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Electromagnetic Systems and Its
Associated Metrology
Electromagnetic Systems and Its
Associated Metrology
Tapan K. Sarkar†
Syracuse University
11 Wexford Road, Syracuse, New York 13214
Magdalena Salazar-Palma
Carlos III University of Madrid
Avda. de la Universidad 30, 28911 Leganés, Madrid, Spain
Ming Da Zhu
Xidian University
No. 2 South Taibai Road, Xi’an, Shaanxi, China
Heng Chen
Syracuse University
211 Lafayette Rd. Room 425, Syracuse, NY, USA
This edition first published 2021
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Library of Congress Cataloging-in-Publication Data
Names: Sarkar, Tapan (Tapan K.), editor. | Salazar-Palma, Magdalena,
editor. | Zhu, Ming Da, editor. | Chen, Heng, editor.
Title: Modern characterization of electromagnetic systems and its
associated metrology / edited by Tapan K. Sarkar, Magdalena
Salazar-Palma, Ming Da Zhu, Heng Chen.
Description: Hoboken, NJ : Wiley, 2020. | Includes bibliographical
references and index.
Identifiers: LCCN 2020008264 (print) | LCCN 2020008265 (ebook) | ISBN
9781119076469 (hardback) | ISBN 9781119076544 (adobe pdf) | ISBN
9781119076537 (epub)
Subjects: LCSH: Electromagnetism–Mathematics. | Electromagnetic
waves–Measurement.
Classification: LCC QC760 .M53 2020 (print) | LCC QC760 (ebook) | DDC
537/.12–dc23
LC record available at https://lccn.loc.gov/2020008264
LC ebook record available at https://lccn.loc.gov/2020008265
Cover Design: Wiley
Cover Image: © zf L/Getty Images
Set in 10/12pt Warnock by Straive, Pondicherry, India
10 9 8 7 6 5 4 3 2 1
v
Contents
Preface xiii
Acknowledgments xxi
Tribute to Tapan K. Sarkar – Magdalena Salazar Palma, Ming Da Zhu,
and Heng Chen xxiii
1 Mathematical Principles Related to Modern System Analysis 1

Summary 1
1.1 Introduction 1
1.2 Reduced-Rank Modelling: Bias Versus Variance Tradeoff 3
1.3 An Introduction to Singular Value Decomposition (SVD) and the
Theory of Total Least Squares (TLS) 6
1.3.1 Singular Value Decomposition 6
1.3.2 The Theory of Total Least Squares 15
1.4 Conclusion 19
References 20
2 Matrix Pencil Method (MPM) 21

Summary 21
2.1 Introduction 21
2.2 Development of the Matrix Pencil Method for Noise Contaminated
Data 24
2.2.1 Procedure for Interpolating or Extrapolating the System Response
Using the Matrix Pencil Method 26
2.2.2 Illustrations Using Numerical Data 26
2.2.2.1 Example 1 26
2.2.2.2 Example 2 29
2.3 Applications of the MPM for Evaluation of the Characteristic
Impedance of a Transmission Line 32
2.4 Application of MPM for the Computation of the S-Parameters
Without any A Priori Knowledge of the Characteristic Impedance 37
2.5 Improving the Resolution of Network Analyzer Measurements
Using MPM 44
vi Contents
2.6 Minimization of Multipath Effects Using MPM in Antenna

Measurements Performed in Non-Anechoic Environments 57
2.6.1 Application of a FFT-Based Method to Process the Data 61
2.6.2 Application of MPM to Process the Data 64
2.6.3 Performance of FFT and MPM Applied to Measured Data 67
2.7 Application of the MPM for a Single Estimate of the SEM-Poles
When Utilizing Waveforms from Multiple Look Directions 74
2.8 Direction of Arrival (DOA) Estimation Along with Their
Frequency of Operation Using MPM 81
2.9 Efficient Computation of the Oscillatory Functional Variation in the
Tails of the Sommerfeld Integrals Using MPM 85
2.10 Identification of Multiple Objects Operating in Free Space Through
Their SEM Pole Locations Using MPM 91
2.11 Other Miscellaneous Applications of MPM 95
2.12 Conclusion 95
Appendix 2A Computer Codes for Implementing MPM 96
References 99
3 The Cauchy Method 107

Summary 107
3.1 Introduction 107
3.2 Procedure for Interpolating or Extrapolating the System Response
Using the Cauchy Method 112
3.3 Examples to Estimate the System Response Using the Cauchy
Method 112
3.3.1 Example 1 112
3.3.2 Example 2 116
3.3.3 Example 3 118
3.4 Illustration of Extrapolation by the Cauchy Method 120
3.4.1 Extending the Efficiency of the Moment Method Through
Extrapolation by the Cauchy Method 120
3.4.2 Interpolating Results for Optical Computations 123
3.4.3 Application to Filter Analysis 125
3.4.4 Broadband Device Characterization Using Few Parameters 127
3.5 Effect of Noise Contaminating the Data and Its Impact on the
Performance of the Cauchy Method 130
3.5.1 Perturbation of Invariant Subspaces 130
3.5.2 Perturbation of the Solution of the Cauchy Method Due
to Additive Noise 131
3.5.3 Numerical Example 136
3.6 Generating High Resolution Wideband Response from Sparse and
Incomplete Amplitude-Only Data 138
Contents vii
3.6.1 Development of the Interpolatory Cauchy Method for

Amplitude-Only Data 139
3.6.2 Interpolating High Resolution Amplitude Response 142
3.7 Generation of the Non-minimum Phase Response from
Amplitude-Only Data Using the Cauchy Method 148
3.7.1 Generation of the Non-minimum Phase 149
3.7.2 Illustration Through Numerical Examples 151
3.8 Development of an Adaptive Cauchy Method 158
3.8.1 Introduction 158
3.8.2 Adaptive Interpolation Algorithm 159
3.8.3 Illustration Using Numerical Examples 160
3.8.4 Summary 171
3.9 Efficient Characterization of a Filter 172
3.10 Extraction of Resonant Frequencies of an Object from Frequency
Domain Data 176
3.11 Conclusion 180
Appendix 3A MATLAB Codes for the Cauchy Method 181
References 187
4 Applications of the Hilbert Transform – A Nonparametric Method for

Interpolation/Extrapolation of Data 191
Summary 191
4.2 Consequence of Causality and Its Relationship to the Hilbert
Transform 194
4.3 Properties of the Hilbert Transform 195
4.4 Relationship Between the Hilbert and the Fourier Transforms
for the Analog and the Discrete Cases 199
4.5 Methodology to Extrapolate/Interpolate Data in the Frequency
Domain Using a Nonparametric Methodology 200
4.6 Interpolating Missing Data 203
4.7 Application of the Hilbert Transform for Efficient Computation
of the Spectrum for Nonuniformly Spaced Data 213
4.7.1 Formulation of the Least Square Method 217
4.7.2 Hilbert Transform Relationship 221
4.7.3 Magnitude Estimation 223
4.8 Conclusion 229
References 229
5 The Source Reconstruction Method 235

Summary 235
5.2 An Overview of the Source Reconstruction Method (SRM) 238
viii Contents
5.3 Mathematical Formulation for the Integral Equations 239

5.4 Near-Field to Far-Field Transformation Using an Equivalent
Magnetic Current Approach 240
5.4.1 Description of the Proposed Methodology 241
5.4.2 Solution of the Integral Equation for the Magnetic Current 245
5.4.3 Numerical Results Utilizing the Magnetic Current 249
5.4.4 Summary 268
5.5 Near-Field to Near/Far-Field Transformation for Arbitrary
Near-Field Geometry Utilizing an Equivalent Electric Current 276
5.5.2 Numerical Results Using an Equivalent Electric Current 281
5.5.3 Summary 286
5.6 Evaluating Near-Field Radiation Patterns of Commercial
Antennas 297
5.6.1 Background 297
5.6.2 Formulation of the Problem 301
5.6.3 Results for the Near-field To Far-field Transformation 304
5.6.3.1 A Base Station Antenna 304
5.6.3.2 NF to FF Transformation of a Pyramidal Horn Antenna 307
5.6.3.3 Reference Volume of a Base Station Antenna for Human
Exposure to EM Fields 310
5.6.4 Summary 311
5.7 Conclusions 313
References 314
6 Planar Near-Field to Far-Field Transformation Using a Single Moving

Probe and a Fixed Probe Arrays 319
Summary 319
6.2 Theory 322
6.3 Integral Equation Formulation 323
6.4 Formulation of the Matrix Equation 325
6.5 Use of an Magnetic Dipole Array as Equivalent Sources 328
6.6 Sample Numerical Results 329
6.7 Summary 337
6.8 Differences between Conventional Modal Expansion and the
Equivalent Source Method for Planar Near-Field to Far-Field
Transformation 337
6.8.2 Modal Expansion Method 339
6.8.3 Integral Equation Approach 341
6.8.4 Numerical Examples 344
6.8.5 Summary 351
Contents ix
6.9 A Direct Optimization Approach for Source Reconstruction

and NF-FF Transformation Using Amplitude-Only Data 352
6.9.2 Equivalent Current Representation 354
6.9.3 Optimization of a Cost Function 356
6.9.4 Numerical Simulation 357
6.9.5 Results Obtained Utilizing Experimental Data 358
6.9.6 Summary 359
6.10 Use of Computational Electromagnetics to Enhance the Accuracy
and Efficiency of Antenna Pattern Measurements Using an
Array of Dipole Probes 361
6.10.2 Development of the Proposed Methodology 363
6.10.3 Philosophy of the Computational Methodology 363
6.10.4 Formulation of the Integral Equations 365
6.10.5 Solution of the Integro-Differential Equations 367
6.10.6 Sample Numerical Results 369
6.10.6.1 Example 1 369
6.10.6.2 Example 2 373
6.10.6.3 Example 3 377
6.10.6.4 Example 4 379
6.10.7 Summary 384
6.11 A Fast and Efficient Method for Determining the Far Field
Patterns Along the Principal Planes Using a Rectangular
Probe Array 384
6.11.3.1 Example 1 387
6.11.3.2 Example 2 393
6.11.3.3 Example 3 397
6.11.3.4 Example 4 401
6.11.4 Summary 406
6.12 The Influence of the Size of Square Dipole Probe Array
Measurement on the Accuracy of NF-FF Pattern 406
6.12.1 Illustration of the Proposed Methodology Utilizing Sample
Numerical Results 407
6.12.1.1 Example 1 407
6.12.1.2 Example 2 411
6.12.1.3 Example 3 416
6.12.1.4 Example 4 419
6.12.2 Summary 428
6.13 Use of a Fixed Probe Array Measuring Amplitude-Only
Near-Field Data for Calculating the Far-Field 428
x Contents
6.13.1 Proposed Methodology 429

6.13.2.1 Example 1 430
6.13.2.2 Example 2 434
6.13.2.3 Example 3 437
6.13.2.4 Example 4 437
6.13.3 Summary 441
6.14 Probe Correction for Use with Electrically Large Probes 442
6.14.1 Development of the Proposed Methodology 443
6.14.2 Formulation of the Solution Methodology 446
6.15 Conclusions 449
References 449
7 Spherical Near-Field to Far-Field Transformation 453

Summary 453
7.1 An Analytical Spherical Near-Field to Far-Field
Transformation 453
7.1.2 An Analytical Spherical Near-Field to Far-Field
Transformation 454
7.1.3 Numerical Simulations 464
7.1.3.1 Synthetic Data 464
7.1.3.2 Experimental Data 465
7.1.4 Summary 468
7.2 Radial Field Retrieval in Spherical Scanning for Current
Reconstruction and NF–FF Transformation 468
7.2.2 An Equivalent Current Reconstruction from Spherical
Measurement Plane 470
7.2.3 The Radial Electric Field Retrieval Algorithm 472
7.2.4 Results Obtained Using This Formulation 473
7.2.4.1 Simulated Data 473
7.2.4.2 Using Measured Data 475
7.3 Conclusion 482
Appendix 7A A Fortran Based Computer Program for Transforming
Spherical Near-Field to Far-Field 483
References 489
8 Deconvolving Measured Electromagnetic Responses 491

Summary 491
8.2 The Conjugate Gradient Method with Fast Fourier Transform for
Computational Efficiency 495
Contents xi
8.2.1 Theory 495

8.2.2 Numerical Results 498
8.3 Total Least Squares Approach Utilizing Singular Value
Decomposition 501
8.3.1 Theory 501
8.3.2 Total Least Squares (TLS) 502
8.3.3 Numerical Results 506
8.4 Conclusion 516
References 516
9 Performance of Different Functionals for Interpolation/

Extrapolation of Near/Far-Field Data 519
Summary 519
9.1 Background 520
9.2 Approximating a Frequency Domain Response by Chebyshev
Polynomials 521
9.3 The Cauchy Method Based on Gegenbauer Polynomials 531
9.3.1 Numerical Results and Discussion 537
9.3.1.1 Example of a Horn Antenna 537
9.3.1.2 Example of a 2-element Microstrip Patch Array 539
9.3.1.3 Example of a Parabolic Antenna 541
9.4 Near-Field to Far-Field Transformation of a Zenith-Directed
Parabolic Reflector Using the Ordinary Cauchy Method 543
9.5 Near-Field to Far-Field Transformation of a Rotated Parabolic
Reflector Using the Ordinary Cauchy Method 552
9.6 Near-Field to Far-Field Transformation of a Zenith-Directed
Parabolic Reflector Using the Matrix Pencil Method 558
9.7 Near-Field to Far-Field Transformation of a Rotated Parabolic
Reflector Using the Matrix Pencil Method 564
9.8 Conclusion 569
References 569
10 Retrieval of Free Space Radiation Patterns from Measured Data

in a Non-Anechoic Environment 573
Summary 573
10.1 Problem Background 573
10.2 Review of Pattern Reconstruction Methodologies 575
10.3 Deconvolution Method for Radiation Pattern Reconstruction 578
10.3.1 Equations and Derivation 578
10.3.2 Steps Required to Implement the Proposed Methodology 584
10.3.3 Processing of the Data 585
10.3.4 Simulation Examples 587
10.3.4.1 Example I: One PEC Plate Serves as a Reflector 587
10.3.4.2 Example II: Two PEC Plates Now Serve as Reflectors 594
xii Contents
10.3.4.3 Example III: Four Connected PEC Plates Serve as Reflectors 598
10.3.4.4 Example IV: Use of a Parabolic Reflector Antenna as the AUT 604
10.3.5 Discussions on the Deconvolution Method for Radiation Pattern
Reconstruction 608
10.4 Effect of Different Types of Probe Antennas 608
10.4.1 Numerical Examples 608
10.4.1.1 Example I: Use of a Yagi Antenna as the Probe 608
10.4.1.2 Example II: Use of a Parabolic Reflector Antenna as the Probe 612
10.4.1.3 Example III: Use of a Dipole Antenna as the Probe 613
10.5 Effect of Different Antenna Size 619
10.6 Effect of Using Different Sizes of PEC Plates 626
10.7 Extension of the Deconvolution Method to Three-Dimensional
Pattern Reconstruction 632
10.7.1 Mathematical Characterization of the Methodology 632
10.7.2 Steps Summarizing for the Methodology 635
10.7.3 Processing the Data 636
10.7.4 Results for Simulation Examples 638
10.7.4.1 Example I: Four Wide PEC Plates Serve as Reflectors 640
10.7.4.2 Example II: Four PEC Plates and the Ground Serve as
Reflectors 643
10.7.4.3 Example III: Six Plates Forming an Unclosed Contour Serve as
Reflectors 651
10.7.4.4 Example IV: Antenna Measurement in a Closed PEC Box 659
10.7.4.5 Example V: Six Dielectric Plates Forming a Closed Contour
Simulating a Room 662
10.8 Conclusion 673
Appendix A: Data Mapping Using the Conversion between the
Spherical Coordinate System and the Cartesian Coordinate
System 675
Appendix B: Description of the 2D-FFT during the Data
Processing 677
References 680
Index 683
xiii
Preface
The area of electromagnetics is an evolutionary one. In the earlier days the

analysis in this area was limited to 11 separable coordinate systems for the solu-
tion of Helmholtz equations. The eleven coordinate systems are rectangular,
circular cylinder, elliptic cylinder, parabolic cylinder, spherical, conical,
parabolic, prolate spheroidal, oblate spheroidal, ellipsoidal and paraboloidal
coordinates. However, Laplace’s equation is separable in 13 coordinate systems,
the additional two being the bispherical and the toroidal coordinate systems.
Outside these coordinate systems it was not possible to develop a solution
for electromagnetic problems in the earlier days. However, with the advent
of numerical methods this situation changed and it was possible to solve real
practical problems in any system. This development took place in two distinct
stages and was primarily addressed by Prof. Roger F. Harrington. In the first
phase he proposed to develop the solution of an electromagnetic field problem
in terms of unknown currents, both electric and magnetic and not fields by
placing some equivalent currents to represent the actual sources so that these
currents produce exactly the same desired fields in each region. From these
currents he computed the electric and the magnetic vector potentials in any
coordinate system. In the integral representation of the potentials in terms of
the unknown currents, the free space Green’s function was used which simpli-
fied the formulation considerably as no complicated form of the Green’s func-
tion for any complicated environment was necessary. From the potentials, the
fields, both electric and magnetic, were developed by invoking the Maxwell-
Hertz-Heaviside equations. This made the mathematical analysis quite analytic
and simplified many of the complexities related to the complicated Green’s the-
orem. This was the main theme in his book “Time Harmonic Electromagnetic
Fields”, McGraw Hill, 1961. At the end of this book he tried to develop a vari-
ational form for all these concepts so that a numerical technique can be applied
and one can solve any electromagnetic boundary value problem of interest. This
theme was further developed in the second stage through his second classic
book “Field Computations by Moment Methods”, Macmillan Company, 1968.
In the second book he illustrated how to solve a general electromagnetic field
xiv Preface
problem. This gradual development took almost half a century to mature. In the
experimental realm, unfortunately, no such progress has been made. This may
be partially due to decisions taken by the past leadership of the IEEE Antennas
and Propagation Society (AP-S) who first essentially disassociated measure-
ments from their primary focus leading antenna measurement practitioners
to form the Antenna Measurements Techniques Association (AMTA) as an
organization different from IEEE AP-S. And later on even the numerical tech-
niques part was not considered in the main theme of the IEEE Antennas and
Propagation Society leading to the formation of the Applied Computational
Electromagnetic Society (ACES). However, in recent times these shortcomings
of the past decisions of the AP-S leadership have been addressed.
The objective of this book is to advance the state of the art of antenna mea-
surements and not being limited to the situation that measurements can be
made in one of the separable coordinate systems just like the state of electro-
magnetics over half a century ago. We propose to carry out this transformation
in the realm of measurement first by trying to find a set of equivalent currents
just like we do in theory and then solve for these unknown currents using the
Maxwell-Hertz-Heaviside equations via the Method of Moments popularized
by Prof. Harrington. Since the expressions between the measured fields and
the unknown currents are analytic and related by Maxwell-Hertz-Heaviside
equations, the measurements can be carried out in any arbitrary geometry
and not just limited to the planar, cylindrical or spherical geometries. The
advantage of this new methodology as presented in this book through the topic
“Source Reconstruction Method” is that the measurement of the fields need
not be done using a Nyquist sampling criteria which opens up new avenues
particularly in the very high frequency regime of the electromagnetic spectrum
where it might be difficult to take measurement samples half a wavelength
apart. Secondly as will be illustrated these measurement samples need not
even be performed in any specified plane. Also because of the analytical rela-
tionship between the sources that generate the fields and the fields themselves
it is possible to go beyond the Raleigh resolution limit and achieve super res-
olution in the diagnosis of radiating structures. In the Raleigh limit the reso-
lution is limited by the uncertainty principle and that is determined by the
length of the aperture whose Fourier transform we are looking at whereas
in the super resolution system there is no such restriction. Another objective
of this book is to outline a very simple procedure to recover the non-minimum
phase of any electromagnetic system using amplitude-only data. This simple
procedure is based on the principle of causality which results in the Hilbert
transform relationship between the real and the imaginary parts of a transfer
function of any linear time invariant system. The philosophy of model order
reduction can also be implemented using the concepts of total least squares
along with the singular value decomposition. This makes the ill-posed decon-
volution problem quite stable numerically. Finally, it is shown how to
Preface xv
interpolate and extrapolate measured data including filling up the gap of miss-
ing measured near/far-field data.
The book contains ten chapters. In Chapter 1, the mathematical preliminaries
are described. In the mathematical field of numerical analysis, model order
reduction is the key to processing measured data. This also enables us to inter-
polate and extrapolate measured data. The philosophy of model order reduction
is outlined in this chapter along with the concepts of total least squares and sin-
gular value decomposition.
In Chapter 2, we present the matrix pencil method (MPM) which is a meth-
odology to approximate a given data set by a sum of complex exponentials. The
objective is to interpolate and extrapolate data and also to extract certain para-
meters so as to compress the data set. First the methodology is presented
followed by some application in electromagnetic system characterization.
The applications involve using this methodology to deembed device character-
istics and obtain accurate and high resolution characterization, enhance
network analyzer measurements when not enough physical bandwidth is
available for measurements, minimize unwanted reflections in antenna mea-
surements and, when performing system characterization in a non-anechoic
environment, to extract a single set of exponents representing the resonant
frequency of an object when data from multiple look angles are given and
compute directions of arrival estimation of signals along with their frequencies
of operation. This method can also be used to speed up the calculation of the
tails encountered in the evaluation of the Sommerfeld integrals and in multiple
target characterization in free space from the scattered data using their
characteristic external resonance which are popularly known as the singularity
expansion method (SEM) poles. References to other applications, including
multipath characterization of a propagating wave, characterization of the
quality of power systems, in waveform analysis and imaging and speeding up
computations in a time domain electromagnetic simulation. A computer
program implementing the matrix pencil method is given in the appendix so
that it can easily be implemented in practice.
In numerical analysis, interpolation is a method of estimating unknown data
within the range of known data from the available information. Extrapolation is
also the process of approximating unknown data outside the range of the known
available data. In Chapter 3, we are going to look at the concept of the Cauchy
method for the interpolation and extrapolation of both measured and numer-
ically simulated data. The Cauchy method can deal with extending the efficiency
of the moment method through frequency extrapolation. Interpolating results
for optical computations, generation of pass band using stop band data and vice
versa, efficient broadband device characterization, effect of noise on the perfor-
mance of the Cauchy method and for applications to extrapolating amplitude-
only data for the far-field or RCS interpolation/extrapolation. Using this
method to generate the non-minimum phase response from amplitude-only
xvi Preface
data, and adaptive interpolation for sparsely sampled data is also illustrated. In
addition, it has been applied to characterization of filters and extracting reso-
nant frequencies of objects using frequency domain data. Other applications
include non-destructive evaluation of fruit status of maturity and quality of fruit
juices, RCS applications and to multidimensional extrapolation. A computer
program implementing the Cauchy method has been provided in the Appendix
again for ease of understanding.
The previous two chapters discussed the parametric methods in the context
of the principle of analytic continuation and provided its relationship to reduced
rank modelling using the total least squares based singular value decomposition
methodology. The problem with a parametric method is that the quality of the
solution is determined by the choice of the basis functions and use of unsuitable
basis functions generate bad solutions. A priori it is quite difficult to recognize
what are good basis functions and what are bad basis functions even though
methodologies exist in theory on how to choose good ones. The advantage of
the nonparametric methods presented in Chapter 4 is that no such choices
of the basis functions need to be made as the solution procedure by itself devel-
ops the nature of the solution and no a priori information is necessary. This is
accomplished through the use of the Hilbert transform which exploits one of the
fundamental properties of nature and that is causality. The Hilbert transform
illustrates that the real and imaginary parts of any nonminimum phase transfer
function for a causal system satisfy this relationship. In addition, some parame-
trization can also be made of this procedure which can enable one to generate a
nonminimum phase function from its amplitude response and from that gen-
erate the phase response. This enables one to compute the time domain
response of the system using amplitude only data barring a time delay in the
response. This delay uncertainty is removed in holography as in such a proce-
dure an amplitude and phase information is measured for a specific look angle
thus eliminating the phase ambiguity. An overview of the technique along with
examples are presented to illustrate this methodology. The Hilbert transform
can also be used to speed up the spectral analysis of nonuniformly spaced data
samples. Therefore, in this section a novel least squares methodology is applied
to a finite data set using the principle of spectral estimation. This can be applied
for the analysis of the far-field pattern collected from unevenly spaced antennas.
The advantage of using a non-uniformly sampled data is that it is not necessary
to satisfy the Nyquist sampling criterion as long as the average value of the sam-
pling rate is less than the Nyquist rate. Accurate and efficient computation of
the spectrum using a least squares method applied to a finite unevenly spaced
data is also studied.
In Chapter 5, the source reconstruction method (SRM) is presented. It is a
recent technique developed for antenna diagnostics and for carrying out
near-field (NF) to far-field (FF) transformation. The SRM is based on the appli-
cation of the electromagnetic Equivalence Principle, in which one establishes an
Preface xvii
equivalent current distribution that radiates the same fields as the actual cur-
rents induced in the antenna under test (AUT). The knowledge of the equiva-
lent currents allows the determination of the antenna radiating elements, as well
as the prediction of the AUT-radiated fields outside the equivalent currents
domain. The unique feature of the novel methodology presented is that it
can resolve equivalent currents that are smaller than half a wavelength in size,
thus providing super-resolution. Furthermore, the measurement field samples
can be taken at spacing greater than half a wavelength, thus going beyond the
classical sampling criteria. These two distinctive features are possible due to the
choice of a model-based parameter estimation methodology where the
unknown sources are approximated by a basis in the computational Method
of Moment (MoM) context and, secondly, through the use of the analytic free
space Green’s function. The latter condition also guarantees the invertibility of
the electric field operator and provides a stable solution for the currents even
when evanescent waves are present in the measurements. In addition, the
use of the singular value decomposition in the solution of the matrix equations
provides the user with a quantitative tool to assess the quality and the quantity
of the measured data. Alternatively, the use of the iterative conjugate gradient
(CG) method in solving the ill-conditioned matrix equations for the equivalent
currents can also be implemented. Two different methods are presented in this
section. One that deals with the equivalent magnetic current and the second
that deals with the equivalent electric current. If the formulation is sound, then
either of the methodologies will provide the same far-field when using the same
near-field data. Examples are presented to illustrate the applicability and accu-
racy of the proposed methodology using either of the equivalent currents and
applied to experimental data. This methodology is then used for near-field to
near/far-field transformations for arbitrary near-field geometry to evaluate
the safe distance for commercial antennas.
In Chapter 6, a fast and accurate method is presented for computing far-field
antenna patterns from planar near-field measurements. The method utilizes
near-field data to determine equivalent magnetic current sources over a ficti-
tious planar surface that encompasses the antenna, and these currents are used
to ascertain the far fields. Under certain approximations, the currents should
produce the correct far fields in all regions in front of the antenna regardless
of the geometry over which the near-field measurements are made. An electric
field integral equation (EFIE) is developed to relate the near fields to the equiv-
alent magnetic currents. Method of moments (MOM) procedure is used to
transform the integral equation into a matrix one. The matrix equation is solved
using the iterative conjugate gradient method (CGM), and in the case of a rec-
tangular matrix, a least-squares solution can still be found using this approach
for the magnetic currents without explicitly computing the normal form of the
equations. Near-field to far-field transformation for planar scanning may be
efficiently performed under certain conditions by exploiting the block Toeplitz
xviii Preface
structure of the matrix and using the conjugate gradient method (CGM) and the
fast Fourier transform (FFT), thereby drastically reducing computation time
and storage requirements. Numerical results are presented for several antenna
configurations by extrapolating the far fields using synthetic and experimental
near-field data. It is also illustrated that a single moving probe can be replaced
by an array of probes to compute the equivalent magnetic currents on the
surface enclosing the AUT in a single snapshot rather than tediously moving
a single probe over the antenna under test to measure its near-fields. It is
demonstrated that in this methodology a probe correction even when using
an array of dipole probes is not necessary. The accuracy of this methodology
is studied as a function of the size of the equivalent surface placed in front of
the antenna under test and the error in the estimation of the far-field along with
the possibility of using a rectangular probe array which can efficiently and accu-
rately provide the patterns in the principal planes. This can also be used when
amplitude-only data are collected using an array of probes. Finally, it is shown
that the probe correction can be useful when the size of the probes is that of a
resonant antenna and it is shown then how to carry it out.
In Chapter 7, two methods for spherical near-field to far-field transformation
are presented. The first methodology is an exact explicit analytical formulation
for transforming near-field data generated over a spherical surface to the far-
field radiation pattern. The results are validated with experimental data.
A computer program involving this method is provided at the end of the chap-
ter. The second method presents the equivalent source formulation through the
SRM described earlier so that it can be deployed to the spherical scanning case
where one component of the field is missing from the measurements. Again the
methodology is validated using other techniques and also with experimen-
tal data.
Two deconvolution techniques are presented in Chapter 8 to illustrate how
the ill-posed deconvolution problem has been regularized. Depending on the
nature of the regularization utilized which is based on the given data one can
obtain a reasonably good approximate solution. The two techniques presented
here have built in self-regularizing schemes. This implies that the regularization
process, which depends highly on the data, can be automated as the solution
procedure continues. The first method is based on solving the ill-posed decon-
volution problem by the iterative conjugate gradient method. The second
method uses the method of total least squares implemented through the singu-
lar value decomposition (SVD) technique. The methods have been applied to
measured data to illustrate the nature of their performance.
Chapter 9 discusses the use of the Chebyshev polynomials for approximating
functional variations arising in electromagnetics as it has some band-limited
properties not available in other polynomials. Next, the Cauchy method based
on Gegenbauer polynomials for antenna near-field extrapolation and the far-
field estimation is illustrated. Due to various physical limitations, there are often
Preface xix
missing gaps in the antenna near-field measurements. However, the missing

data is indispensable if we want to accurately evaluate the complete far-field pat-
tern by using the near-field to far-field transformations. To address this prob-
lem, an extrapolation method based on the Cauchy method is proposed to
reconstruct the missing part of the antenna near-field measurements. As the
near-field data in this section are obtained on a spherical measurement surface,
the far field of the antenna is calculated by the spherical near-field to far-field
transformation with the extrapolated data. Some numerical results are given to
demonstrate the applicability of the proposed scheme in antenna near-field
extrapolation and far-field estimation. In addition, the performance of the
Gegenbauer polynomials are compared with that of the normal Cauchy method
using Polynomial expansion and the Matrix Pencil Method for using simulated
missing near-field data from a parabolic reflector antenna.
Typically, antenna pattern measurements are carried out in an anechoic
chamber. However, a good anechoic chamber is very expensive to construct.
Previous researches have attempted to compensate for the effects of extraneous
fields measured in a non-anechoic environment to obtain a free space radiation
pattern that would be measured in an anechoic chamber. Chapter 10 illustrates
a deconvolution methodology which allows the antenna measurement under a
non-anechoic test environment and retrieves the free space radiation pattern of
an antenna through this measured data; thus allowing for easier and more
affordable antenna measurements. This is obtained by modelling the extrane-
ous fields as the system impulse response of the test environment and utilizing a
reference antenna to extract the impulse response of the environment which is
used to remove the extraneous fields for a desired antenna measured under the
same environment and retrieve the ideal pattern. The advantage of this process
is that it does not require calculating the time delay to gate out the reflections;
therefore, it is independent of the bandwidth of the antenna and the measure-
ment system, and there is no requirement for prior knowledge of the test
environment.
This book is intended for engineers, researchers and educators who are pla-
nning to work in the field of electromagnetic system characterization and also
deal with their measurement techniques and philosophy. The prerequisite to
follow the materials of the book is a basic undergraduate course in the area
of dynamic electromagnetic theory including antenna theory and linear algebra.
Every attempt has been made to guarantee the accuracy of the content of the
book. We would however appreciate readers bringing to our attention any
errors that may have appeared in the final version. Errors and/or any comments
may be emailed to one of the authors, at salazar@tsc.uc3m.es, mingda.zhu@live.
com, hchen43@syr.edu.
xxi
Acknowledgments
Grateful acknowledgement is made to Prof. Pramod Varshney, Mr. Peter Zaeh-

ringer and Ms. Marilyn Polosky of the CASE Center of Syracuse University for
providing facilities to make this book possible. Thanks are also due to Prof. Jae
Oh, Ms. Laura Lawson and Ms. Rebecca Noble of the Department of Electrical
Engineering and Computer Science of Syracuse University for providing addi-
tional support. Thanks to Michael James Rice, Systems administrator for the
College of Engineering and Computer Science for providing information tech-
nology support in preparing the manuscript. Also thanks are due to Mr. Brett
Kurzman for patiently waiting for us to finish the book.
Tapan K. Sarkar
Magdalena Salazar Palma (salazar@tsc.uc3m.es)
Ming-da Zhu (mingda.zhu@live.com)
Heng Chen (hchen43@syr.edu)
Syracuse, New York
xxiii
Tribute to Tapan K. Sarkar

by Magdalena Salazar Palma, Ming Da Zhu, and Heng Chen
Professor Tapan K. Sarkar, PhD, passed
away on 12 March 2021. The review of the
proofs of this book is probably the last task
he was able to accomplish. Thus, for us, his
coauthors, this book will be always cherished
and valued as his last gift to the scientific
community.
Dr. Sarkar was born in Kolkata, India, in
August 1948. He obtained his Bachelor of
Technology (BT) degree from the Indian
Institute of Technology (IIT), Kharagpur,
India, in 1969, the Master of Science in Engi-
neering (MSCE) degree from the University
of New Brunswick, Fredericton, NB, Canada,
in 1971, and the Master of Science (MS) and
Doctoral (PhD) degrees from Syracuse Uni-
versity, Syracuse, NY, USA, in 1975. He joined
the faculty of the Electrical Engineering and Computer Science Department at
Syracuse University in 1979 and became Full Professor in 1985. Prior to that, he
was with the Technical Appliance Corporation (TACO) Division of the General
Instruments Corporation (1975–1976). He was also a Research Fellow at the
Gordon McKay Laboratory for Applied Sciences, Harvard University, Cam-
bridge, MA, USA (1977–1978), and was faculty member at the Rochester Insti-
tute of Technology, Rochester, NY, USA (1976–1985). Professor Sarkar
received the Doctor Honoris Causa degree from Université Blaise Pascal, Cler-
mont Ferrand, France (1998), from Polytechnic University of Madrid, Madrid,
Spain (2004), and from Aalto University, Helsinki, Finland (2012). He was now
emeritus professor at Syracuse University. Professor Sarkar was a professional
engineer registered in New York, USA, and the president of OHRN Enterprises,
Inc., a small business founded in 1986 and incorporated in the State of New
York, USA, performing research for government, private, and foreign organiza-
tions in system analysis.
xxiv Tribute to Tapan K. Sarkar – Magdalena Salazar Palma, Ming Da Zhu, and Heng Chen
Dr. Sarkar was a giant in the field of electromagnetics, a phenomenal

researcher and teacher who also provided an invaluable service to the scientific
community in so many aspects.
Dr. Sarkar research interests focused on numerical solutions to operator
equations arising in electromagnetics and signal processing with application
to electromagnetic systems analysis and design and with particular attention
to building solutions that would be appropriate and scalable for practical adop-
tion by industry. Among his many contributions together with his students and
coworkers, it may be mentioned the development of the generalized pencil-of-
function (GPOF) method, also known as matrix pencil method, for signal esti-
mation with complex exponentials. Based on Dr. Sarkar group’s work on the
original pencil-of-function method, the technique is used in electromagnetic
analyses of layered structures, antenna analysis, and radar signal processing.
He is also coauthor of the general purpose electromagnetic solver HOBBIES
(Higher Order Basis Based Integral Equation Solver). The list of Professor Sar-
kar’s original and substantive contributions to the field of computational elec-
tromagnetics and antenna theory is quite long. Just to name a few, these include
methods of evaluating the Sommerfeld integrals, the already mentioned matrix
pencil method for approximating a function by a sum of complex exponentials,
the conjugate gradient method and fast Fourier transform method for the effi-
cient numerical solution of integral equations having convolutional kernels, the
introduction of higher order basis functions in the numerical solution of inte-
gral equations using the method of moments, the solution of time domain pro-
blems using the associated Laguerre functions as basis functions, the application
of the Cauchy method to the generation of accurate broadband information
from narrowband data, broadband antenna design and analysis, and near-field
to far-field transformation, and many more. Dr. Sarkar’s work has modernized
many systems that include wireless signal propagation, has made possible the
design of antennas considering the effects of the platforms where they are
deployed for the current and next generations of airborne surveillance system,
and has developed adaptive methodologies that made performance of adaptive
systems possible in real time. His advanced computational techniques have
been implemented for parallel processing on super computers for fast and effi-
cient solution of extremely large electromagnetic field problems. He has also
developed antenna systems and processing for ultrawideband applications.
He applied photoconductive switching techniques for generation of kilovolts
amplitude electrical pulses of subnanosecond duration with applications in
many fields including low probability intercept radar systems. It is remarkable
that Dr. Sarkar has been able to keep innovating for such a sustained period of
time throughout his career. Professor Sarkar has authored or coauthored more
than 380 journal articles, innumerable contributions for conferences and sym-
posia, 16 books and 32 book chapters, with 24 549 citations and h-index of 74
(Google Scholar). In the past, he was listed among the ISI Highly Cited
Tribute to Tapan K. Sarkar – Magdalena Salazar Palma, Ming Da Zhu, and Heng Chen xxv
Researchers and in Guide 2 Research, Top H-index for Antennas and Propaga-
tion. He was the principal investigator of numerous research projects and con-
tracts (some of them of multimillion USD), including setting up a parallel
supercomputer center at NAVAIR (Naval Air Systems Command), USA. He
worked also for foreign governmental organizations and institutions.
His research received a number of awards and recognitions: the Best Solution
Award at the Rome Air Development Center (RADC) Spectral Estimation
Workshop, May 1971, the Best Paper Award, IEEE Transactions on Electromag-
netic Compatibility, October 1979, the College of Engineering Research Award,
Syracuse University, 1996, the Best Paper Award, National Radar Conference,
1997, the Chancellor’s Citation for Excellence in Research, Syracuse University,
1998. In 1992, he was elevated to IEEE Fellow, “for contributions to iterative
solutions of numerical models in electromagnetic theory.” As mentioned
before, he received three Honorary Doctorate degrees from three European
Universities. He also received the medal of the Friend of the City of Cler-
mont-Ferrand, Clermont-Ferrand, France, in 2000. He was the 2020 recipient
of the IEEE Electromagnetics Award, the highest technical recognition by IEEE
in the field of electromagnetics, “for contributions to the efficient and accurate
solution of computational electromagnetic problems in frequency and time
domain, and for research in adaptive antennas.”
Dr. Sarkar had a strong background in mathematics and physics, which gave
him the ability to address any topic in the field with an original, unique, but
always scientifically sound point of view. He had the ability to make complex
problems, easy, and to draw practical conclusions. He admired, recognized,
and respected the pioneers in our field but also the many individuals whose con-
tributions made the body of electromagnetics. As mentioned before, recently,
he was selected as the 2020 IEEE Electromagnetics Award recipient, a recogni-
tion that made him happy and humble.
Dr. Sarkar had a passion to learn. One of his mottos coming from Sri Ramak-
rishna was “As long as I live, so long do I learn.” He exemplified it all along his
life. He was constantly reading. And he was passionate about teaching others,
starting with his students, both during his lessons and his weekly research meet-
ings, which he conducted in a strong way asking hard work and dedication from
his students, but at the same time offering insight on possible new approaches.
He has advised students and postdocs from all over the world, who in many
cases are now professors themselves in their countries of origin. He established
collaborations with many of them and whenever possible he will visit them and
their families.
Dr. Sarkar imposing scientific and physical stature, loud voice (no micro-
phone needed!), were proverbial in the Applied Electromagnetics and Antennas
and Propagation scientific community. Many of his students and colleagues
have experienced also his generosity and kindness, which complemented his
personality. He took a personal interest on daily-life aspects of his students,
xxvi Tribute to Tapan K. Sarkar – Magdalena Salazar Palma, Ming Da Zhu, and Heng Chen
postdocs, and invited scholars and engineers, always going the extra mile
for them.
It should be mentioned here that writing books, which compiled Dr. Sarkar’s
team research results on a given topic, is also a consequence of his generosity.
He tried to facilitate the learning process of researchers by offering them the
opportunity of finding all the necessary information in just one place, together
in many cases with the relevant software. He was never scared of the tiring and
time-consuming effort that writing a book or a book contribution implies. He
will also negotiate with the editor the lowest possible price of the book.
Dr. Sarkar impact goes far beyond his scientific achievements and his work as
teacher and research advisor. He was passionate about serving the scientific
community. He devoted a huge amount of his time to The Institute of Electrical
and Electronics Engineers (IEEE), and the IEEE Technical Societies relevant to
him, mainly the Antennas and Propagation Society (AP-S). Besides serving as
reviewer for many journals, he was associate editor of several of them. He
was also AP-S Administrative Committee (AdCom) member, AP-S President,
AP-S distinguished lecturer, chair of AP-S Membership and Geographic Activ-
ities (MGA) committee, chair of the AP-S Special Interest Group on Human-
itarian Technologies (SIGHT), AP-S AdCom Honorary member, and other
positions. He also served as member of the IEEE Technical Activities Board
(TAB), and some of its committees, member of IEEE Fellow Committee and
other IEEE committees. More recently, he was elected as IEEE Vice President
for Publications Services and Products, and Chair of IEEE Publications Services
and Products Board (PSPB). Many of these positions were elected positions, tes-
tament to his credibility and the immense respect in which the IEEE, AP-S, and
scientific community held him. His tenacious character served IEEE well. Once
he was convinced a change was needed, he would “fight” until the end in order to
achieve the intended goals. Dr. Sarkar was the driving force behind the creation
of several new AP-S publications and other journals in cooperation between
AP-S and other IEEE Technical Societies. He also had a key influence in expand-
ing the international reach of AP-S and its activities, through tireless visits and
meetings around the globe, organizing events, and generating substantial
growth of the AP-S membership and the AP-S local chapters over the past
few years. Professor Sarkar also had a major role in strengthening and support-
ing two international conferences sponsored by the AP-S. He also held numer-
ous leadership and editorial positions in other organizations, e.g. he was on the
board of directors of the Applied Computational Electromagnetics Society
(ACES) and was later the vice president of ACES. As mentioned before, Profes-
sor Sarkar was elected as 2020 IEEE Vice President for Publications Services and
Products, IEEE Director, and IEEE Board of Directors member. He was full of
energy and enthusiasm to continue to contribute to the improvement of IEEE
and its service to Humanity and he started as soon as the election results were
Tribute to Tapan K. Sarkar – Magdalena Salazar Palma, Ming Da Zhu, and Heng Chen xxvii
communicated in November 2019. Sadly, from April 2020, he was unable to

continue his work because of his health condition.
Dr. Sarkar’s kindness and genuine soft-heartedness – often expressed in the
most outspoken and emphatic ways – will never be forgotten. His technical
accomplishments are numerous and are what he is most well known for in
our scientific community. He had passion and dedication for pursuing his
visions for the advancement of science in our field and for building bridges
between our technical know-how and societally impactful applications. He
made many enormous positive impacts not only on the technical societies in
which he was member but also on so many of us as individuals. He was a good
friend who would support you without any fear while also giving you his opinion
even in a strong way when needed. His energy was contagious. He recognized
that leadership is most effective when building by consensus: through talking,
listening, and being willing to adjust course when called for. He was one of the
key leaders of the AP-S and promoted a global mindset, paving the way for sub-
stantial and unprecedented global reach for the AP-S. He facilitated the creation
of chapters, meetings, and conferences across the world; he visited and recruited
members from all corners of the Earth. He was generous with his time and his
ideas; he was also one of the most effective advocates (and implementers) of
diversity, equity, and inclusion in our community. He was supportive of good
ideas, seeking them wherever and from whomever they originated. He would
energetically recruit you to implement those ideas regardless of whether you
were a student or a decorated senior colleague. He will be missed, but his con-
tributions will endure.
It is also proverbial among those who knew Professor Sarkar well his love for
history, archeology, nature, botany, wild life, and animals in general. The world
was too small for him. He travelled as much as he could, always learning from
different cultures, making new friends, visiting old ones. Colleagues who had the
chance to travel with him enjoyed immensely his enthusiasm, lively conversa-
tion, and eagerness to explore new places and people, and the warm welcome of
his hosts.
He dearly loved his family enjoying immensely his trips back to Kolkata and
other Indian cities. He had many pets (dogs, a variety of birds) and a terrace
garden that he always enjoyed and personally contributed to improve.
Dr. Sarkar was the best of friends for his colleagues, coworkers, local Bengali
community members, and students, always interested in any aspect of their life.
At times, he did not speak much, but he will show his kindness and friendship in
so many other ways.
It is incredibly difficult to accept Dr. Sarkar’s departure for those of us who
knew him well and loved and respected him as a friend, a colleague, a mentor,
and a leader.
xxviii Tribute to Tapan K. Sarkar – Magdalena Salazar Palma, Ming Da Zhu, and Heng Chen
These words are intended as a tribute to Dr. Sarkar and as a thank-you note to
him for everything he gave us: his invaluable scientific contributions, his men-
torship, his leadership, and his friendship!!! He will be missed most dearly…
Magdalena Salazar Palma

Ming Da Zhu
Heng Chen
1
Mathematical Principles Related to Modern

System Analysis
Summary
In the mathematical field of numerical analysis, model order reduction is the key
to processing measured data. This also enables us to interpolate and extrapolate
measured data. The philosophy of model order reduction is outlined in this
chapter along with the concepts of total least squares and singular value
decomposition.
1.1 Introduction
In mathematical physics many problems are characterized by a second order
partial differential equation for a function as
Αuxx + 2Βuxy + Cuyy + Dux + Εuy + F = f x, y , 11
and u(x, y) is the function to be solved for a given excitation f (x, y), where
uxx = ∂ 2 u ∂x2 ;
uxy = ∂ 2 u ∂x ∂y ;
uyy = ∂ 2 u ∂y2 ;
ux = ∂u ∂x; 12
uy = ∂u ∂y
When Β2 − AC < 0 and assuming uxy = uyx, then (1.1) is called an elliptic partial
differential equation. These classes of problems arise in the solution of boundary
value problems. In this case, the solution u(x, y) is known only over a boundary {or
equivalently a contour B(x, y)} and the goal is to continue the given solution u(x, y)
from the boundary to the entire region of the real plane ℜ(x, y).
Modern Characterization of Electromagnetic Systems and Its Associated Metrology, First Edition.
Tapan K. Sarkar, Magdalena Salazar-Palma, Ming Da Zhu, and Heng Chen.
© 2021 John Wiley & Sons, Inc. Published 2021 by John Wiley & Sons, Inc.
2 1 Mathematical Principles Related to Modern System Analysis
When B2 − AC = 0 we obtain a parabolic partial differential equation for (1.1),

which arises in the solution of the diffusion equation or an acoustic propagation
in the ocean. Such applications are characterized by the term initial value
problems. The solution is given for the initial condition u(x, y = 0) and the goal
is to find the solution u(x, y) for all values of x and y.
Finally when Β2 − AC > 0, we obtain a hyperbolic partial differential equation.
This type of equation arises from the solution of the wave equation. The
characteristic of the wave equation is that if a disturbance is made in the initial
data, then not every point of space feels the disturbance at once. The
disturbance has a finite propagation speed. This feature makes it distinct from
the elliptic and parabolic partial differential equations when a disturbance of the
initial data is felt at once by all points in the domain. Even though these
equations have significantly different mathematical properties, the solution
methodology, just like for every numerical method in solution of an operator
equation, is essentially the same, by exploiting the principle of analytic
continuation.
The solution u of these equations is made in a straight forward fashion by
assuming: it to be of the form
u x, y = αi ϕi x, y , 13
i
where ϕi(x, y) are some known basis functions; and the final solution is to be
composed of these functions multiplied by some constants αi which are the
unknowns to be determined using the specific given boundary conditions.
The solution procedure then translates the solution of a functional equation
to the solution of a matrix equation, the solution of these unknown constants
is much easier to address. The methodology starts by substituting (1.3) into (1.1)
and then solving for the unknown coefficients αi from the boundary conditions
for the problem if the equations are in the differential form or by integrating if it
is an integral equation. Then once the unknown coefficients αi are determined,
the general solution for the problem can be obtained using (1.3).
A question that is now raised is: what is the optimum way to choose the
known basis functions ϕi as the quality of the final solution depends on the
choice of ϕi? It is well known in the numerical community that the best choices
of the basis functions are the eigenfunctions of the operator that characterizes
the system. Since in most examples one is dealing with a real life system, then
the operators, in general, are linear time invariant (LTI) and have a bounded
input and bounded output (BIBO) response resulting in a second-order differ-
ential equation, which is the case for Maxwell’s equations. In the general case,
the eigenfunctions of these operators are the complex exponentials, and in the
transformed domain, they form a ratio of two rational polynomials. Therefore,
our goal is to fit the given data for a LTI system either by a sum of complex
exponentials or in the transformed domain approximate it by a ratio of

polynomials. Next, it is illustrated how the eigenfunctions are used through a
bias-variance tradeoff in reduced rank modelling [1, 2].
1.2 Reduced-Rank Modelling: Bias Versus

Variance Tradeoff
An important problem in statistical processing of waveforms is that of feature
selection, which refers to a transformation whereby a data space is transformed
into a feature space that, in theory, has exactly the same dimensions as that of the
original space [2]. However, in practical problems, it may be desirable and often
necessary to design a transformation in such a way that the data vector can be
represented by a reduced number of “effective” features and yet retain most of
the intrinsic information content of the input data. In other words, the data
vector undergoes a dimensionality reduction [1, 2]. Here, the same principle
is applied by attempting to fit an infinite-dimensional space given by (1.3) to
a finite-dimensional space of dimension p.
An important problem in this estimation of the proper rank is very important.
First if the rank is underestimated then a unique solution is not possible. If on the
other hand the estimated rank is too large the system equations involved in the
parameter estimation problem can become very ill-conditioned, leading to
inaccurate or completely erroneous results if straight forward LU-decomposition
is used to solve for the parameters. Since, it is rarely a “crisp” number that
evolves from the solution procedure determining the proper rank requires
some analysis of the data and its effective noise level. An approach that uses
eigenvalue analysis and singular value decomposition for estimating the effec-
tive rank of given data is outlined here.
As an example, consider an M-dimensional data vector u(n) representing a
particular realization of a wide-sense stationary process. (Stationarity refers
to time invariance of some, or, all of the statistics of a random process, such
as mean, autocorrelation, nth-order distribution. A random process X(t) [or
X(n)] is said to be strict sense stationary (SSS) if all its finite order distributions
are time invariant, i.e., the joint cumulative density functions (cdfs), or proba-
bility density functions (pdfs), of X(t1), X(t2), …, X(tk) and X(t1+ τ), X(t2 + τ), …, X
(tk + τ) are the same for all k, all t1, t2, …, tk, and all time shifts τ. So for a SSS
process, the first-order distribution is independent of t, and the second-order
distribution — the distribution of any two samples X(t1) and X(t2) — depends
only on τ = t2 − t1 To see this, note that from the definition of stationarity, for
any t, the joint distribution of X(t1) and X(t2) is the same as the joint distribution
of X{t–1 + (t − t1)} = X(t) and X{t2 + (t − t1)} = X{t + (t2 – t)}. An independent and
identically distributed (IID) random processes are SSS. A random walk and
Poisson processes are not SSS. The Gauss-Markov process (as we defined it) is
not SSS. However, if we set X1 to the steady state distribution of Xn, it becomes
SSS. A random process X(t) is said to be wide-sense stationary (WSS) if its mean,
i.e., ε (X(t)) = μ, is independent of t, and its autocorrelation functions RX(t1, t2) is
a function only of the time difference t2 − t1 and are time invariant. Also ε [X(t)2]
< ∞ (technical condition) is necessary, where ε represents the expected value in
a statistical sense. Since RX(t1, t2) = RX(t2, t1), for any wide sense stationary
process X(t), RX(t1, t2) is a function only of |t2 – t1|. Clearly a SSS implies a
WSS. The converse is not necessarily true. The necessary and sufficient condi-
tions for a function to be an autocorrelation function for a WSS process is that
it be real, even, and nonnegative definite By nonnegative definite we mean that for
any n, any t1, t2, …, tn and any real vector a = (a1, …, an), and X(n); aiajR(ti − tj) ≥ 0.
The power spectral density (psd) SX( f ) of a WSS random process X(t) is the Four-
∞
ier transform of RX(τ), i.e., SX(f ) = ℑ{RX(τ)} = RX τ exp − j 2 π τ dτ .
−∞
For a discrete time process Xn, the power spectral density is the discrete-time
∞
Fourier transform (DTFT) of the sequence RX(n): SX( f ) = RX n
n= −∞
exp − j 2 π n f . Therefore RX(τ) (or RX(n)) can be recovered from SX( f ) by
taking the inverse Fourier transform or inverse DTFT.
In summary, WSS is a less restrictive stationary process and uses a somewhat
weaker type of stationarity. It is based on requiring the mean to be a constant in
time and the covariance sequence to depend only on the separation in time
between the two samples. The final goal in model order reduction of a WSS
is to transform the M-dimensional vector to a p-dimensional vector, where
p < M. This transformation is carried out using the Karhunen-Loeve expansion
[2]. The data vector is expanded in terms of qi, the eigenvectors of the
correlation matrix [R], defined by
R = ε u n uH n 14
and the superscript H represents the conjugate transpose of u(n). Therefore, one
obtains
M
un = ci n q i 15
i=1
so that
R q i = λi q i , 16
where {λi} are the eigenvalues of the correlation matrix, {qi} represent the
eigenvectors of the matrix R, and {ci(n)} are the coefficients defined by
i u n for i = 1, 2, …, M
ci n = qH 17
To obtain a reduced rank approximation u n of u(n), one needs to write

p
un = ci n qi 18
i=1
where p < M. The reconstruction error Ξ is then defined as

M
Ξ n = u n −u n = λi 19
i=p+1
Hence the approximation will be good if the remaining eigenvalues λp + 1, …λM

are all very small.
Now to illustrate the implications of a low rank model [2], consider that the
data vector u(n) is corrupted by the noise v(n). Then the data y(n) is
represented by
y n =u n +v n 1 10
Since the data and the noise are uncorrelated,
ε u n νΗ n = 0 and ε ν n νΗ n = σ2 Ι , 1 11
where [0] and [Ι] are the null and identity matrices, respectively, and the
variance of the noise at each element is σ 2. The mean squared error now in a
noisy environment is
2 M 2
Ξo = ε y n −u n =ε ν n νΗ n = vn = Mσ 2
i=1
1 12
Now to make a low-rank approximation in a noisy environment, define the
approximated data vector by
p
r n =u n +ν n = ci n q i + νi n 1 13
i=1
In this case, the reconstruction error for the reduced-rank model is given by
2 M
Ξrr = ε r n −u n = λi + p σ 2 1 14
i=p+1
This equation implies that the mean squared error Ξrr in the low-rank approx-
imation is smaller than the mean squared error Ξo to the original data vector
without any approximation, if the first term in the summation is small. So
low-rank modelling provides some advantages provided
M
λi < M − p σ 2 , 1 15
i=p+1
which illustrates the result of a bias-variance trade off. In particular, it illustrates

that using a low-rank model for representing the data vector u(n) incurs a bias
through the p terms of the basis vector. Interestingly enough, introducing this
bias is done knowingly in return for a reduction in variance, namely the part of
the mean squared error due to the additive noise vector v(n). This illustrates
that the motivation for using a simpler model that may not exactly match
the underlying physics responsible for generating the data vector u(n),
hence the bias, but the model is less susceptible to noise, hence a reduction in
variance [1, 2].
We now use this principle in the interpolation/extrapolation of various sys-
tem responses. Since the data are from a linear time invariant (LTI) system that
has a bounded input and a bounded output and satisfy a second-order partial
differential equation, the associated time-domain eigenvectors are sums of
complex exponentials and in the transformed frequency domain are ratios of
two polynomials. As discussed, these eigenvectors form the optimal basis in
representing the given data and hence can also be used for interpolation/extrap-
olation of a given data set. Consequently, we will use either of these two models
to fit the data as seems appropriate. To this effect, we present the Matrix Pencil
Method (MP) which approximates the data by a sum of complex exponentials
and in the transformed domain by the Cauchy Method (CM) which fits the
data by a ratio of two rational polynomials. In applying these two techniques
it is necessary to be familiar two other topics which are the singular value
decomposition and the total least squares which are discussed next.
1.3 An Introduction to Singular Value Decomposition

(SVD) and the Theory of Total Least Squares (TLS)
1.3.1 Singular Value Decomposition
As has been described in [https://davetang.org/file/Singular_Value_Decompo-
sition_Tutorial.pdf] “Singular value decomposition (SVD) can be looked at from
three mutually compatible points of view. On the one hand, we can see it as a
method for transforming correlated variables into a set of uncorrelated ones that
better expose the various relationships among the original data items. At the
same time, SVD is a method for identifying and ordering the dimensions along
which data points exhibit the most variation. This ties in to the third way of
viewing SVD, which is that once we have identified where the most variation
is, it’s possible to find the best approximation of the original data points using
fewer dimensions. Hence, SVD can be seen as a method for data reduction.
We shall illustrate this last point with an example later on.
First, we will introduce a critical component in solving a Total Least Squares
problem called the Singular Value Decomposition (SVD). The singular value
decomposition is one of the most important concepts in linear algebra [2].
1.3 An Introduction to Singular Value Decomposition (SVD) and the Theory of Total Least Squares (TLS) 7
To start, we first need to understand what eigenvectors and eigenvalues are as

related to a dynamic system. If we multiply a vector x by a matrix [A], we will get
a new vector, Ax. The next equation shows the simple equation relating a matrix
[A] and an eigenvector x to an eigenvalue λ (just a number) and the original x.
Ax = λx 1 16
[A] is assumed to be a square matrix, x is the eigenvector, and λ is a value called
the eigenvalue. Normally when any vector x is multiplied by any matrix [A] a
new vector results with components pointing in different directions than the
original x. However, eigenvectors are special vectors that come out in the same
direction even after they are multiplied by the matrix [A]. From (1.16) we can
see that when one multiplies an eigenvector by [A], the new vector Ax is just the
eigenvalue λ times the original x. This eigenvalue determines whether the vector
x is shrunk, stretched, reversed, or unchanged. Eigenvectors and eigenvalues
play crucial roles in linear algebra ranging from simplifying matrix algebra such
as taking the 500th power of [A] to solving differential equations. To take the
500th power of [A], one only needs to find the eigenvalues and eigenvectors
of [A] and take the 500th power of the eigenvalues. The eigenvectors will not
change direction and the multiplication of the 500th power of the eigenvalues
and the eigenvectors will result in [A]500. As we will see in later sections, the
eigenvalues can also provide important parameters of a system transfer function
such as the poles.
One way to characterize and extract the eigenvalues of a matrix [A] is to
diagonalize it. Diagonalizing a matrix not only provides a quick way to extract
eigenvalues but important parameters such as the rank and dimension of a
matrix can be found easily once a matrix is diagonalized. To diagonalize matrix
[A], the eigenvalues of [A] must first be placed in a diagonal matrix, [Λ]. This is
completed by forming an eigenvector matrix [S] with the eigenvectors of [A] put
into the columns of [S] and multiplying as such
λ1
−1
S A S = Λ = 1 17
λn
(1.17) can now be rearranged and [A] can also be written as

−1
A = S Λ S 1 18
We start to encounter problems when matrices are not only square but also rec-
tangular. Previously we assumed that [A] was an n by n square matrix. Now we
will assume [A] is any m by n rectangular matrix. We would still like to simplify
the matrix or “diagonalize” it but using [S]─1[A][S] is no longer ideal for a few
reasons; the eigenvectors of [S] are not always orthogonal, there are sometimes
not enough eigenvectors, and using A x = λ x requires [A] to be a square matrix.
However, this problem can be solved with the singular value decomposition but
of course at a cost. The SVD of [A] results in the following
σ1
T
A m×n = U Σ V = u1 ur v1 vr
m×r σr r×r n×r
1 19
where m is the number of rows of [A], n is the number of columns of [A], and r is
the rank of [A]. The SVD of [A], which can now be rectangular or square, will
have two sets of singular vectors, u’s and v’s. The u’s are the eigenvectors of [A]
[A]∗ and the v’s are the eigenvectors of [A]T[A]. [U] and [V] are also unitary
matrices which means that [U]∗[U] =[I] and [V]∗[V] = [I]. In other words, they
are orthogonal where ∗ denoted complex conjugate transpose. The σ’s are the
singular values which also so happen to be the square roots of the eigenvalues
of both [A][A]∗ and [A]∗[A]. We are not totally finished however because [U] and
[V] are not square matrices. While (1.19) is the diagonalization of [A], the matrix
equation is technically not valid since we cannot multiply these rectangular
matrices of different sizes. To make them square we will need n – r more v’s
and m – r more u’s. We can get these required u’s and v’s from the nullspace
N(A) and the left nullspace N(A). Once the new u’s and v’s are added, the matri-
ces are square and [A] will still equal [U][Σ][V]T. The true SVD of [A] will now be
T
A m×n = U Σ V =
σ1
u1 ur um v1 vr vn
σr
m×m 0 m×n
n×n
1 20
The new singular value matrix [Σ] is the same matrix as the old r × r matrix but with
m – r new rows of zero and n – r columns of new zero added. The theory of total
least squares (TLS) heavily utilizes the SVD as will be seen in the next section.
As an example consider the letter X. We now discretize the image on a 20×20
grid as seen in Figure 1.1. We place a 1 where there is no portion of the letter X
and a zero where there is some portion of the letter. This results in the following
matrix (1.21) representing the letter X digitally on a 20×20 grid of the matrix A.
Now if we ask the question “What is the information content in the matrix X
consisting of 1’s and 0’s? Clearly one would not require 20×20 = 400 pieces of
information to represent X in (1.21) as there is a lot of redundancy in the system.
This is where the SVD comes in and addresses this issue in quite a satisfactory
way. If one performs a SVD of the matrix A given by (1.21), one will find that
diagonal matrix in (1.20) has a lot of zero entries. In fact only seven of the
singular values are not close to zero as presented in Table 1.1. This implies that
Original Image
20 1
18 0.9
16 0.8
14 0.7
0.6
12
0.5
10
0.4
8
0.3
6
0.2
4
0.1
2
0
2 4 6 8 10 12 14 16 18 20
Figure 1.1 Discretization of the letter X on a 20×20 grid.
Table 1.1 List of all the singular values of the matrix A.
16.9798798959208
4.57981833410903
3.55675452579199
2.11591593148044
1.74248432449203
1.43326538670857
0.700598651862344
8.40316310453450×10–16
2.67120960711993×10–16
1.98439889201509×10–16
1.14953653060279×10–16
4.74795444425376×10–17
1.98894713470634×10–17
1.64625309682086×10–18
5.03269559457945×10–32
1.17624286081108×10–32
4.98861204114981e×10–33
4.16133005156854×10–49
1.35279056788548×10–80
1.24082758075064×10–112
the information content of the picture in Figure 1.1 is small. The SVD can also
be used to reconstruct the original data matrix with reduced information with-
out sacrificing any accuracy.
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
1 1 1 0 0 0 1 1 1 1 1 1 1 1 0 0 0 1 1 1
1 1 1 1 0 0 0 1 1 1 1 1 1 0 0 0 1 1 1 1
1 1 1 1 1 0 0 0 1 1 1 1 0 0 0 1 1 1 1 1
1 1 1 1 1 1 0 0 0 1 1 0 0 0 1 1 1 1 1 1
1 1 1 1 1 1 1 0 0 0 0 0 0 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 0 0 0 0 1 1 1 1 1 1 1 1
A = 1 21
1 1 1 1 1 1 1 1 0 0 0 0 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 0 0 0 0 0 0 1 1 1 1 1 1 1
1 1 1 1 1 1 0 0 0 1 1 0 0 0 1 1 1 1 1 1
1 1 1 1 1 0 0 0 1 1 1 1 0 0 0 1 1 1 1 1
1 1 1 1 0 0 0 1 1 1 1 1 1 0 0 0 1 1 1 1
1 1 1 0 0 0 1 1 1 1 1 1 1 1 0 0 0 1 1 1
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1
To illustrate the point, we now perform a rank-1 approximation for the matrix
and we will require
A ≈ U 1 σ 1 V ∗1 1 22
where U1 is a column matrix of size 20×1 and so is V1. The rank one approx-
imation of A is seen in Figure 1.2.
The advantage of the SVD is that an error in the reconstruction of the image
can be predicted without actually knowing the actual solution. This is accom-
plished by looking at the second largest singular value. The result is not good
and we did not expect it to be. So now if we perform a Rank-2 reconstruction
for the image, it will be given by
A ≈ σ 1 U 1 V ∗1 + σ 2 U 2 V ∗2 1 23
Rank 1 Approximation
20
18 1.1
16
1
14
12
0.9
10
8 0.8
6
0.7
4
2
0.6
2 4 6 8 10 12 14 16 18 20
Figure 1.2 Rank-1 approximation of the image X.
where now two of the right and the left singular values are required. In this case
the reank-2 approximation will be given by Figure 1.3. In this case we have cap-
tured the largest two singular values as seen from Table 1.1.
Again as we study how the picture evolves as we take more and more on the
singular values and the vectors the accuracy in the reconstruction increases. For
example, Figure 1.4 provides the rank-3 reconstruction, Figure 1.5 provides the
rank-4 reconstruction, Figure 1.6 provides the rank-5 reconstruction, Figure 1.7
provides the rank-6 reconstruction. It is seen with each higher rank approxima-
tion the reconstructed picture resembles the actual one. The error in the
approximation decreases as the magnitudes of the neglected singular values
become small. This is the greatest advantage of the Singular Value Decompo-
sition over say for example, the Tikhonov regularization as the SVD provides an
estimate about the error in the reconstruction even though the actual solution is
unknown.
Finally, it is seen that there are seven large singular values and after that they
become mostly zeros. Therefore, we should achieve a perfect reconstruction
with Rank-7 which is seen in Figure 1.8 and going to rank-8 which is presented
in Figure 1.9, will not make any difference in the quality of the image. This is
20 1.2
18
1
16
14 0.8
12
0.6
10
8
0.4
6
4 0.2
2
0
2 4 6 8 10 12 14 16 18 20
20
1.2
18
1
16
14 0.8
12
0.6
10
0.4
8
6 0.2
4
0
2
2 4 6 8 10 12 14 16 18 20

20
1.2
18
1
16
14 0.8
12
0.6
10
0.4
8
6 0.2
4
0
2
2 4 6 8 10 12 14 16 18 20
20
1.2
18
1
16
14 0.8
12
0.6
10
8 0.4
6
0.2
4
0
2
2 4 6 8 10 12 14 16 18 20

20
18 1
16
0.8
14
12
0.6
10
8 0.4
6
0.2
4
2 0
2 4 6 8 10 12 14 16 18 20
20 1
18 0.9
16 0.8
14 0.7
0.6
12
0.5
10
0.4
8
0.3
6
0.2
4
0.1
2
0
2 4 6 8 10 12 14 16 18 20

20 1
18 0.9
16 0.8
14 0.7
0.6
12
0.5
10
0.4
8
0.3
6
0.2
4
0.1
2
0
2 4 6 8 10 12 14 16 18 20
now illustrated next through the mean squared error between the true solution
and the approximate ones.
In Figure 1.10, the mean squared error between the actual picture and the
approximate ones is presented. It is seen, as expected the error is given by this
data
0 32, 0 22, 0 16, 0 09, 0 06, 0 02, 0 00, 0 00, ……… 1 24
This is a very desirable property for the SVD. Next, the principles of total least
squares is presented.
1.3.2 The Theory of Total Least Squares

The method of total least squares (TLS) is a linear parameter estimation tech-
nique and is used in wide variety of disciplines such as signal processing, general
engineering, statistics, physics, and the like. We start out with a set of m meas-
ured data points {(x1,y1),…,(xm,ym)}, and a set of n linear coefficients (a1,…,an)
that describe a model, y(x;a) where m > n [3, 4]. The objective of total least
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had expected. He had set out unwillingly, and wished to return as
quickly as possible. Cicero said that he had looked on the letter of
recommendation that he had given him to Caesar as a bill of
exchange payable to bearer.[259] He thought he had only to present
himself in order to take the money, and return. It was not only
money he went to look for in Gaul; he expected to find there a post of
distinction and importance. He wished to approach Caesar and make
himself appreciated. Cicero writes to him: “You would much rather
be consulted than covered with gold.”[260] Now, Caesar was so busy
that he was difficult to approach, and he did not at first pay any great
attention to this learned lawyer who came to him from Rome. He
contented himself with offering him the title and emoluments of a
military tribune, without the duties, of course. Trebatius did not
think this a sufficient reward for the length of his journey and the
dangers of the country, and thought of returning. Cicero had much
trouble to prevent this rash conduct. I do not think there is any part
of his correspondence more amusing and more lively than the letters
he wrote to Trebatius to induce him to remain. Cicero is at his ease
with this obscure young man, for whom he had such a lively
affection. He dares to laugh freely, which he does not do with
everybody, and he laughs all the more readily as he knows Trebatius
was low-spirited, and he wishes to console him. It seems to me that
this trouble that he takes to cheer up an unhappy friend makes his
pleasantries almost touching, and that his good heart here lends one
more charm to his wit. He quizzes him good-naturedly in order to
make him laugh, and jokes about things that he knows the good
Trebatius does not mind being bantered on. For instance, one day he
asks him to send him all the details of the campaign: “For an account
of a battle,” he says, “I trust above all the most timorous;”[261]
probably because, having held themselves aloof from the fight, they
will have been better able to see the whole. Another time, after
having expressed some fear at seeing him exposed to so many
dangers, he adds: “Happily I know your prudence; you are much
bolder in presenting writs than in harassing the enemy, and I
remember that, although you are a good swimmer, you would not
cross over into Britain for fear of taking a bath in the ocean.”[262]
To soothe his impatience he threatens him with the wags. Was it
not to be feared that if he returned, Laberius would put him in one of
his farces? A frightened lawyer travelling in the train of an army, and
exercising his profession among the barbarians, would make a funny
figure in a comedy; but, to silence the wags he had only to make his
fortune. Let him return later, he would certainly return richer;
Balbus had said so. Now, Balbus was a banker; he did not speak in
the sense of the Stoics, who affirm that one is always rich enough
when one can enjoy the spectacle of the sky and the earth; he spoke
as a Roman and meant that he would return well furnished with
crown-pieces, more romano bene nummatum. Trebatius remained,
and he did well to do so. Caesar was not long in noticing him, and
was pleased with his friendship. He got accustomed to camp life, and
in time became a little less timid than he was on his arrival. It is
probable that he returned rich, as Balbus had predicted, for if they
did not find all the treasures they went to seek in Gaul, Caesar’s
liberality was an inexhaustible mine that enriched all his friends. At a
later period Trebatius passed through trying times, and yet preserved
the reputation of an honest man; this was an act of justice that all
parties did him, although they were not much in the habit of doing
justice. He had the rare good fortune to escape all the perils of the
civil wars, and was still living in the time of Horace, who addressed
one of his most agreeable satires to him. We see in it that he was then
an amiable and indulgent old man who readily laughed and amused
himself with the young. He talked to them, no doubt, about that
grand epoch of which he was one of the last survivors, of the Gallic
war in which he had taken part, of Caesar and his captains whom he
had known. By the privilege of his age he could speak of Lucretius to
Virgil, of Cicero to Livy, of Catullus to Propertius, and formed a sort
of link between the two most illustrious periods of Latin literature.
The other person whom Cicero sent to Caesar was his brother
Quintus. As he holds a large place in Cicero’s life, and played a rather
important part in the Gallic war, it will be proper, I think, to say a
few words about him. Although he listened to the same lectures and
learned from the same masters as his brother, he never had any taste
for eloquence, and always refused to speak in public. “One orator,”
he said, “is enough in a family, and even in a city.”[263] He was of a
hard and yet changeable disposition, and gave way to violent fits of
anger without reason. In spite of an appearance of great energy he
was soon discouraged, and although he always affected to be the
master, he was led by those about him. These faults, that Cicero
bewailed to himself although he tried to excuse them, prevented
Quintus succeeding in his public career, and troubled his private life.
He had been early married to Pomponia, the sister of Atticus. This
marriage that the two friends had hoped would draw closer their
connection very nearly broke it. The couple found that their
characters matched too well: both were hasty and passionate, and
they could never agree, and the unbounded ascendency that Statius,
a slave, had over his master’s mind completed the disunion of the
household. In connection with this, it would be easy to show, from
Cicero’s letters, what influence the slave often exercised in ancient
families; a much greater one than is commonly supposed. Now that
the servant is free, it would seem natural that he should take a more
important place in our houses than before. But the contrary has
happened; he has lost in influence what he has gained in dignity.
When he became independent his master ceased to have any
obligations towards him. They now live together bound by a
temporary contract, which, by imposing reciprocal obligations,
appears irksome to both sides. As this fragile bond may be broken at
any moment, and as these allies of one day may become indifferent
to each other or enemies on the next, there is no longer any ease or
confidence between them, and they pass all the time during which
chance brings them together in surrounding themselves with
defences, and in watching one another. It was quite otherwise in
antiquity when slavery was flourishing. Then, it was not for a short
time only, it was for a whole life-time that they were united;
accordingly, they set themselves to know each other, and to adapt
themselves one to the other. To gain the master’s favour was the
important thing for the future of the slave, and he took trouble to
gain it. As he had no position to defend, or dignity to preserve, he
gave himself up to him entirely. He flattered and served his worst
passions without scruple, and at last made himself necessary to him.
Once confirmed in this intimacy, by his constant subserviency, by
private and secret services which his master was not afraid to
demand, and which he never refused to give, he ruled the family, so
that, however strange it may appear at first sight, it is true to say that
the servant was never nearer being master than when he was a slave.
This is what happened to Statius. Through the knowledge that he had
of the defects of Quintus, he had insinuated himself so well into his
confidence that the whole family gave way to him. Pomponia alone
resisted, and the annoyance she suffered for this reason made her
still more insupportable. She constantly worried her husband with
unfriendly remarks; she refused to appear at the dinners that he gave
on the pretext that she was only a stranger at home, or if she
consented to be present, it was only to make the guests the witnesses
of the most unpleasant scenes. It was, no doubt, one day when she
was more peevish and cross-grained than usual that Quintus
composed these two epigrams, the only examples that remain of his
poetic talent.
“Trust your ship to the winds, but do not give up your soul to a
woman. There is less safety in a woman’s words than in the caprices
of the waves.”
“No woman is good; or if by chance you find a good woman, I
know not by what strange fate a bad thing has become good in a
moment.”
These two epigrams are not very gallant, but we must excuse them
in the unfortunate husband of the shrewish Pomponia.
The political career of Quintus was not brilliant any more than his
private life was happy. He owed the offices which he obtained more
to the illustrious name of his brother than to his own merit, and did
nothing to make himself worthy of them. After he had been aedile
and praetor, he was appointed governor of Asia. To be invested with
an unlimited authority was a severe test for a character like his.
Absolute power turned his head; his violence, which nothing now
restrained, knew no bounds; like an oriental despot he only talked of
burning and hanging. He wished above all to obtain the glory of
being a great lover of justice. Having had occasion to order two
parricides to be sewn up in a sack and thrown into the water in the
lower part of his province, he wished to give the same spectacle to
the other part on his visit to it, that there might be no jealousy
between them. He sought therefore to seize a certain Zeuxis, an
important person, who had been accused of killing his mother, and
who had been acquitted by the tribunals. On the arrival of the
governor, Zeuxis, who guessed his intentions, fled, and Quintus,
vexed at losing his parricide, wrote him most friendly letters to
induce him to return. Usually, however, he dissembled less and
spoke more openly. He sent word to one of his lieutenants to seize
and burn alive a certain Licinius and his son who had embezzled. He
wrote to a Roman knight named Catienus “that he hoped to have him
suffocated one day in the smoke, with the applause of the
province.”[264] It is true that when he was reproached with having
written these furious letters, he replied that they were simple jokes,
and that he had wished to laugh for a moment, but it was a strange
way of joking, and shows his barbarous nature. Quintus had none the
less an enlightened mind, he had read Plato and Xenophon, he spoke
Greek admirably well, he even wrote tragedies in his leisure hours.
He had all the appearance of a polished and civilized man, but it was
only the appearance. Even among the most well-bred Romans,
civilization was often only on the surface, and under their polished
exterior we often find the rough and savage soul of a pitiless race of
soldiers.
Quintus came back from his province with a rather bad reputation,
but, what is more surprising, he did not come back rich. Apparently
he had embezzled less than his colleagues, and was not able to bring
back enough money to restore his fortune, which was very much
embarrassed by his extravagance; for he liked to buy and to build,
like his brother; he had a taste for rare books, and probably also
could refuse nothing to his favourite slaves. The exile of Cicero
completed the confusion of his affairs, and at the time of his
brother’s return Quintus was quite ruined. This did not prevent him,
at the time of his greatest financial distress, rebuilding his house at
Rome, and buying a country house at Arpinum and another in the
suburbs, constructing in his villa at Arcae, baths, porticoes, fish-
ponds, and such a fine road that it was taken for a work of the state.
It is true that the poverty of a Roman of that time would make the
fortune of many of our nobles. However, a day came when Quintus
was altogether in the hands of his creditors, and when he could
borrow no more. Then it was that he bethought him of the last
resource of embarrassed debtors: he went to Caesar.
It was not, then, only the love of glory that attracted Quintus to
Gaul; he went there, like so many others, to get rich. Up to that time,
the results had not answered to men’s expectations, and they had not
found among people like the Belgae and Germani all the treasures
that they looked for; but they were not yet discouraged; rather than
give up their brilliant fancies, after each disappointment, they put
farther off that enchanted country where they thought they must find
riches. As at this moment they were going to attack Britain, it was in
Britain that they placed it. Every one expected to make a fortune
there, and Caesar himself, by what Suetonius says, hoped to bring
back many pearls.[265] These expectations were deceived once more;
in Britain were neither pearls nor gold mines. They had a great deal
of trouble to take a few slaves who were not of much value, for it was
no use thinking of making them men of letters and musicians. For all
wealth, these men only possessed heavy chariots, from which they
fought with courage. Accordingly Cicero wrote humorously to
Trebatius, who sent him news of this ill-luck of the army: “Since you
find there neither gold nor silver, my opinion is that you should carry
off one of those British chariots, and should come to us at Rome
without stopping.”[266] Quintus was very much of the same opinion.
Although he had been well received by Caesar, who had appointed
him his lieutenant, when he saw that wealth did not come as quickly
as he expected, he lost courage, and, like Trebatius, he had for a
moment the idea of returning; but Cicero, who did not joke this time,
prevented him.
He did him a very great service, for it was precisely during the
winter that followed the war in Britain that Quintus had the
opportunity of performing the heroic action that commended his
name to the respect of military men. Although he read Sophocles
with ardour and had written tragedies, he was at bottom only a
soldier. In the presence of the enemy, he became himself again, and
displayed an energy that had not been suspected in him. In the midst
of populations which were in revolt, in entrenchments hastily raised
in one night, and with a single legion only, he was able to defend the
camp Caesar had entrusted to him, and to make head against
innumerable enemies, who had just destroyed a Roman army. He
replied in firm language to their insolent boasts. Although he was ill,
he displayed incredible activity, and it was only after a sedition
among his soldiers that he could be induced to take care of himself. I
have no need to relate the details of this affair that Caesar has told so
well in his Commentaries, and which is one of the most glorious
incidents of the Gallic war. This grand feat of arms raises Quintus in
our esteem; it effaces the meannesses of his character, and helps him
to play with a little more credit the ungrateful and difficult part of
younger brother of a great man.
III.
Cicero had clearly foreseen that, although Caesar in writing his

Commentaries professed only to prepare materials for history, the
perfection of his work would prevent sensible men from attempting
to re-write it. Accordingly Plutarch and Dio have taken care not to re-
write it; they are contented to epitomize it, and now we only know
the Gallic war by the narrative of him who was the hero of it.
However perfect the narrative may be, or rather because of its very
perfection, we have much difficulty in contenting ourselves with it. It
is the characteristic of these great works, which, as we might think,
ought to exhaust public curiosity, on the contrary, to make it more
active. By interesting us in the facts which they relate, they excite in
us the desire to know them better, and one of the surest marks of
their success is that they do not suffice for the readers, and make
them wish to know more than they tell. This desire, for fresh details
on the most important events of history, it is which renders Cicero’s
letters to Trebatius and to his brother so valuable for us. Although
they are fewer in number and shorter than we could wish, they have
the merit of adding some information to that which Caesar gives on
his campaigns. As they are more familiar than a narrative composed
for the public, they introduce us farther into the private life of the
conqueror of Gaul, and they permit us to see him in his tent, at those
times of leisure and repose, of which he has not thought of speaking
to us himself. This is certainly an interesting spectacle, it is the true
complement of the Commentaries, and we cannot do better than
carefully collect the scattered details they contain, in order to become
well acquainted with Caesar and his surroundings.
I imagine that Caesar’s army did not resemble those old Roman
armies that are depicted to us in such grave and temperate guise,
always trembling under the rod of the lictors, and submissive at all
times to an inflexible discipline. It was, doubtless, sternly controlled
in time of danger, and never complained of this. No other army has
ever undergone greater fatigues and executed greater deeds; but
when the danger was over discipline relaxed. Caesar allowed his
soldiers rest, and sometimes diversion. He let them decorate
themselves with splendid arms, and even adorn themselves with
studied elegance. “What does it matter if they use perfumes?” he
said, “they will know very well how to fight.”[267] And in fact these
soldiers, whom the Pompeians called effeminate, are the same who,
though dying of hunger at Dyrrhachium, declared that they would
eat the bark of the trees rather than let Pompey escape. They were
recruited for the most part among those Cisalpine Gauls from whom
Roman civilization had not taken the good qualities of their race, an
amiable and brilliant people who loved war and carried it on gaily.
The chiefs very much resembled the common soldiers; they were
lively and ardent, full of resources in critical moments, and trusted
more to inspiration than to routine. It is to be remarked that no one
of them had gained his reputation in earlier wars. Caesar seems to
have wished that their military glory should come from him only. A
few, and among these Labienus, perhaps the greatest of them, were
his political friends, old conspirators like himself, who, after his
example, and without any more preparation, from popular agitators
had become excellent generals. Others, on the contrary, like Fabius
Maximus and Servius Galba, bore illustrious names; they were
partisans whom he secured in the aristocracy, or hostages that he
took from it. The greater number, Crassus, Plancus, Volcatius Tullus,
Decimus Brutus, and later Pollio, were young men whom he treated
with marked preference, and whom he readily trusted in perilous
enterprises. He liked the young by personal preference, and also by
policy: as they did not yet belong to any party, and had not had time
to attach themselves to the republic by serving it, he hoped they
would have less difficulty in accustoming themselves to the new
régime that he wished to establish.
These lieutenants, whose number varied, did not alone form the
ordinary retinue of a proconsul. We must remember to add that
crowd of young Romans, sons of illustrious houses, destined by their
birth for public office, who came to serve their apprenticeship in war
under him. They were called his tent-comrades, contubernales.
Soldiers like the rest, and exposing themselves on the day of battle,
they became after the fight the friends, the companions of the chief
whom they followed in all his expeditions, as the clients
accompanied their patron in the city. They were present at his
receptions, took part in all his recreations and diversions, sat at his
table, surrounded him when he sat on the judgment-seat; they
formed, in sum, what was called the cohort, we should almost say the
court, of the praetor (praetoria cohors). Scipio Africanus, it is said,
invented this means of adding splendour to the public display of the
supreme power in the eyes of the conquered nations, and after him
governors had taken great care to preserve all this pomp which
added to their prestige. These were not all; by the side of these
military men there was room for men of very various abilities and
positions. Able financiers, intelligent secretaries, and even learned
lawyers might be necessary for the administration of those vast
countries that a proconsul governed. Thus Trebatius himself, the
pacific Trebatius, was not out of place in the train of an army, and he
had opportunities of exercising his profession even among the Nervii
and the Belgae. If we add to these men, to whom their high offices
gave a certain importance, a crowd of inferior officers or subaltern
servants, such as lictors, ushers, scribes, interpreters, apparitors,
doctors, men-servants, and even soothsayers, we shall have some
idea of that truly royal retinue which a proconsul always carried
about with him.
Caesar’s train must have been even more magnificent than that of
others. The ten legions that he commanded, the extent of country
that he had to conquer and govern, explain the great number of
officers and persons of all sorts by whom he was surrounded.
Moreover, he naturally loved magnificence. He readily welcomed all
who came to see him, and always found some office to give them in
order to retain them. Even in those wild countries he took pleasure
in astonishing them by his reception. Suetonius relates that he took
with him everywhere marquetry or mosaic floors, and that he had
always two tables laid at which rich Romans who visited him and
provincials of distinction took their places.[268] His lieutenants
imitated him, and Pinarius wrote to Cicero that he was delighted
with the dinners his brother gave him.[269] Caesar did not care much
for these sumptuous repasts, and these rich dwellings, on his own
account. We know that he was temperate, that in case of need he
could sleep well in the open air, and eat rancid oil without blinking;
but he had a taste for display and luxury. Although the republic still
existed, he was almost a king; even in his camps in Britain and
Germany he had assiduous followers and courtiers. He could only be
approached with difficulty; Trebatius made the attempt, and we
know that it was a long time before he could reach him. No doubt
Caesar did not receive men with that stiff and solemn majesty that
repelled them in Pompey; but, however gracious he might wish to be,
there was always something in him that inspired respect, and it was
felt that that ease of manner that he affected with everybody
proceeded from a superiority which was sure of itself. This defender
of the democracy was none the less an aristocrat who never forgot his
birth, and willingly spoke of his ancestors. Had they not heard him,
at the commencement of his political life, at the very time when he
attacked with most vivacity the institutions of Sulla, and tried to get
back their ancient powers for the tribunes, had they not heard him
pronounce over his aunt a funeral oration full of genealogical
fictions, in which he complacently related that his family was
descended at once from the kings and the gods? But in this he only
followed the traditions of the Gracchi, his illustrious predecessors.
They also defended public interests with ardour, but they called to
mind the aristocracy from which they had sprung by the haughty
elegance of their manners. We know that they had a court of clients
at their rising, and that they were the first who thought of making
distinctions between them which resembled the public and private
admissions to the court of Louis XIV.
The most remarkable thing in those around Caesar was their love
of letters. Assuredly they belonged no longer to the times when
Roman generals burnt masterpieces of art, or took a pride in being
ignorant. Since Mummius and Marius, letters had succeeded in
penetrating even the camps, which, as we know, are not their usual
abode. Nevertheless, I do not think that so many enlightened men of
letters, so many men of culture and men of fashion have ever been
seen united in any other army. Almost all Caesar’s lieutenants were
private friends of Cicero, and they took pleasure in maintaining a
constant intercourse with him who was regarded as the official
patron of literature at Rome. Crassus and Plancus had learnt
eloquence in pleading at his side, and in what remains to us of the
letters of Plancus, we recognize, by a certain oratorical exuberance,
that he had profited by his lessons. Trebonius, the conqueror of
Marseilles, professed to relish his witticisms very much, and even
published a collection of them. Cicero, however, to whom this
admiration was not displeasing, thought that his editor had put too
much of himself into the introduction under pretence of preparing
the effect of the jokes and making them easier to understand. “They
have exhausted their laughter,” he said, “when they get to me.”
Hirtius was a distinguished historian, who undertook later to finish
the Commentaries of his chief. Matius, a devoted friend of Caesar,
who showed himself worthy of this friendship by remaining faithful
to him, translated the Iliad into Latin verse. Quintus was a poet also,
but a tragic poet. During the winter that he had to fight the Nervii, he
was seized with such an ardour for poetry, that he composed four
pieces in sixteen days: but this was to treat tragedy in a somewhat
military fashion. He sent the one he thought the best, the Erigone, to
his brother; but it was lost on the road. “Since Caesar has
commanded in Gaul,” said Cicero, “the Erigone alone has not been
able to travel in safety.”[270] It is surprising no doubt to meet all at
one time with so many generals who are also men of letters; but what
is still more astonishing is that all those Roman knights who
followed the army, and whom Caesar made his commissaries and
purveyors, collectors of stores, and farmers of the taxes, seem to have
loved literature more than their habits and occupations usually
admit. We find one of those he employed in offices of this kind,
Lepta, thanking Cicero for sending him a treatise on rhetoric as
though he were a man capable of appreciating the present. The
Spaniard Balbus, that intelligent banker, that skilful administrator,
who was able to put the finances of Rome into such good order, and
what was still more difficult, those of Caesar, loved philosophy with
more enthusiasm than one would expect in a banker. He hastened to
have Cicero’s works copied before they were known to the public,
and although he was by character the most discreet of men, he went
so far as even to commit indiscretions in order to be the first to read
them.
But among all these lettered men, it was Caesar who had the most
decided taste for letters: they suited his cultivated nature; they
seemed to him, no doubt, the most agreeable exercise and relaxation
of an accomplished mind. I should not, however, venture to say that
his love for them was wholly disinterested, when I see that this taste
assisted his policy so wonderfully. He was compelled to gain public
favour by every means; now, nothing attracts the general judgment
more than the superiority of intelligence united with that of force.
His principal works were composed with this intention, and we
might say, from this point of view, that his writings were part of his
actions. It was not only to please a few idle men of letters that, during
the latter part of his stay in Gaul, he wrote his Commentaries with
such a rapidity as to astonish his friends. He wished to prevent the
Romans forgetting his victories; he wished, by his admirable manner
of narrating them, to renew, and if possible, to increase, the effect
they had produced. When he composed his two books De Analogia,
he calculated that people would be struck by seeing the general of an
army, who, according to the expression of Fronto, “busied himself
with the formation of words while arrows were cleaving the air, and
sought the laws of language amid the din of clarions and trumpets.”
He knew very well the advantage that his reputation would draw
from these very diverse performances, and how great would be the
surprise and admiration at Rome when they received at the same
moment a treatise on grammar, and the news of a new victory, from
such a distance. The same thought also made him eager for Cicero’s
friendship. If his refined and distinguished nature found a great
pleasure in keeping up some intercourse with a man of so much
cultivation, he was not ignorant of the power this man exercised over
public opinion, and how far his praises would resound when they
came from this eloquent mouth. We have lost the letters that he
wrote to Cicero; but as Cicero was delighted with them, and it was
not very easy to please him, we must believe that they were filled
with flatteries and caresses. Cicero’s answers were also full of the
most lively protestations of friendship. He declared at that time that
Caesar came in his affections immediately after his children, and
indeed almost in the same rank; he bitterly deplored all the
prejudices that had up till then kept him apart from him, and he
resolved to make him forget that he was one of the last who had
entered into his friendship. “I shall imitate,” said he, “the travellers
who have risen later than they wished to do; they double their speed,
and make such good haste that they arrive at their destination before
those who have travelled part of the night.”[271] They vied with each
other, as it were, in compliments; they overwhelmed one another
with flatteries, and emulated each other in works in verse and prose.
On reading the first accounts of the expedition to Britain, Cicero
exclaimed in a transport of enthusiasm: “What prodigious events!
what a country! what people! what battles, and above all, what a
general!” He wrote off immediately to his brother: “Give me Britain
to paint; furnish me with the colours, I will use the brush.”[272] And
he had seriously taken in hand an epic poem on this conquest, which
his occupations prevented him completing as quickly as he wished.
Caesar, on his part, dedicated his treatise De Analogia to Cicero, and
on this occasion said to him in splendid phrases: “You have
discovered all the resources of eloquence, and are the first to use
them. In virtue of this you have deserved well of the Roman name,
and you do honour to our country. You have obtained the most
illustrious of all honours, and a triumph preferable to those of the
greatest generals, for it is better to extend the boundaries of the mind
than to enlarge the limits of the empire!”[273] This, coming from a
victorious general like Caesar, was the most delicate flattery for a
man of letters.
Such were the relations that Cicero kept up with Caesar and his
officers during the Gallic war. His correspondence, which preserves
the memory of them, makes us better acquainted with the tastes and
preferences of all these men of cultivation, and shows them to us in a
very living fashion and draws us closer to them. This is, assuredly,
one of the greatest services it could render to us. We seem, when we
have read it, to be able to understand of what kind the meetings of
these men must have been, and can imagine ourselves present at
their conversations. We are entitled to suppose that Rome took up
very much of their thoughts. From the depths of Gaul, they had their
eyes upon it, and it was to make a little stir there that they took so
much trouble. While marching over so many unknown countries
from the Rhine to the Ocean, all these young men hoped that they
would be talked about at those feasts and assemblies where men of
the world discussed public affairs. Caesar himself, when he crossed
the Rhine on his wooden bridge, reckoned upon striking the
imaginations of all those idlers who met together in the Forum, at
the rostrum, to learn the news. After the landing of his troops in
Britain, we see him hastening to write to his friends, and especially to
Cicero;[274] not that he had much leisure at that moment, but he
looked upon it no doubt as an honour to date his letter from a
country where no Roman had yet set foot. If he was anxious to send
glorious news to Rome, they were also very glad to receive it from
Rome. All the letters that arrived were read with eagerness; they
seemed as it were to carry even to Germany and Britain a whiff of
that fashionable life, which those who have enjoyed can never forget
or cease to regret. It was not enough for Caesar to read the journals
of the Roman people, which contained a dry summary of the
principal political events, and a concise report of the proceedings of
the assemblies of the people. His messengers constantly traversed
Gaul, bringing him letters accurate and full of the most minute
details. “He is told everything,” said Cicero, “small as well as
great.”[275] This news, impatiently waited for, and commented on
with pleasure, must have been the usual subject of his conversations
with his friends. I suppose that, at that sumptuous table of which I
have spoken, after literature and grammar had been discussed, and
they had listened to the verses of Matius or Quintus, the
conversation turned especially upon Rome, of which these elegant
young men, who regretted its pleasures, were never tired of talking.
Certainly, if we could have heard them chatting about the last news,
the political disorders, or, what interested them more, the private
scandals of the city, telling the last rumours afloat, and quoting the
most recent jokes, we should have found it difficult to believe that we
were in the heart of the country of the Belgae, or near to the Rhine or
the Ocean, or on the eve of a battle. I imagine that we should have
rather fancied we were present at a party of clever men in some
aristocratic house on the Palatine or in the rich quarter of Carinae.
Cicero’s letters render us yet another service. They show us the
prodigious effect that Caesar’s victories produced at Rome. They
excited as much surprise as admiration, for they were discoveries as
well as conquests. What was known before him of those distant
countries? A few ridiculous fables that traders related on their
return, to give themselves importance. It was through Caesar that
they were first really known. He first dared to attack, and he
vanquished those Germans who have been depicted as giants, whose
very looks caused terror; he first adventured as far as Britain, where
it was said the night lasted three entire months, and all the wonders
that had been related gave as it were a tinge of the marvellous to his
victories. Nevertheless, not everybody willingly gave way to this
fascination. The most clear-sighted of the aristocratic party, who felt,
though indistinctly, that it was the fate of the republic that was being
decided on the banks of the Rhine, wished to recall Caesar, and to
appoint in his place another general, who might not perhaps
complete the conquest of Gaul, but who would not be tempted to
carry out that of his own country. Cato, who pushed everything to
extremes, when the senate was asked to vote a thanksgiving to the
gods for the defeat of Ariovistus, dared to propose, on the contrary,
that they should deliver up the conqueror to the Germans. But these
objections did not change public opinion, which declared itself in
favour of him who had just conquered with such rapidity so many
unknown countries. The knights, who had become the financiers and
merchants of Rome, congratulated themselves on seeing immense
countries opened up to their operations. Caesar, who wished to
attach them to him, invited them to follow him, and his first care had
been to open them a road across the Alps. The common people, who
love military glory and who freely give way to enthusiasm, were
never tired of admiring him who extended the limits of the Roman
world. On the news of each victory, Rome had public rejoicings, and
offered thanksgivings to the gods. After the defeat of the Belgae, the
senate, under pressure of public opinion, was compelled to vote
fifteen days of solemn thanksgiving, which had never been done for
anybody. Twenty days was decreed, when the success of the
expedition against Germany was reported, and twenty more after the
taking of Alesia. Cicero usually demanded these honours for Caesar,
and he became the mouthpiece of the public admiration when he
said in his noble language: “This is the first time we have dared to
attack the Gauls, hitherto we have been content to repulse them. The
other generals of the Roman people regarded it as sufficient for their
glory to prevent them invading us; Caesar has gone to seek them out
in their own homes. Our general, our legions, our arms have overrun
those countries of which no history has ever spoken, of whose name
the world was ignorant. We had only a footpath in Gaul; now the
boundaries of these nations have become the frontiers of our own
empire. It is not without the signal favour of Providence that nature
gave the Alps for a rampart to Italy. If the entrance had been free to
this multitude of barbarians, Rome never would have been the centre
and the seat of the empire of the world. Now let insurmountable
mountains sink. From the Alps to the Ocean Italy has nothing now to
fear.”[276]
These magnificent eulogies, for which Cicero has been so much
blamed, are easily understood however, and, whatever politicians
may say, it is easy to explain the enthusiasm that so many honest and
sensible people then felt for Caesar. That which justified the
unreserved admiration that his conquests caused, was less their
grandeur than their necessity. They might threaten the future, at that
moment they were indispensable. They later endangered the liberty
of Rome, but they assured her existence then.[277] The patriotic
instinct of the people let them divine what prejudice and fear,
although quite legitimate, hid from the aristocracy. They understood
in a confused way all the dangers that might soon come from Gaul, if
they did not hasten to subdue it. It was not, in truth, the Gauls who
were to be feared—their decadence had already commenced, and
they no longer thought of making conquests—it was the Germans.
Dio is quite wrong in asserting that Caesar wantonly stirred up wars
for the sake of his glory. Whatever advantage he drew from them, we
may certainly say that he rather submitted to them than provoked
them. It was not Rome that went to seek the Germans at that time,
but rather the Germans who came boldly towards her. When Caesar
was appointed proconsul, Ariovistus occupied part of the country of
the Sequani and wished to seize the rest. His compatriots, attracted
by the fertility of this fine country, were crossing the Rhine every day
to join him, and twenty-five thousand had come at one time. What
would have happened to Italy if, while Rome was losing her strength
in intestine struggles, the Suevi and the Sicambri had established
themselves on the Rhone and the Alps? The invasion averted by
Marius a century before was recommencing; it might have caused the
downfall of Rome then as it did four centuries later, if Caesar had not
arrested it. His glory is to have thrown back the Germans beyond the
Rhine, as it was to the honour of the empire to have kept them there
for more than three hundred years.
But this was not the sole or even the greatest effect of Caesar’s
victories. In conquering Gaul, he rendered it entirely and for ever
Roman. That marvellous rapidity with which Rome then assimilated
the Gauls can only be understood, when we know in what a state she
had found them. They were not altogether barbarians like the
Germans; it is to be remarked that their conqueror, who knew them
well, does not call them so in his Commentaries. They had great
cities, a regular system of taxation, a body of religious beliefs, an
ambitious and powerful aristocracy, and a sort of national education
directed by the priests. This culture, although imperfect, if it had not
entirely enlightened their minds, had at least awakened them. They
were frank and inquisitive, intelligent enough to know what they
were deficient in, and sufficiently free from prejudice to give up their
usages when they found better ones. From the very beginning of the
war, they succeeded in imitating the Roman tactics, in constructing
siege machines, and in working them with a skill to which Caesar
does justice. They were still rude and unpolished, but already quite
inclined for a superior civilization for which they had the desire and
instinct. This explains how they did so readily accept it. They had
fought for ten years against the domination of the foreigner; they did
not hesitate for a day to adopt his language and usages. We may say
that Gaul resembled those lands, parched by a burning sun, which
drink in with such avidity the first drops of rain; so completely did
she imbibe the Roman civilization for which she longed before she
knew it, that after so many centuries, and in spite of so many
revolutions, she has not yet lost the mark of it; and this is the only
thing that has endured to the present time in this country where
everything changes. Caesar, then, did not only add a few new
territories to the possessions of Rome; the present that he made her
was greater and more useful; he gave her an entire people,
intelligent, and civilized almost as soon as conquered, which,
becoming Roman in heart as well as in language, sinking her
interests in those of her new nationality, enlisting in her legions to
defend her, and throwing herself with a remarkable ardour and
talent into the study of the arts and letters, shed a new lustre over
her, and for a long time gave a new youth and a return of vigour to
the failing empire.
While these great events were passing in Gaul, Rome continued to
be the theatre of the most shameful disorders. There was no longer
any government; scarcely did they succeed in electing magistrates,
and there was a fight every time the people assembled in the Forum
or in the Campus Martius. These disorders, of which honest men
were ashamed, added still more to the effect that Caesar’s victories
produced. What a contrast was there between the battles fought with
Ariovistus or Vercingetorix and those combats of gladiators that
stained the streets of Rome with blood! And how glorious appeared
the taking of Agendicum or Alesia to people who were only occupied
with the siege of Milo’s house by Clodius or the assassination of
Clodius by Milo! All the statesmen who had remained in Rome,
Pompey as well as Cicero, had lost something of their dignity by
mixing themselves up in these intrigues. Caesar, who had withdrawn
in time, was the only man who had risen amidst the general
degradation. Therefore all those whose heart was wounded by these
sad spectacles, and who had some care for Roman honour, kept their
eyes fixed upon him and his army. As happened at certain moments
of our own revolution, military glory consoled honest men for
scandals and distress at home. At the same time, the excess of the
evil caused men to seek an efficacious remedy everywhere. The idea
began to spread that, in order to obtain repose, it was necessary to
create a strong and durable power. After Cicero’s exile, the aruspices
had predicted that the monarchy was about to recommence,[278] and
one did not need to be a prophet to anticipate this. A few years later,
the evil having increased still more, the republican party itself,
notwithstanding its repugnance, was forced to have recourse to the
violent remedy of a temporary dictatorship. Pompey was appointed
sole consul, but Pompey had shown more than once that he had
neither the vigour nor the resolution necessary to overcome anarchy
entirely. A stronger arm and a more determined will had to be sought
elsewhere, and all eyes turned naturally towards the conqueror of
Gaul. His glory pointed him out for this part; the hopes of some and
the fears of others called him to fulfil it; men’s minds became
accustomed every day to the idea that he would be the heir of the
republic, and the revolution that delivered up Rome to him was more
than half accomplished when he crossed the Rubicon.
II
THE VICTOR AND THE VANQUISHED
AFTER PHARSALIA
The civil war interrupted the intercourse that Cicero had kept up
with Caesar during the Gallic war. He hesitated for a long time to
take part in it, and it was after long indecision that the stings of
conscience, the fear of public opinion, and above all the example of
his friends decided him at length to start for Pompey’s camp. “As the
ox follows the herd,” said he, “I go to join the good citizens;”[279] but
he went half-heartedly and without hope. After Pharsalia he did not
think it was possible to continue the struggle: he said so openly in a
council of the republican chiefs held at Dyrrhachium, and he
hastened to return to Brundusium to hold himself at the disposal of
the conqueror.
What regret must he not have felt, if his thoughts went back
several years, and he remembered his triumphal return from exile!
In that very town, where he had been received with so much
rejoicing, he was constrained to disembark furtively, to conceal his
lictors, to avoid the crowd, and only go out at night. He passed eleven
months there, the saddest of his life, in isolation and anxiety. He was
distressed on all sides, and his domestic affairs did not cause him
less sorrow than public events. His absence had completed the
disorder of his pecuniary affairs. When they were most involved, he
had been so imprudent as to lend what ready money he had to
Pompey: the poniard of the King of Egypt had at the same time
carried off the debtor and put an end to his power of paying. While
he was trying to procure some resources by selling his furniture and
plate, he discovered that his wife was acting in concert with his
freedmen to despoil him of what remained; he learnt that his brother
and his nephew, who had gone over to Caesar, sought to justify
themselves at his expense, and were working to ruin him in order to
save themselves; he saw Tullia, his beloved daughter, again, but he
found her sad and ill, lamenting at the same time the misfortunes of
her father, and the infidelity of her husband. To these very real
misfortunes were joined at the same time imaginary troubles, which
caused him as much suffering; above all, he was tormented by his
habitual irresolution. Scarcely had he set foot in Italy when he
repented having come. According to his habit, his restless
imagination always puts things at their worst, and he is ingenious in
finding some reason for discontent in everything that happens to
him. He laments when Antony wishes to force him to leave Italy;
when he is allowed to remain, he still laments, because this exception
made in his favour may injure his reputation. If Caesar neglects to
write to him, he is alarmed; if he receives a letter from him, however
friendly it may be, he weighs all its expressions so carefully that he
discovers at last some motive for fear; even the broadest and most
complete amnesty does not entirely remove his fears. “When a man
pardons so easily,” he says, “it is because he defers his
vengeance.”[280]
At last, after a sojourn of nearly a year in that noisy and
pestilential town, he was permitted to leave Brundusium. He
returned to his fine country houses that he liked so much, and where
he had been so happy; he found his books again, he resumed his
interrupted studies, he could appreciate again those precious things
which we enjoy without thinking about them while they are ours, and
only begin to appreciate when we have lost them for a moment,
namely, security and leisure. He thought that nothing could equal
the charm of those first days passed tranquilly at Tusculum after so
many storms, and of that return to the quiet pleasures of the mind
for which he felt then that he was in reality made. “Know,” he wrote
to his friend Varro, “that since my return I have been reconciled to
my old friends: I mean my books. In truth, if I fled from them, it was
not because I was angry with them, but I could not see them without
some confusion. It seemed to me that in engaging in such stirring
affairs, with doubtful allies, I have not followed their precepts
faithfully enough. They forgive me, they recall me to their company;
they tell me that you have been wiser than I not to leave them. Now
that I am restored to their favour, I really hope that I shall support
more easily the evils that oppress us and those with which we are
threatened.”[281]
His conduct henceforth was clearly marked out. He owed it to the
great party he had served and defended to hold aloof from the new
government. He must seek in philosophy and letters a useful

Modern Characterization of Electromagnetic Systems and Its Associated Metrology Wiley Ieee 1St Edition Tapan K Sarkar Full Chapter

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Modern Characterization of

Electromagnetic Systems and its

1 Mathematical Principles Related to Modern System Analysis 1

2 Matrix Pencil Method (MPM) 21

2.6 Minimization of Multipath Effects Using MPM in Antenna

3 The Cauchy Method 107

3.6.1 Development of the Interpolatory Cauchy Method for

4 Applications of the Hilbert Transform – A Nonparametric Method for

5 The Source Reconstruction Method 235

5.3 Mathematical Formulation for the Integral Equations 239

6 Planar Near-Field to Far-Field Transformation Using a Single Moving

6.9 A Direct Optimization Approach for Source Reconstruction

6.13.1 Proposed Methodology 429

7 Spherical Near-Field to Far-Field Transformation 453

8 Deconvolving Measured Electromagnetic Responses 491

8.2.1 Theory 495

9 Performance of Different Functionals for Interpolation/

10 Retrieval of Free Space Radiation Patterns from Measured Data

The area of electromagnetics is an evolutionary one. In the earlier days the

missing gaps in the antenna near-field measurements. However, the missing

Grateful acknowledgement is made to Prof. Pramod Varshney, Mr. Peter Zaeh-

Tribute to Tapan K. Sarkar

Dr. Sarkar was a giant in the field of electromagnetics, a phenomenal

communicated in November 2019. Sadly, from April 2020, he was unable to

Magdalena Salazar Palma

Mathematical Principles Related to Modern

Αuxx + 2Βuxy + Cuyy + Dux + Εuy + F = f x, y , 11

When B2 − AC = 0 we obtain a parabolic partial differential equation for (1.1),

exponentials or in the transformed domain approximate it by a ratio of

1.2 Reduced-Rank Modelling: Bias Versus

To obtain a reduced rank approximation u n of u(n), one needs to write

where p < M. The reconstruction error Ξ is then defined as

Hence the approximation will be good if the remaining eigenvalues λp + 1, …λM

which illustrates the result of a bias-variance trade off. In particular, it illustrates

1.3 An Introduction to Singular Value Decomposition

To start, we first need to understand what eigenvectors and eigenvalues are as

(1.17) can now be rearranged and [A] can also be written as

Figure 1.1 Discretization of the letter X on a 20×20 grid.

Table 1.1 List of all the singular values of the matrix A.

Figure 1.2 Rank-1 approximation of the image X.

Figure 1.3 Rank-2 approximation of the image X.

Figure 1.4 Rank-3 approximation of the image X.

Figure 1.5 Rank-4 approximation of the image X.

Figure 1.6 Rank-5 approximation of the image X.

Figure 1.7 Rank-6 approximation of the image X.

Figure 1.8 Rank-7 approximation of the image X.

Figure 1.9 Rank-8 approximation of the image X.

1.3.2 The Theory of Total Least Squares

Cicero had clearly foreseen that, although Caesar in writing his

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