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Recent Advances in Theory and Applications of

Substrate-Integrated Waveguides: A Review


Abhishek Sahu,1 Vijay K. Devabhaktuni,1 Rabindra K. Mishra,2 Peter H. Aaen3
1
Electrical Engineering and Computer Science Department, The University of Toledo, Ohio 43606
2
Electronic Science Department, Berhampur University, Ganjam, Odisha, India
3
Advanced Technology Institute, University of Surrey, Guildford, Surrey, United Kingdom
Received 3 June 2015; accepted 3 October 2015

ABSTRACT: The use of substrate integrated waveguides (SIW) for microwave and milli-
meter wave integrated components has increased dramatically over the last decade. They
mimic the performance of conventional metallic waveguides and they are fabricated using
printed circuit boards using the top and bottom metallization with two rows of vias forming
the side walls. This creates a low profile, compact, and light weight alternative to conven-
tional metallic waveguides, and they allow a direct interconnection with printed circuit
boards and active components. This article reviews the fundamental theory, documents the
research that has been performed over the past decade, and summarizes progress up to the
recent state-of-the-art including novel SIW structures for passive circuits and antennas as
well as new applications for reconfigurable and printed circuits using SIW tech-
nology. V C 2015 Wiley Periodicals, Inc. Int J RF and Microwave CAE 26:129–145, 2016.

Keywords: millimeter-waves; substrate integrated circuits; substrate integrated waveguide

I. INTRODUCTION gular waveguide but are significantly smaller in size, with


The exploitation of millimeter waves for next generation lower profiles, and are straightforward to fabricate using
mobile communications has fostered significant advances existing printed circuit board (PCB) technology. SIW
in the development of new high-performance microwave structures are fabricated by embedding two rows of con-
components to support applications ranging from mm- necting vias or slots in a dielectric to connect the top and
wave handsets to microwave back-haul [1, 2]. There has bottom metal planes as shown in Figure 1. In this way, the
also been a considerable interest in a wide range of appli- nonplanar rectangular waveguide can be made in planar,
cations beyond mobile communications that includes imag- and the SIWs are then compatible with existing fabrication
ing sensors [3], automotive radars [4], and biomedical techniques such as PCB or low-temperature co-fired
devices [5]. All of these applications require microwave/ ceramic (LTCC).
mm-wave components to be integrated into a multilayer Substrate-integrated waveguides exhibit the propaga-
circuit and existing manufacturing techniques, that use pre- tion and dispersion characteristics similar to rectangular
cision machining have difficulties to economically achieve waveguides. As SIW structures provide a platform to inte-
the required precision and they are also difficult to scale grate all the components including active circuits, passive
for mass production [2]. To address this, innovative inte- circuits, planar circuitry, and even antennas, there is a
grated waveguides, such as the substrate integrated wave- possibility of mounting one or more chip-sets on the same
guide [6–8], post-wall waveguide [9], and laminated substrate. Moreover, there is no need of transition between
waveguide [10] have been proposed. These waveguide elements fabricated with different technologies, thus
technologies attempt to maintain the advantages of rectan- reducing the losses and extending the concept of system-
in-package to system-on-substrate (SoS) [11]. Over the
last decade SIWs have been used in design of many
Correspondence to: A. Sahu; e-mail: Abhishek.sahu@utoledo.
edu microwave components including post and cavity filters
DOI: 10.1002/mmce.20946 [12–17], power dividers [18], phase shifters [19, 20],
Published online 21 October 2015 in Wiley Online Library attenuators [21], oscillators [22], various antennas (slot,
(wileyonlinelibrary.com). array and conformal) [23–44], and reconfigurable

C 2015 Wiley Periodicals, Inc.


V

129
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130 Sahu et al.

guide. TM modes are not supported by SIW structures


due to spacing between metalized vias [11]. The metallic
posts establish the boundary conditions for electromag-
netic waves; as they conductively connect the surface cur-
rents between the top and bottom planes. Various
empirical relations have been proposed relating geometri-
cal dimension of SIW and rectangular waveguide. Two
such relations proposed in [61, 62] are

d2
weff 5 w2 (1)
0:95s

d2 d2
weff 5 w21:08 1 0:1 (2)
s w
Figure 1 Illustration of a SIW showing the via arrangement
that forms the side-wall of the waveguide.
where d is the diameter of the metal vias, w represents
their transverse spacing, and s represents their longitudinal
microwave resonators, antennas and filters [45–58]. Figure spacing. The effective width enables the SIWs to be ana-
2 shows the number of publications using SIWs over the lyzed as rectangular waveguide, thus reducing the design
past decade showing the cumulative annual growth. This complexity.
article summarizes the present state-of-the-art and the An improved closed form formula derived from an
applications and uses of SIW technology. analytical method was proposed in [63].

II. RECENT PROGRESS IN WAVEGUIDE STRUCTURE


w
weff 5 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2w2d d 2 4w  d 3ffi (3)
AND ANALYSIS
11 s w2d 2 5s4 w2d
The original SIW design was conceived in 1998, when it
was known as the laminated waveguide [10, 11]. It is also
noteworthy that integrated waveguide technique was pro- Very recently, in [64] the authors showed that the
posed much earlier through a patent [59] that was aimed accuracies of the above relations depend on via diameter
at facilitating the processing of and improving the produc- to via pitch (d/p) ratio. Hence, a new method to design
tivity of waveguide based microwave components. The the SIW width aSIW , in terms of its equivalent dielectric
design used two rows of plated through holes to connect waveguide width Wequi, based on the mode matching tech-
the top and the bottom conductors. In each of the rows, nique was proposed in [64].
the separation between two consecutive holes is smaller  
d d
than the cut-off wavelength. But it was not until 2000 aSIW 5 wequi 1s 0:766e0:4482 s 21:176e21:214 s (4)
when SIW technique was unified with substrate integrated
circuits (SICs) [60], which refers to the synthesis or
conversion of any nonplanar structures in planar form where d and s are the diameter and pitch of the via
(such as rectangular waveguide, coaxial line, nonradiating respectively. The above relation covers all practical SIW
dielectric waveguide, and image waveguide), and their applications for which 0.5 < ds < 0.8.
full integration with other planar structures such as micro-
strips and coplanar waveguides on single or multilayered
substrates. Thereafter, numerous attempts have been made
to formulate design equations for primitive SIW structures
to simplify their design. In their review work, Dr. Wu and
coworkers. [11] provide an elaborate study on the operat-
ing principles and development of different empirical rela-
tions to calculate the effective width for SIWs. In this
section, we will discuss recent approaches to design of
different SIW structures and review their operation
principles.

A. Operation Principles and Loss Analysis


Substrate-integrated waveguides have propagation charac-
teristics similar to rectangular waveguides when the
metallic vias are closely spaced; as this minimizes radia- Figure 2 Cumulative plot of number of publications on SIW
tion leakage. Their TEno (n51,2,. . .) modes coincide with technology in last decade (source: web of science:
a subset of the guided modes of the rectangular wave- webofknowledge.com).

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Recent Advances in SIW 131

result in crosstalk between adjacent SIWs and in [69], an


analytical formula has been developed for the crosstalk.
Considering a case of two adjacent SIW structures sharing
common row of metalized vias, as shown in Figure 3, the
authors formulated the forward crosstalk using attenuation
constant due to lateral leakage (ar), and the attenuation
constants due to dielectric and ohmic losses, ad and ac,
respectively.
The forward crosstalk C can be expressed as:

Figure 3 Two adjacent SIW layout for crosstalk determination 2 3


[69].   
1 d 2:84 s
6:28 1:2732
6 d 21 7
C5N 2 4w w qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
 5 (5)
2w 2
Numerous attempts have been made for rigorous deter- 572 k 21
mination of the propagation and dispersion characteristics
of SIW structures based on numerical and modal analysis
where d, w and s are the diameter, transversal spacing and
methods. Analysis of the propagation characteristics of the
pitch of the via, respectively. N is the number of apertures
EH1 mode of the HMSIW was proposed in [65]; using
and k is the wavelength of operation. The number of aper-
method of auxiliary sources, which is an alternative
tures is directly related to the SIW as (l 5 N3s).
numerical technique to the widely used surface-integral
The scalar parameters in (5) are extracted through a
formulation, that is suitable for solving elliptical boundary
least square curve fitting and hence, limits of validity
value problems, which appear in electromagnetic-scattering
have to be considered while using the same, in terms of
analysis, antenna modeling and waveguide structures.
operating frequency and geometrical parameters. Equation
Addition theorems using Bessel and Hankel functions were
(5) has been derived for validity in the single-mode band
used to analyze the full–wave behavior of the SIW devices
of the fundamental SIW mode, according to the nominal
[66]. In this approach, the equivalent circuit parameters
were extracted using the hybrid mode matching between band ranges from 1.25 f0 to 1.90 f0 (f0 being the cutoff
guided and cylindrical modes. Interested readers can refer frequency of the fundamental SIW mode). Finally, the
to [64] and [66] to learn more about the mode matching geometrical limits are directly described by the attenuation
technique. An approximate analysis of a slotted SIW with constants and SIW length, by the approximation
periodically loaded elements using the transverse technique (ar 1 ad 1 ac) l 1.
was proposed in [21]; for designing a travelling wave The insertion loss, which accounts for conductor,
attenuator where pin diodes are capacitively coupled to the dielectric and radiation losses, can be significantly
waveguide slot. affected by surface roughness. Although analytical models
The minimization of losses is a significant considera- of losses due to surface roughness have been developed
tion in the design of SIWs. There are three major mecha- for classical waveguides and incorporated in electromag-
nisms of loss: conductor losses, dielectric losses, and netic simulators, no publications have been reported so far
radiation losses [67]. SIWs conductor losses closely for insertion losses in SIW structures [11]. A detailed
resemble those exhibited in rectangular waveguides and comparison of losses in SIW structures, microstrip lines
they are primarily affected by the substrate thickness; as and coplanar waveguides is reported in [70], which shows
the conductor losses depend on the surface integral of jJj2 that SIW structures losses are comparable or lower than
on the metal surface, more specifically on the top and bot- those of planar transmission lines. Furthermore, the recent
tom metal surfaces of the SIW. Hence, increasing h advancements in waveguide technologies for millimeter-
pffiffiffi
results in a reduction of jJj proportional to h, further and submillimeter-wave applications have led to develop-
scaling the conductor loss proportional to 1/h. Conversely, ment of new topologies such as gap waveguides [71],
the dielectric losses depend on the volume integral of hard-wall waveguides [72], and microstrip-ridge gap
jEj2 . As increasing
pffiffiffi h results in a reduction of jEj propor- waveguides [73]. Gap waveguides offer very low loss and
tional to h, but linearly increases the volume of the sub- manufacturing cost compared to SIWs, as there is no need
strate, so overall there is no effect on the dielectric loss. of dielectrics or any conductive joint between the top and
Analyzing the quality factor related to dielectric loss bottom metal plates, which have led to investigation of
shows that it is independent of h and depends on the sub- microwave circuits with improved performance over SIWs
strate dielectric material, but not on the geometry of the at frequencies above 40 GHz. A comparison among the
SIW [67]. Earlier research indicated that radiation losses major features between SIW, gap waveguides, rectangular
can be reduced [67] if p/d<2.5, with p/d52 as the recom- waveguides and microstrip lines is presented qualitatively
mended value. Recently, a formula based on a semianalyt- in Figure 4.
ical model to calculate the attenuation constant due to
radiation leakage in SIW interconnects has been proposed B. Recent Configurations of SIWs
[68] based on the decomposition of fundamental mode of The compactness of SIWs is one of the key attributes
SIW into two plane waves. Lateral radiation leakage can considered in designing efficient commercial mm-wave

International Journal of RF and Microwave Computer-Aided Engineering DOI 10.1002/mmce


1099047x, 2016, 2, Downloaded from https://onlinelibrary.wiley.com/doi/10.1002/mmce.20946 by Indian Institute Of Tech - Roorkee, Wiley Online Library on [27/10/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License
132 Sahu et al.

constant. This is one of the reasons, that PCB technology


is too often used for SIW component fabrications. Alter-
natively, when SIW is realized using other fabrication
technologies such as LTCC and semiconductor IC’s, the
relative high dielectric constant often makes the width of
SIW shrink to a size which is impossible for practical use
at mm-waves. Another important aspect to be accounted
for the design of SIWs, is the ease of integration of active
components. Unlike traditional rectangular waveguides,
SIW avoids the requirement of complex mechanical struc-
tures, such as diode mount and RF mechanical coupling
between waveguide and active devices; consequently, the
Figure 4 A spider chart showing SIW’s performance qualita- manufacturing cost for these structures is reduced. To
tively compared to gap waveguide, ideal rectangular waveguide, address these critical design issues, some SIW topologies
and microstrip line based on different criteria. have been developed. The corrugated substrate integrated
waveguide (CSIW) utilizing open-circuit quarter-wave-
components; different topologies have been proposed to length microstrip stubs, in place of vias, to form the elec-
improve the compactness of SIW structures. Substrate tric sidewalls of SIW (Fig. 7a) was proposed in [78]. This
integrated folded waveguide was proposed in [74]; where results in a structure that is completely dc isolated from
a metal septum is introduced to permit folding of the wa- the ground plane and permits the shunt connection of
veguide, thus, reducing the size by a factor of two at the active devices. The half-mode buried corrugated substrate
cost of slightly larger losses, as illustrated in Figure 5a. integrated waveguide (HMBCSIW) [79], is almost identical
The half mode SIW was proposed in [75] based on the to HMSIW; but offers a floating top conductor, thereby
approximation of the vertical cut of the waveguide as a permitting ease in integration of active devices with an
virtual magnetic wall permitting reduction in size of additional advantage of a monomode bandwidth of 3:1.
almost 50%, as illustrated in Figure 5b. The empty substrate integrated waveguide proposed in
A quarter-mode SIW is proposed in [76], based on the [80], removes the dielectric substrate, and a wideband tran-
approximation that centre symmetrical plane of HMSIW sition allows the excitation of the waveguide accessing the
can also be regarded as magnetic wall for several modes, microstrip line so that waveguide can be connected to tra-
allowing the cross section to be further bisected along the ditional planar circuits (Fig. 7b). This approach enables
symmetrical plane, as illustrated in Figure 6a; resulting in very low loss circuits with up to 4.5 times greater quality
a size reduction of 75%. A miniaturization method is pro- factor as compared to an equivalent design in SIW.
posed in [77], based on the concept of backward wave Extending the approach, a low-loss hollow substrate inte-
propagation; where a SIW when loaded with split-ring grated waveguide (HSIW) was proposed in [81], where the
resonators (SRRs) shows uniaxial negative transversal per- HSIW is realized by removing the inner dielectric of an
meability and the width becomes less than half a wave- SIW and, therefore, incorporating a hollow cavity inside
length at cut-off frequency (Fig. 6b). This miniaturized (Fig. 7c). As this structure incorporates a hollow cavity
structure also provides flexibility for tuning the cut-off inside, the losses again significantly reduce and the struc-
frequency, provided the SRRs are designed accordingly. ture eases the integration with rectangular waveguides of
However, none of the above topologies focus on longi- equal heights and design of antennas with better radiation
tudinal dimension reduction. As discussed before, the performance. A slow-wave substrate integrated waveguide
dielectric loss in a SIW depends on the substrate dielectric (SW-SIW) was proposed in [82], which requires a double

Figure 5 (a) Substrate-integrated folded waveguide [74] and (b) half-mode SIW [75].

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Recent Advances in SIW 133

Figure 6 (a) QMSIW topology [76] and (b) an equivalent infinite parallel plate waveguide (PPWG) containing the SRRs to analyze pro-
posed SIW loaded with SRRs [77].

layer substrate with a bottom layer including internal [102–104]: basic design rules and fundamental electrical
metalized via-holes connected to the conducting ground characteristics to indicate the superior performance of
plane (Fig. 7d). SIW structures are reported in [102]. Advanced design
Based on a double-layer substrate technology, these techniques such as cross-couplings realized by physical
SW-SIWs exhibit a significant slow-wave effect leading and nonphysical paths, SIW filters with dual-mode and
to a reduction in both transverse and longitudinal dimen- multimode techniques, miniaturization enabled techniques
sions and thus, a noteworthy surface miniaturization ratio. such as LTCC, wideband, and multiband filters have been
presented in [103]. In [104], the authors have summarized
a series of practical aspects and design considerations of
III. RECENT PROGRESS IN PASSIVE CIRCUITS
SIW filters. Critical aspects such as substrate selection,
SIW based filters and couplers are extensively docu- fabrication tolerance, thermal stability, and power han-
mented in the literature. Various filter topologies have dling capability are discussed in depth with suitable exam-
been proposed which include filter with an inductive post, ples. The discussion showed that substrate characteristics
with irises, and cavity filters with circular and rectangular play a crucial role on the electrical and physical perform-
cavities [7, 83, 84]. Subsequently, dual mode SIW filters ance of the SIW filters, as shown in Figure 8. The size,
[85–87], wideband SIW filters [88], multiband SIW filters insertion loss, power handling, temperature stability, and
[89–91], filters based on multilayered structures with cav- fabrication cost of an SIW filter are all related to the char-
ities [92], and compact and superwide band-pass filters acteristics of its substrate.
using electromagnetic band-gap structures [93] were Additionally, several coupler topologies have been
reported. developed in SIW. Among them, two directional couplers
With respect to passive components, the development were proposed. The first one uses two adjacent SIWs with
of bandpass filters is an essential component of a commu- a common wall on which an aperture is utilized to realize
nication system. Several attempts have been made to the coupling between two SIWs working in TW10 mode.
design filters with SIWs exhibiting a desired passband This topology was used to design and fabricate 3, 6, and
and high rejection level in the stopband. Table I presents 10-dB couplers [105]. The second configuration presents a
a qualitative comparison of recently published bandpass cruciform shape, and was adopted to design a supercom-
filters in SIW technology. In addition to these bandpass pact 3-dB directional coupler [106]. An efficient design
filters, several other topologies including introduction of technique for accurate design of wideband couplers was
complementary split-ring resonators (CSRRs) and com- proposed in [107]. In this design, the even mode propaga-
posite right-left handed (CRLH) transmission line [16, tion constant for tapered slot section was first accurately
17], a triple mode filter on quarter-mode SIW [97], balun extracted with the help of numerical thru-reflect-line cali-
filters based on SIW technology [98, 99], and filters with bration method. Then, it was fitted into the model of a
controllable electric and magnetic coupling [100, 101] dielectric filled rectangular waveguide and thereafter
were reported. extrapolated to the operation range of odd-mode. Based
Very recently, a series of three papers summarizing the on the extraction of the equivalent circuit models of
various filter topologies, design considerations and pra- the waveguide bifurcation effects along with parametric
ctical aspects of SIW filters, have been published in values, a 908 3-dB coupler was developed to validate the

International Journal of RF and Microwave Computer-Aided Engineering DOI 10.1002/mmce


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134 Sahu et al.

bandwidth for amplitude imbalance, a dual band ring cou-


pler based on CLRH folded substrate integrated wave-
guide (FSIW) [111] and a hybrid ring coupler based on
compact ridge substrate integrated waveguide (RSIW)
[110] are noteworthy.
The design of SIW-based power dividers and phase
shifters has also received significant interest from the
research community. Development of three configurations
of SIW power dividers were proposed in [18], including a
compact radial cavity power divider developed in [112], a
frequency-selective power divider based on single-layer
proposed in [113], and a multilayer four way out of phase
power divider developed in [114]. Two topologies of ring
power divider were proposed in [115, 116]. Also, two
configurations of phase shifters were proposed in [19, 20].
One of these is based on several phase channels made by
SIW resonators loaded with additional metallic posts, to
design a phase shifter with 10% fractional bandwidth and
the other design proposes a compact phase shifter using
omega particles; thus, providing bandwidths of around
55% for 908 and 458 versions of the phase shifter, with
the accuracy of 38 and 60% with the accuracy of 2.58. A
broadband magic T [117], X-band SIW attenuator [118]
and circulators [148] were also implemented and experi-
mentally verified. The analysis of loaded SIW attenuators
was presented in [21].

IV. RECENT PROGRESS IN SIW ACTIVE CIRCUITS


Complete SoS integration is possible with integration of
active devices in SIW technology, which is yet to be a
focus area of research in this field. The development of
SIW technologies has stimulated the possibility of design
and optimization of components like oscillators, mixers, and
switches, and so forth [11]. This section highlights several
recent developments of these components including new
SIW-based switch topologies.
The first reported SIW oscillator used a rectangular
SIW resonator appropriately placed in the feedback path
between the input and output nodes of an amplifier circuit
designed using Agilent ATF36077 pHEMT transistor
[119]. The feedback transmission lines and the input and
output lines of the oscillator circuit were fabricated in
microstrip technology and were connected to the SIW
cavity using appropriately designed transitions. This
design demonstrated the fabrication of low cost, high Q,
Figure 7 Topologies for (a) half-mode corrugated SIW [79], oscillator circuits using SIW technology. Successively,
(b) empty SIW [80], (c) hollow SIW [81], and (d) slow-wave two oscillators based on Gunn diodes were proposed in
SIW [82]. [22, 120]. In [120], the authors achieved frequency tuning
for the oscillator by introducing a varactor diode along
with a Gunn diode. These reflection oscillators were
approach. Design and fabrication of a 3-dB coupler based designed based on linear simulation techniques to estimate
on a hybrid HMSIW-slotline guided wave structure is pro- the resonance frequency of the oscillators. Linear simula-
posed in [108]. With this approach, the coupler achieved tion techniques are very intuitive and provide a means for
a relative bandwidth of 17–22% with 0.5 dB amplitude estimating the oscillation frequency using S-parameters
imbalance. A variety of ring coupler topologies have been obtained from measurements of the passive resonator.
proposed (Fig. 9). Among them, a SIW-ring coupler and However, as they rely on small-signal operating condi-
HMSIW ring coupler adopting closed side to closed side tions, they are unable to estimate the output power of the
designing, for connections of HMSIW [109] with 24.6% harmonic content of the oscillator [11]. Addressing this

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Recent Advances in SIW 135

TABLE I Qualitatitve Comparison of Recently Developed SIW Bandpass Filters


Insertion Center
References Size (mm2) Bandwidth loss (dB) Frequency (GHz) Technology
[94] 61 3 32.8 4% 1.8 5.05 Inclusion of planar resonators
63 3 33.13 4.2% 2.05 5.1
[95] 62.36 3 64.92 5.7% 2.4 5.25 Using frequency dependent
coupling
[96] 12 3 19 10.1% 1.2 4.65 Using HMSIW and avoiding
the need of vias
[12] 30 3 15 42% <1.1 8.5 U shaped slot etched in SIW
cavity to form a multiple
mode resonator for wide band
[13] 28.13 3 28.13 10.9% 1.8 5.5 Hybrid structure of SIW and coplanar
waveguide (CPW)
[14] (Circular SIW) 1515.55 9.7% 0.29 2.06 Using a triple mode dielectric resonator
implemented in SIW
[15] (triple passband) 74.73 3 21.54 4%, 3.4%, 0.33, 9.72, Inclusion of six cascaded singlets
3.3% 0.45, 0.3 10.76, 11.76 in SIW

problem, two X-band oscillators using rectangular cavity Another Gunn oscillator design based on HMSIW was
were reported in [121]. In that work, the oscillators were reported in [123]. The circuit was composed of a Gunn
designed by harmonic balance simulation, where the S- diode, resonant cavity, direct current power supply circuit
parameters of the cavities were imported from an electro- and a transition of HMSIW to microstrip. The HMSIW
magnetic simulation. A new technique based on self- cavity acts both as a tuned resonant circuit and an energy
compensation of the resonant frequency of SIW cavities coupling device of GUNN diode, coupling energy from
was applied to the oscillator design in [122], in which a cavity to transmission line. A single-layer cavity backed
nominal ratio of thermal expansion and permittivity coef- antenna oscillator was implemented in [124]. The active
ficients was defined to generate temperature compensa- circuit and radiator were placed on the opposite side of
tion. In that work, a cavity of specific substrate was the substrate and within the cavity area allowing a com-
designed, measured and compared to cavities realized on pact configuration with 11.87–12.36 GHz tuning range
other substrates. Finally, the cavity was integrated with an and phase noise better than 2107 dBc/GHz. A push-push
amplifier to build an oscillator which showed a stability and push-pull oscillator (Fig. 10a) based on SIW and sub-
of 2 ppm/8C in the temperature range of 240 to 808 C. strate integrated coaxial line (SICL) was presented in

Figure 8 The relationship between SIW filter and its substrate characteristics [104].

International Journal of RF and Microwave Computer-Aided Engineering DOI 10.1002/mmce


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136 Sahu et al.

908 broadband SIW phase shifter, was proposed in [129].


The mixer had a conversion loss better than 10 dB across
the frequency range 20–26 GHz and LO-IF RF-IF isola-
tions as 255 dB and 245 dB respectively. Additionally, a
single balanced mixer based on a SIW Magic-T structure
was proposed in [130]. The structure showed conversion
gain higher than 29.5 dB in the case of applying 220
dBm RF signal for both high and low LO power configu-
rations at 10.6 GHz, over the entire RF frequency band of
10–10.55 GHz. Self-oscillating mixers are compact cir-
cuits providing the functionality of both the oscillator and
the mixer. They are designed by appropriately biasing and
loading oscillator circuits to optimize conversion gain
[11]. Two prototypes of self-oscillating mixers were pro-
posed: the first one, a self-oscillating mixer based on a
feedback oscillator that used a rectangular SIW cavity
placed in the feedback path of a field-effect transistor
(FET)-based amplifier circuit [131], and the other, an X-
band active antenna self-oscillating down-converter SIW
mixer [132], with IF frequency of 3.15 GHz for conver-
sion gain in at least 600 MHz bandwidth around the IF
frequency. As in case of oscillators, there are several areas
where SIW technology can be explored for mixer design.
Some such areas include implementation of mixers in
high frequencies (100 GHz and more); integration of
active devices in SIW circuits [11]; new topologies for
self-oscillating mixers etc.
Besides oscillators and mixers, switches are essential
components that are found in many microwave applica-
tions and a switchable SIW was first proposed in [133].
Figure 9 Layout for (a) Hybrid ring coupler based on HMSIW
This research introduced a switch based on slotted-SIW
[109] and (b) lumped-element equivalent of dual ring coupler
unit cell based on CLRH folded SIW [110]. (SSIW), whose mode of propagation can be switched
between two different modes controlled by integrated pin
diodes (Fig. 11a). The switch was fabricated using micro-
[125]. Design of a tunable oscillator based on mechani-
wave laminated SIW, and showed an isolation of approxi-
cally tuned resonant cavity was reported in [126] that
mately 50 dB over the operating bandwidth with 3-dB
allowed varying the oscillation frequency by 2%–3% by
insertion loss. In [134], a magnetically controlled switch
means of a flap (Fig. 10b).
based on ferrite-loaded SIW was proposed. Through an
While, considerable work on oscillators based on SIW
external transverse magnetic field, the permeability of the
technology has been reported in literature, still there are
ferrite slabs loaded inside the SIW cavity (Fig. 11b) is
several areas for future research. For example, phase noise
can be minimized by increasing the unloaded quality
factor of the resonator, matching the noise impedance or
achieving a balanced characteristic of the nonlinearities.
Similarly, recent published results show a 2–3% tuning
range through the use of varactor diodes or mechanically
tuned resonant cavities, which can be potentially further
improved by inserting more diodes or introducing various
resonant circuits as CSRRs or CLRH topologies. Further,
there is also scope for fabricating low cost frequency
sources for high frequency range (100 GHz or above).
As one basic building block of communication system,
mm-wave mixers have widely been studied, especially
with regard to the aspects of port isolation and spurious
rejection. Two singly balanced mixers, one: X-band sin-
gle-balanced diode mixer and the other a part of 24 GHz
automotive radar system-on-package front-end, were pro-
posed [127, 128]. Further, a broadband single-balanced Figure 10 Schematic of (a) SIW push-push push-pull oscillator
mixer using a standard H-plane 3-dB coupler and a novel [125] and (b) SIW oscillator with tuning element [126].

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Recent Advances in SIW 137

Figure 11 Layout for (a) switchable SIW [133] and (b) geometry of a ferrite loaded SIW section [134].

tuned, thereby making the SIW mode cut-off frequency surface wave loss, which reduces the limitation of thin
change, to enable the switching function. This switch had substrates. These merits make SIW a better candidate for
a 1.1 GHz bandwidth centered at 1.1 GHz with an inser- antenna design. In this section, we will focus on the
tion loss less than 1 dB in the on state and an isolation of recent advancements for several SIW antennas.
20 dB in the off state. The design and implementation of
a SIW SPDT switch for X–band applications was pre- A. Slotted Antennas
sented in [135]. Inductive posts with rectangular slots In this technique, the radiation in SIW antennas is
were embedded in the SIW to control the travelling EM obtained by etching slots in the top metal surface of the
wave. By adding pin diodes on the top slots of inductive SIW structure (Fig. 12a). The first slotted SIW antenna
posts, the SPDT switch achieved isolation (S31) greater was based on a four-by-four slotted SIW array operating
than 10 dB, (S32) greater than 15 dB and an insertion loss at 10 GHz [23]. Recently, many topologies of SIW slot
less than 2.55 dB in 8.24–10.36 GHz band. antennas have been proposed for back lobe suppression. A
SIW slot antenna array based on comb-shaped chokes of
an array of quarter-wavelength short-end parallel micro-
V. SIW ANTENNAS strip lines at the bottom surface of array was reported for
The development of millimeter wave technologies has led lowering the backward radiation by 10-dB [24]. A SIW
to a growing interest in SIW antennas. Several early slot antenna with folded corrugated stubs was proposed in
developed antenna topologies have been discussed in [11]. [25] for suppressing the back lobes. Bandwidth broaden-
SIW based antennas offer advantages similar to microstrip ing of SIW slot antenna was reported in [26]. The work
antennas as they can be fabricated with the same planar proposed the use of two unequal slots to increase the
printed technology. Furthermore, SIW as a waveguide bandwidth up to twice of standard slot antennas. Two
structure, does not suffer from unintentional radiation and design methods for SIW travelling wave slot antennas and

Figure 12 Layout for (a) Slotted SIW, (b) leaky-wave SIW, (c) cavity backed SIW, and (d) conformal SIW [44].

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138 Sahu et al.

planar slotted array antennas were also reported in [27, grates cavity backed SIW and triangular slot (TLS), where
28]. Both design methods are based on the method of the dual mode of TLS is achieved by simultaneously
least squares and Elliot’s design formulas using the con- exciting the mode of the slot and the mode of the patch
cept of equivalent waveguide to formulate the error func- inside the slot; the other one uses a dumbbell shaped slot
tion. Using the concept of hollow SIW, a slotted along with thin SIW cavity backing. The SIW-slot feeding
waveguide antenna array was designed in [29]. Using structure is introduced in a fully substrate-integrated thin
classical log-periodic theory, SIW slot antennas with Fabry–Perot cavity (FPC) antenna to achieve low back-
broadband performance were presented in [30]. Based on ward radiation levels [37].
the orientation of the slots a transverse SIW slot antenna
and a longitudinal SIW slot antenna were designed and D. Conformal Antennas
results indicated a much wider impedance bandwidth as A significant effort has been devoted very recently to the
compared to traditional slotted waveguide antennas. development of conformal SIW antennas. There are a few
concerns regarding analysis of the SIW conformal anten-
B. Leaky-Wave SIW Antennas nas and it requires the synthesis of planar antenna to be
In the SIW leaky-wave antennas, the radiation is obtained carried over to conformal antennas. Unless a systematic
by increasing the longitudinal spacing s of the side wall analysis method is developed to study the effect of con-
metal vias, as shown in Figure 12b.Two leaky wave formal shape on the properties of antenna, it is impossible
antennas based on CLRH SIW were presented in [38, 39]. to achieve satisfactory performance or special shaped
In [38] a double periodic CLRH SIW is proposed and the beam requirements with conformal antennas because the
equivalent circuit, the dispersion behavior and the expres- curved shape of the conformal antenna determines its
sion for cut-off frequencies were studied. Two SIW leaky characteristics to a great extent [44]. However, some
wave antennas composed of periodic set of transverse attempts have been made to come up with accurate syn-
slots were proposed by Long and coworkers [40, 41]. thesis design for SIW conformal antennas. A 35 GHz slot
Such structures were found to support three kinds of array antenna conforming to a prescribed curved surface
modes (a leaky mode, proper waveguide mode, and a with shaped-beam was investigated in [44], which had
surface-wave-like mode). Furthermore, a SIW leaky wave low side lobe level in H-plane and a flat-topped fan-beam
antenna with tapered transverse slots on top and bottom in E-plane (Fig. 12d). A conformal coplanar feed network
sides was proposed by the same group for investigation of was designed for the desired excitation. The structure had
end-fire radiation with a narrow beam and side lobe sup- a 227.4 dB side lobe level beam in H-plane, and a flat-
pression [42]. The synthesis of one dimensional SIW- topped fan beam with 2388–378 3-dB beam width in E-
leaky wave antennas with modulated geometry was pre- plane, along with a cross-polarization lower than 241.7
sented in [43] using holographic concepts; its synthesis dB at the beam direction. Subsequently, a travelling wave
technique demonstrated the capability of flexibly tailoring slot array on a CSIW at K-band was presented in [136].
the radiated field’s pattern, both in near and far-field A 16 element longitudinal slot array on the broad wall of
regime. CSIW was designed using Elliot’s procedure. For the
structure, about 108 beam steering is achieved when the
C. Cavity Backed Antennas frequency is swept from 24 to 26 GHz with an antenna
Generally, there are two categories of SIW cavity backed gain of 14 dB. The capability to conform a substrate inte-
antennas: SIW cavity backed patch antenna (Fig. 12c) and grated leaky wave antenna along an arbitrarily curved line
SIW cavity backed slot antenna. Numerous SIW cavity by suitably tapering the leaky mode along the antenna
backed antennas, with different configurations, different length was demonstrated in [137]. It was shown that, by
feeding structures, and different performances have been means of locally adjusting the pointing angle of the radi-
developed by researchers around the globe. In 2013, Dr. ated wave, a coherent plane waveform at the far-field
X. H. Zhang and coworkers. reviewed SIW cavity anten- region can be obtained. A conformal wideband SIW H-
nas [31]. Thereafter, some new topologies have also been plane horn antenna was presented in [138].
introduced to this area. A wideband SIW cavity backed
antenna was proposed in [32]. To enhance the bandwidth E. Active Antennas
and radiation efficiency, the cavity was designed to reso- The term active antenna here refers to “circuit–antenna
nate at its TE210 mode. Another broadband SIW cavity module” and hence it includes active integrated antennas,
backed antenna was introduced in [33], where the broad- where an active device is integrated in the same substrate
band performance is achieved by introducing a bow-tie- with the radiating antenna structure. In addition, it
shaped slot instead of a conventional rectangular slot. A includes antenna elements where an active device is used
SIW-fed circularly polarized antenna array with a broad to modify or reconfigure the properties of the antenna
axial-ratio bandwidth was proposed in [34]. The antenna such as beam direction, polarization or bandwidth [11].
array consisted of 16 sequentially rotated elliptical cavities Compact, single-substrate cavity-backed slot and patch
fed by slots on the SIW acting as radiating elements, four oscillator antennas were proposed in [45, 139], where a
1-to-4 SIW power dividers, and a transition from a square cavity was used along with antenna and the feed-
coaxial cable to SIW. Two dual band SIW cavity backed ing networks, etched on the top and bottom layers respec-
antennas were introduced in [35, 36]: the first one, inte- tively. Furthermore, a tunable oscillator was presented in

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Recent Advances in SIW 139

Figure 13 Demonstration of SoS (a) 24-GHz FMCW radar front end [128] and (b) 60-GHz multichip module receiver [142].

[46] by removing one via hole from the cavity wall and GaAs varactor was proposed in [53]. A 2.6–3.1 GHz tuna-
introducing a varactor diode in its place. ble band was obtained with a Qu between 180 and 70, a
Significant focus has been placed on design of frequency capacitance variation between 0.25 and 1.25 pF. An ultra-
reconfigurable SIW antennas. A frequency reconfigurable wideband two-port resonator based on CSRR and varactor
antenna based on HMSIW was presented in [47]. Its reso- based SIW was presented in [54]. The resonant frequency
nant frequency was electronically controlled by a varactor- was varied between 0.83 and 1.58 GHz and has a wide
loaded interdigital capacitor on the top plate of HMSIW tuning ratio of 90%. Subsequently, electrically tunable
and the bias network was designed on the bottom plate. A evanescent mode HMSIW resonators were presented [55];
reconfigurable SIW cavity-based antenna was presented in HMSIW loaded with CSRRs where a variable capacitor
[48] by loading the SIW cavity with shorting posts and connected to one of the conductors of CSRR changes its
manipulating the field distribution within the cavity. The effective capacitance with respect to ground, resulting in
frequency shift was controlled by the number of posts and frequency tuning of the resonator. A novel approach for
their location. Using this technique a frequency tuning ratio providing SIW tunable resonators by means of placing an
as high as an octave (1.1–2.2 GHz) was achieved. A fre- additional metalized via-hole on the waveguide cavity was
quency reconfigurable SIW interdigital capacitor antenna on presented in [56]. The via hole contains an open loop slot
a composite right/left handed (CRLH) resonator was pre- on the top metallic wall. The tuning range was defined by
sented in [49]. A varactor diode was embedded on the inter- the dimension, position and orientation of the open-loop
digital slot of the short-ended SIW, whose zeroth-order slot.
resonance varied from 4.13 to 4.50 GHz by changing the A novel tunable second-order filter was implemented
bias voltage from 0 to 36 V. A varactor loaded CSRR was on three-layer Rogers RT/Duroid substrate using p-i-n
used to design a compact eighth-mode SIW antenna [50] diode switching elements [57]; the filter provided six
operating in dual band. A broadband frequency tuning was states ranging from 1.55 to 2 GHz (25% tuning). A two
achieved in a ferrite loaded SIW antennas by simultane- pole filter has been demonstrated on a low–cost substrate
ously changing the location of ferrite slabs in the antennas showing a tunable center frequency between 2.64 and
(mechanical tuning) and bias magnetic fields (magnetical 2.88 GHz with 1.27–3.63-dB insertion loss across the tun-
tuning) [53]. ing range [58]. Tuning a SIW cavity by embedding a fre-
quency agile material into an SIW cavity was presented in
VI. RECONFIGURABILITY WITH SIW
[140]. A specific switchable post constructed using plasma
(argon) was introduced in the SIW cavity. A compact tun-
Reconfigurable components are essential for millimeter-
able filter integrated in ferroelectric ceramic substrate was
wave multifunctional radio and radar systems, such as
reported [141] based on an evanescent-mode dielectric
smart and cognitive radio and radar techniques for better
cavity loaded by a pair of tunable-mushroom-type com-
use of the electromagnetic spectrum as they facilitate the
plementary split-ring resonators.
simplification of multiband and wideband wireless sys-
tems architecture [99]. These techniques can eliminate
interference while preserving good signal receiving condi- VII. SYSTEM ON SUBSTRATE
tion. Through a dynamical reconfiguration of operational The use of microstrip or coplanar waveguides is conven-
frequency and bandwidth, tunable resonators efficiently ient for frequencies below 30 GHz, but these techniques
cope with time and regional variation of traffic demands. become impractical at high frequencies due to the
Hence, they are crucial building blocks for design and incurred losses. The previous sections highlighted the pos-
realization of tunable RF and microwave components. sibility of SIW technology in the development of various
One of the preliminary tuning solutions was proposed in active and passive components. These possibilities provide
[52] based on the insertion of vertical capacitive posts opportunities for design of SoS, where all the components
integrated within SIW cavities. Further, a low-loss tunable not included in chip-set are fabricated using SIW technol-
resonator based on combline-SIW cavity loaded with ogy. Two methodologies have been reported for the

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140 Sahu et al.

tages in terms of low cost and good design flexibility. In


the early versions of SIW components, the holes made by
a drilling machine and the metal vias were implemented
using metal rivets. More recently, the metalized holes are
usually obtained either by microdrilling or laser cutting,
and their metallization is subsequently performed by metal
plating or by filling the holes by a conductive paste [143].
Apart from PCB, LTCC technology has also been used in
SIW implementation. The possibility of using several
layers and the tiny dimension of the via holes, provides a
platform for implementation of extremely compact SIW
components.
The implementation of SIWs on novel materials has
also been explored. The design of SIW components and
antennas based on polyethylene terephthalate was pro-
posed in [142]. In the work, initially SIW interconnects
were designed and fabricated, which finally led to design
of a two cavity filter and a slotted waveguide SIW
antenna (Fig. 14a). The design and implementation of an
inkjet printed flexible broadband multilayer coupler on a
polyimide film (Kapton) in a SIW technology was demon-
strated in [145] (Fig. 14b). In [146], the flexible liquid
crystal polymer (LCP) was used to implement broadband
bandpass filters, that features 7.5% size reduction com-
pared to conventional SIW (Fig. 14c).
Popovic and her research team are exploiting a new
area of research on the microcoaxial array fed components
at the University of Colorado, Boulder. Performance of
broadband Wilkinson dividers covering 2–22GHz (11:1
Figure 14 Photograph of (a) SIW Filter based on PET substrate bandwidth) implemented in microcoaxial lines along with
[144], (b) Inkjet-printed multilayer broadband coupler on polyi- integration of active devices with microcoaxial compo-
mide film [145], and (c) fabricated 3-pole filter on LCP [146]. nents for 20W transmitters covering the 4–18 GHz band
was shown, and challenges associated with high power
deployment and integration of SoS. The complete front densities and interconnect parasitic are addressed in [147].
end of a 24 GHz frequency-modulation continuous-wave Although, this technology requires high precision and
(FMCW) was reported in [128]. All building blocks complex fabrication process, it could be one of the
including up-converters, down-converters, power dividers, research area for SIW based components operating in
one transmitting and one receiving 16-element slotted high frequencies. This technology provides advantages in
antenna array were integrated in the circuit (Fig. 13a). terms of low loss, high isolation, and large range of char-
This approach showed that the surface hybrid integration acteristic impedances.
scheme enables the complete integration of planar and
nonplanar microwave circuits.
The other approach was based on deployment of multi- IX. CONCLUSIONS
chip modules. Here, the active portions of the circuit were The present state-of-the-art of the SIW technology is sum-
implemented in the chipset whereas antennas, filters and marized in this article, with a focus on recent advance-
other passive components were developed off-chip on a ments. Design rules that are important for the
multilayer substrate (Fig. 13b). This methodology offers a development of active and passive SIW circuits are dis-
much simpler design, while exploiting the SIW technol- cussed to highlight the attractiveness of this emerging
ogy for those components which cannot be fabricated on- technology. The SIW technology has been compared with
chip. A 60 GHz receiver based on this methodology in other recently developed techniques from the view point
GaAs technology was proposed in [142]. of different critical aspects such as loss, packaging and
design complexity. In addition to the traditional compo-
VIII. FABRICATION TECHNOLOGIES AND NOVEL nents, the recently explored areas in SIW technology such
MATERIALS as switches, conformal antennas, have been discussed.
The fabrication is one of the key aspects in design of Furthermore, we have found that the attractive features of
SIWs, especially for millimetre-wave operation. PCB this technology make it the ideal tuning platform for
techniques is one of the most common technologies reconfigurable filters, antennas and impedance matching
adopted for implementing SIWs as they provide advan- networks. Finally, issues related to fabrication technologies

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Recent Advances in SIW 141

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BIOGRAPHIES
IETE Sir J. C. Bose best application paper award (1999) and Shri
Abhishek Sahu was born in India in 1990. Hari Ohm Ashram Prerit Hariballabha Das Chunilal Research
He received the B.Tech degree in ECE Endowment Award (2000), Samanta Chandra Sekhar Award in
from BPUT, India, in 2012. In 2013, he Engineering and Technology (2008), which is the highest award by
joined the EECS Department at the Univer- the Govt. of Orissa. He had organized short courses on ANN appli-
sity of Toledo, where is currently working cations for Microwave and Antennas. He is a reviewer for the IEEE
towards his Ph.D. degree in electrical engi- Transactions on Antennas and Propagation.
neering. His present research interests are
applied electromagnetics, mm-wave com- Peter H. Aaen received the B.A.Sc.
ponents design and microwave measure- degree in Engineering Science and the
ment techniques. Mr. Sahu is the recipient of the Best Student Paper M.A.Sc. degree in Electrical Engineering,
Award at the Applied Electromagnetic Conference, India, 2011. both from the University of Toronto,
Toronto, ON., Canada, and the Ph.D.
Vijay Devabhaktuni received the B.Eng. degree in Electrical Engineering from Ari-
degree in EEE and the M.Sc. degree in zona State University, Tempe, AZ., USA,
Physics from BITS, Pilani, in 1996, and in 1995, 1997 and 2005, respectively. He
the Ph.D. in Electronics from Carleton joined the Faculty of Engineering and
University, Canada, in 2003. During Physical Sciences at the University of Surrey in 2013, where he is a
2005-2008, he held the prestigious Canada Reader in Microwave Semiconductor Device Modeling. Before
Research Chair in Computer-Aided High- joining the University of Surrey, he was the Manager of the RF
Frequency Modeling and Design at Con- Modeling and Measurement Technology team of the RF Division
cordia University. In 2008, he joined the of Freescale Semiconductor, Inc, Tempe, AZ, USA; a company
EECS Department at the University of Toledo, where he is a Pro- which he joined in 1997 (then Motorola Inc. Semiconductor Prod-
fessor and Director of Interdisciplinary Research Initiatives. His uct Sector). His areas of expertise include calibration techniques for
interests are applied electromagnetics, computer aided design, microwave measurements, development of package modeling tech-
device modeling, neural networks, and RF/microwave optimization. niques, development of passive and active compact models for the
He secured external funding close to $5M (sponsoring agencies design of microwave power transistors and ICs, and efficient elec-
include AFOSR, CFI, ODOT, NASA, NSERC, NSF, and industry). tromagnetic simulation and optimization methodologies for com-
He co-authored around 190 peer-reviewed papers and is advising plex packaged environments. His current work focuses on the
13 MS/PhD students. He has won teaching excellence awards in development and validation of multi-physics based modeling meth-
Canada and USA. Dr. Devabhaktuni is the Associate Editor of the odologies for high-power and high-frequency electronic devices.
International Journal of RF and Microwave Computer-Aided Engi- He is a Senior Member of the IEEE, a member of the Microwave
neering. He is a Senior Member of the IEEE. Theory and Techniques Society, and is an active member of many
technical committees including: MTT-1 Computer-Aided Design,
Rabindra Kishore Mishra is a professor technical program committee (TPC) of the IEEE Conference on
in the Electronic Science Department of Electrical Performance of Electronic Packaging and Systems, and
the Berhampur University since 2007. He the IMS TPRC sub-committee for CAD Algorithms and Techni-
has researched extensively in the areas of ques. Most recently he served the ARFTG community as the Tech-
planar antennas and applications of soft- nical Program Chair for the 78th and 82nd Symposiums and is the
computing techniques for analysis and e-Publicity chair for the ARFTG Executive Committee. Dr. Aaen
design of planar antennas. He visited the co-authored Modeling and Characterization of RF and Microwave
University of Birmingham as a British Power FETs (Cambridge University Press, 2007) and has authored
Commonwealth Fellow during 1999– over forty papers, articles and workshops in the fields of electro-
2000. He has supervised 14 doctoral theses, published two mono- magnetic simulation, package modeling, and microwave device
graphs and over 150 learned articles in journals of repute and pro- modeling and characterization
ceedings of conferences, seminars, and so on, which earned him

International Journal of RF and Microwave Computer-Aided Engineering DOI 10.1002/mmce

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