lowestorder mode
that can propagate is the TM
11
, since the TM
10
and the
TM
01
modes render E
z
¼0 in (50).
In (50), as stated earlier, wave propagation occurs if G is
imaginary. Taking the dielectric material (usually air) ﬁll
ing the waveguide to be perfect (s ¼0), then g
2
¼
jomðs þjoeÞ ¼ Ào
2
me, and
G¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
g
2
þk
2
x
þk
2
y
_
¼j
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
o
2
me À
mp
a
_ _
2
À
np
b
_ _
2
_
¼jb
g
ð51Þ
GUIDED ELECTROMAGNETIC WAVES 1849
Thus, wave propagation occurs at frequencies above the
cutoff frequency
f
c
¼
o
c
2p
¼
1
2p
ﬃﬃﬃﬃﬃ
me
p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
mp
a
_ _
2
þ
np
b
_ _
2
_
¼v
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
2a
_ _
2
þ
n
2b
_ _
2
_
ð52Þ
The cutoff frequency of the TM
11
(lowestorder) mode is
f
c
¼
v
2a
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 þ
a
b
_ _
2
_
ð53Þ
Note that if the dimension b approaches inﬁnity, and the
parallel sides remain a distance a apart, the cutoff fre
quency for all TM modes in (52) becomes
f
c
¼
mv
2a
ð54Þ
3.3. Transverse Electric (TE) Waves
For TE waves within the rectangular waveguide of width a
and height b, since E
z
¼0 by definition, select H
z
¼XYe
ÀGz
as a solution that cannot vanish if a solution does exist.
Assuming solutions of the form XYe
ÀGz
for E
x
, E
y
, H
x
, and
H
y
, substitute the assumed solutions into Maxwell’s curl
equations. First, rÂE¼ ÀjomH yields
0 þGE
y
¼ ÀjomH
x
ð55Þ
ÀGE
x
þ0¼ ÀjomH
y
ð56Þ
@E
y
@x
À
@E
x
@y
¼ ÀjomH
z
ð57Þ
and rÂH¼ðs þjoeÞE yields (assuming s¼0 for a perfect
dielectric medium)
@H
z
@y
þGH
y
¼joeE
x
ð58Þ
ÀGH
x
À
@H
z
@x
¼joeE
y
ð59Þ
@H
y
@x
À
@H
x
@y
¼0 ð60Þ
The common term e
ÀGz
has been canceled in each equa
tion.
The characteristic impedance of TE waves is deﬁned
from (55) and (56) as
À
E
y
H
x
¼
E
x
H
y
¼
jom
G
¼Z
0
ð61Þ
Using this definition of Z
0
in (58) and (59) yields
@H
z
@y
¼joeE
x
À
GE
x
Z
0
¼ joe À
G
Z
0
_ _
E
x
ð62Þ
@H
z
@x
¼ ÀjoeE
y
þ
GE
y
Z
0
¼ À joe À
G
Z
0
_ _
E
y
ð63Þ
For the rectangular waveguide under consideration, E
x
¼0
at y ¼0 and y ¼b, and E
y
¼0 at x ¼0 and x ¼a. Thus, from
(62) and (63), we obtain
@H
z
@y
¼0 at y ¼0 and y ¼b ð64Þ
and
@H
z
@x
¼0 at x ¼0 and x ¼a ð65Þ
are appropriate boundary conditions since H
z
cannot van
ish if a solution exists.
Applying the boundary conditions to the assumed
solution
H
z
¼XYe
ÀGz
¼ðA
1
cos k
x
x þB
1
sin k
x
xÞ
ÂðA
2
cos k
y
y þB
2
sin k
y
yÞe
ÀGz
ð66Þ
yields
H
z
¼H
mn
cos
mpx
a
cos
npy
b
e
ÀGz
ð67Þ
where k
x
¼mp=a, k
y
¼np=b, and m and n are integers cor
responding to the mode variations in the x–y plane.
The remaining components of the TE waves are ob
tained as follows: From (62), we obtain
E
x
¼
@H
z
@y
joe À
G
Z
0
¼
Àk
x
H
mn
cos k
x
x sin k
y
ye
ÀGz
joe À
G
Z
0
ð68Þ
From (63)
E
y
¼
@H
z
@x
Àjoe þ
G
Z
0
¼
k
x
H
mn
sin k
x
x cos k
y
ye
ÀGz
joe À
G
Z
0
ð69Þ
From (61)
H
x
¼ À
E
y
Z
0
ð70Þ
and
H
y
¼
E
x
Z
0
ð71Þ
1850 GUIDED ELECTROMAGNETIC WAVES
If a4b for the rectangular waveguide, the mode of lowest
order is the TE
10
, which has the cutoff frequency f
c
¼v/2a
and the ﬁeld components
H
z
¼H
10
cos
px
a
e
ÀGz
ð72Þ
E
y
¼ ÀjZ
2a
l
H
10
sin
px
a
e
ÀGz
¼E
10
sin
px
a
e
ÀGz
ð73Þ
H
x
¼ À
E
y
Z
0
ð74Þ
E
x
¼H
y
¼E
z
¼0 ð75Þ
The cutoff frequency of the TE
10
mode is
f
c
¼
v
2a
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
2
þn
2
a
b
_ _
2
_
¼
v
2a
ð76Þ
Again, TE and TM waves share the same general ex
pressions for propagation constant (G) and cutoff frequen
cy (f
c
), as expressed in Eqs. (24), (25), (51), and (52). For
the two wave types, G and f
c
differ in the choice of the in
teger mode numbers m and n. However, if the dimension b
goes to inﬁnity, creating a parallelplate waveguide, then
G and f
c
are the same for both TE and TM waves. The
characteristic impedance differs for the two wave types, as
Z
0
¼G=ðjoeÞ ¼Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 Àðf
c
=f Þ
2
_
for TM waves, and Z
0
¼
jom=G¼Z=
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 Àðf
c
=f Þ
2
_
for TE waves, where Z ¼
ﬃﬃﬃﬃﬃﬃﬃ
m=e
_
is
the intrinsic impedance of the medium ﬁlling the guide.
Thus, as frequency is increased from f
c
to 1, Z
0
increases
from 0 up to Z for TM waves and decreases from1down to
Z for TE waves.
For f of
c
, G is real, and the propagation term e
jotÀGz
from the wave equation becomes e
jotÀa
g
z
, or
G¼o
ﬃﬃﬃﬃﬃ
me
p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
ðf
c
=f Þ
2
À1
_
¼a
g
ð77Þ
At operating frequencies below cutoff for the waveguide,
the waves are attenuated by the factor a
g
as they evanesce
or diffuse along the guide in the z direction with no real
wave propagation occurring. A waveguide below cutoff
may be used as an attenuator. For example, if f ¼10 GHz
and f
c
¼13.12 GHz (corresponding to a¼0.45 in. or
11.43 mm in an airﬁlled, TE
10
waveguide), then
a
g
¼1:78 Np/cm, or 15.46 dB/cm. Thus, the length is ad
justed to yield a desired attenuation.
For f of
c
, the characteristic impedances are imaginary,
as Z
0
¼G=ðjoeÞ ¼ ÀjZ
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
ðf
c
=f Þ
2
À1
_
for TM waves, and
Z
0
¼jom=G¼jZ=
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
ðf
c
=f Þ
2
À1
_
for TE waves. This puts the
transverse components of E and H 901 out of time phase,
and tells us once again that timeaverage power cannot be
transferred as a propagating wave. Thus, energy transfer
along the guide is by evanescence or diffusion.
4. INTERPRETING Z
0
FOR TEM, TM, AND TE WAVES
Taking the propagation medium to be a lossless dielectric
(s ¼0), the intrinsic impedance of the medium is Z ¼
ﬃﬃﬃﬃﬃﬃﬃ
m=e
_
.
For TEM waves propagating in the z direction, the char
acteristic impedance is
Z
0
¼
VðzÞ
IðzÞ
¼ZFðgÞ ¼
E
x
H
y
FðgÞ ð78Þ
where, as in Fig. 2a, the geometry function F(g) ¼a/w for
two parallel conducting strips of width w, separation a,
and wba; and FðgÞ ¼ð1=2pÞ lnðb=aÞ for a coaxial line, if a
is the inner conductor radius and b is the inner radius of
the outer conductor.
For TM waves guided in the z direction, the character
istic impedance is
Z
0
¼
G
joe
¼
jo
ﬃﬃﬃﬃﬃ
me
p
joe
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
f
c
f
_ _
2
¸
¼Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
f
c
f
_ _
2
¸
ð79Þ
From a raypath diagram of the guided TM wave, as in
Fig. 1b, Z
0
may also be determined as
Z
0
¼
E
x
H
y
¼
Esin y
H
¼Z sin y ¼Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 Àcos
2
y
p
ð80Þ
But, b
z
¼b sin y and b
x
¼bcos y, and Z
0
becomes
Z
0
¼Z
l
l
z
¼Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
l
l
x
_ _
2
¸
¼Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
f
c
f
_ _
2
¸
ð81Þ
where l
z
¼l
g
is the wavelength along the direction of
propagation or the wavelength along the guide, and
l
x
¼l
c
is the cutoff wavelength.
For TE waves guided in the z direction, the character
istic impedance is
Z
0
¼
jom
G
¼
jom
jo
ﬃﬃﬃﬃﬃ
me
p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
f
c
f
_ _
2
¸ ¼
Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
f
c
f
_ _
2
¸ ð82Þ
From a raypath diagram of the guided TE wave, as in Fig.
1c, Z
0
may also be determined as
Z
0
¼ À
E
y
H
x
¼
E
Hsin y
¼
Z
sin y
¼
Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 Àcos
2
y
p ð83Þ
Again, b
z
¼b sin y and b
x
¼b cos y, and Z
0
for TE waves
becomes
Z
0
¼Z
l
z
l
¼
Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
l
l
x
_ _
2
¸ ¼
Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
f
c
f
_ _
2
¸ ð84Þ
GUIDED ELECTROMAGNETIC WAVES 1851
and again, l
z
¼l
g
is the wavelength along the guide, and
l
x
¼l
c
is the cutoff wavelength.
For convenient reference, selected equations, proper
ties and parameters of waveguiding structures are collect
ed in Table 1 and 2.
5. FREQUENCY BANDWIDTH OF WAVEGUIDES
As discussed in earlier sections, waveguides operate at
frequencies above a specific cutoff frequency, and they may
be subject to higherorder modes (higher than the funda
Table 1. Comparison Equations and Properties of TM, TE, and TEM Waves
TM Waves TE Waves TEM Waves
H
z
¼0 E
z
¼0 E
z
¼H
z
¼0
G¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
Ào
2
me þk
2
x
þk
2
y
_
G¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
Ào
2
me þk
2
x
þk
2
y
_
g ¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
Ào
2
me
_
¼jo
ﬃﬃﬃﬃﬃ
me
p
f
c
¼
v
2p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
k
2
x
þk
2
y
_
f
c
¼
v
2p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
k
2
x
þk
2
y
_
f
c
¼0
l
c
¼
v
f
c
2p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
k
2
x
þk
2
y
_ l
c
¼
v
f
c
2p
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
k
2
x
þk
2
y
_
l
c
¼N
b
g
¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
o
2
me Àðk
2
x
þk
2
y
Þ
_
b
g
¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
o
2
me Àðk
2
x
þk
2
y
Þ
_
b ¼o
ﬃﬃﬃﬃﬃ
me
p
b
g
¼
2p
l
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
l
l
c
_ _
2
¸
b
g
¼
2p
l
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 À
l
l
c
_ _
2
¸
b ¼
2p
l
l
g
¼
2p
b
g
¼
l
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 Àðl=l
c
Þ
2
_ l
g
¼
2p
b
g
¼
l
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 Àðl=l
c
Þ
2
_
l
Z
0
¼
G
joe
¼Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 Àðl=l
c
Þ
2
_
Z
0
¼
jom
G
¼
Z
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
1 Àðl=l
c
Þ
2
_
Z
v
g
¼
o
b
g
v
g
¼
o
b
g
v ¼
o
b
ZðzÞ ¼Z
0
Z
L
þjZ
0
tan b
g
z
Z
0
þjZ
L
tan b
g
z
ZðzÞ ¼Z
0
Z
L
þjZ
0
tan b
g
z
Z
0
þjZ
L
tan b
g
z
ZðzÞ ¼Z
0
Z
L
þjZ
0
tan bz
Z
0
þjZ
L
tan bz
Table 2. Features of Some Commercially Available Rectangular Waveguides
EIA Inside Dimensions Cutoff Range for CW Power
Designation aÂb (in.) f
c
(MHz) TE
10
(MHz) Rating (MW)
WR1150 11.5Â5.75 513 640–960 35.00–53.80
WR975 9.75Â4.875 605 750–1120 27.00–38.50
WR770 7.70Â3.85 766 960–1450 17.20–24.10
WR650 6.50Â3.25 908 1120–1700 11.90–17.20
WR510 5.10Â2.55 1157 1450–2200 7.50–10.70
WR430 4.30Â2.15 1372 1700–2600 5.20–7.50
WR340 3.40Â1.70 1735 2200–3300 3.40–4.71
WR284 2.84Â1.34 2077 2600–3950 2.18–3.10
WR229 2.29Â1.145 2590 3300–4900 1.56–2.14
WR187 1.87Â0.87 3155 3950–5850 0.94–1.32
WR159 1.59Â0.76 3710 4900–7050 0.75–0.98
WR137 1.37Â0.62 4307 5850–8200 0.55–0.70
WR112 1.12Â0.50 5260 7050–10000 0.36–0.45
WR90 0.90Â0.40 6560 8200–12400 0.21–0.29
WR75 0.75Â0.37 7867 9833–14950 0.19–0.27
WR62 0.62Â0.31 9516 11900–18080 0.16–0.22
WR42 0.42Â0.17 14047 17560–26690 —
WR28 0.28Â0.14 21071 26340–40035 —
WR19 0.188Â0.094 31383 39230–59630 —
WR15 0.148Â0.074 39865 49830–75740 —
WR10 0.100Â0.050 59000 73750–112100 —
WR8 0.080Â0.040 73750 92200–140125 —
WR6 0.065Â0.0325 90769 113460–172460 —
WR5 0.051Â0.0255 115686 144600–220000 —
1852 GUIDED ELECTROMAGNETIC WAVES
mental mode). Singlemode propagation is necessary for
efﬁcient transmission and detection of signal information
on the carrier wave, and, of course, more information may
be sent if the bandwidth is as large as possible. These re
strictions may be troublesome at times, but there are ways
to avoid most of the trouble.
5.1. Lowering the Cutoff Frequency of Waveguides
The bandwidth of a rectangular waveguide operating in
the TE
10
mode is generally taken to be 1:25f
c
f 1:90f
c
,
where f
c
¼v=2a is the TE
10
mode cutoff frequency. This is
the choice because f
1
¼1:25f
c
is a convenient distance
above f ¼f
c
(where Z
0
¼1) and f
2
¼1.90f
c
is convenient
ly less than f ¼2f
c
(where the ﬁrst higherorder mode,
TE
02
, occurs if 2boa. Thus, the operating bandwidth is
f
2
Àf
1
¼0.65f
c
.
To increase the bandwidth, we ﬁrst lower the cutoff
frequency of the TE
10
mode waveguide by increasing the
wide dimension a in f
c
¼v/2a, as in Fig. 3a. To accommo
date a large increase in the width a, the waveguide
is folded such that the width is now 2b and the height is
(aþ2s)/2, as in Fig. 3b.
In Fig. 3, the dotted path a
0
is longer than a because of
the fringing capacitance across the gap s. The fringing
capacitance is [3]
C
f
¼e
4
p
ln coth
ps
2b
_ _
ð85Þ
which is equivalent to a length increase given by
C
f
¼e
2Da
b
ð86Þ
Thus
a
0
¼aþ2Da¼aþ
4b
p
ln coth
ps
2b
_ _
ð87Þ
In (87), if s ¼0.2b and b ¼0.5a, then a
0
¼1.715a, and the
resulting lower cutoff frequency for the TE
10
mode is
f
0
c
¼v=2a
0
¼f
c
=1:715¼0:583f
c
. The lower operating fre
quency is f
0
1
¼1:25f
0
c
¼0:729f
c
. The upper operating fre
quency remains the same at f
0
2
¼f
2
¼1:90f
c
, since the
electric ﬁeld of the TE
20
mode is zero across the gap s
and little or no fringing capacitance occurs to increase the
pathlength. Thus, the new operating bandwidth is
f
0
2
Àf
0
1
¼ð1:90 À0:729Þf
c
¼1:171f
c
, rather than 0.65f
c
.
Example 1. Given a¼12.5cm, b ¼0.5a¼6.25cm, and s ¼
0.2b ¼1.25 cm, determine the operating frequencies and
bandwidth for exclusive TE
10
mode operation in (a) the
rectangular waveguide and (b) the folded rectangular
waveguide in Fig. 3b.
Solution: (a) For the rectangular waveguide
f
c
¼
v
2a
¼
3Â10
8
0:25
¼1200 MHz ð88Þ
f
1
¼1:25f
c
¼1500 MHz ð89Þ
f
2
¼1:90f
c
¼2280 MHz ð90Þ
BW¼f
2
Àf
1
¼780 MHz ð91Þ
(b) For the folded rectangular waveguide in Fig. 3b, we
obtain
f
0
c
¼
v
2a
0
¼0:583f
c
¼700 MHz ð92Þ
f
0
1
¼1:25f
0
c
¼875 MHz ð93Þ
f
0
2
¼f
2
¼1:90f
c
¼2280 MHz ð94Þ
BW¼f
0
2
Àf
0
1
¼1405 MHz ð95Þ
The folded waveguide considered here is more commonly
known as a singleridged waveguide with a ridge thick
ness approaching zero (t ﬃ0). A doubleridged version
using the same conﬁguration (same operating frequencies
and bandwidth as in Fig. 3b) is shown in Fig. 3c. More
commonly used relative dimensions are shown in Figs. 4a
and 4b for singleridged and doubleridged waveguides,
respectively [4]. Another variation on the same theme is
the Tseptum waveguide, single and double, as shown in
Figs. 4c and 4d [5–7].
6. DIELECTRIC WAVEGUIDES
An electromagnetic wave is guided by a dielectric material
[8] of permittivity e
1
surrounded by another dielectric
material of permittivity e
2
, where e
1
> e
2
, as illustrated in
a
(a)
b
s
b b
a
a+2s
2
2
2s
(b) (c)
a'
a'
a'
Figure 3. (a) The cutoff frequency of TE
10
mode waveguide is
lowered by increasing the width a; (b) the waveguide in (a) is
folded for a more compact structure, and the new equivalent
width is a
0
; (c) a doubleridged version of (b), imaged along the
horizontal bisector, has the same operating frequencies and band
width as in (b).
GUIDED ELECTROMAGNETIC WAVES 1853
Fig. 5a and the top view along the propagation direction in
Fig. 5c. If y is the angle of the guided ray to the interface
normal, and f is the angle to the normal interface of any
ray that transmits into material 2, then by Snell’s law of
refraction
ﬃﬃﬃﬃ
e
1
p
sin y ¼
ﬃﬃﬃﬃ
e
2
p
sin f ð96Þ
Requiring f¼90
for total internal reﬂection yields
y ¼ sin
À1
ﬃﬃﬃﬃ
e
2
e
1
_
¼
D
y
c
ð97Þ
Thus, with e
1
> e
2
, the wave is guided along material 1 for
all angles y ! y
c
. While most of the guided wave is in ma
terial 1, part of the wave protrudes into material 2 and
propagates along the interface.
For TE waves, E
x
¼0, E
z
¼0, and
E¼ ^ yyE
y
ðxÞe
Àjbz
¼ ^ yyE
y
ðx; zÞ ð98Þ
where b¼o
ﬃﬃﬃﬃﬃﬃﬃ
me
e
p
is the propagation constant of the guided
wave that propagates through an effective permittivity
that has the range: e
2
e
e
e
1
. Note that @E=@z ¼ ÀjbE,
and @E=@y ¼0, but @E=@xO0, since the permittivity
changes along the x dimension. Substituting these speci
ﬁcations into Maxwell’s curl equations yields
@E
y
@x
¼ ÀjomH
z
ð99Þ
and
jbE
y
¼ ÀjomH
x
ð100Þ
from rÂE¼ ÀjomH, and
ÀjbH
x
À
@H
z
@x
¼joeE
y
ð101Þ
from rÂH¼joeE.
a'
a'
(a) (b)
(c)
(d)
Figure 4. More commonly used relative dimensions for (a) a sin
gleridged waveguide and (b) a doubleridged waveguide. Other
variants are (c) the single Tseptum waveguide and (d) the double
Tseptum waveguide.
h
x
z
(a)
2
1
y
2d
(b)
(c)
E
E
E
E
X
X
X
X
2d
E
H
X
y
Z
2
2
1
1
1
1
=
1
Sin
Figure 5. (a) Dielectric waveguide of permittivity e
1
surrounded
by permittivity e
2
, where e
1
> e
2
and 2d5h; (b) electric ﬁeld dis
tributions along x for the ﬁrst two even modes (cosine terms) and
the ﬁrst two odd modes (sine terms)—as in Fig. 6, the phase angle
from center to edge b
1x
d in increasing mode order is 0ob
1x
dop=2,
p=2ob
1x
dop, pob
1x
do3p=2, and 3p=2ob
1x
do2p; (c) a TE wave
guided in the z direction between the sides 2d apart.
1854 GUIDED ELECTROMAGNETIC WAVES
Substituting (99) and (100) into (101) yields
@
2
E
y
@x
2
¼ðb
2
Ào
2
meÞ E
y
ð102Þ
which is valid in both material 1 and material 2 and has
the general solution
E
y
¼A
i
e
À
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
b
2
Ào
2
me
p
x
ð103Þ
Thus, in material 1 (e
1
> e
2
), we obtain
E
y
¼A
i
e
À
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
b
2
Ào
2
me
1
x
_
¼A
i
e
Àj
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
o
2
me
1
Àb
2
x
_
¼A
i
e
Àjb
1x
x
¼Acos b
1x
x þBsin b
1x
x
ð104Þ
where
b
2
1x
¼o
2
me
1
Àb
2
¼b
2
1
Àb
2
ð105Þ
The cos b
1x
x and sin b
1x
x solutions in (104) allow harmonic
modes of the propagating wave across the x dimension in
material 1. In material 2 (e
2
oe
1
)
E
y
¼A
i
e
À
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
b
2
Ào
2
me
2
x
_
¼Ce
Àa
2
x
ð106Þ
where
a
2
2
¼b
2
Ào
2
me
2
¼b
2
Àb
2
2
ð107Þ
which shows that E
y
decreases exponentially in the x di
rection.
Tangential components of E and H must be continuous
across the interface between materials 1 and 2, and this
condition is used to determine additional characteristics of
the propagating modes. Equating E
y
terms at x ¼d, and
using the E
y
¼Acos b
1x
x solution from (104), we obtain
Acos b
1x
d¼Ce
Àa
2
d
ð108Þ
or
C¼Ae
a
2
d
cos b
1x
d ð109Þ
Thus, in material 2 at x ! d, we have
E
y
¼ðAe
a
2
d
cos b
1x
dÞe
Àa
2
x
¼ðAcos b
1x
dÞe
Àa
2
ðxÀdÞ
ð110Þ
Equating H
1z
¼H
2z
at x ¼d by using @E
y
=@x ¼ ÀjomH
z
as
given by (99), we obtain
H
1z
¼
1
Àjom
@
@x
ðAcos b
1x
xÞ ¼
b
1x
A
jom
sin b
1x
x ð111Þ
H
2z
¼
1
Àjom
@
@x
ðCe
Àa
2
x
Þ ¼
a
2
C
jom
e
Àa
2
x
ð112Þ
and at x ¼d
b
1x
Asin b
1x
d¼a
2
Ce
Àa
2
d
¼a
2
ðAe
a
2
d
cos b
1x
dÞ e
Àa
2
d
ð113Þ
or
tan b
1x
d¼
a
2
b
1x
ð114Þ
is obtained for the choice E
y
¼Acos b
1x
x in material 1. If
the equally valid E
y
¼Bsin b
1x
x had been chosen as the
solution in material 1, the result of matching tangential
ﬁelds at x ¼d would have been
tan b
1x
d¼ À
b
1x
a
2
ð115Þ
The electric ﬁeld distributions along the x dimension for
the ﬁrst four modes, two even (cosine terms), and two odd
(sine terms), are shown in Fig. 5b. Note the corresponding
phase angle b
1x
d from center to edge for each mode as
listed in the caption for Fig. 5b. These phase angles and
the propagating modes that are allowed may be deter
mined by graphically solving the transcendental eigenval
ue equations tan b
1x
d¼a
2
=b
1x
and tan b
1x
d¼ Àb
1x
=a
2
.
From the expressions deﬁned earlier, a
2
2
¼b
2
Ào
2
me
2
and b
2
1x
¼o
2
me
1
Àb
2
, express
a
2
b
1x
¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
o
2
mðe
1
Àe
2
Þ
b
2
1x
À1
¸
ð116Þ
Next, deﬁne and then substitute the term
V ¼
D
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
o
2
mðe
1
Àe
2
Þd
2
_
¼od
ﬃﬃﬃﬃﬃﬃﬃ
me
0
p ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
e
1r
Àe
2r
p
¼
od
c
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
e
1r
Àe
2r
p
¼
2pd
l
0
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
e
1r
Àe
2r
p
ð117Þ
to obtain
tan b
1x
d¼
a
2
b
1x
¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
V
b
1x
d
_ _
2
À1
¸
ð118Þ
for the even modes, and
tan b
1x
d¼ À
b
1x
a
2
¼
À1
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
V
b
1x
d
_ _
2
À1
_ ð119Þ
GUIDED ELECTROMAGNETIC WAVES 1855
for the odd modes. The operating frequency and the pa
rameters of the dielectric waveguide set the value of V
(called the normalized frequency). The ﬁrst and last terms
of (118) and (119) are plotted against b
1x
d, and the cross
ing points of the curves give the allowed modes and the
particular value of b
1x
d for that mode. An example is plot
ted in Fig. 6 for the case when V¼6. For this value of V,
two even modes and two odd modes are allowed to prop
agate. Observe from the plot that if Vo3p=2, only three
modes could propagate (two evens and one odd). Also, if
Vop=2, only one mode could propagate (the lowestorder
even mode).
Example 2. A dielectric sheet of thickness 2d¼0.002 m
and permittivity e
1
¼3:25e
0
is surrounded by air (e
2
¼e
0
).
(a) Over what range of operating frequencies will no more
than three modes propagate? (b) Over what range of op
erating frequencies will only one mode propagate?
Solution:
V ¼
2pfd
c
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
e
1r
Àe
2r
p
¼
2pf 0:001
3 Â10
8
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
3:25 À1
p
¼pf Â10
À11
(a) For pf Â10
À11
o3p=2, three modes propagate in the
range fo150 GHz.
(b) For pf Â10
À11
op=2, only one mode propagates in
the range fo50 GHz.
As indicated earlier, b, the propagation constant of
waves or modes that are guided in the z direction, lies
within the range b
2
b b
1
, where b
1
¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
0
e
1
p
and
b
2
¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
0
e
2
p
. Also, the raypaths of guided waves may
have y angles that lie within the range y
c
y 90
, where
y
c
¼ sin
À1
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
e
2
=e
1
_
is the angle of the critical ray and y ¼901
is the angle of the axial ray. So, how do the angles of the
raypaths relate to the propagation constant of modes or
waves? From the raypath diagram in Fig. 5c, the propa
gation constant of modes guided in the z direction is
b ¼b
1
sin y ¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
0
e
1
p
sin y ð120Þ
For axial rays (y ¼901)
b ¼b
1
¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
0
e
1
p
ð121Þ
This is the largest value of b, and it occurs at the highest
operating frequency of a particular mode, since b is di
rectly proportional to frequency.
For rays at y ¼y
c
, we obtain
b ¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
0
e
1
p
ﬃﬃﬃﬃ
e
2
e
1
_
¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
0
e
2
p
¼b
2
ð122Þ
This is the smallest value of b, and it occurs at the lowest
operating frequency of a particular mode. Also, at y ¼y
c
where b¼b
2
, we have from (105)
b
2
1x
¼o
2
me
1
Àb
2
¼o
2
me
1
Ào
2
me
2
ð123Þ
or
b
1x
¼o
ﬃﬃﬃ
m
p ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
e
1
Àe
2
p
¼
V
d
ð124Þ
Thus, rays at y ¼y
c
within a particular mode have b
1x
d¼
V, which is at the point of extinction or cutoff for the mode.
The relationships discussed above are indicated on the
plot of b versus radian frequency o in Fig. 7. Note from the
plot that at a single operating frequency, many different
modes may be propagating, and the highestorder modes
have ray paths at y ¼y
c
, while the lowestorder modes
have axial rays (y ¼901).
Example 3. (a) A dielectric waveguide has e
1r
¼2:34;
e
2r
¼2:28, d¼5 mm and f ¼318.31 THz, which yields a
normalized frequency of V ¼ðod=cÞ
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
e
1r
Àe
2r
p
¼8:22. The
6
0 at
1x
d = V
1x
d
at
1x
d=V
5 2π 4
1
3
tan
1x
d
e2
tan
1x
d
0
2
1
e
1
5π
2
2
3π
2
π
2
−1
V
1x
d
−1
2
−1
V
1x
d
2
π
−∞
Figure 6. First and last terms of (118) and (119) plotted against
b
1x
d for the case when V¼6. For this value of V, two even modes
and two odd modes are allowed to propagate.
One mode
Lowestorder
mode
=
c
1
=
0
1
2
=
= 90°
0
2 √
√
Figure 7. Plot of b versus radian frequency o. Note from the plot
that at a single operating frequency, many different modes may be
propagating, and the highestorder modes have raypaths near the
critical angle, while the lowestorder modes are nearly axial.
1856 GUIDED ELECTROMAGNETIC WAVES
eigenvalues of each propagating mode are b
1x
d¼
1:400; 2:491; 4:179; 5:543; 6:865; and8:045. Find the
propagation angle (y to the interface normal) for each
mode. (b) Is the raypath of the highestorder mode
near the critical angle (y ¼y
c
) or near the axial angle (y
¼901)?
Solution: The propagation constant along a ray path with
in the waveguide is
b
1
¼o
ﬃﬃﬃﬃﬃﬃﬃﬃﬃ
m
0
e
1
p
¼
o
ﬃﬃﬃﬃﬃﬃ
e
1r
p
c
¼
1:02 Â10
7
m
ð125Þ
The propagation constant along the x direction is
b
1x
¼b
1
cos y
1
, where from the data, we have
b
1x
¼
0:28; 0:498; 0:8358; 1:1086; 1:373; 1:609Â10
6
m
ð126Þ
Thus
y ¼ cos
À1
b
1x
b
1
¼88:43
; 87:20
; 85:30
; 83:76
; 82:26
; 80:92
ð127Þ
Observe that the highestorder mode is near the critical
angle, y
c
¼ sin
À1 1:51
1:53
¼80:72
, and the lowestorder mode
is nearly axial (901).
Example 4. (a) A dielectric waveguide has e
1r
¼2:19 and
e
2r
¼2:16. For singlemode propagation at the following
wavelengths (in air), l
0
¼1:3; 1:4; 1:5; 1:6 mm, the eigen
values are b
1x
d¼0:9336; 0:9027; 0:8734; 0:8456, respec
tively. Find the propagation angle (y to the interface
normal) for each wavelength if d¼1.89mm. (b) Is the
shortest wavelength closest to the critical ray (y ¼y
c
) or
to the axial ray (y ¼901)?
Solution: The normalized frequency (V) in the order of in
creasing wavelength (in mm) is
V ¼
2pd
l
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
e
1r
Àe
2r
p
¼
2:042
l
0
¼1:5708; 1:4586; 1:3613; 1:2763
ð128Þ
Using this result, the eigenvalue at each wavelength is
found by solving
tan b
1x
d¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
V
b
1x
d
_ _
2
À1
¸
¼
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
2:042
lb
1x
d
_ _
2
À1
¸
ð129Þ
to yield b
1x
d¼0:9336; 0:9027; 0:8734; 0:8456, and
b
1x
¼ð0:4940; 0:4776; 0:4621; 0:4474Þ Â10
6
=m. At each
wavelength,
b
1
¼2p
ﬃﬃﬃﬃﬃﬃ
e
1r
p
=l
0
¼7:1532; 6:6422; 6:1994; 5:8119Â10
6
=m.
Thus
y ¼ cos
À1
b
1x
b
1
¼86:04
; 85:88
; 85:72
; 85:58
ð130Þ
in the order of increasing wavelength. Note that the short
est wavelength is closest to the axial ray (y ¼901), and the
longest wavelength is closest to the critical ray
(y ¼y
c
¼83:34
).
Acknowledgement
This work was supported in part by the National Cancer
Institute under PHS Grant 2 pol CA4274517.
BIBLIOGRAPHY
1. S. Ramo, J. R. Whinnery, and T. Van Duzer, 3rd ed., Fields
and Waves in Communication Electronics, Wiley, New York,
1994.
2. P. Rizzi, Microwave Engineering Passive Circuits, Prentice
Hall, Englewood Cliffs, NJ, 1988.
3. S. B. Cohn, Problems in strip transmission lines, IRE Trans.
Microwave Theory Tech. 3:119–126 (March 1955).
4. S. Hopfer, The design of ridged waveguides, IEEE Trans. Mi
crowave Theory Tech. 3:20–29 (Oct. 1955).
5. Y. Zhang and W. T. Joines, Some properties of Tseptum wave
guides, IEEE Trans. Microwave Theory Tech. 35:769–775
(Aug. 1987).
6. Y. Zhang and W. T. Joines, Attenuation and powerhandling
capacity of Tseptum waveguides, IEEE Trans. Microwave
Theory Tech. 35:858–861 (Sept. 1987).
7. G. G. Mazumder and P. K. Saha, Rectangular waveguide with
Tshaped septa, IEEE Trans. Microwave Theory Tech. 35:201–
204 (Feb. 1987).
8. W. B. Jones, Introduction to Optical Fiber Communication
Systems, Oxford Univ. Press, New York, 1988.
GUNN OR TRANSFERREDELECTRON DEVICES
AND CIRCUITS
HERIBERT EISELE
University of Leeds
Leeds, United Kingdom
1. GENERAL
Among all solidstate microwave devices, transferredelec
tron devices (TEDs), often called Gunn devices, are quite
unique in that they utilize specific bulkmaterial proper
ties of certain semiconductors. They are unipolar devices
and, generally, do not exhibit the distinctive diode char
acteristic of pn (positive–negative) junctions as seen, for
example, in other twoterminal microwave devices such as
impact ionization avalanche transittime (IMPATT) or
tunnel injection transittime (TUNNETT) diodes. Origi
nally, TED structures and circuits were developed for both
GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS 1857
ampliﬁer and oscillator applications. However, rapid pro
gress in highspeed and highfrequency threeterminal
devices with excellent noise performance has practically
been eliminating TEDs from all lownoise preampliﬁer
applications up to the highmillimeterwave frequencies.
Additionally, oscillators or ampliﬁers with threeterminal
devices continue to reach higher and higher frequencies
and offer similar or even higher radiofrequency (RF) out
put power levels and directcurrent (DC)toRF conversion
efﬁciencies compared to the most powerful twoterminal
devices such as IMPATT diodes. TEDs in oscillator appli
cations are characterized by lownoise and mediumRF
output power P
RF
. Therefore, they are well suited for local
oscillators in sensitive heterodyne receivers and for trans
mitters at operating frequencies above 30 GHz.
2. PRINCIPLES OF OPERATION
The transferredelectron effect only depends on a specific
band structure of the semiconductor material and, there
fore, is present in the bulk material. Several materials,
mainly in groups III–V and II–VI compound semiconduc
tors and listed in Table 1 [1–3] exhibit such a band struc
ture. These semiconductor materials have more than one
energy minimum (i.e., valley in the conduction band) and
meet the following criteria, which were proposed indepen
dently by Ridley and Watkins [4] as well as Hilsum [5]
(RWH):
1. At least two valleys must be present in the conduc
tion band.
2. The minimum (minima) of the upper valley(s) must
be several times the thermal energy of electrons
above the minimum of the lowest ( ¼main) valley in
the conduction band for electrons to reside initially
in the lowest valley.
3. The energy difference (DE) between the minimum
(minima) of the upper valley(s) and the minimum of
the main valley in the conduction band must be less
than the energy bandgap E
g
to avoid the onset of
significant impact ionization in such a device.
4. The transfer of electrons from one conduction band
valley to another must require much less time than
one period of the intended operating frequency.
5. The effective masses and densities of states in the
upper valley(s) must be considerably higher than in
the main valley. As a consequence of the higher ef
fective masses, mobilities in the upper valley(s)
must be much lower than in the main valley.
For the principles of operation, a homogeneous bulk semi
conductor material and a simpliﬁed band structure as
shown in Fig. 1 are assumed. Electrons at low energies
initially reside in the main valley of the conduction band,
where a low effective mass corresponds to a high mobility
m
1
. When electrons acquire more energy (e.g., under an
electric ﬁeld E), most of them still remain in the main
valley if EoE
th
, where E
th
is referred to as the threshold
electric ﬁeld. As electrons acquire even more energy (for
E > E
th
), many of them are scattered (‘‘transferred’’) into
the upper valley, where a higher effective mass corre
sponds to a lower mobility m
2
[1]. For an electric ﬁeld E,
assumed to be constant in the bulk material, an average
electron velocity v
avg
and average mobility m
avg
can be
deﬁned as
v
avg
¼
n
1
m
1
þn
2
m
2
n
1
þn
2
E¼m
avg
E ð1Þ
where n
1
and n
2
denote the number of electrons in the
lower and upper valleys, respectively. Since n
1
decreases
and n
2
increases, v
avg
decreases as shown in Fig. 2. At
large energies [i.e., high electric ﬁelds (EcE
th
)], most of
the electrons are transferred to the upper valley and
n
1
5n
2
. Therefore, after reaching the minimum value,
the average drift velocity again increases for higher elec
tric ﬁelds. The decrease in the average drift velocity for
E > E
th
generates a region of negative differential
Table 1. Semiconductor Materials Related to the TransferredElectron Effect
Valley Separation
Semiconductor E
g
(eV) Between DE (eV) E
T
(kV/cm) v
p
(10
7
cm/s) T (K)
GaAs 1.42 G and L 0.31 (0.33) 3.2–3.5 2.2–2.3 300
InP 1.35 G and L 0.53 (0.45) 10–12 2.5–2.8 300
Ge 0.74 L and G 0.18 2.3 1.4 77
CdTe 1.50 G and L 0.51 11 1.5 300
InAs 0.36 G and L 1.28/0.87 1.6/2.5 3.6 300
InSb 0.28 (0.18) G and L 0.41 0.6 5.0 77
ZnSe 2.60 G and L — 38 1.5 300
Ga
0.5
In
0.5
Sb 0.36 G and L 0.36 0.6 2.5 300
Ga
0.3
In
0.7
Sb 0.24 G and L — 0.6 2.9 300
In
0.53
Ga
0.47
As 0.76 G and L 0.55 3–4 2.9 300
InAs
0.2
P
0.8
1.10 G and L 0.95 5.7 2.7 300
Ga
0.13
In
0.87
As
0.37
P
0.63
1.05 G and L — 5.5–8.6 1.2 300
GaN 3.36 G and X 1.5 80–160 2.5–4.5 300
Ga
0.5
Al
0.5
N 4.77 G and X 0.44 470 2.5 300
Source: Data From Refs. 1–3.
1858 GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS
mobility m
diff
with
m
diff
¼
dv
avg
dE
ð2Þ
If electrons in the upper valley reach a region where the
electric ﬁeld E drops below E
th
, they lose energy and sig
nificantly more of them are scattered back to the main
valley.
James B. Gunn was the ﬁrst to observe current oscil
lations experimentally in bulk GaAs and InP [6,7], which
were subsequently explained by this transferredelectron
effect [8]. As a result, the term Gunn device quickly be
came common for this type of device. Out of more than 10
semiconductor materials known for the transferredelec
tron effect, only GaAs and InP have so far found wide
spread use in system applications. GaAs and InP have
three valleys in the conduction band, and at the doping
concentrations required for operation at millimeterwave
frequencies, highﬁeld mobilities are considerably lower
than the lowﬁeld mobilities. As a consequence of two up
per valleys and additional scattering mechanisms, the
electron drift velocity v monotonically decreases for elec
tric ﬁelds above E
th
. Figure 3 shows simpliﬁed band struc
ture diagrams for GaAs and InP, and Fig. 4 their
respective velocity–electric ﬁeld proﬁles. Table 2 [9–11]
summarizes the relevant material characteristics of GaAs
and InP. The ﬁnite time it takes for electrons to gain or
lose energy in an electric ﬁeld causes a fundamental phys
ical frequency limit in these devices. This frequency limit
was originally thought to be approximately 100 and
200 GHz [9–11] for TEDs based on the GaAs and InP ma
terial systems, respectively. However, more recent theo
retical and experimental work indicates a significantly
higher frequency limit in InPbased TEDs.
Except for some rare conditions in devices at lower mi
crowave frequencies, the bulk negative differential mobil
ity alone does not cause a static negative differential
resistance (NDR) to be used for RF power generation. A
mechanism based on the negative differential mobility re
sults in a dynamic negative resistance as shown next. In a
region of bulk semiconductor material under uniform con
ditions (doping concentration N
D
, electric ﬁeld E, average
differential mobility m
diff
), any space charge inhomogeneity
Q
S
(x,t) traveling at the velocity v grows or decays follow
ing an exponential law that can be derived from Maxwell’s
equations:
Q
S
ðx; tÞ ¼Q
S
ðx Àvt; 0Þ exp À
t
t
_ _
ð3Þ
where
t ¼
e
s
s
¼
e
s
qN
D
m
diff
ð4Þ
v
v
1
=
1
v
2
=
2
diff
=
Peak
Valley
dE
< 0
dv
diff
=
dE
> 0
dv
Figure 2. Velocity–electric ﬁeld proﬁle for the twovalley semi
conductor of Fig. 1.
(a)
Γ
k
n
1
n
2
n
1
n
2
n
1
n
2
E
L



Γ
(b)
k
E
L


 
Γ
(c)
k
E
L

  
 
Figure 1. Simpliﬁed energyband diagram for a di
rect twovalley semiconductor showing electron
transfer: (a) electron distribution for EoE
th
]; (b)
electron distribution for E > E
th
]; (c) electron distri
bution for EbE
th
].
3
2
1
0
−1
−2
Γ X L
<111> <100>
Γ X L
<111> <100>
GaAs
Wave vector
E
n
e
r
g
y
(
e
V
)
InP
T = 300 K T = 300 K
Upper
valley
Upper
valley
Lower
valley
Lower
valley
∆E = 0.31
∆E = 0.53
E
g
= 1.42
E
g
= 1.35
Figure 3. Simpliﬁed band diagram for the threevalley semicon
ductor materials GaAs and InP.
GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS 1859
where, q denotes the elementary charge; s and e
s
denote
specific conductivity and dielectric constant of the mate
rial, respectively. At low electric ﬁelds E, where m
diff
40,
the charge inhomogeneity decays with t ¼t
D
, the dielec
tric relaxation time, and at higher electric ﬁelds, where
m
diff
o0, a charge inhomogeneity can grow. This charge in
homogeneity reaches a significant level only if the growth
factor for the maximum traveled distance l, the length of
the active region of the device, is very large. Therefore the
condition
l
vjtj
¼
lqN
D
jm
diff
j
e
s
v
> 1 ð5Þ
must be satisﬁed, which corresponds to
N
D
l > 1 Â10
12
cm
À2
ð6Þ
for both GaAs and InP.
Typical Gunn devices at millimeterwave frequencies
have N
D
l products between 1 Â10
12
cm
À2
and 3 Â
10
12
cm
À2
, and doping concentrations N
D
in the active re
gion exceed 10
15
cm
À3
. For N
D
410
15
cm
À3
, space charge
inhomogeneities typically grow into socalled dipole do
mains where accumulation and depletion layers are
lumped together. Figure 5 shows the carrier distribution
and electricﬁeld proﬁle for such a dipole domain under
uniform conditions. Electrons in the lowﬁeld region travel
at a constant v
T
for a constant electric ﬁeld E
1
. Electrons
in region a are accelerated by the higher electric ﬁeld until
they reach region b, where they are transferred to the up
per valley and slow down to be trapped in this accumula
tion region. Electrons in region c lose energy and are
transferred back to the lower valley. Their average veloc
ity now is higher than the average velocity in region b,
thus region c is depleted of electrons. After a domain forms
at the cathode, grows, and propagates through the active
region, the voltage drop across the domain increases and,
under a constant bias voltage, lowers the voltage drop
outside the domain. This voltage drop is equivalent to a
reduction in the electric ﬁeld E
1
outside the domain and
generally prevents formation of new domains in the active
region. It also limits the growth of the existing domain
because fewer electrons are trapped in the accumulation
layer or escape the depletion layer. Domains reaching the
anode collapse and induce a current ﬂow in the external
circuit. A phase difference occurs between this current
ﬂow and the applied RF voltage and, at the right frequency,
this phase difference corresponds to a dynamic negative
resistance and causes RF power generation in an appro
priate RF circuit.
Distinct modes of operation have been investigated
and described for TEDs at microwave frequencies [12].
v
(
1
0
7
c
m
.
s
−
1
)
3
2
1
0
0 10 20 30 40 50 60 70
InP
E (kV
.
cm
−1
)
GaAs
E
th
E
th
Figure 4. Velocity–ﬁeld proﬁle for the threevalley semiconduc
tor materials GaAs and InP.
Table 2. Semiconductor Material Characteristics
Relevant to GaAs and InP TEDs
a
Semiconductor
Properties GaAs InP
Energy gap (eV) 1.42 1.34
Lowﬁeld mobility (at 500K)
(cm
2
V
À1
s
À1
)
5000 3000
Thermal conductivity (Wcm
À1
K
À1
) 0.37–0.54 0.68–0.80
Velocity peaktovalley ratio 2.2 3.5
Threshold ﬁeld E
th
(kV/cm) 3.5 10.5
Breakdown ﬁeld (at N
D
¼10
16
cm
À3
)
(kV/cm)
400 500
Effective transit velocity v
T
(cm/s) 0.7Â10
7
1.2 Â10
7
Temperature dependence of v
T
(K
À1
) À0.0015 À0.001
Diffusion coefﬁcientmobility ratio
at 2 E
th
(cm
2
/s)
72 142
Energy relaxation time due to
collisions (ps)
0.4–0.6 0.2–0.3
Intervalley relaxation time (ps) — 0.25
Acceleration–deceleration time (ps)
(inertial energy time constant)
1.5 0.75
Source: After Wandinger Ref. 9, Fank et al. [10], and Eddison [11].
a
At a temperature of 300K unless noted otherwise.
N
Accumulation layer
Depletion layer
X
ξ
h
ξ
l
a b c
X
Figure 5. Carrier concentrations and electric ﬁeld proﬁle for a
dipole domain.
1860 GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS
However, as is shown next, at millimeterwave frequen
cies ﬁnite intervalley transfer and domain formation
times reach a significant fraction of the RF cycle. In
such a case, domains form, grow, and suppress formation
of new domains, but may never reach the stable state be
fore they reach the anode as described above. Therefore,
modes get blurred, and devices generally operate in a near
transittime mode, where the operating frequency f
op
is
given by
1
T
¼f
op
¼
v
T
l
ð7Þ
The effective transit velocity v
T
¼v(E
1
) ¼v
D
(E
h
) can be de
termined from Butcher’s equalarea rule [13], which is
_
E
h
E
l
½vðEÞ Àv
D
dE¼0 ð8Þ
for a constant diffusion coefﬁcient throughout the active
region and is illustrated in Fig. 6.
If the operating frequency f
op
differs somewhat from
Eq. (7), the domain reaches the anode prematurely or is
delayed. Similar to the operation of transittime diodes,
the current pulse from the collapsing domain still causes a
negative resistance and generates RF power. Therefore,
operation over a broad bandwidth can be achieved. Addi
tionally, higher bias voltages increase electric ﬁelds in the
device, and higher electric ﬁelds reduce the domain veloc
ity v
D
, as seen in Fig. 6. At higher electric ﬁelds, electrons
also acquire the energy for intervalley transfer over a
shorter distance as is described in more detail in a
subsequent section. Consequently, the portion of the ac
tive region where domains form and travel is increased.
Lower v
D
and longer domain travel distance correspond to
a lower optimum f
op
.
Figure 7 gives an overview of typical structures and
schematic doping proﬁles for TEDs that yielded (Figs. 7a,
7b, 7d, 7e) or are expected to yield (Fig. 7c) excellent RF
performance in oscillators. The threezone ﬂatdoping and
the twozone ﬂatdoping structures were the ﬁrst to be
exploited because they are easy to grow in more classical
growth systems such as liquidphase or vaporphase epi
taxy (LPE or VPE). The threezone ﬂatdoping structure
[14] consists of the n
À
doped active region sandwiched
between the highly doped n
þ
regions for the ohmic con
tacts. Since lowohmic alloyed contacts can be formed on
ntype GaAs and InP, the highly doped region on the cath
ode side can be omitted and just a twozone, ﬂatdoping
structure needs to be grown by VPE or LPE.
The advent of advanced growth techniques such as mo
lecularbeam epitaxy (MBE), metallorganic chemical va
por deposition (MOCVD), metallorganic molecularbeam
E
h
E
l
V
v
D
v
D
(E
h
)
Figure 6. Equalarea rule for TEDs.
+
+
+
+
+
N
Metal
GaAs or InP
GaAs or InP
Metal
n
+
n
−
n
+
(a)
N
(b)
N
Metal
Metal
Metal
Metal
GaAs or InP
(c)
N
Metal Metal
GaAs or InP
(d)
N
GaAs
AIGaAs
n
+
GaAs GaAs
GaAs
Metal Metal
Graded composition
(e)
n
+
n
−
n
+
n
+
n
−
n
+
n
+
n
−
n
+
n
+
n
−
n
+
Figure 7. Different device structures for TEDs: (a) threezone
ﬂat doping; (b) twozone ﬂat doping; (c) threezone ﬂat doping
with cathode notch; (d) threezone graded doping; (e) heterojunc
tion barrier cathode.
GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS 1861
epitaxy (MOMBE), and chemicalbeam epitaxy (CBE) has
allowed more complicated structures to be grown. Using
these growth techniques, gradeddoping proﬁles and he
terojunction barriers as shown in Fig. 7 can be incorpo
rated into the device structures and suitably tailored to
optimize device performance at a particular frequency or
to extend the frequency limit of TEDs. Computer simula
tions [11,15,16] have revealed that in a threezone ﬂat
doping structure, ‘‘cold’’ electrons with low energies enter
the active region from the contact zone at the cathode and
require some time to acquire enough energy before they
transfer to the upper valley. The results of such Monte
Carlo simulations [16] at a frequency of 95 GHz are illus
trated in Fig. 8 for a threezone ﬂatdoping structure in
InP with a doping of 1Â10
16
cm
À3
in the active region.
The ﬁniteenergy relaxation times, which are shown in
Fig. 9 as a function of the electron energy in GaAs and InP,
create a huge socalled ‘‘dead space’’ at the beginning of
the 1.7mmlong active region. As can be seen from Fig. 8c,
the average energy E of electrons within the dead space
does not reach the threshold energy E
th
for intervalley
transfer, and electrons reside mostly in the main valley.
Therefore, the differential mobility remains positive, and
space charge inhomogeneities are prevented from grow
ing, which is illustrated in Fig. 8b with insignificant elec
tron accumulation within the dead space. As a
consequence, the resistance of the device R(x) [i.e., the
real part of ZðxÞ] as a function of the position x
ZðxÞ ¼RðxÞ þjXðxÞ ¼
_
x
0
Eðx
0
Þ dx
0
A
l
_
x
0
Jðx
0
Þ dx
0
ð9Þ
E
l
e
c
t
r
i
c
f
i
e
l
d
(
k
V
.
c
m
−
1
)
40
20
0
−20
−40
−60
−80
−100
−120
−140
6
0
2
4
D
e
n
s
i
t
y
(
c
m
−
3
)
3×10
17
2×10
17
1×10
17
1×10
16
Doping concentration
0
2
4
6
0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0
(a) (b)
E
(
e
V
)
0.6
0.5
0.4
0.3
0.2
0.1
0.0
E
th
X (µm) X (µm)
x (µm) x (µm)
(c)
0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0
4
2
0
−2
−4
(d)
0
5
6
7
1
2
3
4
R
(
Ω
)
Figure 8. Evolution of (a) electric ﬁeld, (b) electron density, (c) average electron energy E, and
(d) diode resistance R against position x (active region 0.1–1.8mm): f ¼95GHz, V
rf
¼1:0 V,
V
bias
¼5:0 V, I
bias
¼474mA, T¼500K. The graphs in parts (a), and (b) show the electric ﬁeld
and the electron density, respectively, at ot ¼np/4, n¼0,2,4,6, and part (c) shows the electron
energy proﬁle at ot ¼np/4, n¼0y7, during one RF cycle.
1862 GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS
remains positive for a large fraction of the active region
and contributes to losses in this deadspace region, where
as a negative resistance contributes to the RF power gen
eration only for a small fraction of the active region. In
Eq. (9), A and J, denote the device area and total current
density, respectively. In addition to this deadspace region,
the peak electric ﬁeld occurs near the anode, and, at a high
DC bias, the electric ﬁeld may reach values for the onset of
avalanche breakdown. The energydependent energy re
laxation times of Fig. 9 lead to effective transfer time con
stants as shown in Table 2 for GaAs and InP.
Fundamental frequency limits of 100GHz for GaAs and
200GHz for InP TEDs were originally estimated from
these effective transfer time constants and considered
hard limits. However, in subsequent sections, some solu
tions that help reduce the deadspace region or have been
demonstrated to extend the useful frequency range even
far beyond these fundamental frequency limits are pre
sented and discussed.
3. FABRICATION TECHNOLOGIES
TEDs are characterized by low to medium DCtoRF con
version efﬁciencies ranging from approximately more than
15% down to less than 1%. As a consequence, most of the
DC input power P
DC
, namely, P
DC
ÀP
RF
, needs to be dis
sipated as heat in the device. In most cases, one of the
metal contacts near the active region of the device also
acts as the heatsink; therefore, TEDs for millimeterwave
frequencies generally are mesatype devices. Additionally,
operation at these frequencies requires thin devices to re
duce losses in the substrate resulting from the skin effect.
The integrated heatsink technology is the most wide
spread for devices at millimeterwave frequencies. To re
duce losses in the substrate, most of it needs to be removed
during fabrication.
In early fabrication technologies, vaporphase epitaxy
(VPE) provided the layer structures. As a ﬁrst step in pro
cessing, a few small holes (or grooves) across the sample
were etched through the epitaxial layers down into the
substrate. An appropriate depth of the holes was chosen to
gauge the thickness during substrate removal. The advent
of more advanced growth techniques, such as MBE, MOM
BE, MOCVD, and CBE, allows the incorporation of a lat
ticematched, stop–etch layer between the substrate and
the epitaxial layers of the device. This way, the substrate
is completely removed, and precise control of the mesa
height and, consequently, the device diameter is achieved.
Fabrication technologies for substrateless devices on inte
gral heatsinks or on diamond heatsinks for better heat
removal have been developed and described in the litera
ture. Selective etching technologies in the GaAs and InP
material systems [16–18] employ as etch–stop layers lat
ticematched Ga
x
Al
1 Àx
As (xo0.4) and In
0.53
Ga
0.47
As lay
ers, respectively. Improved yield, reproducibility, and
performance characterize these substrateless devices.
Figure 10 summarizes the basic steps of these fabrica
tion technologies. The batch fabrication of InP TEDs on
integral heatsinks serves as an example [16]. In the ﬁrst
step, the metallization for the nohmic contact (Ni/Ge/Au/
Ti/Au) is evaporated or sputtered onto the surface. A thick
gold layer is then electroplated onto this metallization to
form the integral heatsink. The sample is mounted on a
carrier to provide additional mechanical support and pro
tect the heatsink during the subsequent processing steps.
The substrate is removed in a selective etchant of diluted
hydrochloric acid [16], which does not attack the In
0.53
Ga
0.47
As etch–stop layer. Good ohmic contacts can be
formed on ntype InP or, with lower specific contact resis
tance r
c
, on ntype In
0.53
Ga
0.47
As. Therefore, this In
0.53
Ga
0.47
As layer need not be removed, but may be etched
away selectively in a standard solution of phosphoric or
sulfuric acid, hydrogen peroxide, and water as indicated in
Fig. 10. Such a solution does not attack InP. A photoli
thography step deﬁnes the openings on this InP surface
(or In
0.53
Ga
0.47
As surface if left in place), where the met
allization (Ni/Ge/AuTi/Au)) for the other nohmic contacts
on the second heavily n
þ
doped layer is deposited. Excess
metal outside the contacts is lifted off with the photoresist
and, using another photolithography step, the contacts are
selectively electroplated with several micrometers of gold
to form a good bonding pad. The contact pad acts as a
mask when the mesa of the diode is etched in a nonselec
tive etch. After the sample has been removed from the
carrier, the contacts are annealed, and the sample is diced
into individual diodes. Diodes are then mounted in pack
ages for appropriate RF circuits.
4. DEVICE PACKAGES, OSCILLATOR CIRCUITS, AND
RF PERFORMANCE
Figure 11a shows a typical TED package. It consists of a
goldplated threaded copper puck (which can be screwed
into the RF circuit), an alumina ring, and a top lid for a
hermetic seal. The device is soldered or thermocompres
sionbonded onto a pedestal inside the ring, and gold
straps are then thermocompressionbonded onto the de
vice and the top metallization of the alumina ring. The
height and diameter of the ring depend on the operating
e
(
p
s
)
4
3
2
1
0
0 0.2 0.4 0.6 0.8 1.0
GaAs
InP
E (eV)
Figure 9. Energy relaxation times t
e
in GaAs and InP against
electron energy E. (After Rolland et al. [15].)
GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS 1863
frequency as well as the device, and typical values are
given in Fig. 11a. This type of package is used up to fre
quencies of 94 GHz, and its parasitic elements can be ap
proximated by lumped elements as illustrated in Fig. 11b.
Different ribbon conﬁgurations are chosen to minimize the
inﬂuence of the parasitic inductance L
p
, which is the high
est for just one gold strap across and the lowest for the
‘‘star’’ conﬁguration. The useful frequency range of the
package can be extended to 140GHz and higher if the
alumina ring is replaced by a quartz ring for a lower par
asitic capacitance C
p
. However, new devices for frequen
cies above 100 GHz are still being developed, and, for
research purposes, a lowparasitic open package with
two or four standoffs at the highest millimeter and
up to submillimeterwave frequencies is also often
employed [18,19].
The heatﬂow resistance R
th
from the active layer of the
device to the package causes an average temperature
increase DT
op
in the active layer
DT
op
¼R
th
ðP
DC
ÀP
RF
Þ ð10Þ
Too high an active layer temperature degrades the RF
performance as well as the device reliability and lifetime
[11]. A larger valley separation of 0.53 eV in InP than in
GaAs (see Fig. 3) reduces the temperature dependence of
the transfer mechanism as well as the temperaturede
pendence of the effective transit velocity v
T
(see Table 2).
As a result, DCtoRF conversion efﬁciencies and oscilla
tion frequencies are generally less temperaturedepen
dent in InP Gunn devices. However, the higher
threshold electric ﬁeld of 10.5 kV/cm in InP (see Table 2)
requires higher bias voltages than those applied at GaAs
devices of the same length. Therefore, RF power levels are
thermally limited at low microwave frequencies, where
long active regions need to be used. As a further conse
quence, InP TEDs are more likely to beneﬁt from reduced
heatﬂow resistances [11]. Figure 12 compares the esti
mated [20] heatﬂow resistances of Wband (75–110 GHz)
and Dband (110–170 GHz) InP Gunn devices on integral
and diamond heatsinks as well as some measured values
for devices on integral heatsinks [21–23]. Examples of how
significantly diamond heatsinks improve the RF perfor
mance of both GaAs and InP Gunn devices are provided in
the sections on device structures.
Many different circuit conﬁgurations for oscillators
with TEDs have been investigated. At millimeterwave
frequencies, waveguide circuits are quite common. Al
though excellent results were reported from a few trans
ferredelectron oscillators (TEO) in microstrip circuits
[10,11,24–26], the vast majority of the stateoftheart re
sults were obtained in waveguide circuits. These results,
summarized in Fig. 13, include the performance of different
Plated gold
n contact
(Ni/Ge/Au/Ti/Au)
n
+
InP
n
+
InP
n
−
InP
n
+
InP
n
+
InGaAs
InP substrate
(a)
n contact
(Ni/Ge/Au/Ti/Au)
(d)
(b)
Photoresist
(c)
Plated gold
Figure 10. Steps in the fabrication of InP TEDs on integral heatsinks: (a) Island definition,
Nohmic evaporation and gold plating of heatsink (E20mm); (b) substrate thinning, etch–stop layer
removal, and second Nohmic evaporation; (c) gold plating of ohmic contacts; (d) ﬁnal devices after
annealing and mesa etch. (After Kamoua et al. [16].)
1864 GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS
device structures as illustrated in Fig. 7. Examples for the
RF performance of individual device structures are given
in the subsequent sections. An overview of typical conﬁg
urations for waveguide circuits [27,28] is shown in Fig. 14.
Examples of oscillator circuits using coaxial lines at mi
crowave frequencies can be found in Ref. 1.
5. DEVICE STRUCTURES
5.1. Ohmic Cathode Contacts
TEDs with ohmic contacts on both heavily ndoped regions
of the structure of Fig. 7a (ﬂatdoping proﬁle) are the sim
plest structure, easy to fabricate, but characterized by low
DCtoRF efﬁciencies. These devices are typically operated
in a fullheight waveguide cavity with a resonant cap on
top of the device package, and this conﬁguration is illus
trated in Fig. 14e. Modiﬁcations of this conﬁguration in
clude the use of a reducedheight waveguide or a
mechanism for adjusting the position of the resonant cap
and the device package with respect to the bottom of the
waveguide. Fundamentalmode operation of Gunn devices
in a reducedheight postcoupled waveguide cavity was re
ported up to millimeterwave frequencies, for instance, for
a GaAs Gunn device at 84 GHz [29] and an InP Gunn de
vice at 126GHz [30]. RF power levels (and corresponding
DCtoRF conversion efﬁciencies) of 420mW (6%) at
35 GHz [19], 280mW at 45 GHz [19], 150 mW at 60 GHz,
and 110 mW (2.8%) at 70GHz [31] were reported from ﬂat
proﬁle GaAs Gunn devices in the fundamental mode.
A sharp decline in the DCtoRF conversion efﬁciencies
of devices operating in the fundamentalmode presages
the abovementioned frequency limits for GaAs or InP
Gunn devices. However, this frequency limit can be ex
tended by the extraction of higher harmonics from the in
herently nonlinear Gunn device. Secondharmonic power
extraction has proved most successful in a slightly
0.60−0.89
Ribbon
Ring
Device
Heat sink
Pedestal
Lid
0.35–0.52
Ribbon
configurations
Ring
Ring
Ring
C
p
= 0.04 – 0.22 pF
L
p
= 0.03 – 0.20 nH
Package
C
p
L
p
(b)
Device
C
d
R
d
Equivalent circuit
(a)
3−48 UNC−2A
0.5
0
.
7
6
3
.
3
0
.
2
–
0
.
5
0
.
5
±
0
.
0
5
2.92
thread
All dimensions are in millimeter
General tolerances are ± 0.15
Figure 11. (a) Hermetically sealed package for millimeterwave
TEDs; (b) equivalent circuit of the parasitic elements.
Diamond heat sink
Integral heat sink
on copper
Measurements
R
t
h
(
K
/
W
)
100
80
60
40
20
0
30 40 50 60 70 80 90
d (µm)
Figure 12. Estimated and measured [21–23] heatﬂow resistanc
es R
th
of InP TEDs on integral heatsinks and estimated R
th
of InP
TEDs on diamond heatsinks against device diameter d; estimates
based on the spreading approximation [20].
July 2003
15
10
4.0
2.6
2.2
1.4
0.7
0.58
6
13
4.5
4
3.5
4
10
3.5
3.5
4
3
5
7
4.5
4 3.1
2.8
2.5
3.8
3
2.7
2.5
2.6
2.3
1.6
0.6
0.31
0.3
0.32
0.35
0.2
<0.07
0.09
0.21
0.29
0.19
0.16
<0.09
GaAs
InP
InP (U. of Michigan)
1000
100
10
1
0.1
30 100 400
Frequency (GHz)
R
F
o
u
t
p
u
t
p
o
w
e
r
(
m
W
)
3.6
1
∝
1
∝
1
f
3
f
f
2
∝
Figure 13. Stateoftheart RF power levels from TEDs under
CW operation in the frequency range of 30–400GHz. Numbers
next to the symbols denote DCtoRF conversion efﬁciencies in
percent.
GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS 1865
modiﬁed version of a resonantcap, fullheight waveguide
cavity. The size of the waveguide is appropriate for the
secondharmonic frequency, but impedes wave propaga
tion at the fundamental frequency. If in such a circuit the
fringe capacitance of the cap and the device capacitance
together resonate with the inductance of the bias post (see
Fig. 14e) at half the output frequency, this signal cannot
propagate, and the termination of the device is almost
purely reactive at the fundamental frequency. This reac
tive termination causes a large voltage swing in the device
and, as a result, strong nonlinear operation. A cap of
appropriate size together with the coaxial post provides
impedance matching into the waveguide at the second
harmonic frequency, and a waveguide backshort at one
side of the cavity provides power tuning. The resonant
circuit at the fundamental frequency is decoupled from
the load, which corresponds to Q values typically higher
than those in fundamentalmode operation. As results, re
duced frequency pulling with load changes or improved
frequency stability may be observed. However, more com
plicated circuits with precise mechanical dimensions are
necessary if widerange frequency tuning is to be imple
mented. As an example for secondharmonic power ex
traction, RF power levels (and DCtoRF conversion
efﬁciencies) of 123mW (3.1%) at 83 GHz, 96 mW (2.7%)
at 94 GHz were measured with GaAs Gunn devices [31].
The advantages of InP can be clearly seen at millime
terwave frequencies with short active regions where low
er inertial energy time constants lead to a much higher
fundamental frequency limit. RF power levels (and corre
sponding DCtoRF conversion efﬁciencies) of 200mW
(5%) at 80 GHz and 150mW (3.5%) at 94 GHz [22] in the
fundamental mode as well as 7 mW at 180GHz and
3.2 mW at 206 GHz [32] in a secondharmonic mode were
reported from similar ﬂatdoping InP Gunn devices on
integral heatsinks.
RF power stability against package temperature typi
cally ranges from À0.02 to À0.06dB/1C as quoted by var
ious manufacturers for commercially available GaAs
Gunn devices (see also Ref. 11). Conversely, values of
around À0.013 dB/1C [11] or as low as À0.005 dB/1C
[21,22] were reported from InP Gunn devices.
The more complex structures of Figs. 7c–7e also employ
ohmic cathode contacts at the anode and cathode, but de
vice characteristics and RF performance are discussed
separately in subsequent sections.
5.2. CurrentLimiting Cathode Contacts
A partially annealed ohmic contact significantly reduces
the typical Schottky barrier height of metals on the semi
conductors GaAs and InP (0.6–0.9 eV), but still leaves a
small barrier (o200meV). If such a contact is formed on
the cathode side of the twozone structure (see Fig. 7b) and
is reversebiased, this barrier causes a highﬁeld region at
the cathode contact of the device under bias. Electrons in
jected over this barrier enter the active region at a higher
energy and, under this high electric ﬁeld, transfer faster
into the upper valleys. This faster transfer reduces the
dead space. The shallow Schottky barrier also limits the
current ﬂow into the active region at the cathode. Therm
ionic emission and thermionic ﬁeld emission contribute to
the current ﬂow, and, in this case, the current density J
c
as a function of the voltage V
c
across the barrier can be
approximated by
J
c
ðV
c
Þ ¼J
r
exp À
qV
c
rkT
_ _
Àexp
ð1 ÀrÞqV
c
kT
_ _ _ _
ð11Þ
where J
r
¼A
Ã
T
2
exp( Àqf
Bn
/kT) is the saturation current;
k, T, r, A
Ã
, and qf
Bn
denote the Boltzmann constant, ab
solute temperature, ideality factor, effective Richardson
constant, and effective barrier height on ntype material,
respectively [1]. Current limiting as a boundary condition
at the cathode causes the electrons in the active region of
the device to approximate the current valley condition
[15,33] for a saturated electron velocity v
s
and a doping
concentration N
D
_
T
0
JðtÞ dt ¼J
0
¼N
D
qv
s
ð12Þ
Coaxial
section
(b)
Coaxial
section
(c)
Cap resonator
(e)
Impedance
transformer
Bias
Insulator
To
load
Device
Tuning
short
(a)
(d)
Coaxial
section
Iris
Figure 14. Examples of waveguide circuits for TED oscillators.
(After Kuno [27].)
1866 GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS
with large space charge waves superimposed on an almost
constant electric ﬁeld throughout the active region [15].
This mode of operation yields high RF power levels in the
fundamental mode as well as a secondharmonic mode.
Corresponding DCtoRF conversion efﬁciencies are typi
cally the highest reported to date. RF power levels (and
DCtoRF conversion efﬁciencies) of more than 500mW
(15%) at 35 GHz, more than 350mW (13%) at 44 GHz and
380mW (10.6%) at 57 GHz [19,34] in the fundamental
mode as well as 175mW (7%) at 94 GHz and 65 mW (2.6%)
at 138 GHz [23,35] in a secondharmonic mode were
achieved using this technology. These devices are on inte
gral heatsinks, and still higher RF power levels are ex
pected from devices on diamond heatsinks. Devices on
integral heatsinks with high RF power levels are also
commercially available.
Equation (11) expresses the strong temperature depen
dence that is inherent in the current ﬂow through a shal
low Schottky barrier in the reverse direction [1]. However,
the highefﬁciency mode reduces DC input requirements
and provides higher RF impedance levels. As a conse
quence, larger device diameters can be used, which have
lower heatﬂow resistances (see Fig. 12). In turn, lower
heatﬂow resistances R
th
entail lower activelayer temper
atures T
op
[see Eq. (10)]. The typical temperature increase
DT
op
remains below 100 K at maximum RF output power
[23,34], and low operating activelayer temperatures en
sure reliability and excellent temperature stability over
wide temperature ranges of À30 to þ701C for devices at
56 GHz [34] and 94 GHz [34,35] as well as of 0–501C for
devices at 140GHz [23]. The temperaturedependent per
formance of a Dband InP Gunn device in Fig. 15 serves as
an example.
5.3. Graded Active Region
A doping proﬁle with a lower doping concentration N
D
at
the cathode and a linear grading toward a higher N
D
at
the anode as shown in Fig. 7d decreases the peak electric
ﬁeld near the anode to a large extent and increases the
electric ﬁeld near the cathode [16]. Both effects are bene
ﬁcial to the device operation, and enhance the DCtoRF
conversion efﬁciency as well as the RF output power of the
device. A lower electric ﬁeld near the anode reduces the
power dissipation in this region and also allows higher
bias voltages without the onset of impact ionization and
avalanche breakdown. A higher electric ﬁeld near the
cathode causes a larger fraction of the electrons to trans
fer to the upper valleys over a shorter distance, which is
equivalent to a shorter deadspace region. This is illus
trated in Fig. 16, which compares domain formation in a
ﬂatproﬁle (Fig. 16a) and a gradedproﬁle (Fig. 16b) TED
structure, both with a 1.0mmlong active region. Accumu
lation domains form in the ﬂatproﬁle structure, whereas
dipole domains form in the gradedproﬁle structure. A
higher fraction of electrons in the upper valleys slightly
lowers the average electron velocity throughout the active
region; as a consequence, the gradedproﬁle structure op
erates at lower current densities compared to a ﬂatproﬁle
structure of a similar (average) doping concentration. In
fact, a lower average electron velocity and shorter dead
space may somewhat decrease the optimum operating fre
quency f
op
for the same device length l. However, more
efﬁcient device operation extends the upper frequency
limit and allows shorter active regions. Similar to the
three zone structures of Fig. 7a, the structures with grad
eddoping proﬁles have ohmic contacts at anode and cath
ode; therefore, they are easy to fabricate. They were
investigated in both InP and GaAs material systems.
RF power levels (and DCtoRF conversion efﬁciencies)
of 345mW (6.8%) at 31.2GHz and 325 mW (6.6%) at
34.9 GHz from devices on integral heatsinks [36] and
210 mW (3.5%) around 60 GHz from devices on diamond
heatsinks [37] were achieved in the GaAs material sys
tem. The devices on diamond heatsinks showed operating
activelayer temperatures below 1501C and fundamental
mode operation up to 84 GHz (33 mW and 1.7%) [38]. De
vices from InP material with properly designed [16,39]
gradeddoping proﬁles yielded the highest RF power levels
reported for any Gunn device to date. Fundamentalmode
operation was demonstrated up to 165 GHz, and RF power
levels that exceeded 310 mW at 82 GHz [40], 200mW at
103 GHz, 130 mW around 132GHz, 80 mW at 152GHz,
and 25 mWat 163GHz [41] were obtained from devices on
diamond heatsinks [30]. As an example, DCtoRF conver
sion efﬁciencies exceeded 4% at 82 GHz [39,40] and 2.3%
between 102 and 132 GHz [42].
As illustrated in Fig. 17, the InP Gunn devices on di
amond heatsinks allow singlemode operation over a wide
range of DC input power levels. Excellent tuning behavior
was also observed, which can be expected from operation
in the fundamental mode. This tuning behavior over a
range of more than 4.5 GHz is shown in Fig. 18 for the
device of Fig. 17 near maximum DC bias. The oscillation
frequency changes almost linearly with the position of the
backshort, which is the only tuning element in this full
height waveguide resonant cap cavity (see Fig. 14e for a
schematic). Improved DCtoRF conversion efﬁciencies re
duce the DC input power requirements for the same RF
power levels, and, similar to devices with currentlimiting
50
40
30
20
10
0
P
o
w
e
r
(
m
W
)
0 10 20 30 40 50
0
1
2
3
4
138.0
138.5
139.0
139.5
140.0
F
r
e
q
u
e
n
c
y
(
G
H
z
)
E
f
f
i
c
i
e
n
c
y
(
%
)
Temperature (°C)
Figure 15. Measured RF performance of a Dband InP Gunn
device against ambient temperature. (After Crowley et al. [23].)
GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS 1867
cathode contacts, lower the operating activelayer temper
atures, in particular on diamond heatsinks [30,38].
InP Gunn devices with a gradeddoping proﬁle yielded
the highest RF power levels from any Gunn device not
only in the fundamental mode but, for the same graded
doping proﬁle, also in a secondharmonic mode. Examples
are the RF power levels of 1.8 and 1.1 mW at secondhar
monic frequencies of 280GHz and 315GHz, respectively
[41,43] (see inset of Fig. 17 for the doping proﬁle) as well
as 34 mW at 193GHz and 26 mW at 199GHz [40,44].
When the gradeddoping proﬁle is optimized just for sec
ondharmonic power extraction, even higher RF power
levels of, for example, more than 3.5 mW around 300 GHz
are generated and, as indicated in Fig. 13, RF power gen
eration is observed up to at least 325GHz [40,45].
5.4. Injection over a Homo or Heterojunction Barrier
Injection of electrons with an energy higher than that at
thermal equilibrium (i.e., ‘‘hot’’ electrons) over a barrier
reduces the dead space in the active region. Several con
cepts (e.g., planardoped barrier, camel cathode, and he
terojunction barriers) have been investigated in the GaAs/
AlGaAs material system to improve efﬁciency, but also to
eliminate coldstart problems in GaAs Gunn devices. In
jection over a heterojunction barrier has proved the most
D
e
n
s
i
t
y
(
c
m
−
3
)
6×10
17
4×10
17
2×10
17
1×10
17
2.5×0
16
0 0.2 0.4 0.6 0.8 1.0 1.2
x (µm)
0
2
4
6
Doping concentration
(a)
(b)
D
e
n
s
i
t
y
(
c
m
−
3
)
6×10
17
4×10
17
2×10
17
1×10
17
2×10
16
8×10
15
0 0.2 0.4 0.6 0.8 1.0 1.2
0
2
4
6
Doping concentration
x (µm)
Figure 16. Evolution of electron density against position x (active region 0.1–1.1mm) for a ﬂat
proﬁle (a) and gradedproﬁle (b) TED structure at f ¼130GHz and ot ¼n
p/4
, n¼0,2,4,6, during one
RF cycle.
F
r
e
q
u
e
n
c
y
(
G
H
z
)
P
R
F
(
m
W
)
P
DC
(W)
0
20
40
60
80
2.5 3.5 3.0
0.3 µm 1.0 µm 0.3 µm
4.0 4.5
1.5%
2.0%
2.5%
100
120
132.0
132.5
133.0
n
+
n
−
n
+
2×10
18
cm
−3 2×10
18
cm
−3
2 × 10
16
cm
−3
7.5 × 10
15
cm
−3
Figure 17. Biasdependent RF characteristics of a Dband InP
Gunn device (K: output power, þ: oscillation frequency, – – –:
lines of constant efﬁciency). Inset: Nominal doping proﬁle. (After
Eisele and Haddad [30].)
Frequency (GHz)
R
F
o
u
t
p
u
t
p
o
w
e
r
(
m
W
)
B
a
c
k
s
h
o
r
t
p
o
s
i
t
i
o
n
(
m
m
)
0
20
40
60
80
100
120
130 132 134 136
1.2
1.3
1.4
1.5
1.6
Figure 18. Mechanical tuning characteristic for the Dband InP
Gunn device of Fig. 17 close to maximum applied bias.
1868 GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS
successful and was experimentally investigated in the Al
GaAs/GaAs system with improved efﬁciencies and upper
frequency limits [29,46]. Figure 19 shows the band dia
grams of isotype heterojunctions in the latticematched
GaAs/Al
x
Ga
1Àx
As and InP/In
x
Ga
1Àx
As
y
P
1 Ày
material
systems. In both material systems, layers can be grown
latticematched over a wide composition range and, thus,
bandgap or conductionband offset can be tailored suitably.
Linear composition grading from the GaAs to the wid
erbandgap AlGaAs eliminates the ﬁrst barrier, and the
doping spike as shown in Fig. 7e at the beginning of
the active region (GaAs) reduces or eliminates the notch
at the interface from the AlGaAs layer to the GaAs region.
At the proper bias level, ‘‘hot’’ electrons are now ballisti
cally launched into the active region from an approxi
mately 200meVhigh step in the conduction band. The
optimization of such a design requires advanced simula
tion schemes, such as ensemble Monte Carlo techniques.
Using a reducedheight postcoupled waveguide cavity
(see Fig. 14b for a schematic) for the oscillator, an RF
output power of 71mW with a corresponding DCtoRF
conversion efﬁciency of 2.8% was measured in the funda
mental mode at 77.6GHz. Lownoise operation of such a
Gunn device was achieved at least up to 84GHz [29]. As a
characteristic of fundamentalmode operation [30], a wide
tuning bandwidth of more than 6GHz was observed by
simply adjusting the position of the backshort [29].
In contrast to the GaAs/AlGaAs material system, lat
ticematched InGaAsP has a smaller bandgap than does
InP as illustrated in Fig. 19. Therefore, electrons cannot
be ballistically launched into the active region. However, a
wide composition range in the InGaAsP material system
can be grown latticematched to InP. This wide composi
tion range allows a wide range in the bandgap and con
ductionband offset to be implemented. As a consequence,
the proper currentlimiting injection at the cathode can be
designed. Theoretical investigations predict a significant
improvement in DCtoRF conversion efﬁciencies at W
band and Dband frequencies [33,47] while preserving the
higher frequency limit of InP compared to GaAs.
In summary, different schemes for ‘‘accelerating’’ elec
trons and transferring them faster to the upper valleys
can be incorporated into a device design. Shorter transfer
times reduce the dead space, improve the DCtoRF con
version efﬁciency, and allow for a shorter active region to
achieve a higher operating frequency. However, a reduced
dead space effectively increases the transit time and ac
tually lowers the optimum operating frequency f
op
for an
active region of the same length l. Finite valley transfer
times still impose some physical upper frequency limit.
Additionally, if electrons gain too much energy and/or the
active region is too short, the long energy relaxation time
prevents the electrons from losing enough energy to trans
fer back to the lower valley. No domains can form in such a
structure, the dynamic resistance between the two device
terminals remains positive for all frequencies, and no RF
power is generated.
6. NOISE
The noise in the output spectrum of an oscillator consists
of ﬂuctuations in RF amplitude (AM noise) and oscillation
frequency (FM noise). However, FM noise generally dom
inates in Gunn devices and can be described as effective
frequency modulation Df
rms
versus frequency f
m
off the
oscillation frequency f
o
. It corresponds to the noiseto
carrier ratio N/C
FM
as, for example, seen on a spectrum
analyzer
N
C
¸
¸
¸
¸
FM
¼
Df
2
rms
2f
2
m
ð13Þ
To compare the noise performance of different oscillators,
including those with other twoterminal devices on a more
equitable basis, the FM noise measure M [48] is more
appropriate
M¼
Df
2
rms
Q
2
f
2
o
kT
0
B
P
RF
ð14Þ
(a) (b)
E
v
E
F
E
v
E
c
∆E
c
∆E
c E
c
E
F
V
0
V
0
− +
− +
n
+
n
−
n
+
n
+
n
−
n
+
GaAIAs GaAs
GaAs or
GaAIAs
GalnAs or
GalnAsP InP InP
Figure 19. Band diagram of isotype heterojunctions in GaAs/AlGaAs and InP/InGaAsP at zero
bias. (After Friscourt et al. [33].)
GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS 1869
where T
0
is the absolute temperature and B is the mea
surement bandwidth. The loaded Q factor of the oscillator
circuit is determined in a waveguide setup as illustrated
in Fig. 20a. The sweep oscillator injects a signal at the
power level P
i
into the oscillator under test (OUT), and the
maximum continuous frequency range Df
s
over which the
OUT remains injectionlocked with the sweep oscillator is
determined [48]:
Q¼
2f
o
Df
s
P
i
P
RF
_ _
1=2
ð15Þ
An alternative is also shown in Fig. 20b. The signal from
the OUT is reﬂected at a tunable lowloss short and in
jected back as P
i
through the coupler into the OUT. If the
position of the short is moved by more than half of the
guide wavelength l
g
, the oscillation frequency continuous
ly changes from a lower to an upper limit. This maximum
tuning range (i.e., the selfinjection locking range) is now
Df
s
in Eq. (15).
Thermal noise of electrons is the dominant effect in
Gunn devices. If a TED is designed (using subcritical
N
D
lo1 Â10
12
cm
À2
) for and operated in the ampliﬁer
mode [1], the smallsignal noise measure M approaches
the asymptotic limit M
0
M
0
¼
qD
kjm
diff
jT
0
ð16Þ
where the ratio of the diffusion coefﬁcient D and the dif
ferential mobility m
diff
is the crucial factor. InP shows an
advantage of 142/72 (approximately 3 dB; see Table 2) over
GaAs. If an equivalent differential mobility m
eff
is intro
duced for the oscillator mode (critical N
D
l41 Â10
12
cm
À2
)
with the device conductance per unit area G
D
m
eff
¼
jG
D
j
qN
D
ð17Þ
the largesignal noise measure M can be deﬁned as
M¼
qD
km
eff
T
0
ð18Þ
The noise performance of Gunn devices near the carrier is
dominated by ﬂicker noise components with typical corner
frequencies in the range of 100kHz–1 MHz. As predicted
by Eq. (13), the phase noise decreases by À20 dB per de
cade at higher offcarrier frequencies f
m
. Table 3 summa
rizes typical results from GaAs and InP Gunn devices
[24,29,30,39,41,44,49].
Although Eq. (18) predicts lower values of M for oscil
lators with InP Gunn devices, experimental results indi
cate little difference between the two. Figure 21 [50]
compares the FM noise measure M of Gunn devices with
that of other twoterminal devices in the frequency range
of 75–155 GHz. This ﬁgure highlights the lownoise
Bias supply
Sweep oscillator
Isolator
Precision attenuator
Power meter
Precision
attenuator
Frequency
meter
−10 dB coupler
−10 dB coupler −20 dB coupler
−20 dB coupler
Oscillator under test (OUT)
Tunable
back short
Tunable short
Power meter
Variable attenuator
Harmonic mixer
Spectrum analyzer
Waveguide
Coaxial cable
(a)
(b)
P
RF
P
i
+
−
Figure 20. Waveguide test setup to determine the injection locking range Df
s
and Q factor of a
transferredelectron oscillator: (a) using injection locking with a sweep oscillator; (b) using self
injection locking.
1870 GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS
characteristics of TEDs, where the largesignal FM noise
measure of both GaAs and InP Gunn devices typically re
mains below 25 dB [11,24,30,49,51]. Some InP devices
with currentlimiting contacts show excess ﬂicker noise
components near the carrier frequency f
o
. Oscillators with
Gunn devices in a secondharmonic mode yield lower
values for the phase noise, but they yield similar values
for the noise measure because much higher Q values
are achieved in a circuit without a resistive load at the
fundamental frequency.
7. FUTURE TRENDS
7.1. More Power and Higher Operating Frequencies with
INP TEDs
Fundamentalmode operation up to 165 GHz was demon
strated with InP Gunn devices. Therefore, InP or InP with
heterojunction barriers are promising material systems
not only for device structures that exhibit improved per
formance in the fundamental mode at frequencies around
or above 100GHz but also for other device structures that
generate significant RF power levels up to submillimeter
wave frequencies in a secondharmonic mode. In all these
devices, proper heat management is one of the important
factors, and employment of the appropriate diamond heat
sink technologies is mandatory for maximum RF output
power as well as reliable longterm operation. Powercom
bining techniques [28,52] can be employed to increase the
available RF power levels. As examples, four InP Gunn
devices in a powercombiner circuit delivered an RF power
of 260 mW to the load in CWoperation at 98.6GHz [11,53],
and two devices each on diamond heatsinks yielded more
than 300mW at 103GHz [42] or more than 125mW at
152 GHz [41].
Structures with a ﬂatdoping proﬁle, ohmic contacts
at cathode and anode, but with a doping notch near the
cathode, were originally investigated for lownoise micro
wave and millimeterwave ampliﬁer applications [11], but
have now emerged as quite promising candidates for efﬁ
cient secondharmonic power extraction at Jband (220–
325 GHz) frequencies and above [39,45]. Figure 22a com
pares the predicted RF performance of two different dop
ing proﬁles in the active region of InP Gunn devices in a
secondharmonic mode as shown in Fig. 22b [45]. In all
simulations, the predicted operating temperatures were
kept similar and below 420K to ensure a fair comparison
and, much more importantly, reliable longterm operation
of fabricated devices on diamond heatsinks. The improve
ments are even more pronounced at frequencies above
300 GHz, where initial Monte Carlo simulation results in
dicate an improvement in RF output power by a factor of
2–3 compared to structures with a gradeddoping proﬁle.
RF power levels of more than 7 mW at 360GHz and
4.7 mW at 500 GHz are predicted for structures with a
doping notch as opposed to 5 and 2.6 mW, respectively, for
structures with a gradeddoping proﬁle at the same fre
quencies [45]. These performance improvements are at
tributed to a faster transfer of electrons to the upper
valleys near the cathode and, as a comparison in Fig. 23
indicates, a rather ﬂat electric ﬁeld proﬁle throughout
most of the active region [39,45] of the structure with a
notch in the doping proﬁle.
7.2. New Material Systems
Widebandgap materials such as GaN and AlGaN are also
regarded as promising for highpower Gunn devices.
Favorable material parameters, for example, are higher
critical electric ﬁelds for avalanche breakdown, higher
thermal conductivities, higher permissible operating
temperatures, and expected higher carrier drift velo
cities. However, high threshold electric ﬁelds E
th
and
Table 3. Phase Noise of FreeRunning Oscillators using
GaAs or InP MillimeterWave Gunn Devices
Material
System
Phase
Noise
(dBc/Hz)
OffCarrier
Frequency
(kHz)
Oscillation
Frequency
(GHz)
RF Output
Power
(mW) Ref.
GaAs oÀ80
a
100 77 440
a
29
GaAs À70 100 80 55 24
GaAs À100 1,000 80 55 24
GaAs À120 10,000 80 55 24
GaAs À80 100 94 10 49
GaAs À105 1,000 94 10 49
InP À75 100 94 20 49
InP À100 1,000 94 20 49
InP oÀ110 500 81 126 39
InP oÀ110 500 103 180 41
InP oÀ108 500 132 120 30
InP oÀ103 500 151 58 30
InP oÀ94 500 199 19 44
a
Reported as typical value, corresponding RF output power not mentioned.
75 95 115 135 155
10
20
30
40
50
Frequency (GHz)
N
o
i
s
e
m
e
a
s
u
r
e
(
d
B
)
Small signal
Large signal
Si IMPATT diodes
GaAs IMPATT
& MITATT diodes
GaAs TUNNETT
diodes
InP Gunn devices
Figure 21. Comparison of the FM noise measure M in freerun
ning oscillators with different twoterminal devices at millimeter
wave frequencies of 75–155GHz. (After Eisele and Haddad [50].)
GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS 1871
consequently higher DC bias voltages may result in severe
thermal limitations of the device performance [54].
Furthermore, major improvements in material quality or
availability and in fabrication technologies are needed
before devices for system applications can be developed.
7.3. Circuit Integration
Waveguide circuits are, in general, rugged, can dissipate
heat easily, and offer high Q values. Therefore, they are
the preferred circuits to obtain the maximum RF output
power. However, they are bulky and in most cases must be
machined, assembled, and tested individually, which pro
hibits lowcost mass production. Therefore, highvolume
production for system applications such as wireless com
munication (highspeed data transmission) or collision
avoidance radar in automobiles must be based on quite
different approaches. Both hybrid and monolithic integra
tion were attempted with Gunn devices. Hybrid micro
stripline oscillators with InP Gunn devices exhibited
excellent performance. RF power levels (with correspond
ing DCtoRF conversion efﬁciencies) of 52 mW (3.5%) at
94 GHz [25], but also 40 mW (1.4%) at 81 GHz [11,24] and
4200 mW (47.5%) around 35.5GHz [10,35] were mea
sured and are considered comparable to values from sim
ilar Gunn devices in waveguide circuits. Hybrid
integration of a GaAs Gunn device for automotive appli
cations at 77 GHz was also demonstrated [26]. The ther
mal conductivity of the semiconductor materials InP and
GaAs is rather low (0.68 and 0.46Wcm
À1
K
À1
, respec
tively) when compared to metals or diamond
(20 Wcm
À1
K
À1
at room temperature). Therefore, fully
monolithic integration of lowefﬁciency Gunn devices at
millimeterwave frequencies encounters severe thermal
Graded doping
profile
Doping profile
with notch
R
F
o
u
t
p
u
t
p
o
w
e
r
(
m
W
)
60
50
40
30
20
10
0
160 180 200 220 240 260 280 300 320
Frequency (GHz)
(a)
>2 × 10
18
cm
_
3
>2 × 10
18
cm
_
3
2.3 × 10
16
cm
_
3
>2 × 10
18
cm
_
3
>2 × 10
18
cm
_
3
3 × 10
16
cm
_
3
1 × 10
16
cm
_
3
1 × 10
15
cm
_
3
1.1 µm
n
+
n
+
n
+
n
−
n
+
n
−
Graded doping profile
1.1 µm
0.1 µm
Doping profile with notch
(b)
+
+
_
_
Figure 22. Comparison of predicted RF power level from InP Gunn devices with doping proﬁles
optimized for secondharmonic power extraction.
30
10
−10
−30
−50
−70
−90
−110
−130
−150
0.0 0.3 0.7 1.0 1.3
Graded structure
2
4
6
0
Position (µm)
(a)
E
l
e
c
t
r
i
c
f
i
e
l
d
(
k
V
.
c
m
−
1
)
E
l
e
c
t
r
i
c
f
i
e
l
d
(
k
V
.
c
m
−
1
)
30
10
−10
−30
−50
−70
−90
−110
−130
0.0 0.3 0.7 1.0 1.3
Position (µm)
(b)
4
6
2
0
Notch structure
Figure 23. Evolution of electric ﬁeld against position x (active region 0.1–1.2mm) for a graded
proﬁle (a) and a ﬂatproﬁle with notch (b) TED structure at the fundamental frequency f ¼120GHz
and ot ¼np/4, n¼0,2,4,6, during one RF cycle.
1872 GUNN OR TRANSFERREDELECTRON DEVICES AND CIRCUITS
limitations. A summary of reports on integration of Gunn
devices at frequencies up to approximately 68 GHz can be
found elsewhere [28].
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FURTHER READING
E. L. Holzman and R. S. Roberston, SolidState Microwave Power
Oscillator Design, Artech House, Boston, 1992.
S. M. Sze, HighSpeed Semiconductor Devices, Wiley, New York,
1990.
S. M. Sze, Modern Semiconductor Device Physics, Wiley, New
York, 1998.
K. S. Yngvesson, Microwave Semiconductor Devices, Kluwer
Academic Publishers, Boston, 1991.
J. G. Webster, ed., Encyclopedia of Electrical and Electronics
Engineering, Wiley, New York, 1999.
R. E. Miles, P. Harrison, and D. Lippens, Terahertz Sources and
Systems, NATO Science Series, Series II: Mathematics, Phys
ics, and Chemistry, Vol. 27, Kluwer Academic Publishers,
Dordrecht, 2001.
T. Pearsall, InP: Properties, Processing, and Applications, IEE,
Stevenage, UK, 1999.
GYRATORS
DOUGLAS R. FREY
Lehigh University
1. DEFINITION
A gyrator is a nonreciprocal electrical network. It is capa
ble of transforming signals or energy represented in terms
of one electrical quantity, such as voltage or magnetic
ﬁeld, to another electrical quantity that may be of similar
type or of a complementary type, such as current or elec
tric ﬁeld. Such networks are quite useful in electronic sys
tems, since one often wishes to design systems with a
limited set of component types or with restrictions regard
ing certain physical parameters.
2. HISTORICAL USAGE
Tellegen ﬁrst proposed the idea of a gyrator in his original
work in 1948 [1]. In this paper he explained that resistors,
capacitors, inductors, and ideal transformers were the
four basic circuit building blocks. However, these elements
are all reciprocal and could, therefore, only be expected to
go into the creation of reciprocal networks. Reciprocal net
works are those networks whose impedance (or admit
tance) matrices are symmetrical. In order to realize
nonreciprocal networks, one would need a nonreciprocal
building block. Tellegen proposed such a network, calling
it a gyrator. This name was given because the equations
produced for an electrical network with a gyrator were
identical to those of a mechanical gyrostatic network. As
time went on other researchers [2–5] picked up on the idea
and began to look for circuit realizations for this abstract
functional block. In addition, over the years other systems,
such as microwave circulators, have been recognized as
being analogous to gyrators, which helps in the under
standing of these systems.
1874 GYRATORS
3. THE BASICS OF TWOPORT GYRATORS
3.1. Introduction to TwoPorts and Passivity
A gyrator is a special type of electrical twoport network.
Electrical twoport networks are any circuits where one
can identify two ports, or simply, two pairs of nodes to
which one might consider the connection of two pairs of
wires. One of the nodes at each port may be in common—
for example, ground may be common to both ports. Addi
tionally, a bipolar transistor may be considered a twoport,
where port 1 is the base–emitter node pair, and port 2 is
the collectoremitter node pair.
Except for trivial cases, every twoport possesses a
mathematical description relating the port voltages, V
1
and V
2
, and associated port currents, I
1
and I
2
. Figure 1
shows the standard reference labeling for the voltages and
currents of a twoport. Notice that the port currents are
deﬁned as ﬂowing into the þvoltage reference for each
port. These sign conventions make the definition of power
regarding a twoport more precise. Specifically, the power
as a function of time P(t) delivered to a twoport is given by
P(t) ¼V
1
(t)I
1
(t) þV
2
(t)I
2
(t), which is analogous to the def
inition in a oneport—that is, a twoterminal element. A
twoport network is lossless when the average power P(t)
delivered to the network is zero. A network is called pas
sive if the average power delivered to the network is pos
itive. Active networks are those networks where P(t) is
negative on average. In general, the power delivered to a
network can be positive or negative instantaneously, re
gardless of its passivity. For example, a capacitor in a res
onant circuit alternately sinks and sources power
instantaneously, despite its lossless average power con
sumption. Power can be deﬁned just as easily in the fre
quency domain, again in a way analogous to oneports.
The Fourier transform of power P(o) as a function of fre
quency is given by P(o) ¼V
1
(o)I
1
(o)* þV
2
(o)I
2
(o)*, where
the * indicates complex conjugation.
The general description for a twoport is given by a re
lation between its port voltages and currents. One such
description is the socalled yparameter model given by
I
1
I
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
y
11
y
12
y
21
y
22
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
V
1
V
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
)I ¼YV ð1Þ
Equation (1) deﬁnes the port current and port voltage
vectors, I and V, respectively, in addition to the yparam
eter matrix, Y. By inverting this vector equation, one re
lates the port voltages to the port currents with z
parameters. Specifically
V
1
V
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
z
11
z
12
z
21
z
22
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
I
1
I
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
)V ¼ZI ð2Þ
where Z is the zparameter matrix for the twoport. Using
models of the type shown in Eqs. (1) and (2), twoports can
be compared by their twoport parameters—for example, y
parameters. Twoports characterized by symmetric ypa
rameter matrices (equivalently zparameter matrices) are
called reciprocal. Networks possessing this reciprocity are
not necessarily lossless, but can always be realized with
reciprocal physical elements. Note that oneports (two ter
minal elements) are always reciprocal. The concept of a
twoport can be extended in an obvious way to Nports by
considering the voltagecurrent relationship measured us
ing N pairs of terminals or, equivalently, Nports.
3.2. Mathematical TwoPort Definition of a Gyrator
In the context of this discussion, a gyrator is simply a
special case of a linear twoport. While there are many
possible twoport descriptions, the most common way of
writing the basic equations relating the port parameters
in a gyrator is as follows:
I
2
¼gV
1
; I
1
¼ ÀgV
2
ð3Þ
Using these equations it is simple to write the yparameter
twoport description for a gyrator as
I
1
I
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
0 Àg
g 0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
V
1
V
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
)I ¼YV ð4Þ
This suggests that a gyrator can be implemented with
voltagecontrolled current sources, having gains of g and –
g, respectively. By inverting the relations in Eq. (3), one
obtains a gyrator formulation based on currentcontrolled
voltage sources. Specifically
V ¼
V
1
V
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
0 Àr
r 0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
I
1
I
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼ZI; r ¼1=g ð5Þ
where the zparameter matrix Z is just the inverse of the
yparameter matrix Y. Since it is most convenient to real
ize practical voltagecontrolled current source networks,
as opposed to currentcontrolled voltage source networks,
the formulation in Eq. (4) is generally preferred. For the
oretical purposes, of course, both formulations are useful.
Using Eq. (4) it is simple to show that a gyrator is a loss
less electrical network. Specifically, we obtain
P¼V
T
I ¼ V
1
V
2
¸
¸
¸
¸
I
1
I
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼ V
1
V
2
¸
¸
¸
¸
0 Àg
g 0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
V
1
V
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼V
2
V
1
ÀV
1
V
2
¼0
ð6Þ
The fact that gyrators are, in theory, lossless makes them
attractive in ﬁlter synthesis, and this will become clear
later.
I
1
V
1
+
−
V
2
+
−
Twoport
network
I
2
Figure 1. Basic twoport model.
GYRATORS 1875
3.3. Properties of Gyrators
Gyrators possess several properties that make these cir
cuits interesting for use in electronics. A ﬁrst property is
that these twoports are not reciprocal networks, since
their yparameter matrices are not symmetric. In fact,
these matrices are skew symmetric. It is well known to
circuit theorists that nonreciprocal networks cannot be
realized with only passive components—that is resistors,
capacitors, and inductors. This means that gyrators are
strictly active networks that must, therefore, be realized
with active components, such as transistors or operational
ampliﬁers. Twoport gyrators have been given their own
circuit symbol, which is shown in Fig. 2. The gyration
constant, g is built into the symbol.
Perhaps the most important property of a gyrator is its
ability to transform admittances into impedances. Specif
ically, when an admittance is connected to one port of a
gyrator, the impedance looking into the other port is ex
actly a scaled version of that admittance. The derivation
can be accomplished with the help of Fig. 3, where Z
load
is
the impedance attached to port 2, Y
load
is its reciprocal—
that is, the admittance attached to port 2—and Z
input
is
the impedance seen looking into port 1. We have
Z
load
¼
V
2
ÀI
2
;
Z
input
¼
V
1
I
1
¼
I
2
=g
ÀgV
2
¼
1
g
2
1
Z
load
¼
1
g
2
Y
load
ð7Þ
The gyration constant g determines the scale factor, but
the nature of the input impedance is determined by the
admittance attached to port 2. Therefore, if a capacitor is
attached to port 2, then we have
Z
input
¼
1
g
2
sC¼sL
eq
; L
eq
¼
C
g
2
ð8Þ
This simple relation explains the vast majority of the gy
rator’s popularity in electronic design. It shows that a ca
pacitor can be used to replace an inductor in a circuit with
the help of a gyrator. Since inductors are rarely desirable
in electronic circuits operating below about 1GH
z
, this
idea is quite appealing. Capacitors and gyrators are con
veniently realized within integrated circuits.
Filter synthesis based on the inductor simulation al
ready described is usually done by starting with an RLC
(resistor, inductor, capacitor) prototype, and replacing the
inductors with capacitor–gyrator combinations. Consider
the following example of a very simple secondorder band
pass ﬁlter shown in Fig. 4. After replacing the inductor
with a gyrator/capacitor combination, the ﬁlter is realized
solely using RC (resistor, capacitor) passive elements, as
shown in Fig. 5. Some original related work appears in
Refs. 6 and 7. Furthermore, the ﬁlter can be tuned elec
tronically if the gyration constant can be varied electron
ically. An electronically tunable ﬁlter using gyrators will
be shown later.
A byproduct of the property under discussion is that
series and parallel circuits may be interchanged with the
help of a gyrator. Suppose one port, say, port 2, of a gyrator
is loaded with a parallel combination of elements. The ad
mittance of this combination is the sum of the admittances
of each of the elements. At the other port, port 1, the input
impedance will be a scaled version of this admittance;
hence, a sum of impedances. Since the composite input
impedance seen at port 1 is given by a sum of impedances,
it must be equivalent to a series combination of elements.
Therefore, the gyrator converts a parallel network into a
series network. Using similar logic, it becomes clear that
a series network connected to port 2 will be reﬂected as a
parallel network looking into port 1 (these results are
summarized next):
Y
load
¼
N
k¼1
Y
k
)Z
input
¼
Y
load
g
2
¼
N
k¼1
Y
k
g
2
¼
N
k ¼1
Z
inÀk
Z
load
¼
N
k¼1
Z
k
)Y
input
¼
1
Y
load
=g
2
¼g
2
Z
load
¼
N
k¼1
g
2
Z
k
¼
N
k ¼1
Y
inÀk
ð9Þ
4. CIRCUIT REALIZATIONS FOR GYRATORS
4.1. The 2G
m
Cell Realization
The realization of gyrators in electronic form is quite sim
ple; however, as usual, different circuit realizations are
I
2
I
1
g
V
2
+
−
V
1
+
−
Figure 2. Electrical circuit symbol for a gyrator.
I
2
I
1
Z
load
Z
input
V
2
+
−
V
1
+
−
g
Figure 3. Reﬂecting load impedance with a gyrator.
R
+
−
L V
in
+
−
V
out
C
Figure 4. Bandpass ﬁlter.
1876 GYRATORS
preferable to others, depending on the application. To be
gin, consider the simplest generic realization consisting of
a pair of transconductance ampliﬁers, as shown in Fig. 6.
Each transconductance ampliﬁer is assumed to have inﬁ
nite input and output impedance, with an output current
equal to the transconductance G
m
¼g, times the input
voltage applied to the þ and – terminals. The circuit
shown in Fig. 6 satisﬁes the basic twoport relations for a
gyrator, given by Eq. (3).
The circuit of Fig. 6 does not implement the most gen
eral form of a gyrator, since both ports of the gyrator re
alization in the ﬁgure have ground in common. Therefore,
only groundreferenced impedances may be transformed
as described elsewhere in this article. This limitation
stems from the fact that the transconductors in Fig. 6
have singleended outputs. If differential input/differential
output transconductors are used, then a general ﬂoating
gyrator realization is created—that is, a gyrator whose
ports need not be referenced in any way to ground.
Unfortunately, the realization of fully differential gyra
tors is not easy. In general, this realization requires more
circuitry and the management of commonmode signals.
Figure 7 shows how a ﬂoating gyrator can be realized us
ing singleended transconductors; however, this circuit
suffers from commonmode problems. An analysis of this
structure yields the following results:
I
2 þ
¼ ÀgV
1 þ
; I
2À
ÀÀgV
1À
; I
1þ
¼gV
2þ
; I
1À
ÀgV
2À
)I
2
¼I
2 þ
¼ ÀI
2À
¼ ÀgðV
1þ
ÀV
1À
Þ ¼ ÀgV
1
I
1
¼I
1þ
¼ ÀI
1À
¼gðV
2 þ
ÀV
2À
Þ ¼gV
2
ð10Þ
The crucial assumption embodied in Eq. (10) is that þ
and—currents are equal and opposite one another. This
can happen only if the þ and—input voltages at the ports
are exactly equal and opposite. Since this special case
cannot be relied on in practice, additional circuitry must
be added to deal with any commonmode current compo
nent. To do this compensation, more transconductors can
be added to process the average voltage at each port. As
one might expect, this additional circuitry is an unwel
come addition to the design. As a result, this idea is rarely
found in practical designs.
There is an alternative for the simulation of a ﬂoating
inductor using gyrators. A pair of gyrators is used with a
grounded impedance Z
load
as shown in Fig. 8. The equa
tions describing this system are given by
I
2
¼gV
1
; I
1
¼ ÀgV
2
; I
4
¼gV
3
; I
3
¼ ÀgV
4
V
load
¼V
2
¼V
3
; I
load
¼ ÀðI
2
þI
3
Þ
V
input
¼V
1
ÀV
4
; I
input
¼I
1
¼ ÀI
4
Z
input
¼
V
input
I
input
¼
V
1
ÀV
4
I
1
¼
I
2
=g ÀI
3
=ðÀgÞ
ÀgV
2
¼
1
g
2
I
2
þI
3
ÀV
2
¼
1
g
2
I
load
V
load
¼
1
g
2
Z
load
¼
1
g
2
Y
load
ð11Þ
Clearly, if a grounded capacitor is used as the grounded
load in Fig. 8, then a ﬂoating simulated inductor is real
ized. The obvious beneﬁt of this realization is that it re
quires only singleended transconductance ampliﬁers,
conﬁgured as in Fig. 6, and a grounded internal load to
obtain a ﬂoating input port. Observe that no common
mode problems exist with this realization since common
mode signals at the input port cause canceling currents at
the grounded port. Even in practice, with unmatched gy
rators, there is a negativefeedback effect regarding com
monmode errors that is highly desirable. The network of
Fig. 8 is the preferred realization of ﬂoating inductors us
ing capacitors and gyrators. Reference 8 represents some
original work in this area.
R
V
in
+
−
V
out
+
−
C
L
C
g
Figure 5. Bandpass ﬁlter with inductor replaced by gyrator/
capacitor.
+
+
−
− −
G
m
V
1
V
2
+
+
−
G
m
G
m
e
e
Figure 6. Realization of gyrator using transconductance ampli
ﬁers.
+
−
G
m
I
1
I
1+
V
1+
V
1−
V
2−
V
1
+
+
−
G
m
I
2
I
2+
V
2+
V
2
−
+
G
m
I
1−
−
+
−
+
−
G
m
I
2−
Figure 7. Floatinggyrator implementation.
V
1
V
2
I
2
I
3
I
1
I
input
V
4
I
4
V
3
Z
load
+ V
input
g g
−
Figure 8. Floatinggyrator realization.
GYRATORS 1877
4.2. Realization with Operational Ampliﬁers
Gyrators may be realized with operational ampliﬁers;
however, modiﬁcations must be made to account for the
fact that these are voltagecontrolled voltage sources. A
voltagecontrolled current source (VCCS) may be created
using an op amp, as is well known, using the circuit of
Fig. 9. A gyrator can then be realized with a second VCCS
preceded by an inverter, recalling that the gains in differ
ent directions have opposite signs. A more clever variation
of this idea is shown in Fig. 10, where only two op amps
are required to implement the entire gyrator. Of course,
this gyrator is groundreferenced as, for example, is the
one in Fig. 6. Floatinggyrator structures can be imple
mented using the ideas stated, and similarly, a ﬂoating
inductor may be synthesized via a pair of groundrefer
enced gyrators implemented with op amps and a grounded
capacitor. References 6 and 7 give more discussion of the
topics in the last two sections.
4.3. Other Realizations
Gyrators may be realized with any active circuitry that
can implement either a VCCS or a CCVS (currentcon
trolled voltage source). For example, a simple transistor
level realization for a gyrator appears in Fig. 11. Q
1
ÀQ
3
create a ﬁrst transconductance ampliﬁer, and Q
4
imple
ments an inverting transconductance ampliﬁer. The sig
nal levels must be restricted with such an implementation
due to the nonlinearity of the transistor junctions.
Alternatively, the transconductance ampliﬁers consti
tuting the gyrator may be implemented using operational
transconductance ampliﬁers (OTAs). OTAs are essentially
bipolar differential pairs loaded with current sources in
such a way as to create a nearly ideal transconductance
ampliﬁer. An example of an integrated version of an OTA
is the LM3080 integrated circuit manufactured by Na
tional Semiconductor Corp. of Santa Clara, CA. An impor
tant feature of OTAs is that their transconductance can be
tuned over a wide range by varying a control current. As a
result, gyrators made using OTAs are electronically tun
able. This is quite desirable in applications where one
wishes to electronically tune a ﬁlter. An example of this
capability is given later.
Of course, there are limitations imposed by the use
of OTAs since these circuits are not ideal in practice.
Specifically, they suffer from ﬁnite input and output im
pedance, and these impedances vary as a function of the
transconductance. As a result, the tuning range of OTA
tuned ﬁlters can be limited. Furthermore, at higher fre
quencies the complexity of OTAs introduces an unwanted
phase shift, which degrades the behavior of the gyrator, as
well as compromising the usable tuning range. Finally,
these circuits become quite nonlinear for inputs above a
few tens of millivolts, which limits the dynamic range of
the resulting ﬁlters.
5. FILTER REALIZATION USING GYRATORS
This section considers the general problem of ﬁlter syn
thesis based on gyrators. Basically, synthesis with gyra
tors involves either the substitution of inductors, in the
practical case, or the partition of state equations.
5.1. Replacement of Inductors in Ladder Networks
The replacement of inductors in ﬁlters has already been
implied. In this section, the idea is generalized. Consider
the case where a prototype passive RLC ﬁlter has been
speciﬁed. This is usually done, starting from a ﬁlter spec
iﬁcation, using ﬁlter design tables or software to produce
one of a variety of passive ﬁlter structures. Special cases
will be considered in the discussion that follows. All other
cases are obvious variations.
R
R R
I = V
1
/R
+
−
V
1
+
−
R
Figure 9. VCCS realization using an op amp.
V
2
R
R
R
R
R R R
I
2
I
1
+
−
+
−
−
+
V
2
+
−
Figure 10. Gyrator realization using op amps.
+
+
− −
I
1
I
2
V
1 V
2
V
ref Q
2
Q
1
Q
3
Q
4
Figure 11. Transistor realization of a gyrator.
1878 GYRATORS
The ﬁrst case considered is that of a doubly terminated
highpass RLC ladder network, shown schematically in
Fig. 12. It is desirable to replace the grounded inductors
with gyrator/capacitor combinations. Given the prototype
design values for the inductors L
k
, for k ¼1 through N, one
simply replaces each grounded inductor with one gyrator
terminated with a capacitance C
k
, given by the formula
C
k
¼g
2
k
L
k
ð12Þ
where g
k
represents the gyration constant for the kth gy
rator. In practice, all gyration constants might be chosen
to be equal for reasons of simplicity in the circuit design,
and possibly for the purpose of optimizing noise and dis
tortion performance. The resulting gyratorbased imple
mentation is now an active ﬁlter containing 2N capacitors
and N gyrators.
The doubly terminated lowpass ﬁlter structure ob
tained by swapping the positions of the inductors and
the capacitors in the highpass ﬁlter of Fig. 12 is the dual
ﬁlter network to that shown previously. Again, each of the
inductors can be replaced by a gyrator loaded by a capac
itor, whose value is computed using Eq. (12). However,
this time the gyrator structures will have to be the ﬂoating
implementation described later. The complexity, in prin
ciple, of the ﬁnal realization will equal that of the highpass
example; however, each of the gyrators will require twice
as much circuitry for its realization, therefore, the ﬁnal
circuit implementation will require considerably more cir
cuitry as N gets larger.
A more complex ﬁlter variation is that of a bandpass
RLC ﬁlter. A doubly terminated bandpass ﬁlter can be
created starting from the highpass prototype of Fig. 12 by
replacing each grounded inductor with a grounded paral
lel combination of a capacitor and inductor, and each se
ries capacitor with a series combination of a capacitor and
an inductor. The resulting ﬁlter is of order 4N, instead of
2N, as it must be to realize a bandpass equivalent. Again,
gyrators may be used to replace each inductor, using
methods like Eq. (12). Half of the inductors may be re
placed using simple ground referenced gyrators, while the
rest must be realized using the ﬂoating version.
An interesting ﬁnal variation of this idea is demon
strated using the notch (bandstop) ﬁlter of Fig. 13. Here,
the grounded inductor can be replaced by a gyrator and a
grounded capacitor as outlined above. An alternative ap
proach is to replace the grounded series LC (inductor, ca
pacitor) combination using a gyrator loaded by a grounded
parallel LC combination as shown in Fig. 14. Then replace
the grounded inductor with another gyrator and a grounded
capacitor. This is shown in Fig. 15. While this idea may
seem to be wasteful in terms of component count, it shows
how to exploit the property described elsewhere in this
article regarding the conversion of series impedances com
binations to parallel impedance combinations. In addition,
this circuit has practical value since the pair of gyrators
now allows two parameters to be tuned in this active ﬁlter
realization. Specifically, the ﬁlter design equations are
given as follows:
V
out
V
e
¼HðsÞ ¼
s
2
þo
2
0
s
2
þðo
0
_
QÞs þo
2
0
;
o
0
¼
1
ﬃﬃﬃﬃﬃﬃﬃ
LC
p ; Q¼
1
R
ﬃﬃﬃﬃ
L
C
_
C¼g
2
1
L
p
¼
g
2
1
g
2
2
C
L
;
L¼
1
g
2
1
C
p
)o
0
¼
g
2
ﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃﬃ
C
L
C
p
_
Q¼
g
2
Rg
2
1
ﬃﬃﬃﬃﬃﬃ
C
p
C
L
¸
ð13Þ
Using this result, it is easy to see that both the notch fre
quency o
0
and the sharpness of the notch, proportional to
Q, can be controlled independently using only the gyration
constants, g
1
and g
2
. Using an OTA implementation of the
gyrators as discussed elsewhere, this tuning is relatively
simple.
5.2. Synthesis Based on Gyrators
Clearly, the inductor replacement strategy described
above could be applied in reverse to replace capacitors
with inductors; however, this is not a good option in prac
tical cases. This is because capacitors are easier to realize
at frequencies below 1 GH
z
, and capacitors are of gener
ally higher quality than inductors in this range of
C
1
R
0
V
S
C
N
+
−
R
0
L
N
L
1
V
out
Figure 12. Doubly terminated passive ladder highpass ﬁlter.
C
V
in
V
out
R
L
Figure 13. RLC notch ﬁlter.
R
V
in
V
out
+
−
+
−
L
p
C
p
g
1
Figure 14. Gyratorbased paralleltoseries conversion.
GYRATORS 1879
frequencies. Although inductors may be of greater interest
at very high frequencies, the use of gyrators at very high
frequencies is limited by the nonideal behavior of the ac
tive circuitry used to realize them. It is of interest to note
here that, as with any active circuit, there is excess phase
shift introduced by the transconductors at high frequen
cies, causing the gyrators to take on complex gyration
constants at high frequencies, as suggested later in the
article. Furthermore, the ﬁnite output impedance of the
transconductors limits there available DC gain. The net
result of these effects is to cause simulated inductors to
exhibit a reduced Q at both the low and high end of the
frequency spectrum. In some situations this may intro
duce instability; however, this can be compensated for by
careful design.
Another option exists for the generic design of active
ﬁlters using gyrators. This option can be exercised by
casting the equations for a given ﬁlter in the G
m
–C format.
This is done by writing the state equations for the desired
ﬁlter in the standard form
d
dt
x¼Axþbu; y ¼c
T
xþdu;
HðsÞ ¼
y
u
¼c
T
ðsI ÀAÞ
À1
bþd
where x¼ðx
1
; x
2
; . . . ; x
N
Þ
T
ð14Þ
where the input u and the output y are assumed scalars, x
is the (NÂ1)state vector, A is the N by N state matrix, b
and c
T
are N dimensional vectors, and d is a scalar. Now
assume that the input, u, is a voltage, and let each of the
state variables x
k
be equated to the voltage v
k
on some
grounded capacitor C
k
. The derivative of this voltage,
times the capacitance value, is equal to the current in
the respective capacitor. Using this idea the state equa
tions may be converted into current equations of the form
C
d
dt
v¼i
C
¼CAv þCbu¼G
m
v þg
m0
u
)
C
1
Ày¨y
1
C
2
Ày¨y
2
.
.
.
C
N
Ày¨y
N
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
i
C1
i
C2
.
.
.
i
CN
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
g
m11
g
m12
Á Á Á g
m1N
g
m21
g
m22
Á Á Á g
m2N
.
.
.
.
.
.
.
.
.
.
.
.
g
mN1
g
mN2
Á Á Á g
mNN
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
v
1
v
2
.
.
.
v
N
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
þ
g
m01
g
m02
.
.
.
g
m0N
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
u
where C¼diagðC
1
; C
2
; . . . ; C
N
Þ
ð15Þ
where the dot above a variable denotes time differentia
tion. The realization of a ﬁlter based on these equations
produces a ﬁlter composed of grounded capacitors, with
transconductance ampliﬁers bridging between the capac
itor nodes and the input. The class of G
m
–C ﬁlters, some
times referred to as ‘‘OTA–C ﬁlters’’, is based exclusively
on this formulation.
A gyratorbased synthesis is possible by partitioning
the G
m
matrix into symmetric and skew symmetric ma
trices. The idea is best described by an example. Suppose
that a secondorder version of the g
m
–C formulation
is given. The G
m
matrix can always be decomposed as
follows
G
m
¼
g
m11
g
m12
g
m21
g
m22
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼G
m1
þG
m2
¼
g
m11
g
m12
þg
g
m21
Àg g
m22
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
þ
0 Àg
g 0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
ð16Þ
where the offdiagonal elements of G
m1
are equal, making
this a symmetric matrix. Clearly, G
m2
is a skew symmetric
matrix. With this partitioning of the transconductance
matrix, it is possible to realize the system in Eq. (16) using
one reciprocal twoport, characterized by G
m1
, and a sec
ond twoport, characterized by G
m2
, that is a gyrator.
Figure 16 shows the realization associated with this de
composition assuming a single input term in Eq. (15) and
a special case for the output—that is, g
m02
¼0 and y ¼
x
1
¼v
1
. The reciprocal twoport can often be realized only
with resistors, but in general may require active circuitry.
This special case considered can be further explained
with a specific example. Suppose the second order system
of Eq. (16) is the bandpass ﬁlter described with the
R
V
in
V
out
+
−
+
−
C
L
C
p
g
2
g
1
Figure 15. Replacement of series LC with two gyrators and two
capacitors.
+
+
+
−
−
− −
−
g
m01
g
m2
u
g
y
v
1
v
2
C
Reciprocal
twoport
G
m1
C
Figure 16. Generic synthesis of a second order G
m
–C ﬁlter.
1880 GYRATORS
following state space description:
x
1
:
x
2
:
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
Ào
0
=Q Ào
0
o
0
0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
x
1
x
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
þ
o
0
0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
u; y À 1 0
¸
¸
¸
¸
x
1
x
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
HðsÞ ¼ 1 0
¸
¸
¸
¸
s þo
0
=Q o
0
Ào
0
s
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
À1
o
0
0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
so
0
s
2
þso
0
=Qþo
2
0
ð17Þ
Let us nowassume that the input u is a voltage denoted by
v
in
. By equating the state variables, x
1
and x
2
, to respec
tive voltages, v
1
and v
2
, and scaling each equation by the
same capacitance value C for convenience, one obtains
CÀ v.v
1
CÀ v.v
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼
ÀCo
0
=Q ÀCo
0
Co
0
0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
v
1
v
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
þ
Co
0
0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
v
in
¼
ÀCo
0
=Q 0
0 0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
v
1
v
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
þ
0 ÀCo
0
Co
0
0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
v
1
v
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
þ
Co
0
0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
v
in
¼G
m1
v þG
m2
vþg
m0
v
in
ð18Þ
where v¼
v
1
v
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
Recognizing that Co
0
has units of conductance, one may
easily realize this bandpass ﬁlter with only a resistor, im
plementing G
m1
, a gyrator, implementing G
m2
, and a
transconductance ampliﬁer realizing the nonzero term in
g
m0
. This realization is shown in Fig. 17, where g
m01
¼Co
0
and R¼Q/Co
0
. Observe that this realization is essentially
the same as that obtained by replacing the grounded in
ductor in the bandpass ﬁlter of Fig. 4 with a gyrator/
capacitor combination.
The generalization of this synthesis technique to arbi
traryorder systems is straightforward, although cumber
some. In this case, the G
m
matrix is again partitioned into
symmetric and skew symmetric matrices; however, each
related offdiagonal pair of elements in the skew symmet
ric G
m2
matrix must be realized with a separate gyrator.
This will not be much of a problem if the matrix is sparse,
which can often be arranged in setting up the state equa
tions. The Nport gyrator described in, for example, Refs. 9
and 10 can be used to realize the entire G
m2
matrix at one
time.
6. ADVANCED TOPICS
6.1. Energy and Initial Conditions
Gyrators have already been shown to be lossless two
ports. This idea can be extended to show a duality be
tween the energy stored on a capacitor and the energy
stored in an inductor. Suppose that a capacitor, of value C,
is connected to one port of a gyrator. Further suppose that
this capacitor is charged to a voltage V. Then the energy
stored in this capacitor is given by
1
2
CV
2
. As described
earlier, the impedance seen looking into the other port of
the gyrator is an equivalent inductor. Given the lossless
nature of the gyrator, this equivalent inductor should be
expected to have the same apparent stored energy. How
ever, in the case of an inductor the energy stored is
1
2
LI
2
,
where I is the current ﬂowing in the inductor. A capacitor
is in equilibrium with an open circuit across it, and an
inductor is in equilibrium with a short circuit across it.
Hence, by shortcircuiting the port of the gyrator opposite
the capacitor, a current ﬂows that will be equal to
the equilibrium current in the equivalent inductor. The
following analysis shows that the stored energy in
the equivalent inductor equals that actually stored on
the capacitor:
1
2
LI
2
¼
1
2
C
g
2
ðgVÞ
2
¼
1
2
CV
2
ð19Þ
The natural consequence of this energy relationship is
that the current at the inductive port cannot change in
stantaneously, since the voltage at the capacitive port can
not change instantaneously. Hence, initial conditions can
be readily translated from one port to another. These facts
demonstrate that the gyrator is truly an energy conser
vative twoport, satisfying any intuition take one might
have regarding its operation.
6.2. Nonideal Effects
Gyrators, in practice, cannot be made to be ideal. There
fore, practical gyrators are not lossless. Instead they in
troduce small losses into the system. This is explained by
modifying the yparameter matrix for the gyrator to in
clude diagonal terms. With these terms the twoport is no
longer lossless, as is clear from this analysis:
I ¼YV ¼
g
11
Àg
g g
22
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
V ¼GV
)V
T
I ¼V
T
GV ¼g
11
V
2
1
þg
22
V
2
2
ð20Þ
If the diagonal elements, g
11
and g
22
, are both positive,
then the twoport described in the equation in lossy, since
+
+
+
−
−
−
G
m01 u
g
C
C
R
v
1
v
2
y
Figure 17. General synthesis realization for a bandpass ﬁlter.
GYRATORS 1881
the power delivered to this twoport must be positive. In
practice, the loss terms arise naturally from the fact that
the transconductors comprising the gyrator are nonideal.
For example, the input/output impedance of the transcon
ductors will not be inﬁnite in a practical device. In this
case, g
11
and g
22
are the nonzero input admittance of the
transconductors.
Furthermore, the transfer characteristics will not in
general be ideal. As an example, consider the case of the
gyrator realized using op amps as in Fig. 10. Suppose that
the op amps have a ﬁnite gain A. Then the yparameter
matrix can be derived, and is found to be
Y ¼
g
0
ÀG
GÀdG g
0
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
where G¼
1
R
; g
0
¼2ð1 ÀKÞG
dG¼2ð1 ÀK
2
ÞG; K ¼
1
1 þ2=A
where A is the openloop voltage gain of the operational
ampliﬁers. Notice that this Y matrix corresponds to an
ideal gyrator when A becomes inﬁnite. Also observe that
the ﬁnite gain of the op amps has caused the yparameter
matrix to no longer be skew symmetric, which in itself
adds loss to the system. Hence, in general, practical gy
rators exhibit loss and asymmetry—that is, they lack
skew symmetry—in their transfer characteristics.
Another possibility, considering Eq. (20), is for the di
agonal elements, g
11
and g
22
, to be purely imaginary. In
this case, the power computed in Eq. (20) is imaginary,
which translates to purely reactive power. When dissipat
ed power is purely reactive, no average power is dissipat
ed. Hence, a gyrator with purely imaginary diagonal
elements is still lossless. Such a device could be synthe
sized by adding reactive elements in series or parallel with
the ports of the gyrator, since the diagonal elements, g
11
and g
22
, amount to the input admittance looking into the
respective ports of the gyrator. Furthermore, stray
capacitance or inductance associated with the inputs
or the active circuitry making up the gyrator does not
contribute to loss.
6.3. The Hall Effect Device and Isolators
It has been observed that Hall effect devices implement a
lossy gyrator. This is because the physics of these
devices is such that the two electric ﬁeld controlled ports
behave as a pair as if they were a gyrator with loss—that
is, g
11
and g
22
in Eq. (20) are nonzero and not
purely imaginary. The physics of such devices is explained
in Ref. 11.
Figure 18 shows an interesting usage for a Hall effect
gyrator, and in fact any lossy gyrator. In the ﬁgure, a gy
rator, assumed to have the yparameter matrix of Eq. (20),
has bridging components, R
P1
and R
P2
, added around it.
Then a pair of sources, V
S1
and V
S2
, with respective source
resistance, R
S1
and R
S2
, are attached as shown. With a
little effort the response of this circuit from the sources to
the port voltages of the gyrator can be found to be
V
1
V
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼a
G
S1
ðg
22
þG
S2
þG
P
Þ ÀG
S2
ðG
P
þgÞ
G
S1
ðG
P
ÀgÞ G
S2
ðg
11
þG
S1
þG
P
Þ
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
V
1
V
2
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
where a ¼ðg
11
þG
S1
þG
P
Þðg
22
þG
S2
þG
P
Þ þG
2
P
Àg
2
G
P
¼G
P1
þG
P2
ð22Þ
By choosing the sum of the bridging elements equal to
gyration constant g, the response at port 2 can be made
totally independent of V
S1
, as opposed to the response at
port 1, which will depend on both sources. This creates a
circuit called an isolator, which can be found in various
applications, especially microwaves and optics.
6.4. Multiport and Gyrators
The concept of a gyrator need not be restricted solely to
twoport networks. In fact, an Nport gyrator can be con
trived as a natural extension of the twoport gyrator. As
one might expect, the Nport gyrator must inherit the key
properties of the twoport type. It must be a nonreciprocal
lossless network; it must also reﬂect impedances in a way
similar to the twoport gyrator. In general, Nport gyrators
have not found use in electrical systems. For a detailed
discussion of such networks, refer to Refs. 9 and 10.
There is one special case, however, of an Nport com
plex gyrator, for N¼3, which has found extensive use in
microwave systems—namely, the circulator. While practi
cal circulators are quite complex structures, electrically
speaking, they can be viewed over a certain range of fre
quency to be an approximately lossless threeport complex
gyrator. Reference 12 describes the threeport yparame
ter matrix for a circulator. Specifically
Y ¼
a b g
Àb
Ã
a b
Àg
Ã
Àb
Ã
a
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
ð23Þ
where the superscript * denotes complex conjugation. It is
referred to as being complex since the lower triangular
matrix part of Y is the negative of the conjugate transpose
of the upper triangular part. The power P delivered to a
I
1
V
1
R
S1
R
p1
R
p2
V
S1
+
+
−
Twoport
network
I
2
V
2
R
S2
V
S2
+
+
−
Figure 18. Connection for a lossy gyrator to implement an iso
lator.
1882 GYRATORS
threeport having this yparameter matrix is given by
P¼ V
1
V
2
V
3
¸
¸
¸
¸
a b g
Àb
Ã
a b
Àg
Ã
Àb
Ã
a
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
V
1
V
2
V
3
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¸
¼aðV
2
1
þV
2
2
þV
2
3
Þ þðb Àb
Ã
ÞðV
1
V
2
þV
2
V
3
Þ
þðg Àg
Ã
ÞV
1
V
3
ð24Þ
As suggested, this power can be made purely reactive
if all the coefﬁcients multiplying the voltage products
are purely imaginary. This condition is always met
if a is imaginary, since the real parts of b and g cancel in
the ﬁnal result. Hence, the circulator described by
this equation is a lossless threeport given purely
imaginary values for a. The circulator is interesting in
that the transfer characteristics from port to port when
driven by sources—for example, V
S1
, V
S2
, and V
S3
—is
similar to the isolator previously described. Specifically,
V
S1
does not affect the port 2 voltage, V
S2
does not affect
the port 3 voltage, and V
S3
does not affect the port 1 volt
age. More details of the design and use of circulators is
given in Ref. 13.
BIBLIOGRAPHY
1. B. D. H. Tellegen, The gyrator, a new circuit network element,
Phillips Research Report, 1948, Vol. 3, pp. 81–101.
2. A. Antonou, Realization of gyrators using operational ampli
ﬁers, and their use in RCactive network synthesis, Proc. IEE
116:1838–1850 (1969).
3. S. Singer, Lossfree gyrator realization, IEEE Trans. Circ.
Syst. 35:26–34 (Jan. 1988).
4. Y. P. Tsividis and J. O.Voorman, Integrated ContinuousTime
Filters: Principles, Design, and Applications, IEEE Press,
Piscataway, NJ, 1993.
5. H. Y. Lam, Analog and Digital Filters: Design and Realiza
tion, PrenticeHall, Englewood Cliffs, NJ, 1979.
6. R. S. H. Riordan, Simulated inductors using differential am
pliﬁers, Electron. Lett. 3:50–51 (1967).
7. D. F. Sheahan and H. J. Orchard, Bandpass ﬁlter realisation
using gyrators, Electron. Lett. 3(1):40–42 (1967).
8. D. F. Sheahan, Gyratorﬂoatation circuit, Electron. Lett.
3(1):39–40 (1967).
9. Synthesis of active RC systems with a multiport gyrator and a
deﬁned structure, IEEE Trans. Circ. Syst. CAS27:191–199
(1980).
10. A. G. J. Holt and R. L. Linggard, The multiterminal gyrator,
Proc. IEEE 56:1354–1355 (1968).
11. A. G. Milnes, Semiconductor Devices and Integrated Electron
ics, Van NostrandReinhold, New York, 1980.
12. R. H. Knerr, A proposed lumpedelement switching circulator
principle, IEEE Trans. Microwave Theory Tech. MTT20:396
401 (1972).
13. J. Helszajn, Synthesis of octaveband quarterwave coupled
semitracking stripline junction circulators, IEEE Trans.
Microwave Theory Tech. 43:573–581 (1995).
GYROTRONS
R. LAWRENCE IVES
Calabazas Creek Research, Inc.
Saratoga, California
1. INTRODUCTION
The gyrotron is a vacuum tube capable of delivering high
levels of radiofrequency (RF) power at frequencies from
several gigahertz (GHz) to more than 200GHz, which cov
ers most of the microwave and millimeterwave bands.
Because of the structure of the RF ﬁelds in the cavity, the
magnitude of the electric ﬁelds and the RF losses in the
cavity walls are much lower in gyrotrons than in most
microwave and millimeterwave vacuum devices. As the
RF frequency increases, it is not necessary to reduce the
size of the cavity and output waveguide. For these reasons,
the gyrotron is the principal RF device for delivering high
levels of RF power in this frequency range.
Gyrotrons typically require a very high magnetic ﬁeld
to provide the electron cyclotron motion for power extrac
tion, and most gyrotrons above 30 GHz require a super
conducting magnet. Until recently (as of 2003), this
significantly increased system cost and complexity, limit
ing applications for these devices. Recent advances in cry
ogenfree magnets are eliminating the requirement for
liquid cryogens and allowing additional applications. Gy
rotrons also have a narrow RF bandwidth, typically
around 0.1%. Historically, narrow bandwidth and the
overmoded nature of the gyrotron limited their use as
ampliﬁers, so almost all highpower gyrotrons are oscilla
tors. Research on highpower gyroampliﬁers is in progress
at several locations around the world, and bandwidths of
7% and higher have been achieved [1], increasing their
potential use for highpower, highresolution radar [2].
Gyroklystrons are also being developed to drive highpow
er accelerators, which do not require large bandwidths
[3,4].
Gyrotrons are used for electron cyclotron resonance
heating (ECRH), electron cyclotron current drive (ECCD),
and diagnostic measurements in fusion plasma devices.
They are also being used for industrial heating applica
tions such as ceramic sintering. Figure 1 shows a photo
graph of Dr. Howard Jory, one of the pioneers in gyrotron
development, holding a 28GHz, 10kW continuouswave
(CW) harmonic gyrotron used for industrial heating. Be
hind him is a 110GHz gyrotron, rated at approximately
450 kW CW, used for electron cyclotron resonance heating.
Communications and Power Industries, Inc. in Palo Alto,
CA manufactures both devices.
Research on gyrotype devices began in the 1950s,
when the astrophysicist R. Q. Twiss described an ampli
fying mechanism for monochromatic radiation of angular
frequency o from stimulated emission of an ensemble of
electrons [5]. Twiss’ formula predicted ampliﬁcation for
Cerenkov radiation and for cyclotron radiation. Working
independently, Schneider described the stimulated emis
sion of radiation from electrons in a magnetic ﬁeld in 1959
using a quantummechanical model [6]. Also in 1959,
GYROTRONS 1883
Gapanov described this mechanism using a classical
approach [7].
The ﬁrst experimental results describing a fastwave
cyclotron interaction were reported by R.H. Pantell in
1959 [8]. His device produced radiation between 2.5 and
4.0 GHz from a 1kV, 3mA electron beam. A number of
additional experiments were reported during the early
1960s [9–12], but the experiment that conﬁrmed the cy
clotron maser interaction was performed by Hirshﬁeld
and Wachtel in 1964 [13].
During the mid to late 1960s, major advances were
made by scientists in the Soviet Union, although much of
this work went unreported in the Western world because
of the political climate at the time [14]. Soviet scientists
embarked on a major program to develop megawatt gy
rotrons and made major advances in electron mode selec
tion, open resonators and waveguides [15], ray tracing to
optimize the interaction between the electron beam and
the RF wave in the circuit, and highcrosssection cavities
utilizing whispering gallery modes [16]. ‘‘Whispering gal
lery modes’’ are transverse electric modes where the num
ber of azimuthal ﬁeld variations significantly exceeds the
number of radial ﬁeld variations. Use of these modes was
further facilitated by the development by Vlasov et al. of a
quasioptical device for converting the whispering gallery
waveguide mode into a Gaussian mode that can be prop
agated in a narrow wave beam without waveguides [17].
An equally important Soviet development was the mag
netron injection gun, which generates the required elec
tron beam for efﬁcient gyrotron operation.
For a more complete historical description of gyrotron
development, the reader is referred to three publications
that cover the subject in more detail [18–20]. The reader is
also referred to a listing of journals in the bibliography
that contain most of the published work in this area.
2. BASIC THEORY OF OPERATION
Gyrotrons exploit the negative mass instability to achieve
azimuthal bunching of a cycloiding electron beam. A
transverse electric ﬁeld in the cavity modiﬁes the energy
of the electrons such that higherenergy electrons gyrate
more slowly around the magnetic ﬂux lines than do lower
energy electrons. A schematic cross section of a gyrotron
beam is shown in Fig. 2. The gyrotron beam is a hollow
electron beam with individual electrons rotating at the
cyclotron frequency around magnetic ﬁeld lines with orbit
diameters equal to twice the Larmour radius. The Lar
mour radius is given by
R
l
¼
gmv
?
eB
0
where g ¼ð1 Àv
2
?
=c
2
Àv
2
z
=c
2
Þ
À1=2
is the relativistic factor,
m is the rest mass of the electron, v
>
is the velocity of the
electron in the plane perpendicular to the gyrotron axis, v
z
is the electron velocity in the axial direction, e is the
charge of the electron, and B
0
is the applied magnetic ﬁeld
parallel to the gyrotron axis.
Figure 3 more closely examines the effect of the electric
ﬁeld on the individual electrons in a cyclotron orbit when
the frequency of the electric ﬁeld is equal to the cyclotron
Figure 1. Dr. Howard Jory holds a 28GHz, 10kW CW harmonic
gyrotron used for industrial heating. Behind him is a 110GHz,
450kW CW, 1MW pulsed, gyrotron used for electron cyclotron
heating of fusion plasmas.
Magnetic flux
lines
Beam radius
Electron cyclotron
orbits
Figure 2. The cylindrical electron beam of the gyrotron consists
of electrons orbiting around magnetic ﬂux lines.
1884 GYROTRONS
frequency. The cyclotron frequency is given by
O¼
eB
0
gmc
The electric ﬁeld components have the form
E
y
¼E
0
J
0
m
ðk
?
rÞ sink
z
z cos my
E
r
¼
m
k
?
r
J
m
ðk
?
rÞ sink
z
z sinmy
where E
y
and E
r
are the azimuthal and radial components
of the electric ﬁeld, respectively; J
m
and J
0
m
are the Bessel
function and Bessel function derivative, respectively; m is
the azimuthal mode number of the electric ﬁeld;
k
?
¼X
0
mn
=r
0
, where X
0
mn
is the nth root of the correspond
ing Bessel function derivative and r
0
is the circuit radius;
and k
z
¼pp/L, where p is the axial mode number of the
circuit ﬁeld (typically ¼1) and L is the cavity length.
In Fig. 3, each successive image is an integral number
of RF periods later in time as the electrons traverse the
cavity. Electrons accelerated by the electric ﬁeld gain en
ergy and, as a result of the relativistic mass increase, their
angular velocity decreases as g increases. Conversely, elec
trons decelerated by the electric ﬁeld lose energy and gain
angular velocity. This causes azimuthal bunching of the
electrons, sometimes referred to as the cyclotron reso
nance maser (CRM) instability.
If the frequency of the electric ﬁeld exceeds the cyclo
tron frequency, the bunch will eventually fall back in
phase and more electrons will undergo deceleration than
acceleration, as shown in Fig. 4. This will result in trans
fer of energy from the electrons to the electric ﬁeld. Opti
mized performance of gyrotrons requires careful design of
the circuit geometry and control of the magnetic ﬁeld. The
circuit geometry affects the strength and proﬁle of the
electric ﬁeld. The magnetic ﬁeld affects the location of the
beam and the amount of transverse energy available for
transfer to the electric ﬁeld. In many cases the magnetic
ﬁeld is tapered, that is, it is modiﬁed in strength through
the cavity, to optimize the efﬁciency of power extraction.
Harmonic gyrotrons operate at a multiple of the cyclo
tron frequency. As the harmonic number increases, beam
placement becomes more critical and the theoretical efﬁ
ciency decreases. The advantage of harmonic gyrotrons is
that the magnitude of the magnetic ﬁeld is 1/n times that
required for nonharmonic operation. This can eliminate
the need for a superconducting magnet or, at least, signif
icantly reduce the cost.
For a more complete description of gyrotron theory,
both linear and nonlinear, the reader is referred to several
excellent publications on the subject [20–22].
3. BASIC COMPONENTS
Figure 5 shows a schematic layout of a typical gyrotron
oscillator. The basic components are an electron gun, in
put beam tunnel, circuit, output taper, collector, window,
and magnets. There are numerous variations of each of
these components, depending on the operating character
istics of the gyrotron. The discussion that follows describes
the most common types of components, including their
purpose and performance characteristics.
3.1. Electron Gun
The function of the electron gun is to produce the electron
beam required for interaction with the desired operating
mode in the circuit. The gun must produce an electron
beam that will be located at the proper radius for efﬁcient
interaction with the cavity electric ﬁelds and must contain
most of its energy in cyclotron motion. Gyrotrons employ a
magnetron injection gun (MIG) that emits electrons into a
region of crossed electric and magnetic ﬁelds. This geomet
ric conﬁguration causes the individual electrons to spiral
around the magnetic ﬁeld lines as they are accelerated by
Magnetic flux line
Ω
0
Ω
0
Ω
0
Ω
0
Ω
0
E
0
cos ωt E
0
cos ωt
E
0
cos ωt E
0
cos ωt
E
0
cos ωt
Bunched electrons
Decelerated electrons
Accelerated electrons
Figure 3. The cavity electric ﬁeld inter
acts with the electrons orbiting around
the magnetic ﬂux lines. Each diagram il
lustrates an integral number of cyclotron
periods later in time as the electrons tra
verse the cavity. The force on the elec
trons is given by F
!
¼ Àe E
!
:
Ω
0
ωt E
0
cos
Electron bunch
Figure 4. When o4O
0
, more electrons will be decelerated than
accelerated, resulting in transfer of energy to the electric ﬁeld.
GYROTRONS 1885
the electric ﬁeld toward the circuit. This development was
pioneered in the Soviet Union in the 1970s and made rapid
development of gyrotrons possible [23].
Gyrotron cathodes typically operate temperaturelim
ited, which means that the amount of current emitted
from the cathode is determined primarily by the temper
ature of the emitting surface. The reader is referred to the
excellent treatment of cathode emission mechanisms pre
sented by Gilmour [24]. Typical cathode temperatures
range between 950 and 10001C.
Gyrotron guns come in two basic types, modulated
(mod) anode and diode. A mod anode gun contains an elec
trode near the emitting surface to modulate the electron
beam; that is, it uses an applied voltage to modify the
characteristics of the beam. This electrode is maintained
at a voltage between the cathode and ground and can have
a significant effect on the beam characteristics and hence
the performance of the gyrotron. By varying the voltage on
this electrode, the user can control the output power by
varying the amount of transverse energy that is present in
the electron beam. Most commercially available gyrotron
oscillators using mod anode guns operate at cathode volt
ages between À60 and À80 kV with mod anode voltages
ranging from 15 kV up to about 30 kV above cathode
potential.
A diode gun possesses no intermediate electrode, so the
cathode voltage or the magnetic ﬁeld controls gyrotron
operation. Because the cathode power supply must also
supply the current in the beam, it cannot be modiﬁed as
easily as a mod anode supply, so diode guns typically op
erate where RF power is turned on or off by pulsing of the
cathode power supply. For applications where it is not
necessary to modify the operating characteristics of the
tube, this represents a lower cost gyrotron and power sup
ply conﬁguration.
3.2. Magnetic Solenoids
The circuit requires an electron beam where the electrons
are orbiting the magnetic ﬁeld lines at a frequency near
that of the RF frequency of the cavity. For gyrotrons op
erating at frequencies above 30 GHz, this typically re
quires a superconducting solenoid. An exception can occur
if the circuit is operating at a harmonic of the cyclotron fre
quency. The requirement of a superconducting solenoid lim
its applications for gyrotrons to those where the additional
weight and complexity do not present a severe burden. Re
cent development of cryogenfree, superconducting magnets
is now allowing mobile or airborne applications [25].
In addition to the solenoids required to produce the
cavity magnetic ﬁeld, other solenoids can be present
around the electron gun and collector regions. Solenoids
around the electron gun modify the amount of transverse
energy in the beam or its size in the circuit. These coils are
typically operated at room temperature because the ﬁelds
in the electron gun are usually a few hundred Gauss. The
ratio of the magnetic ﬁeld magnitude in the circuit to that
in the electron gun is referred to as the beam compression.
This value plays an important role in the design of the
electron gun and the combination of electric and magnetic
ﬁelds required for efﬁcient circuit interaction. Beam com
pressions of 10–20 are typical.
Solenoids around the collector are used to distribute
the power deposited by the electron beam exiting from the
circuit. The fringing magnetic ﬁelds from superconducting
coils impose a magnetic ﬁeld in the collector that is higher
than in other linear beam tubes. This ﬁeld prevents the
electrons from spreading as a result of space charge and
results in a relatively thin beam of electrons impacting a
small region of the collector. This can result in excessive
localized heating of the surface and possible destruction of
the gyrotron. The collector coils are used to ‘‘buck’’ the ﬁeld
from the main solenoid and spread the electron impact
area over a larger region of the collector. In some more
advanced applications, an oscillating power supply drives
one or more solenoids to sweep the beam back and forth
along the collector surface.
3.3. Beam Tunnel
The beam tunnel must perform two important functions.
First, it must prevent RF ﬁelds from the circuit from trav
eling back toward the electron gun. RF ﬁelds in the elec
tron gun can severely affect the electron beam and cause
excessive current on the body of the tube or the mod an
ode. It can also result in heating of the cathode emitter,
Electron beam
Magnetron injection
gun
Gun solenoids
Input beam
t unnel RF cavity
Collector solenoids
Window
Main solenoids
Collector
Figure 5. The basic components of a typ
ical gyrotron are the electron gun, beam
tunnel, cavity, output beam tunnel, collec
tor, window, and magnet solenoids.
1886 GYROTRONS
which will affect the beam current. Either condition will
adversely affect tube operation.
The second function of the beam tunnel is to prevent
parasitic oscillations between gun and circuit. Parasitic
oscillations result in excessive body or mod anode current
and can prevent tube operation. In some cases, dielectric
material with a high RF loss is used to load out any elec
tromagnetic ﬁelds present.
3.4. Circuit
The RF circuit typically consists of a right circular cylin
der whose radius a is chosen such that
a¼
cX
0
mn
2pf
where X
0
mn
is the nth root of the Bessel function derivative
for the TE
mn
cavity mode, c is the speed of light, and f is
the operating frequency. The cavity mode depends pri
marily on the desired RF frequency and output power lev
el. The application for the tube can also play an important
role. The ﬁrst commercial gyrotrons used TE
01
, TE
02
, or
TE
03
modes because they were reasonably close to the
fundamental mode, did not couple to nonsymmetric modes
that could travel down the beam tunnel toward the elec
tron gun, and had very low RF loss in the circuit walls.
More than 100 gyrotrons at frequencies between 28 and
100GHz and power levels up to 340kW CW were pro
duced by Varian Associates, Inc. (now Communications
and Power Industries, Inc.) from 1978 through 1990.
These tubes were used for electron cyclotron resonance
heating (ECRH) of plasmas in magnetic conﬁnement fu
sion research. Gyrotrons of this type were also developed
in Germany, China, Japan, France, and Russia [26].
As the demand for higherpower tubes increased, gy
rotrons that used whispering gallery modes were devel
oped. Whispering gallery modes allow the electron beam
to be larger and minimize mode competition from other
circuit modes. These modes also have reasonable RF pow
er dissipation in the circuit.
Designers of highpower gyrotrons must balance a
large number of factors to achieve a circuit conﬁguration
that will provide the power and frequency required with
reasonable efﬁciency while avoiding parasitic mode com
petition, instabilities, and excessive RF power densities on
the circuit walls. For additional information on the design
of highpower gyrotron circuits, the reader is referred to
the article by Kreischer et al. [27].
3.5. Output Taper
Most gyrotron circuits are openended toward the collec
tor, and the RF power diffracts into the output taper. The
output taper is usually a shallow, tapered section of cir
cular waveguide that terminates the circuit interaction
and transmits the RF power toward the collector. The
waveguide radial dimensions must be increased in such a
way that the purity of the output mode is not compro
mised. For gyrotrons where the RF power is extracted
along the axis of the tube, the output taper continues to
increase in the radial dimension until the desired collector
radius is achieved. The requirement to maintain mode
purity often conﬂicts with the necessity of achieving the
collector radius within a reasonable distance. The size of
the collector is driven by the necessity to dissipate the
spent electron beam without incurring excessive power
densities on the walls, which could lead to melting or loss
of vacuum integrity.
For gyrotrons with average RF power levels exceeding
200 kW, particularly those employing whispering gallery
circuit modes, it is more expedient to extract the RF power
radially to allow more ﬂexibility in the collector design.
For these tubes, the output taper transmits the circuit
power to an RF launcher/antenna for eventual extraction
from the vacuum envelope. This eliminates further re
quirements on the output taper to maintain mode purity
and allows the designer more freedom in transitioning to
the collector region.
3.6. Collector
Typical linear beam devices rely on termination of the
magnetic ﬁeld and space charge depression to spread the
spent electron beam in the collector. Most of these devices
employ an iron polepiece to terminate the magnetic ﬁeld
at the entrance to the collector. While this works well for
solid electron beams, it does not apply to gyrotrons. Be
cause of the high magnetic ﬁelds required in gyrotrons,
this is rarely practical, particularly when superconducting
solenoids are used.
Forces imposed by nearby iron on the superconducting
coils would dramatically increase the complexity and cost
of the magnet. As a result, sufﬁcient magnetic ﬁelds exist
in the collector to limit spreading of the electron beam
from space charge forces. In addition, the beam used in
gyrotrons is typically a thin cylindrical beam with high
current density. This also exacerbates the problem of
beam dissipation in the collector. Power densities up to
500 W/cm
2
are typical; 1000W/cm
2
is considered the upper
limit.
For gyrotrons at lower average power levels, these com
plications may not be a critical issue. For these devices,
the output taper conducts the RF power to the collector
with high mode purity, and the collector also serves as the
output waveguide. In some cases, a downtaper is em
ployed at the end of the collector to reduce the tube diam
eter before the output window. For these devices, the
designer must also be concerned about modes that can
be trapped in the collector between the uptaper from the
circuit and the downtaper to the window.
For gyrotrons exceeding 500kW of average power, ra
dial RF power extraction is almost always employed. The
size of the collector can be based on the dissipation re
quirements of the spent beam alone. As a result, collectors
for highpower gyrotrons often constitute a major portion
of the device. In Fig. 1, the collector of the 500kW CW
gyrotron behind Dr. Jory begins above the output window.
The designer must balance low power densities with the
increasing size, weight, and cost of large collectors.
Considerable research is now in progress to implement
collector voltage depression to improve the total efﬁciency
GYROTRONS 1887
of the gyrotron while simultaneously reducing the
thermal power dissipation. The efﬁciency of the RF
circuit is typically 30–40%; therefore, most of the incident
beam power is dissipated in the collector. For a 1MW CW
gyrotron, approximately 2 MW of thermal power must
be dissipated by the collector. To reduce this thermal
power and improve the gyrotron efﬁciency, a voltage
can be applied to the collector that is between that of the
electron gun and the RF circuit. This slows the electrons
and reduces the incident power. Since the total gyrotron
input power is proportional to the voltage difference
between the electron gun and the collector, this also
increases the net efﬁciency. The amount of voltage depres
sion that can be applied depends on the energy of the
electrons following RF power extraction in the circuit.
Voltage depression that exceeds the energy of the elec
trons will lead to reﬂection of the beam back toward the
electron gun or circuit. This will lead to excessive heating,
loading of the power supplies, or loss of interaction efﬁ
ciency. Most gyrotrons in development today implement
voltage depression to increase the total efﬁciency to
approximately 50%.
Additional increases in efﬁciency can be achieved by
introducing collectors with multiple electrodes at varying
voltages and sorting the energy of the incident electrons
using carefully designed magnetic ﬁelds. This allows ad
ditional increase in depression voltage for the higheren
ergy electrons while still avoiding reﬂection of slower
ones. A twostage depressed collector is currently being
developed and is predicted to increase the overall efﬁcien
cy of gyrotrons to more than 55% [28,29].
3.7. RF Launcher System
The RF launcher system converts the circular cavity/
waveguide mode to a quasioptical Gaussian mode. This
development was pioneered in the Soviet Union and al
lows transmission of the RF beam with very low loss using
a series of metallic mirrors. Modern computer codes and
integration with computer numerically controlled (CNC)
mills and lathes allow precise control of the RF beam.
Modern designs convert the power from the circuit into
the desired Gaussian mode with greater than 95% efﬁ
ciency. More advanced computer codes are in development
that could increase the efﬁciency to more than 98% [30].
The conversion of the waveguide mode to a quasioptical
Gaussian mode also results in a more convenient RF mode
for most user applications.
Figure 6 shows a typical RF launcher conﬁguration
consisting of a waveguide launcher and two mirrors in
ternal to the gyrotron. The exit angle of the RF power from
the launcher is at the waveguide bounce angle, and the
mirrors concentrate the power into a small circular beam
and tailor the distribution of power within the beam as
required by the output window.
3.8. Output Window
Until recently, the output power of gyrotrons was limited
by the capabilities of the output window. The RF power
produced in the highvacuum region inside the gyrotron is
extracted from the device through a dielectric window.
The window must provide a vacuum interface while
transmitting the RF power from the gyrotron into an ex
ternal waveguide that may, or may not, be under vacuum.
Some of the RF power transmitted through the window is
absorbed and results in heating of the dielectric material.
The window structure must be sufﬁciently cooled to pre
vent destruction from thermal stresses.
For gyrotrons producing power levels less than 500kW
continuously, common window materials include alumina
and sapphire; however, beryllia oxide, boron nitrite, sili
con nitride, and other materials have been used in special
devices. At higher average power levels, the thermal char
acteristics of standard materials is such that the heat de
posited in the ceramic cannot be adequately removed by
cooling around the edges as in most linear beam devices.
Figure 7 shows a schematic diagram of a double disk win
dow that uses a dielectric ﬂuid to convectively face cool the
disks.
Development of chemicalvapordeposited (CVD) dia
mond windows eliminated thermal stresses as a limiting
factor in gyrotrons [31]. CVD diamond is significantly
stronger, and has a higher thermal conductivity and
much lower RF loss than do other available materials
RF cavity
Path of
RF beam
Output
window Internal mirrors
Collector
Launcher
Figure 6. The Gaussian mode launcher converts the waveguide
mode to a quasioptical beam, and the internal mirrors shape the
RF beam proﬁle.
Air
Ceramic
disk
Dielectric fluid
Coolant
input
Coolant
output
Vacuum
Figure 7. In the doubledisk window, a dielectric ﬂuid ﬂows
between the ceramic disks for enhanced cooling.
1888 GYROTRONS
[32]. Consequently, it has become the window material
used in all highpower gyrotrons. Unfortunately, the
CVD manufacturing process is timeconsuming and
expensive. Currently, window ceramics for gyrotrons
producing 1MW or more of continuous power cost in ex
cess of $100,000. Efforts are underway to develop more
efﬁcient and less expensive methods for producing these
windows.
4. AMPLIFIERS
While most gyro devices are oscillators, research is in pro
gress to develop gyroampliﬁers as drivers for linear accel
erators [33,34] and for highfrequency, highresolution
radar [35]. While oscillator design is relatively straight
forward, ampliﬁer design presents several challenges.
Since the circuits are typically overmoded, it becomes
more difﬁcult to prevent RF leakage through the drift re
gions between cavities. Also, the high cavity Q factors
characteristic of gyrotron output cavities limit the band
width that can be achieved. While several ampliﬁer con
ﬁgurations have been studied, the gyroklystron and the
gyroTWT (travelingwave tube) have achieved the most
success.
The gyroklystron consists of two or more cavities sep
arated by drift spaces too small to propagate the operating
mode. An azimuthal drift is imposed on the electrons by a
sinusoidal energy modulation in the ﬁrst cavity. These
drifts are enhanced by intermediate buncher cavities, and
the output cavity extracts the power from the azimuthally
bunched electron beam. Most gyroklystrons employ cavity
modes that are above the fundamental TE
11
circular wave
guide mode. Extreme care must be used to ensure that any
RF power converted from the cavity mode to the TE
11
mode is not allowed to propagate through the drift spaces
and cause spurious oscillations. This also limits the circuit
modes that can be used to those close to the fundamental
(typically TE
01
or TE
02
) circuit modes. Gyroklystron band
widths of 7% have been achieved with saturated gain of
20–40 dB. Operating efﬁciencies greater than 30% are
common. An advanced, highpower, millimeterwave ra
dar system is currently under development by the U.S.
Naval Research Laboratory that uses a 94GHz gyroklyst
ron with a 700 MHz bandwidth, 10% duty factor, and a
saturated gain of 33 dB [1]. The device will be used for
tactical radar applications, studies of cloud physics, prop
agation, and forward and backscatter studies [2].
In the gyroTWT, an azimuthally bunched helical beam
interacts with a traveling wave. If the periodicity and ve
locity of the electron bunches are such that synchronism
occurs between the electrons and the traveling wave, cu
mulative bunching and energy extraction can occur. These
ampliﬁers have considerably larger bandwidths than do
gyroklystrons; however, they operate at lower efﬁciency
(o20%) and generally produce less power.
Research has also been performed on gyro backward
wave oscillators, gyrotwystrons, and gyropeniotrons. The
reader is referred to the Further Reading list at the end of
this article for information on these devices.
5. CURRENT STATE OF THE ART
Gyrotrons are currently in development in several coun
tries around the world, including Russia, Germany,
France, Japan, and the United States. Currently, the high
estpower gyrotron is a device jointly developed by Ger
many, France, and Switzerland to produce 1MW of RF
power in pulses lasting several minutes. The device,
shown in Fig. 8, operates at 140GHz and will be used in
the stellerator Wendlestein 7X currently under construc
tion at IPP Greifswald, Germany. A total of 10 MW of RF
power will be required for electron cyclotron heating of the
stellerator plasma. Researchers recently reported achiev
ing 850 kW in 3min pulses, which were partially limited
by the available power supply [36]. The gyrotron has also
produced 970 kW for 11.8 s. Communications and Power
Industries, Inc. in the United States produced several
1MW, 10s gyrotrons at 110 GHz. These are used for elec
tron cyclotron heating of the DIIID tokamak at General
Atomics in San Diego, CA.
The current state of the art in gyroklystrons is the
94GHz device built by Communications and Power In
dustries, Inc. for the WARLOCK radar system. This device
produces a peak power of 100kW and 10 kW of average
power.
Figure 8. A 140GHz, 1MW gyrotron under development for the
stellerator Wendlestein 7X currently under construction at IPP
Greifswald, Germany.
GYROTRONS 1889
6. FUTURE DEVELOPMENT
Most gyrotron research is focused on increasing the out
put power, primarily for ECRH and ECCD of fusion plas
mas. It is anticipated that several tens of megawatts of RF
power will be required for heating these plasmas. It is de
sirable to maximize the output power of the individual
gyrotrons to reduce the number of gyrotrons required. The
current goal is to develop gyrotrons producing 1–2 MW of
CW power at frequencies between 100 and 170 GHz.
Researchers in the United States are developing a 1.5
MW, longpulse gyrotron operating at 110 GHz. This de
vice will be used for electron cyclotron heating of the DIII
D tokamak operated by General Atomics in San Diego,
CA. The gyrotron will use a conventional cylindrical cav
ity, diode electron gun, and a depressed collector.
As the required output power increases, the size of the
cavity must increase to maintain and handle the RF cur
rents in the walls. Increasing the cavity size increases the
number or RF modes that can be excited, thereby increas
ing problems with mode competition. Above 1.5 MW, it be
comes more attractive to utilize a coaxial cavity to
decrease the number of competing modes. Researchers
in Germany are developing a 2MW coaxial gyrotron at
170GHz for anticipated heating requirements for the next
generation of fusion experiments. The device incorporates
a depressed collector and quasioptical output [37]. Addi
tional complications are introduced by the center conduc
tor, which must be supported, aligned, and cooled within
the vacuum envelope of the gyrotron.
Research is in progress to develop steptunable gyrot
rons for operation over increased frequency ranges. Since
the gyrotron frequency is partially determined by the
magnetic ﬁeld, it becomes possible to use this character
istic to excite operating modes at different frequencies. As
the magnitude of the magnetic ﬁeld is varied, different
operating modes are excited. The frequency of the gyrot
ron jumps to the resonant frequency of that particular
mode [38,39]. A problem arises, however, with designing a
ceramic window capable of operating over the required
range of frequencies. Several alternatives are under de
velopment, including Brewster angle windows.
Ampliﬁer research is focused on developing gyroampli
ﬁers for highresolution radar and for highpower linear
accelerators. Current research goals for radar applications
include bandwidth enhancement, increased efﬁciency, in
creased output power, and gains exceeding 30 dB. Accel
erator applications do not require large bandwidths, but
peak powers exceeding 100 MWat frequencies between 11
and 20 GHz and 10 MW devices at W band will be re
quired. Figure 9 shows a 10MW gyroklystron designed to
operate at 91.392 GHz that is currently under develop
ment. High efﬁciency and reasonable gain will be major
goals. Advances in gyrotron components, such as windows,
electron guns, launcher systems, and depressed collectors,
will also be applicable to ampliﬁer development.
Research is in progress to develop gyrotrons for indus
trial heating applications, particularly for sintering of
ﬁnegrain ceramics. Studies indicate that microwave and
millimeter sintering can produce extremely high heating
rates or selective heating in multiphase systems, leading
to novel ceramic materials with compositions and micro
structures not possible using standard techniques [40].
Several experiments are in progress to develop sources for
these applications [41,42]. It is anticipated that other ap
plications will materialize when efﬁcient, cost effective
sources are available.
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FURTHER READING
The following periodicals contain most of the publications
related to gyrotron research and development:
IEEE Transactions on Plasma Science
IEEE Transactions on Microwave Theory and Tech
niques
International Journal of Electronics
International Journal of Infrared and Millimeter Wave
Proceedings of the International Conference on Infrared
and Millimeter Waves (yearly)
Proceedings of the International Conference on Plasma
Sciences (yearly)
Izv. Vyssh. Uchebn. Zaved. Izvestiaya Vysshikh Ucheb
nykh Zavedni
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AMPLIFIERS
K. R. Chu and A. T. Drobot, Theory and Single Wave Simulation of
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1892 GYROTRONS