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High Power Microwave Sources and Technologies Using Metamaterials
 IEEE Press
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Jón Atli Benediktsson Xiaoou Li Jeffrey Reed

Anjan Bose Lian Yong Diomidis Spinellis
David Alan Grier Andreas Molisch Sarah Spurgeon
Elya B. Joffe Saeid Nahavandi Ahmet Murat Tekalp
High Power Microwave Sources and Technologies
Using Metamaterials

Edited by

John Luginsland
Confluent Sciences, LLC
Ithaca, New York

Jason A. Marshall
Naval Research Laboratory
Washington, DC

Arje Nachman
Air Force Office of Scientific Research
Arlington, VA

Edl Schamiloglu
University of New Mexico
Albuquerque, NM

IEEE Press Series on RF and Microwave Technology

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 v

Contents

Editor Biographies xi
List of Contributors xiii
Foreword xvii
Preface xix

1 Introduction and Overview of the Book 1

Rebecca Seviour
1.1 Introduction 1
1.2 Electromagnetic Materials 2
1.3 Effective-Media Theory 4
1.4 History of Effective Materials 4
1.4.1 Artificial Dielectrics 4
1.4.2 Artificial Magnetic Media 5
1.5 Double Negative Media 7
1.5.1 DNG Realization 9
1.6 Backward Wave Propagation 9
1.7 Dispersion 10
1.8 Parameter Retrieval 12
1.9 Loss 13
1.10 Summary 14
References 14

2 Multitransmission Line Model for Slow Wave Structures Interacting with

Electron Beams and Multimode Synchronization 17
Ahmed F. Abdelshafy, Mohamed A.K. Othman, Alexander Figotin, and Filippo Capolino
2.1 Introduction 17
2.2 Transmission Lines: A Preview 18
2.2.1 Multiple Transmission Line Model 18
2.3 Modeling of Waveguide Propagation Using the Equivalent Transmission
Line Model 20
2.3.1 Propagation in Uniform Waveguides 21
2.3.2 Propagation in Periodic Waveguides 22
2.3.3 Floquet’s Theorem 24
2.4 Pierce Theory and the Importance of Transmission Line Model 25
2.5 Generalized Pierce Model for Multimodal Slow Wave Structures 28
vi Contents

2.5.1 Multitransmission Line Formulation Without Electron Beam: “Cold SWS” 28

2.5.2 Multitransmission Line Interacting with an Electron Beam: “Hot SWS” 30
2.6 Periodic Slow-Wave Structure and Transfer Matrix Method 32
2.7 Multiple Degenerate Modes Synchronized with the Electron Beam 34
2.7.1 Multimode Degeneracy Condition 34
2.7.2 Degenerate Band Edge (DBE) 34
2.7.3 Super Synchronization 35
2.7.4 Complex Dispersion Characteristics of a Periodic MTL Interacting with
an Electron Beam 38
2.8 Giant Amplification Associated to Multimode Synchronization 39
2.9 Low Starting Electron Beam Current in Multimode Synchronization-Based
Oscillators 42
2.10 SWS Made by Dual Nonidentical Coupled Transmission Lines Inside a Waveguide 46
2.10.1 Dispersion Engineering Using Dual Nonidentical Pair of TLs 47
2.10.2 BWO Design Using Butterfly Structure 49
2.11 Three-Eigenmode Super Synchronization: Applications in Amplifiers 50
2.12 Summary 53
References 54

3 Generalized Pierce Model from the Lagrangian 57

Alexander Figotin and Guillermo Reyes
3.1 Introduction 57
3.2 Main Results 59
3.2.1 Lagrangian Structure of the Standard Pierce Model 59
3.2.2 Multiple Transmission Lines 60
3.2.3 The Amplification Mechanism and Negative Potential Energy 60
3.2.4 Beam Instability and Degenerate Beam Lagrangian 61
3.2.5 Full Characterization of the Existence of an Amplifying Regime 61
3.2.6 Energy Conservation and Fluxes 62
3.2.7 Negative Potential Energy and General Gain Media 62
3.3 Pierce’s Model 63
3.4 Lagrangian Formulation of Pierce’s Model 65
3.4.1 The Lagrangian 65
3.4.2 Generalization to Multiple Transmission Lines 67
3.5 Hamiltonian Structure of the MTLB System 68
3.5.1 Hamiltonian Forms for Quadratic Lagrangian Densities 68
3.5.2 The MTLB System 70
3.6 The Beam as a Source of Amplification: The Role of Instability 71
3.6.1 Space Charge Wave Dynamics: Eigenmodes and Stability Issues 71
3.7 Amplification for the Homogeneous Case 74
3.7.1 Asymptotic Behavior of the Amplification Factor as 𝜉 → 0 and as 𝜉 → ∞ 77
3.8 Energy Conservation and Transfer 77
3.8.1 Energy Exchange Between Subsystems 78
3.9 The Pierce Model Revisited 80
3.10 Mathematical Subjects 82
3.10.1 Energy Conservation via Noether’s Theorem 82
3.10.2 Energy Exchange Between Subsystems 83
 Contents vii

3.11 Summary 84
References 84

4 Dispersion Engineering for Slow-Wave Structure Design 87

Ushe Chipengo, Niru K. Nahar, John L. Volakis, Alan D. R. Phelps, and Adrian W. Cross
4.1 Introduction 87
4.2 Metamaterial Complementary Split Ring Resonator-Based Slow-Wave Structure 88
4.2.1 Complementary Split Ring Resonator Plate-Loaded Metamaterial Waveguide:
Design 89
4.2.2 Complementary Split Ring Resonator Plate-Loaded Metamaterial Waveguide:
Fabrication and Cold Test 92
4.3 Broadside Coupled Split Ring Resonator-Based Metamaterial Slow-Wave Structure 94
4.3.1 Broadside-Coupled Split Ring-Loaded Metamaterial Waveguide: Design 94
4.3.2 Broadside-Coupled Split Ring-Loaded Metamaterial Waveguide: Fabrication and
Cold Test 97
4.4 Iris Ring-Loaded Waveguide Slow-Wave Structure with a Degenerate Band Edge 97
4.4.1 Iris Loaded-DBE Slow-Wave Structure: Design 100
4.4.2 Iris-Loaded DBE Slow-Wave Structure: Fabrication and Cold Test 102
4.5 Two-Dimensional Periodic Surface Lattice-Based Slow-Wave Structure 102
4.5.1 Two-Dimensional Periodic Surface Lattice Slow-Wave Structure: Design 104
4.5.2 Two-Dimensional Periodic Surface Lattice Slow-Wave Structure: Fabrication and
Cold Test 106
4.6 Curved Ring-Bar Slow-Wave Structure for High-Power Traveling Wave Tube
Amplifiers 107
4.6.1 Curved Ring-Bar Slow-Wave Structure: Design 108
4.6.2 Curved Ring-Bar Slow-Wave Structure: Fabrication and Cold Testing 112
4.7 A Corrugated Cylindrical Slow-Wave Structure with Cavity Recessions and Metallic
Ring Insertions 114
4.7.1 Design of a Corrugated Cylindrical Slow-Wave Structure with Cavity Recessions and
Metallic Ring Insertions 116
4.7.2 Fabrication and Cold testing of a Homogeneous, Corrugated Cylindrical Slow-Wave
Structure with Cavity Recessions and Metallic Ring Insertions 119
4.7.3 Inhomogeneous SWS design based on the Corrugated Cylindrical SWS with Cavity
Recessions and Metallic Ring Insertions: Fabrication and Cold Testing 121
4.8 Summary 123
References 123

5 Perturbation Analysis of Maxwell’s Equations 127

Robert Lipton, Anthony Polizzi, and Lokendra Thakur
5.1 Introduction 127
5.2 Gain from Floating Interaction Structures 129
5.2.1 Anisotropic Effective Properties and the Dispersion Relation 130
5.2.2 A Pierce-Like Approach to Dispersion 133
5.3 Gain from Grounded Interaction Structures 133
5.3.1 Model Description 134
5.3.2 Physics of Waveguides and Maxwell’s Equations 134
5.3.3 Perturbation Series for Leading Order Dispersive Behavior 137
viii Contents

5.3.4 Leading Order Theory of Gain for Hybrid Space Charge Modes for a Corrugated SWS
with Beam 138
5.3.4.1 Hybrid Modes in Beam 140
5.3.4.2 Impedance Condition 141
5.3.4.3 Cold Structure 141
5.3.4.4 Pierce Theory 142
5.4 Electrodynamics Inside a Finite-Length TWT: Transmission Line Model 142
5.4.1 Solution of the Transmission Line Approximation 145
5.4.2 Discussion of Results 145
5.5 Corrugated Oscillators 148
5.5.1 Oscillator Geometry 148
5.5.2 Solutions of Maxwell’s Equations in the Oscillator 149
5.5.3 Perturbation Expansions 151
5.5.4 Leading Order Theory: The Subwavelength Limit of the Asymptotic Expansions 151
5.5.5 Dispersion Relation for 𝛿𝜔 152
5.6 Summary 154
References 154

6 Similarity of the Properties of Conventional Periodic Structures with

Metamaterial Slow Wave Structures 157
Sabahattin Yurt, Edl Schamiloglu, Robert Lipton, Anthony Polizzi, and Lokendra Thakur
6.1 Introduction 157
6.2 Motivation 157
6.3 Observations 159
6.3.1 Appearance of Negative Dispersion for Low-Order Waves 159
6.3.2 Evolution of Wave Dispersion in Uniform Periodic Systems with Increasing
Corrugation Depth 160
6.3.2.1 SWS with Sinusoidal Corrugations 161
6.3.2.2 SWS with Rectangular Corrugations 164
6.4 Analysis of Metamaterial Surfaces from Perfectly Conducting Subwavelength
Corrugations 168
6.4.1 Approach 169
6.4.2 Model Description 169
6.4.2.1 Physics of Waveguides and Maxwell’s Equations 170
6.4.2.2 Two-Scale Asymptotic Expansions 172
6.4.2.3 Leading Order Theory: The Subwavelength Limit of the Asymptotic Expansions 172
6.4.2.4 Nonlocal Surface Impedance Formulation for Time Harmonic Fields 173
6.4.2.5 Effective Surface Impedance for Hybrid Modes in Circular Waveguides 174
6.4.3 Metamaterials and Corrugations as Microresonators 175
6.4.4 Controlling Negative Dispersion and Power Flow with Corrugation Depth 177
6.4.5 Summary 182
References 182
 Contents ix

7 Group Theory Approach for Designing MTM Structures for High-Power

Microwave Devices 185
Hamide Seidfaraji, Christos Christodoulou, and Edl Schamiloglu
7.1 Group Theory Background 185
7.1.1 Symmetry Elements 186
7.1.2 Symmetry Point Group 187
7.1.3 Character Table 187
7.2 MTM Analysis Using Group Theory 188
7.2.1 Split Ring Resonator Behavior Analysis Using Group Theory 189
7.2.1.1 Principles of Group Theory 189
7.2.1.2 Basis Current in SSRs 191
7.3 Inverse Problem-Solving Using Group Theory 194
7.4 Designing an Ideal MTM 195
7.5 Proposed New Structure Using Group Theory 195
7.6 Design of Isotropic Negative Index Material 197
7.7 Multibeam Backward Wave Oscillator Design using MTM and Group Theory 199
7.7.1 Introduction and Motivation 199
7.7.2 Metamaterial Design 200
7.7.3 Theory of Electron Beam Interaction with Metamaterial Waveguide 203
7.7.4 Hot Test Particle-in-Cell Simulations 204
7.8 Particle-in-Cell Simulations 204
7.9 Efficiency 207
7.10 Summary 208
References 209

8 Time-Domain Behavior of the Evolution of Electromagnetic Fields in

Metamaterial Structures 211
Mark Gilmore, Tyler Wynkoop, and Mohamed Aziz Hmaidi
8.1 Introduction 211
8.2 Experimental Observations 212
8.2.1 Bandstop Filter (BSF) System 215
8.2.2 Bandpass Filter (BPF) System 217
8.3 Numerical Simulations 224
8.3.1 Bandstop System (BSF) 225
8.3.2 Bandpass Filter System (BPF) 226
8.3.3 Experiment-Model Comparison 227
8.4 Attempts at a Linear Circuit Model 229
References 230

9 Metamaterial Survivability in the High-Power Microwave Environment 233

Rebecca Seviour
9.1 Introduction 233
9.2 Split Ring Resonator Loss 234
x Contents

9.3 CSRR Loss 237

9.4 Artificial Material Loss 239
9.5 Disorder 241
9.6 Summary 242
References 244

10 Experimental Hot Test of Beam/Wave Interactions with Metamaterial Slow

Wave Structures 245
Michael A. Shapiro, Jason S. Hummelt, Xueying Lu, and Richard J. Temkin
10.1 First-Stage Experiment at MIT 246
10.1.1 Metamaterial Structure 246
10.1.2 Experimental Results 247
10.1.3 Summary of First-Stage Experiments 251
10.2 Second-Stage Experiment at MIT 251
10.3 Metamaterial Structure with Reverse Symmetry 252
10.4 Experimental Results on High-Power Generation 255
10.5 Frequency Measurement in Hot Test 257
10.6 Steering Coil Control 262
10.7 University of New Mexico/University of California Irvine Collaboration on a High
Power Metamaterial Cherenkov Oscillator 264
10.8 Summary 264
References 265

11 Conclusions and Future Directions 267

John Luginsland, Jason A. Marshall, Arje Nachman, and Edl Schamiloglu
References 268

Index 271
 xi

Editor Biographies

John Luginsland – Dr. John Luginsland is a senior scientist at Confluent Sciences, LLC and an
adjunct professor at Michigan State University. Previously, he worked at AFOSR serving as the
plasma physics and lasers and optics program officer, as well as in various technical leadership
roles. Additionally, he worked for SAIC and NumerEx, as well as the directed energy directorate of
the Air Force Research Laboratory (AFRL). He is a fellow of the IEEE and AFRL. He received his
BSE, MSE., and PhD in nuclear engineering from the University of Michigan in 1992, 1994, and
1996, respectively.

Jason A. Marshall – Dr. Jason A. Marshall is the associate superintendent, Plasma Physics
Division, Naval Research Laboratory. Prior to this, he was a principal scientist with the Air
Force Office of Scientific Research responsible for management and execution of the Air Force
basic research investments in Plasma and Electro-energetic Physics. He received BS degrees in
anthropology and chemistry from Eastern New Mexico University in 1994 and 1995, respectively;
an MS degree in chemistry from Washington State University in 1998; and a PhD in chemical
physics from Washington State University in 2002.

Arje Nachman – Dr. Arje Nachman is the program officer for electromagnetics at AFOSR. He
has worked at AFOSR since 1985. Before that, he was on the mathematics faculty of Texas A&M
and Old Dominion University, and a senior scientist at Southwest Research Institute (SwRI). Dr.
Nachman received a BS in computer science and applied mathematics in 1968 from Washington
University (St. Louis) and a PhD in Mathematics in 1973 from NYU.

Edl Schamiloglu – Dr. Edl Schamiloglu is a distinguished professor of electrical and computer
engineering at the University of New Mexico, where he also serves as associate dean for research
and innovation in the School of Engineering, and special assistant to the Provost for Laboratory
Relations. He is a fellow of the IEEE and the American Physical Society. He received his BS and
MS from Columbia University in 1979 and 1981, respectively, and his PhD from Cornell University
in 1988.
 xiii

List of Contributors

Ahmed F. Abdelshafy Alexander Figotin

Department of Electrical Engineering and Department of Mathematics, The University of
Computer Science, The University of California at Irvine
California at Irvine Irvine, CA
Irvine, CA USA
USA
Mark Gilmore
Filippo Capolino Department of Electrical and Computer
Department of Electrical Engineering and Engineering, University of New Mexico
Computer Science, The University of Albuquerque, NM
California at Irvine USA
Irvine, CA
USA Mohamed Aziz Hmaidi
Luxoft
Ushe Chipengo Farmington Hills, MI
Ansys Inc. USA
Canonsburg, PA
USA Jason S. Hummelt
Diamond Foundry
Christos Christodoulou Santa Clara, CA
Department of Electrical and Computer USA
Engineering, University of New Mexico
Albuquerque, NM Robert Lipton
USA Department of Mathematics, Louisiana State
University
Adrian W. Cross Baton Rouge, LA
Department of Physics USA
University of Strathclyde
Glasgow, Lanarkshire Xueying Lu
UK Northern Illinois University
DeKalb, IL
USA
xiv List of Contributors

John Luginsland Guillermo Reyes

Confluent Sciences, LLC Department of Mathematics, University of
Albuquerque, NM Southern California
USA Los Angeles, CA
USA
Jason A. Marshall
Naval Research Laboratory Edl Schamiloglu
Washington, DC Department of Electrical and Computer
USA Engineering, University of New Mexico
Albuquerque, NM
Arje Nachman USA
Air Force Office of Scientific Research
Arlington, VA Hamide Seidfaraji
USA Microsoft Corporation
Kirkland, WA
Niru K. Nahar USA
Electroscience Laboratory, The Ohio State
University Rebecca Seviour
Columbus, OH School of Computing and Engineering,
USA University of Huddersfield
Huddersfield
Mohamed A. K. Othman UK
SLAC National Accelerator Laboratory,
Stanford University Michael A. Shapiro
Menlo Park, CA Plasma Science and Fusion Center, MIT
USA Cambridge, MA
USA
Alan D.R. Phelps
Department of Physics Richard J. Temkin
University of Strathclyde Plasma Science and Fusion Center, MIT
Glasgow, Lanarkshire Cambridge, MA
UK USA

Anthony Polizzi Lokendra Thakur

Synovus Financial MIT-Harvard Broad Institute
Columbus, GA Cambridge, MA
USA USA
 List of Contributors xv

John L. Volakis Sabahattin Yurt

College of Engineering and Computing, Qualcomm Technologies, Inc.
Florida International University San Diego, CA
Miami, FL USA
USA

Tyler Wynkoop
BAE Systems, Inc.
Minneapolis, MN
USA
 xvii

Foreword

Since its inception in 1985, the Department of Defense’s Multidisciplinary University Research Ini-
tiative (MURI) program has convened teams of investigators with the hope that collective insights
drawn from research across multiple disciplines could facilitate the advancement of newly emerg-
ing technologies and address the department’s unique problem sets. Developed in collaboration
between the military services and the Office of the Secretary of Defense, MURI topics and the
teams chosen to execute the research represent a dedicated source of innovation for science and
technology solutions to hard national security problems. These highly competitive awards comple-
ment and augment the traditional basic research initiatives that support single-investigator grants
with research programs that can draw on a wide range of researchers and disciplines. Furthermore,
longer periods of performance allow these MURIs to start new research areas at the intersection of
multiple fields of study. The combination of significant and sustained support in areas critical to
National Security and the Department of Defense’s mission provide the potential for game changing
advancement in science and technology.
This volume, edited by Drs. John Luginsland, Jason A. Marshall, Arje Nachman, and Edl
Schamiloglu, summarizes the accomplishments of the FY12 MURI consortium, which was
awarded an AFOSR grant on Transformational Electromagnetics. Drs. Luginsland, Marshall, and
Nachman (AFOSR) were program officers for this MURI, and Dr. Schamiloglu (University of New
Mexico) was the consortium PI. The other PIs on this MURI were Dr. Richard Temkin (MIT), Dr.
John Volakis (The Ohio State University and toward the end Florida International University),
Dr. Alexander Figotin (UC Irvine), and Dr. Robert Lipton (Louisiana State University). The
contributors to this volume were the faculty, staff, and graduate students involved in performing
the research.
The success of this MURI is a result of the hard work and internationally recognized exper-
tise of the sponsored researchers. As a plasma physicist myself, I certainly appreciate the chal-
lenges in advancing the state-of-the-art in directed energy microwave sources. The five universities,
guided by the MURI’s Advisory Board with members from the Air Force Research Laboratory, Los
Alamos National Laboratory, and industry, have advanced the understanding of a new generation
of directed energy microwave capability that introduces metamaterials into their beam-wave inter-
action structures. Conventional microwave vacuum electronics has advanced enormously from
continuous research for nearly a century. Metamaterial-based devices have been explored for less
than a decade, so one can only imagine what advances will be realized in the future.
I commend the AFOSR program officers for successfully creating such a MURI topic, and I
commend the PI and his team for successfully executing this award. This is an example of how
multidisciplinary teams accelerate research through cross-fertilization of ideas. Such efforts also
hasten the transition of basic research findings to practical applications and, importantly, train the
xviii Foreword

next generation of the science and engineering workforce in areas of particular importance to the
U.S. DoD.
In summary, I am very pleased to have this volume as an archival record of this successful
five-year effort. The editors have done a masterful job of working with the researchers to collate
this huge mass of valuable information into a consistent whole. This volume is a wonderful way of
disseminating the advances from this MURI to new students, and also to practitioners, in the field
seeking to understand how metamaterials can be exploited to design a new generation of intense
microwave sources.

Brendan B. Godfrey
Director, AFOSR
2004–2010

Brendan B. Godfrey is retired from a career of research management in government and industry,
most recently as part of the Senior Executive Service (SES). He is a full-time volunteer, not only princi-
pally for IEEE-USA, but also for IEEE-Nuclear and Plasma Sciences Society, the National Academies,
Lawrence Berkeley National Laboratory, and Ars Lyrica Houston. He has led organizations with as
many as 1500 people and budgets as large as US$ 500 million. He was director of the Air Force Office
of Scientific Research from 2004 to 2010. His personal research centers on intense-charged particle
beams, high-power microwave sources, and computational plasma methods. He is an IEEE Fellow
and American Physical Society Fellow, and holds a PhD from Princeton University.
 xix

Preface

Aristotle identified a distinction between natural and artificial things. He ascribed the difference
to motion and change. Natural things have a source of motion or change within them. Artificial
things don’t have any source of change in them, so they need an external cause. In this book, we
explore the change in artificial materials caused by high-power electromagnetic radiation.
This book presents a snapshot in time of the status of research on high-power microwave (HPM)
sources and technologies using metamaterials circa 2021. The focus of this book is on research that
resulted from an FY2012 Air Force Office of Scientific Research (AFOSR) Multidisciplinary Uni-
versity Research Initiative (MURI) award on Transformational Electromagnetics that was funded
for over US$ 7.5 million and for over five years. The award was also supplemented with substantial
Defense University Research Instrumentation Program (DURIP) grants. This MURI award builds
on decades of AFOSR support for HPM research. The exploration of metamaterials essentially dou-
bles the space of materials that can be exploited in the design of HPM sources, a space previously
occupied by only conventional metals.
One of the editors (ES) was the lead Principal Investigator (PI) on the award and the remaining
editors (JL, JAM, and AN) served as program officers for part or all of the award.
The team of university researchers was led by the University of New Mexico (ES) and included
MIT (Richard Temkin, PI), the Ohio State University (John Volakis, PI), the University of Cali-
fornia at Irvine (Alex Figotin, PI), and Louisiana State University (Robert Lipton, PI). The title of
their proposal was Innovative Use of Metamaterials in Confining, Controlling, and Radiating Intense
Microwave Pulses.
Supporting this MURI team were collaborators at the Air Force Research Laboratory’s (AFRL’s)
Directed Energy (DE) Directorate (Dr. Robert E. Peterkin, Chief Scientist for AFRL’s Directorate at
the time). In addition, an esteemed group of scientists served as the advisory board for this MURI,
providing feedback and guidance. Members of the Advisory Board were:
● Dr. Dave Abe, Naval Research Laboratory, Washington, DC

● Dr. Richard Albanese, ADED Co., San Antonio, TX

● Dr. Carter Armstrong, L-3 Communications EDD, San Carlos, CA

● Dr. Bruce Carlsten, Los Alamos National Laboratory, Los Alamos, NM

● Mr. Charles Chase, Lockheed Martin, Palmdale, CA

● Mr. Chuck Gilman, SAIC, Albuquerque, NM (Retired)

● Dr. John Petillo, Leidos Corp., Billerica, MA

● Dr. Don Sullivan, Raytheon, Albuquerque, NM

● Dr. Jeffrey P. Tate, Raytheon Space and Airborne Systems, El Segundo, CA

● Dr. Pravit Tulyathan, Boeing, Huntington Beach, CA (Retired)

xx Preface

Chapter 1, written by Rebecca Seviour, presents an introduction to metamaterials and the scope
of the book. Chapter 2, led by Ahmed F. Abdelshafy, presents a multitransmission line model for
beam/wave interaction structures. Chapter 3, led by Alex Figotin, presents a generalized Pierce
model from the Lagrangian. Chapter 4, led by Ushemadzoro Chipengo, reviews dispersion engi-
neering for slow-wave structure design. Chapter 5, led by Robert Lipton, presents a perturbation
analysis of Maxwell’s equations. Chapter 6, led by Sabahattin Yurt, presents a comparison of the
properties of conventional periodic structures with deep corrugation with those of metamaterials.
Chapter 7, led by Hamide Seidfaraji, presents a group theory approach for designing metamaterial
structures for HPM devices. Chapter 8, led by Mark Gilmore, describes the temporal evolution
of microwave electromagnetic fields in metamaterial structures. Chapter 9, written by Rebecca
Seviour, discusses metamaterial survivability in the HPM environment. Chapter 10, led by Michael
A. Shapiro, presents hot test results of beam/wave interaction with metamaterials structures.
Finally, Chapter 11, written by the editors presents the conclusions and future directions.
The proceeds from the sales of this book will be directed to the SUMMA Foundation, a philan-
thropic organization that supports scholarships for students studying and scientific workshops on
the subject of high-power electromagnetics (http://ece-research.unm.edu/summa/).
Finally, special thanks go to Dustin Fisher for converting original Word documents to LATEX.
We also thank Dr. Brendan Godfrey for graciously agreeing to contribute the Foreword to this
book. Special thanks also go to Mary Hatcher, Teresa Netzler, and Victoria Bradshaw at Wiley for
supporting this project and patiently awaiting completion of the manuscript.

Albuquerque, NM John Luginsland

Jason A. Marshall
Arje Nachman
Edl Schamiloglu
 1

Introduction and Overview of the Book

Rebecca Seviour
University of Huddersfield, School of Computing and Engineering, Queensgate, Huddersfield HD1 3DH, UK

1.1 Introduction

High-power microwaves (HPMs), or directed energy RF, is an evolution of vacuum electron devices
(VEDs) that seeks to generate the highest peak power levels in the frequency range of 100 s MHz
through 100 GHz (and even higher frequencies) in short pulses (10–100 s ns in duration) that can
be repetitively pulsed [1, 2]. They came onto the scene in the late 1960s following the advent of
pulsed power drivers that not only provided high-energy electron beams (in the order of a MeV
and higher), but concomitantly provided high currents as well (1–10’s kA) [3]. Similar to VEDs, the
electron beam is the power source from which the microwaves grow. Unlike VEDs, HPM sources
have much less-stringent vacuum and material requirements since their applications tend to be
limited in scope with short mission times.
The state-of-the-art in the practice of HPM sources has been led by intense beam-driven oscilla-
tors whose output scale as Pf 2 , where P is the peak output microwave power and f is the operating
frequency [2, 4]. This is the Figure-of-Merit (FOM) for HPM oscillators. The equivalent FOM for
HPM amplifiers is Pf Δf where Δf is the bandwidth (BW). Until recently, conventional wisdom sug-
gested that for emerging defense applications, the highest power on target (highest intensity field)
was of greatest utility. However, recent advances in the understanding of the interaction of intense
microwave fields with components and circuits argue that a tailored waveform synthesized at low
power and amplified to very high power, might provide even superior capabilities. This is termed
waveform diversity. Consider a comparison of the state-of-the-art oscillator and amplifier in terms
of the FOM: (i) the ITER/DIII-D’s plasma-heating gyrotron oscillator at 110 GHz, 1 MW (10 s pulse),
1.1 MHz BW, has a FOM 1.2 × 1012 W-GHz2 and essentially no BW. (ii) Haystack radar’s gyrotron
amplifier at 94 GHz, 55 kW output power (5.5 kW average), 1600 MHz BW yields a FOM 8.3 × 106
W-GHz2 . Thus, there is a 2 order-of-magnitude opportunity to advance the FOM in high-power
amplifiers with considerable BW.
Interest in metamaterials (MTMs) grew rapidly following the publication of Pendry [5] and
its practical implementation by Smith afterwards [6]. As discussed in this chapter, the history of
MTMs dates back to the nineteenth century with numerous contributors, many of whom have only
recently been rediscovered. This history has been reviewed in several books [7, 8] and continues
to be unraveled.
While numerous books have been written on the EM properties of MTMs, all of the applica-
tions that have been described in these books to-date are at low-power levels. In this book, we
High Power Microwave Sources and Technologies Using Metamaterials, First Edition.
Edited by John Luginsland, Jason A. Marshall, Arje Nachman, and Edl Schamiloglu.
© 2022 The Institute of Electrical and Electronics Engineers, Inc. Published 2022 by John Wiley & Sons, Inc.
2 1 Introduction and Overview of the Book

bring together advances that have been made in studying MTMs as slow-wave structures (SWSs)
for active electron beam-driven HPM devices. We discuss structures that satisfy Wasler’s definition
of a MTM (see Section 1.2), and we also describe periodic SWSs with degenerate band edges (DBEs)
that do not satisfy this definition, yet do offer novel engineered dispersion relations that are rele-
vant to our overall goal-seeking to discover novel beam/wave interactions that can be exploited for
new HPM amplifiers.

1.2 Electromagnetic Materials

In many VEDs, the particle wave interaction is mediated in part via a material, where the func-
tionality of the material manipulates the electromagnetic (EM) wave in a controlled fashion. The
creativity of engineers to construct new devices is largely limited by the EM properties of avail-
able materials and the ability to precision engineer geometries from these materials. Of course,
we are not restricted to naturally occurring materials; for decades, RF engineers have used materi-
als synthesized at the molecular level with peculiar RF properties, such as Polytetraflufoethylene
(TeflonTM ) and HfO2 . These molecular synthesized materials can be used in VEDs to modify the
behavior of an EM wave in a useful manner. In a simplistic form, this behavior between wave and
material is described via the constitutive relations:
D(k, 𝜔) = 𝜖(k, 𝜔)E(k, 𝜔)
B(k, 𝜔) = 𝜇(k, 𝜔)H(k, 𝜔). (1.1)
Here the permittivity (𝜖) and the permeability (𝜇) are the complex averaged EM response func-
tions of the molecules that make up the material due to the interaction with the electric and mag-
netic components of an incident wave. The molecules in the material respond to the incident
EM wave by forming dipoles, and these individual responses are averaged over all molecules in a
volume ≈ 𝜆3 to yield the permittivity and permeability. This averaging process discussed further in
Section 1.3 even holds for gases as the number of molecules is still large enough that the parameters
𝜖 and 𝜇 accurately describe the interaction of an EM wave well into ultraviolet frequencies.
As 𝜖 and 𝜇 are the primary parameters that define a materials response to an EM wave it is use-
ful to categorize materials based on the real components of these two parameters, as shown in
Figure 1.1. Materials in the upper right quadrant of Figure 1.1 are often termed Double Positive
Media (DPM), common dielectric materials, such as Polytetraflufoethylene, Al2 O3 . The upper-left
and lower-right quadrants of Figure 1.1 are the single negative media, such as plasmas or metals
with a negative permittivity and negative permeability materials such as “wet” ice crystals. Unlike
the DPM these single-negative media only allow evanescent wave transport. The lower-left quad-
rant of Figure 1.1 represents a special case of materials where both permittivity and permeability
are simultaneously negative. These Double Negative materials (DNGs) like their double-positive
counterparts support wave propagation though the media. The key difference between the DNG
quadrant and the other three is that single-negative and double-positive media all occur naturally,
whereas we are yet to find a naturally occurring DNG media.
Although presenting fantastic opportunities, molecular synthesized materials are limited in the
range of RF properties they can produce due to the nature of the EM interaction with the molecules
of the material. An interaction where the light-mass negatively charged electrons surrounding the
relatively large-mass positively charged nucleus of the atoms move in response to an EM wave
forming a dipole. This response is fixed by both the fundamental properties (charge, mass) and
the chemical bonds formed in the material, limiting the available parameter range 𝜖 and 𝜇 these
 1.2 Electromagnetic Materials 3

Figure 1.1 Broad categorization of materials μ

based on the real components of the permittivity
and permeability.
ENG Normal materials
Electric NeGative media (ENG) Double Positive Media (DPM)

i.e. Plasmas, metals

O ɛ

DNG MNG
Double NeGative media (DNG) Magnetic NeGative media (MNG)

i.e. Metamaterials i.e. wet ice crystals

materials can access. These limitations have led scientists and engineers to create a range of artifi-
cial composite structures with periodic subwavelength functional inclusions. Although these inclu-
sions are many orders of magnitude larger than the molecules of the constitutive materials, they are
still much smaller that the EM wavelength of interest. In this case, to an incident EM wave, these
inclusions respond no differently than giant molecules with a very large polarizability. This enables
the interactions between wave and the collective structures to be described in terms of the “homog-
enized” abstracted bulk material parameters permittivity and permeability. Treating the collective
periodic structures in this homogenized manner is called an “effective” medium or material. This
approach in theory allows the engineer to fabricate artificial effective materials with specific engi-
neered EM properties, most notable of which is the creation of the above DNG materials. There are
of course restrictions on achievable physical material properties that are impossible to engineer,
such as the creation of media where waves propagate with group velocities greater than the speed
of light in vacuum.
Around 20 years ago, the word “MTM” entered the lexicon to refer to certain types of effective
media. Even though a large number of peer-reviewed papers using the word “MTM” have been
published an agreed definition of what a MTM is remains elusive. The origin of the word “meta”
from the Greek “beyond” implies in some sense that “metamaterials” are a form of material
beyond conventional materials. Sources suggest the term “MTM” was first coined by Rodger
Walser in 1999 [9], who defined a MTM as; “ . . . macroscopic composites having man-made, three-
dimensional, periodic cellular architecture designed to produce an optimized combination, not
available in nature, of two or more responses to specific excitation.” Whereas the Metamorphose
Network defines a metamaterial as “ . . . an arrangement of artificial structural elements, designed
to achieve advantageous and unusual electromagnetic properties” [10].
This later definition although encompassing the Walser definition could be considered too
“broad,” as, for example it does not recognize the critical differences between MTMs, photonics
structures, and other man-made structures such as multi-input, multi-output (MIMO) antenna
arrays. To quote Cai and Shalaev [8]; “Metamaterials are, above all, man-made materials. The struc-
tural units of a metamaterial, known as meta-atoms or metamolecules, must be substantially smaller
than the wavelength being considered, and the average distance between neighboring metaatoms
is also subwavelength in scale. The subwavelength scale of the inhomogeneities in a metamaterial
4 1 Introduction and Overview of the Book

makes the whole material macroscopically uniform, and this fact makes a metamaterial essentially a
material instead of a device. The scale of the inhomogeneities also distinguishes metamaterials from
many other electromagnetic media.” These last two sentences from Wei are critical in defining the
underlaying physics that enables us to consider MTMs as “effective media.” For example some
definitions would allow the eye of a lobster to be defined as a MTM, even though the structure of
the lobster’s eye works on reflection with a periodicity of ≈10 μm [11], many times larger than the
wavelength of light entering the lobster eye meaning that the system cannot really be treated as an
effective media.

1.3 Effective-Media Theory

Effective media theory builds upon the theoretical framework developed in the nineteenth century
by Mossitti [12] and Clausius [13] on the homogenization of materials. For example consider a
system of small, subwavelength, particles arranged into a lattice. If the particles are small enough,
then the response of the system to an EM wave is the same as if the system were a collection of
molecules with a large polarizability, i.e. if the scale of the inhomogeneities is small compared to
the incident wavelength, then the system appears homogeneous to the wave. This homogenization
approach allows us to predict the EM behavior of a heterogeneous system by evaluating the effec-
tive permittivity and permeability of a macroscopically homogeneous medium. Where the effective
permittivity and permeability of the bulk material is found in terms of the permittivities, perme-
abilities, and geometry of the individual constituents of the system. This approach is the basis for
many “effective media” theories, Lakhtakia [14] presents a comprehensive review of the early work
on effective media theories and a review of more modern work can be found in the paper by Belov
and Simovski [15] that also discusses the homogenization of MTMs including a radiation term.
Two commonly used effective media theories that illustrate the general approach are the
Maxwell–Garnett [16] and the Bruggeman [17] approach. Each approach is based upon slightly
different assumptions about the topology and material properties of the constituent materials. In
the Maxwell–Garnett approach it is assumed that the inclusions are well-defined spheres sparsely
scattered across the host medium. The Bruggeman approach is essentially a percolation approach,
where the two mediums are equally intermingled. These examples highlight a key point about
effective-media theories. As the effective-permittivity/permeability are averaged differently in
each model, different effective-media theories cannot be directly compared to each other even
when the same subwavelength configuration is considered.

1.4 History of Effective Materials

1.4.1 Artificial Dielectrics

The realization of artificial materials began a hundred years before the term “metamaterial” was
introduced, with the work of Rayleigh and Bose in the 1890s. Rayleigh proposed a system of small
scatterers as an equivalent continuous medium [18], and Bose produced an artificial chiral material
by twisting “jute” root [19]. This work was extended in 1914 by Lindman who considered small wire
helices embedded into a host medium to create an artificial chiral material [20]. The first practical
applications did not appear until the 1940s with the pioneering work of Kock [21]. Kock created
Artificial Dielectrics from arrays of subwavelength metallic structures (spheres, rods, and plates)
 1.4 History of Effective Materials 5

Figure 1.2 Kock’s artificial dielectric lens, consisting of

conducting spheres embedded in a low index foam, taken
from [21]. Source: Kock [21] / with permission of John Wiley
& Sons, Inc.

to form Dielectric Lenses [21] of the form shown in Figure 1.2, with the aim to develop light weight
RF lens compared to their metal counterparts.
In 1953 Brown [22] extended the work of Kock, considering a lattice of thin metallic wires, show-
ing the system could be considered to have a plasma frequency. Brown demonstrated that the
system formed an artificial plasma and could be considered an effective medium with negative
permittivity. In the case of lossless wires, the wire array can be modeled as an array of inductors
with inductance L. In this case, the effective permittivity (𝜖eff ) of the system becomes
1
𝜖eff (𝜔) = 1 − 2 2 . (1.2)
d 𝜔 𝜖o L
Importantly, Kharadly and Jackson [23] generalized this work to consider effective media formed
from lattices of metal ellipsoids, disks, and rods, with the assumption that the frequency of opera-
tion is low and the Rayleigh quasi-static restriction holds. Interest in this type of effective medium
grew as the possibilities for exploitation were realized, most comprehensively by Rotman [24], who
explored these artificial materials as plasma analogs to investigate the effect of plasmas on antenna
systems. This type of wire array media have been turned into an “active” material by the inclu-
sion of diodes enabling the media to be actively switched from a negative to a positive permittivity
medium. Progress with this type of media resulted in the material becoming commercially available
in the 1970s [25]. Even today wire-array based media are still attracting interest as subwavelength
elements for epsilon negative (ENG) and DNG materials. Also, especially, in configurations that
exhibit spatial dispersion (i.e. a dependence of the permittivity or permeability on the wavevector,
𝜖(𝜔, k) and 𝜇(𝜔, k)) [26–28].

1.4.2 Artificial Magnetic Media

Research into artificial magnetic media dates back to the work of Schelkunoff and Friis [29] in
the 1950s and the proposed Split Ring Resonator (SRR). Engineered high-permeability materials
are especially interesting as most conventional materials of the magnetic field component of the
EM wave couples only weakly to the material [30]. Magnetism without magnetic materials has been
known for sometime, such as “wet” ice crystals, where the water in the system causes a diamagnetic
behavior, although even in these systems, the relative permeability is low. Today, the SRR remains
the magnetic meta-atom of choice for researchers, although multiple researchers have examined
the SRR in depth (see for example [31, 32]), the basic geometry remains the same as that originally
proposed by Schelkunoff in 1950.
6 1 Introduction and Overview of the Book

L
(a) (b) (c)

C/2 C/2

Figure 1.3 (a) Double SRR geometry building block, and (b) An array of SRRs. (c) The equivalent circuit
diagram from the SRR shown in (a).

Due to the significance of the SRR, it is pertinent to review the key aspects of its function and
behavior. Consider the geometry shown in Figure 1.3, a double SRR formed from concentric metal-
lic tracks similar to the design of Pendry et al. [33]. We consider the case where this SRR meta-atom
is much smaller than the wavelength of interest allowing a system of multiple SRRs to be described
by effective medium theory. At the level of an individual meta-atom, the incident wave upon a SRR
produces a magnetic flux to oppose the incident field. Without the split, this interaction would
be purely an inductive nonresonant phenomena, resulting in a weakly diamagnetic system. The
split prevents the current circulating causing a collection of charge at the split edge creating a
capacitance.
A meta-atom with a single SRR will accumulate charge at the gap creating a large electric dipole
moment that in most cases dominate over the magnetic dipole moment. A second concentric SRR
where the “gaps” of the SRRs are opposite each other offers control over the capacitance of the
meta-atom, allowing the electric dipole moment of the inner ring to suppress the electric dipole
moment of the outer ring, allowing the magnetic moment to dominate the system.
The resulting SRR configuration can be modeled as an equivalent subwavelength quasi-static
LCR circuit, shown in Figure 1.3. This circuit although a crude first approximation can present
great insights into the system’s response and behavior of the artificial material over all. The induc-
tive elements of the equivalent circuit are relatively easy to determine, estimated by L ≈ 2𝜇0 r. The
Ohmic loss in the system can be estimated as R ≈ 𝜋r∕c𝜎𝛿. Determining the capacitance is tricky
as in addition to the capacitive effects of the split “gaps,” there is also the capacitance from the gap
that separates the two SRRs. An analysis conducted by Baena et al. [34] approximates the capaci-
tance of the double SRR system by C ≈ 𝜋r𝜖0 t∕2d, where t is the combined width of the rings and
d the separation between
√ the rings. This enables the resonant frequency of the meta-atom to be
estimated as 𝜔0 = 1∕(L + R∕j𝜔0 )C. Using the resonant frequency, we can estimate, to first order,
the magnetic moment mh of an individual meta-atom in response to an incident wave of magnetic
field, H [35]:
𝜋 2 r 4 𝜇0 H
mh (𝜔) = . (1.3)
(𝜔20 ∕𝜔2 − 1)L
Using Eq. (1.3) one can then determine the effective permeability [35] (𝜇eff ) of an artificial material
formed from a lattice of individual subwavelength SRRs:
m
𝜇eff (𝜔) = 1 + h . (1.4)
VH
V is the unit-cell volume for an individual meta-atom. This approach is of course rather crude and
does not take into account electric coupling or the bianisotropic nature of the material. Although
it does enable us, at least to first order, to gain useful insights into how engineered changes to the
unit-cell geometry will alter the effective permeability of our artificial material.
 1.5 Double Negative Media 7

1.5 Double Negative Media

Although several researchers have considered materials with simultaneous negative permittivity
and permeability (DNG materials) [36], and materials with a negative index of refraction [37] prior
to 1965. The first systematic study of the general properties of a hypothetical DNG medium with
a negative refractive index is attributed to the seminal 1967 paper by Veselago [38]. In this paper,
Veselago examined plane-wave propagation in a material with simultaneous negative permittiv-
ity and permeability. His theoretical study showed that a monochromatic uniform plane wave
propagating in such a medium in the direction of the Poynting vector would be antiparallel to
the direction of the phase velocity, contrary to the case of plane wave propagation in conventional
simple media. Veselago then considered the possibility of a lens constructed from this material.
The refractive index (n) is one of the most important parameters used to describe the propagation
of EM waves across a medium, where in general n has a complex frequency dependent form
n = n′ + jn′′ . The real component relates to the phase velocity of the wave and the imaginary
component the extinction coefficient of the medium. Where the refractive index is related to the
constitutive relations by
√
n = 𝜖𝜇. (1.5)
If we consider the case of simultaneous negative permittivity (𝜖 = −1 + ja) and permeability
(𝜇 = −1 + jb), then Eq. (1.5) yields
[ ]
n = ± 1 − j(a + b) . (1.6)
To preserve causality, the imaginary component of n must be greater than zero, but there is no
restriction on the sign of the real component. Hence, in the case of both permittivity and perme-
ability are negative, the refractive index is also negative. Materials where the real component of the
refractive is less than zero are often referred to as Negative-Index Materials (NIMs). The most obvi-
ous impact of a NIM is the effect on Snell’s law (n1 sin 𝜃1 = n2 sin 𝜃2 ), where an EM wave incident
on a NIM is refracted to the same side, of the normal to the interface, to the incident EM wave, as
seen in Figure 1.6(B)c. To consider the impact of a medium consisting of simultaneous negative
permittivity and permeability Veselago considered the effect directly from Maxwell’s equations:
∇ × H = j𝜔𝜖E
(1.7)
∇ × E = −j𝜔𝜇H.
Assuming a plane wave of the form exp j(k ⋅ r − 𝜔t) propagating through the medium then from
Eq. (1.7) we have
k × H = 𝜔𝜖E
(1.8)
k × E = −𝜔𝜇H.
The impact of a simultaneous negative 𝜖 and 𝜇 on both H and E, and on the wave vector k can be
seen from Eq. (1.8). As k gives the direction of the phase velocity 𝑣p = n∕c = 𝜔∕k, and the Poynting
vector (E × B) gives the direction of the group velocity 𝑣g . Hence, in the case of simultaneous
negative 𝜖 and 𝜇, the “energy” propagates in the opposite direction to k. Veselago coined the term
“Left-Handed Materials (LHMs)” for such media because the field vectors E, H, and wavevector
k form a “left-handed system,” as opposed to the “right-handed system” formed by conventional
materials. Although we know this “left-handed” property is known to occur in multiple systems
not just in DNG media.
Veselago [38] also discussed several remarkable properties that would derive from a DNG
medium, such as the reversed Doppler effect, where a detector in a DNG medium moving toward
8 1 Introduction and Overview of the Book

(a) s (b) s

k k
v v

k k

s s

Figure 1.4 (a) Cerenkov effect in a DPM, (b) The same effect in a DNG material. Where 𝑣 is the particle
velocity, S the Poynting vector, and k the wave vector.

a source which emits a frequency 𝜔0 will detect a frequency 𝜔 that is smaller than 𝜔0 , not larger as
would be the case in a right-handed medium. Although one of the most interesting phenomena,
from the point of view of HPM VEDs, is the reversed Vavilov–Cerenkov effect. A particle moving
though a medium with speed 𝑣 in a straight line, as shown in Figure 1.4, will emit EM radiation
according to exp i(kz z + kr r − 𝜔t). kz is the wavevector component in the direction of the beam,
and kr is the wavevector component perpendicular to the beam. The wavevector of the emitted EM
radiation from the moving particle is k′ = kz ∕ cos 𝜃 and is in the general direction of the particle
velocity 𝑣. Where the kr component is media-dependent and given by
|√ |
kr = p || k′ 2 − kz2 || . (1.9)
| |
The choice of sign in Eq. (1.9) ensures that the energy moves away from the radiating particle to
infinity and the angle 𝜃 of the Cherenkov radiation cone is given by cos 𝜃 = (n𝛽)−1 , where 𝛽 is
the normalized particle velocity. Hence, for a DNG with n < 0 the Cherenkov radiation will be
“backward” as the angle 𝜃 is obtuse, as shown in Figure 1.4.
The seminal paper by Pendry [5] in 2000 marked a turning point for artificial materials and can be
said to be the key driver for the tremendous increase in interest and research of artificial materials
since the beginning of the twenty-first century. The key aspect of Pendry’s paper was to recon-
sider the Veselago lens using transformative optics and presenting the mechanism that allows the
diffraction limit to be beaten. Pendry pointed out how evanescent waves propagating in a DNG
material can be redistributed in space so that the waves are transported far from the source [5].
Importantly in earlier work Pendry et al. [33] presented and discussed the key subwavelength ele-
ments that could be used to construct a DNG material unit-cell. These elements were the double
SRR to control the permeability and wire array to control the permittivity.
The first realizations of DNG materials came from the work by Smith and Schultz who con-
structed the first DNG media in 2000–2001. The basic form realized was a material with a negative
refractive index in one direction of propagation [39]. This work was quickly followed by the famous
two-dimensional NIM paper [6], where each subwavelength unit cell consists of two basic elements,
a double SRR supported on a dielectric substrate (FR4) with a Cu track (wire) placed uniformly
between the split rings on the opposite side of the FR4. The subwavelength component elements
were tailored to give a specific EM response over a certain frequency range, the wire array was used
to give an effective negative permittivity and the SRR to give a negative effective permeability. In
the paper [6], Smiths group demonstrated the NIM behavior of the above material by performing
an experimental measurement using Snell’s law, where the materials were shaped into a wedge to
form a prism. The experiment was performed at 10.5 GHz with the RF propagating in parallel plate
system with microwave absorber on each side to produce plane waves incident on to the back of the
 1.6 Backward Wave Propagation 9

(a) (b) B2 = cE1

E1

E1
B2 = –cE1

(c) Cc Φe

L0/2

L0/2
Lc = L0/4

Figure 1.5 (a) Electric field lines in the SRR at resonance. (b) Magnetic field lines in the dual CSRR. (c) CSRR
and the equivalent-circuit models, grey represent the metal areas. Diagrams taken from the paper [41].

prism. The results showed that the EM wave propagating through the DNG media was refracted
though an angle of −61∘ , corresponding to a material with a refractive index of −2.7.

1.5.1 DNG Realization

One of the most common approaches to realizing a DNG media is a combined meta-atom consisting
of an SRR to give the negative permeability response, and a conducting wire strip acting as a shunt
inductance, creating a wire array throughout the material that presents a negative permittivity.
This configuration does require a way to support the two elements electrical succinct from each
other usually achieved by using a dielectric substrate between wire strip line and SRR. Although,
of course, the use of a dielectric substrate does lead to additional loss in the unit cell which in
a VED can have devastating impact. An alternative approach developed by Falcone et al. [40] is
to derive a planar negative of the SRR in metal, this complementary SRR or CSRR is shown in
Figure 1.5, where the gaps cutting into the metal are the complement of the SRR tracks. In terms
of operation, the capacitances of the SRR are replaced by inductors in the CSSR. The result is that
the CSSR presents a negative permittivity response to an incident EM wave. The CSRR exhibits an
electromagnetic behavior which is almost the dual of that of the SRR. Recently a range of other
geometries have been used to construct DNG unit-cells, such as the electromagnetically induced
transparency geometries [42].

1.6 Backward Wave Propagation

The concept of backward wave propagation in materials and structures is of course well known to
microwave engineers through the theory of backward-wave VEDs developed by Brillouin [43] and
Pierce [44] in the late 1940s. Pierce’s theory of traveling-wave interactions assumes a slow-wave
circuit in which two waves propagate, one forward wave and one backward wave. This interac-
tion can be modeled via an equivalent circuit model of series-capacitance/shunt-inductance [44].
This research sparked a vast body of work around 1D structures as slow-wave periodic systems for
applications in VEDs [45], and this approach is the cornerstone of many commercial devices.
The possibility and consequences of materials with negative group velocity has been considered
by researchers as far back as 1904 in the work of Schuster and Lamb [37, 46]. Schuster discussed
10 1 Introduction and Overview of the Book

(a) (b)
n
v
x
4 6
c 5
y 34
z

6
6
λ 1
c d

Figure 1.6 The dispersion relation for various waveguide loaded artificial dielectrics (a). Positive and
negative refraction in artificial dielectrics (b). Figure created by R. Seviour based on Figure 1 from [49].
(a) x: Material with both positive and negative dispersion, y: Negative media, 𝑣: Positive media
with anomalous dispersion. (b) 1: n < 0, 2: n > 0, 3: n < −1, 4: −1 < n < 0, 5: n < −1, 6: n > 1.
Source: Silin [50].

that in the region of an absorption band as the wavelength decreases, the wave velocity increases,
and the group and phase velocity can be anti-parallel [37]. Schuster used this concept to consider
an EM wave incident on an isotropic semi-infinite block of backward wave material. Schuster
noted that “the wave entering such a medium is greater than the angle of incidence,” concluding
that energy can be carried forward by the group velocity but in the opposite direction to the
phase velocity. In this case, the observed negative refraction is clearly linked to the negative
phase velocity due to anomalous dispersion without the need to invoke the concept of negative
permittivity or permeability.
In contrast, Lamb [47] considered acoustic wave propagation in a fictitious 1D medium, exam-
ining the relationship between group and phase velocities of the waves. The work of Lamb and
Schuster paved the way for the seminal paper by Mandelstam [48], who noted that in a medium
with negative dispersion, a wave’s group velocity is in the opposite direction to the k vector. This
led to his conclusion that negative refraction would occur at an interface with such a medium. In
Schuster’s Work, negative refraction is clearly linked to negative phase velocity, although in general,
it is not necessary to associate backward wave propagation with negative refraction [49].
The 1972 paper by Silin [50] presents an excellent review of waveguides loaded with various
artificial materials. Silin examined multiple materials that exhibited a range of properties: positive
and negative dispersion, negative index of refraction, and backward wave propagation (shown
in Figure 1.6). The left-hand side of Figure 1.6, curve 4, shows a system where a segment of
the dispersion curve exhibits positive anomalous dispersion. Silin discussed that unlike conven-
tional dielectrics, artificial-dielectrics can exhibit anomalous dispersion even when losses are
neglected [50]. Silin also points out that for artificial dielectrics with a multivalued dispersion curve
(Figure 1.6, curve X) birefringence can arise. Critically, none of the structures presented in Silin’s
review are DNG materials. The first researcher to consider backward wave propagation in materials
arising from simultaneous negative permittivity and permeability was Sivukhin [36] in 1957, where
he noted that no material with simultaneous negative permittivity and permeability was known.

1.7 Dispersion
Artificial materials offer many unusual and promising features, derived primarily from their
structure rather than their composition. Among these unusual properties are negative refraction,
 1.7 Dispersion 11

backward Cherenkov radiation, and surface waves propagating at the interface with an ordinary
material. One feature in particular that makes MTMs very attractive for HPM VEDs is the ability
to arbitrarily engineer the dispersion relation of the material [51], enabling engineers to create
materials that produce EM waves with very low-group velocities (i.e. SWS), thus ensuring that we
can synchronize a beam with an EM wave. These unusual electrodynamic properties make MTMs
an excellent choice for use in VEDs.
To investigate the ability to tailor the dispersion relation of these materials, we start from the
Lorentz model for a bulk, isotropic, homogeneous material, where electron motion in the material
is described in terms of a driven, dampened, harmonic oscillator. The Lorentz model describes the
temporal response of the polarization field of the material to the EM field via the second order PDE
d2 d
P + ΓL Pi + 𝜔20 Pi = 𝜖0 𝜒L Ei , (1.10)
dt2 i dt
where the first term represents an acceleration force, the second term accounts for dampening
via the dampening coefficient ΓL , and the third term is a restorative force. The driving term on
the RHS couples to the system via 𝜒L . Equation (1.10) also enables us to gain an insight into the
frequency-dependent behavior of our DNG material by considering a mechanical analogy of a mass
on a spring, looking at the effect of the driving and damping forces. Equation (1.10) also allows us
to describe the material response to an EM wave via a dispersive Drude (effective permittivity) and
Lorentz (effective permeability) model, deriving expressions for the effective permittivity (𝜖f ) and
permeability (𝜇f ):

𝜖∞ 𝜔2p
𝜖f (𝜔) = 𝜖∞ − ,
𝜔(𝜔 − j𝑣c )
(𝜇s − 𝜇∞ )𝜔20
𝜇f (𝜔) = 𝜇∞ + . (1.11)
𝜔20 − 𝜔2 + j𝜔𝜎
In general 𝜖f and 𝜇f are complex dispersive parameters, where the real components relate the
response of the material to the incident EM wave, and the imaginary component relates to the
loss component of the EM wave. Here, 𝜖∞ is the permittivity in the high-frequency limit, 𝜔p is
the radial plasma frequency, 𝑣c is the collision frequency, 𝜇s (𝜇∞ ) is the permeability at the
low(high)-frequency limit, 𝜔0 is the radial resonant frequency, and 𝜎 is the damping frequency.
Figure 1.7(a) shows the real components of the effective permittivity and permeability calculated
using Eq. (1.11) for a bulk block of artificial material as a function of frequency. As seen in
Figure 1.7(a), there is a “narrow” frequency range between 9.5 and 10.5 GHz where the material
behaves as a DNG; this relatively narrow band frequency range where the media behaves as a
DNG is common for media constructed using SRRs. Outside of this narrow frequency range the
bulk material behaves as a single negative media, meaning wave transport occurs evanescently.
The more relevant case for HPM VED applications isn’t bulk media in vacuum, but media loaded
into a waveguide type geometry. Several authors have made use of loading waveguides below cutoff
with artificial media, to provide an additional material parameter, i.e. a waveguide below cutoff
behaves as a plasma, which is a negative permittivity media. For the example here, we have chosen
WR102 waveguide (similar to [51]), operated above cutoff between 7 and 11 GHz and loaded with
the material with the parameters shown in Figure 1.7(a). In the case where we have a dielectric
loaded waveguide, the propagation constant 𝛽 for the TE10 mode is given by
√
𝜔2 𝜖f 𝜇f 𝜋2
𝛽= − 2. (1.12)
c a
12 1 Introduction and Overview of the Book

uide
waveg

m
V bea
8 13 (b)
(a) ENG

Empty
6 12

30 Ke
4 11

Frequency GHz
ℜ(μ) 10 DNG
2
0 9 ENG
–2 ℜ(ε) 8
–4 7
–6 6
–8 5
5 6 7 8 9 10 11 12 13 –800 –600 –400 –200 0 200 400 600 800
Frequency GHz ×109 Phase constant

Figure 1.7 (a) The real components of 𝜖eff and 𝜇eff calculated via Eq. (1.11), using the following material
parameters; 𝜖∞=1.12 , 𝜔p = 2𝜋3.62 × 107 , 𝑣c = 3.07 × 107 , 𝜇s = 1.26 (𝜇∞ , 𝜎 = 1.24 × 109 and
𝜔0 = 2𝜋9.56 × 109 . (b) the dispersion for an empty waveguide and waveguide loaded with the material
from (a), also showing the beam line for a 30 keV electron beam. Source: (a) Based on Silin [50].

𝜖f and 𝜇f are determined from Eq. (1.11) as shown in Figure 1.7(a), and a is the dimension of
the WR102 waveguide (defining the cutoff frequency). The dispersion for this system is shown in
Figure 1.7(b), the black curve shows the dispersion for an empty WR102 waveguide. The dashed
line shows the 30 keV beamline. The dispersion for the WR102 waveguide loaded with our “meta-
material” is more complicated; in different regions of the dispersion curve the system behaves either
as a DNG system, or as a single negative system.
Figure 1.7(b) also shows several interesting turning points, which if we use the definition for the
group velocity 𝑣g = d𝜔∕dk seems to imply a velocity greater than c, although we have to remember
the definition of group velocity 𝑣g = d𝜔∕dk is only true for a nondispersive or at best a weakly dis-
persive media. DNG materials by their very nature are dispersive media and, in the regions of these
cusps, are highly dispersive to the point that the group velocity is not well defined. The key point
to take from Figure 1.7(b) is that the inclusion of the artificial material engineers the dispersion to
enter a regime where the empty waveguide could not reach. Specifically, the material, when acting
as a DNG, has a negative dispersion curve and has an interaction point with a relatively low-voltage
electron beam. The results of Figure 1.7 show that artificial materials can be used to tailor a disper-
sion relation to maximize and control the interaction between wave and beam, presenting a very
powerful tool for the design and development of HPM VEDs.

1.8 Parameter Retrieval

As discussed, theoretical approaches to predicting the behavior of artificial materials can give us
great insight into how a particular material configuration will function to first order, although for
a technological application, it is crucial to understand how a specific material actually functions.
In this section, we examine how to determine the material’s effective permittivity and permeability
from measurements of the scattering parameters.
In the literature, there are a number of papers on how to determine the permittivity and perme-
ability of MTMs from S-parameter measurements. Nearly all of these methods are rooted in the
standard Nicolson-Ross-Weir (NRW) technique [52, 53], the accepted standard technique for mea-
suring the complex permittivity and permeability of homogeneous, isotropic materials. The key
 1.9 Loss 13

point to this formalism is that the NRW uses a closed-form expression allowing the complex form
of the permittivity and permeability to be determined directly from S-parameter measurements.
In addition, the NRW technique is relatively robust to experimental error. Although positioning
the material to a calibrated phase point in an experiment is easier said than done.
The approach presented here is a variant of the NRW approached adapted by Smith et al. [54] to
account for possible negative responses in the real components of the permittivity and permeabil-
ity. The technique is relatively straight forward but does require an understanding of the physics
involved to ensure the correct solutions are selected. The approach starts from the assumptions
that the media is in the form of a free-standing slab surrounded by a vacuum, with normal incident
plane waves. If we consider a slab of material, thickness d, then the S-parameters S21 and S11 of the
wave from the slab are given by
[ ]−1
j ( 1
)
S21 = cos(nkd) − Z+ sin(nkd) , (1.13)
2 Z
j ( 1
)
S11 = − Z− sin(nkd) ⋅ S21 . (1.14)
2 Z
k = 2𝜋∕𝜆0 is the free space wave vector, Z = Z ′ + jZ ′′ the impedance of the material, and
n = n′ + n′′ the refractive index. By inverting 1.13 an 1.14, we can find expressions for the
impedance Z and refractive index n in terms of the known quantities:
[ ]1∕2
2
(1 + S11 )2 − S21
Z=± 2
, (1.15)
(1 − S11 )2 − S21
[ ( )]
2 2
1 1 − S11 + S21 2𝜋m
n′ = ± Re cos−1 + , (1.16)
kd 2S21 kd
[ ( )]
2 2
1 1 − S11 + S21
′′
n = ± Im cos −1
, (1.17)
kd 2S21
where m is an integer. Once Z and n have been determined the permittivity and permeability can
be determined directly from 𝜖f = n∕Z and 𝜇f = nZ. The tricky part is of course to choose the correct
root and branch of Eqs. (1.15), (1.16), and (1.17) to give the correct solutions for Z and n. To ensure
causality is maintained for a passive media the imaginary components of 𝜖f , 𝜇f , n and the real
component of Z must be positive (except at points of anti-resonances). The inverse cosine function
in n introduces some ambiguity, as although the real component is bound between 0 and 𝜋, the
imaginary component remains unconstrained. The second condition is to select the correct solution
branch of Eq. (1.16) by choosing the correct m to ensure that n′ is continuous across the frequency
range. For convenience, it is best to start at a frequency far from any resonances in the material,
meaning m starts at the 0th branch.

1.9 Loss

As discussed in Section 1.4.2, DNG materials consist of resonant elements where the operation of
the material at resonance is necessary to achieve a DNG response. This results in a relatively high
field near the metal components of the unit-cell. This has led several authors to claim that due to
unavoidable losses and dispersion, DNG materials would not be usable [55, 56]. Ohmic loss due to
current flow in the metallic elements of the unit-cell can becomes the dominant loss mechanisms
in DNG materials especially at high frequencies. Ohmic loss due to the constituent materials of
14 1 Introduction and Overview of the Book

the meta-atoms is not the only cause of loss, but EM field concentration in the resonant elements
and nonuniform current due to the geometry of the unit-cells can dominate the loss process [57].
This has motivated several authors to consider reducing losses by tailoring the geometry of the
unit-cells [58, 59]. The high-level of loss exhibited naturally from DNG materials has led some
authors to propose novel technologies that capitalize on this loss for a beneficial end, such as novel
absorber materials [60].

1.10 Summary

This book seeks to introduce the reader to the use of MTMs and DBE structures for dispersion
engineering to identify novel beam/wave interactions in the quest for new classes of HPM ampli-
fiers. Chapter 2 summarizes recent advances toward using multitransmission line models to discuss
beam/wave interactions. Chapter 3 describes a self-consistent derivation of the Pierce model from a
Lagrangian formulation. Chapter 4 summarizes dispersion engineering uses and cold tests of DNG
MTM SWSs, DBE structures, as well as other novel structures. Chapter 5 describes a perturba-
tion analysis of Maxwell’s Equations to describe beam/wave interactions. Chapter 6 reviews recent
work that shows that the properties thought to be unique to MTM structures appear in conven-
tional metallic periodic structures with deep corrugations. Chapter 7 summarizes the novel use of
group theory in designing passive MTM structures for HPM applications. Chapter 8 reviews recent
advances in the understanding of the time-domain response of MTM structures in the microwave
regime. Chapter 9 reviews recent work on the survivability of MTM structures in the HPM environ-
ment. Chapter 10 reviews recent experimental hot tests of MTM and DBE SWSs. The conclusions
and future directions for this research are presented in Chapter 11.

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 17

Multitransmission Line Model for Slow Wave Structures Interacting

with Electron Beams and Multimode Synchronization
Ahmed F. Abdelshafy 1 , Mohamed A.K. Othman 3 , Alexander Figotin 2 , and Filippo Capolino 1
1
Department of Electrical Engineering and Computer Science, The University of California at Irvine, Irvine, CA 92697, USA
2
Department of Mathematics, The University of California at Irvine, Irvine, CA 92697, USA
3
SLAC National Accelerator Laboratory, Stanford University, 2575 Sand Hill Rd, Menlo Park, CA 94025, USA

2.1 Introduction
This chapter sheds light on various aspects of slow-wave phenomena and dispersion engineering
for slow-wave structure (SWS) design and efficient generation of high-power microwaves (HPMs).
The methodology of design for HPM generation mandates an efficient transfer of power from the
electron beam to the radio frequency (RF) modes in a SWS, i.e. Enhanced Cherenkov radiation.
We start by reviewing some aspects involved in analyzing the behavior of electron streams systems.
This methodology is appropriate for HPM devices based on conventional periodic structures as well
as the subject of this book, metamaterial (MTM) SWSs.
First, we review the analysis of transmission lines (TLs) that serve to model a periodic SWS
with multiple Floquet–Bloch eigenwaves. Then, we provide an overview of the well-known Pierce
theory for traveling wave tubes (TWTs), where the operation of SWS is modeled by an equiva-
lent single transmission line (TL) with the electron beam modeled as a charged fluid, according
to a hydrodynamical approximation used by Pierce [1–4]. The Pierce model has demonstrated
robustness and reasonable accuracy in engineering and designing TWT’s under a small-signal
approximation. Furthermore, we present an extended model to the original Pierce theory. We call
this extended model the “generalized Pierce model” [5]; this extended model is able to deal with
multimodal TWTs using the multiple transmission line theory. In general, SWSs support naturally
many eigenmodes at a given frequency. Therefore, the superposition of excited fields pertaining
to these eigenmodes would interact with the electron beam and that is exactly what the general-
ized Pierce model takes into account. Finally, we demonstrate examples of multimodal SWS whose
dispersion is engineered to possess very special features such as significant reduction in the group
velocity and show how these features are captured using multitransmission line (MTL) approaches
in the generalized model.
The underlying design concepts and methodology discussed in this chapter rely on a slow-wave
concept involving multimodal structures whereby eigenmode degeneracy occurs resulting in
multimode synchronization with the electron beam. We show the properties of regimes based on
the multiple degenerate eigenmode synchronization condition at which multiple eigenmodes are
simultaneously synchronized with the e-beam, i.e. they all have the matching phase velocity to the
electron’s average velocity. For instance, the electromagnetic (EM) degenerate band edge (DBE)
analyzed in [6, 7] causes a quartic power dependence at the band-edge of the dispersion diagram,

High Power Microwave Sources and Technologies Using Metamaterials, First Edition.
Edited by John Luginsland, Jason A. Marshall, Arje Nachman, and Edl Schamiloglu.
© 2022 The Institute of Electrical and Electronics Engineers, Inc. Published 2022 by John Wiley & Sons, Inc.
18 2 Multitransmission Line Model for Slow Wave Structures

viz., (𝜔d − 𝜔) ∝ (k − kd )4 , where 𝜔 is the angular frequency and k is the Bloch wavenumber, and
the subscript d indicates the DBE point. This DBE condition is accompanied by a significant
reduction in the group velocity of waves and a giant improvement in the local density of states
[8] by controlling the number of states that can be accessed to avoid oscillations. Figotin and
Vitebskiy proposed DBE-based frozen mode regimes in a multilayer dielectric one-dimensional
lattice [7, 9, 10], which leads to a dramatic increase in field intensity linked with a transmission
band-edge Fabry–Pérot resonance in a finite stack of periodic anisotropic layers with in-plane
misalignment. However, various aspects relative to practical designs for HPM devices have been
so far overlooked.
The chapter is organized as the following: first, we briefly review the multiple transmission lines
theory in Section 2.2 and the modeling of SWSs using an equivalent MTL model in Section 2.3.
Second, we provide an overview of the Pierce theory for single-modal TWTs (in Section 2.4) and
the generalized Pierce theory for multimodal TWTs (in Section 2.5). Furthermore, we develop
a general Pierce theory for periodic multimodal SWSs interaction with an electron beam using
transfer matrix method in Section 2.6. In Section 2.7, we present a general framework describing
the properties and functionality of exceptional points of degeneracy (EPDs) in high-power electron
beam-driven structures and super synchronization mechanism. We demonstrate operational
examples of the TWT based on EPDs associated to giant amplification in Section 2.8, as well as the
degenerate band edge oscillator (DBEO) with low starting electron beam current in Section 2.9.
In Section 2.10, we present a very simple analysis based on coupled mode theory to realize
higher-order dispersion (i.e. EPDs) in a dual nonidentical pair of TLs. Finally, we demonstrate a
wideband amplification regime using TWTs with third-order degeneracy (in Section 2.11).

2.2 Transmission Lines: A Preview

This section concerns the analysis of TL structures that serve to model a periodic SWS with multiple
Floquet–Bloch eigenwaves. Propagation is such that SWSs are equivalently described using the
MTL model, so here we provide a short review of TLs [11–14]. Transmission lines model guiding
structures such as cables, wires, power lines, coupled microstrips, microwave circuits, and hollow
metallic waveguides. Transmission lines provide an equivalent representation of guided EM fields
and therefore under some conditions they provide the exact fields (see [15, 16] for more details).
Transmission lines are particularly important for engineering applications in view of their inherent
simplicity, physical intuition, and scalar description of the problem.

2.2.1 Multiple Transmission Line Model

EM mode propagation along a uniform waveguide whose longitudinal axis is z, is equivalently
represented (it is an exact representation [15, 16]) using a TL. A TL is a distributed parameter
network, where voltage and current vary in magnitude and phase over its length. These voltage
and current are not physical and uniquely defined, but they are an equivalent representation for
the transverse electric and magnetic field, respectively, that varies along the waveguide longitudinal
direction (here z), as detailed and proven in [15, 16].
A TL is often represented schematically by a two-wire line as shown in Figure 2.1a, where the
infinitesimal length Δz of a TL is modeled using per-unit-length circuit elements as shown in
Figure 2.1b (i.e. all the elements R, L, G , and C are representing per-unit-length quantities).
Since the z-propagation of equivalent voltage and current is described with the same equations
 2.2 Transmission Lines: A Preview 19

I (z, t)

+
V(z, t)
–

Δz z

(a)

I (z, t) I(z +Δz, t)

+ LΔz +
RΔz

V(z, t) GΔz CΔz V(z +Δz, t)

– –

Δz

(b)

Figure 2.1 Transmission lines are an equivalent and convenient way to describe the propagation of EM
modes in a waveguide (see Eqs. (2.13) and (2.14)). (a) Schematic diagram of an incremental length of a TL
and definition of equivalent voltage and current. The equivalent voltage and current are a scalar equivalent
representation as shown in Eqs. (2.13) and (2.14) of what is varying along the waveguide. The two wires are
not physical metallic wires, but they are the typical symbol used to represent an equivalent TL associated
to EM mode propagation along a given direction. (b) Distributed per-unit-length equivalent circuit of an
incremental length of the TL, associated to mode propagation with positive group velocity. EM modes with
negative group velocity (involved in backward wave oscillators (BWOs), for example) are represented with a
similar circuit description.

that regulate propagation of the physical voltage and current in two metallic parallel wires,
such geometry is generally used to represent also an equivalent TL. The L and C represent the
distributed self-inductance and capacitance, respectively. While R and G represent the distributed
series resistance and the shunt conductance, respectively; therefore, they represent losses. A finite
length of a transmission line is viewed as a cascade of sections of the form shown in Figure 2.1b.
From the circuit point of view shown in Figure 2.1b, one can obtain the time domain TL equations
using Kirchhoff’s voltage and current laws as follows:
𝜕I(z, t)
− V(z + Δz, t) = 0
V(z, t) − RΔzI(z, t) − LΔz (2.1)
𝜕t
𝜕V(z + Δz, t)
I(z, t) − GΔzV(z + Δz, t) − CΔz − I(z + Δz, t) = 0. (2.2)
𝜕t
Dividing these two equations by Δz and taking the limit as Δz → 0 gives the following well-known
TL differential equations, also known as telegrapher equations:
𝜕V(z, t) 𝜕I(z, t)
= −RI(z, t) − L .
𝜕z 𝜕t
𝜕I(z, t) 𝜕V(z, t)
= −GI(z, t) − C . (2.3)
𝜕z 𝜕z
This simple, elegant, single TL model provides an accurate description of forward and backward
waves traveling in opposite directions with velocity 𝑣. This simple model is generalized for uniform
MTL as the one shown in Figure 2.2. The MTL is a system of N-TLs coupled among each other,
where there are N forward plus N backward waves. The corresponding governing equations of
20 2 Multitransmission Line Model for Slow Wave Structures

I1
TL 1 +V
– 1

I2
TL 2 +V
– 2
.
. z
.
.
IN .

TL N +V
– N

Figure 2.2 Schematic diagram of an MTL made of N TLs coupled among each other representing
multimodal propagation in a waveguide. For what concerns electron beam devices, under this setting, the
longitudinal electric field associated with one or more modes represented by the MTL may be coupled to
the electron beam.

waves in an MTL are a coupled set of 2N first-order partial differential equations relating the N
TLs voltages Vn (z, t) and N TLs currents In (z, t) for n = 1, 2, . . . , N. These equations are obtained
similarly using Kirchhoff’s voltage and current laws, and they are cast in matrix notation as
𝜕 𝜕
V(z, t) = −RI(z, t) − L I(z, t) (2.4)
𝜕z 𝜕t
𝜕 𝜕
I(z, t) = −GV(z, t) − C V(z, t), (2.5)
𝜕z 𝜕t
where V(z, t) and I(z, t) are the voltage and current vectors, respectively, which are read as
follows:
⎡ V1 (z, t) ⎤ ⎡ I1 (z, t) ⎤
⎢ ⎥ ⎢ ⎥
⎢ V2 (z, t) ⎥ I (z, t) ⎥
V(z, t) = ⎢ ⎥, I(z, t) = ⎢ 2 , (2.6)
⎢ ⋮ ⎥ ⎢ ⋮ ⎥
⎢ V (z, t) ⎥ ⎢ I (z, t) ⎥
⎣ N ⎦ ⎣ N ⎦

and L, R, C, and G are N × N matrices representing the per-unit length quantities (assumed to
be symmetric and positive definite matrices [13, 14]). The L matrix represents the per-unit-length
inductance matrix which contains the individual per-unit-length self-inductances lii and
the per-unit-length mutual inductances between the TLs lij , whereas the C matrix repre-
sents the per-unit-length capacitance matrix which contains the individual per-unit-length
self-capacitance cii and the per-unit-length mutual capacitance between the TLs cij . Similarly, R
and G are defined as the per-unit-length resistance and conductance matrix, respectively [13, 14].

2.3 Modeling of Waveguide Propagation Using the Equivalent

Transmission Line Model

We present the modeling of wave propagation in a SWS by using an equivalent MTL. First, we
provide a brief review of the exact field propagation representation in uniform waveguides in terms
 2.3 Modeling of Waveguide Propagation Using the Equivalent Transmission Line Model 21

of equivalent transmission lines equations. Then, we elaborate more to describe the propagation in
periodic waveguide structures as well as their modeling using equivalent periodic MTLs.

2.3.1 Propagation in Uniform Waveguides

The mathematical representation of the EM field within a uniform or nonuniform region is in the
form of a superposition of an infinite number of modes. The electric and magnetic field components
of each mode are described using mode functions that depend only on the cross-section shape, and
by the mode amplitude, depending only on the coordinate in the direction of propagation. As the
transverse mode function for each mode is identical at every cross section in uniform waveguides,
the amplitude of a mode completely characterizes such a mode at every cross section. The variation
of the mode amplitude is given as a solution of a one-dimensional wave, or TL, equation [15, 16].
For a better understating, we will briefly summarize the transformation from Maxwell’s EM
field equations into ordinary scalar differential TL equations. The steady-state EM vector fields
inside a waveguide (assuming harmonic time-dependence ej𝜔t ) satisfy ▿ × E(r) = −j𝜔𝜇H(r)
and ▿ × H(r) = j𝜔𝜖E(r). The electric field is the summation of the transverse component and
longitudinal component as E(r) = Et (r) + Ez (r) similarly the magnetic field H(r) = Ht (r) + Hz (r).
As the orthogonality conditions for modes guided along z involve only transverse field components
(Et , Ht ) (see [15, 16] for more details), it is useful to eliminate the dependent longitudinal com-
ponents (Ez , Hz ) from Maxwell equations. The elimination of (Ez , Hz ) is carried out by taking
the vector and scalar products of Maxwell equations with ẑ (the z-directed unit vector). Thus, the
steady-state field equations are written as
𝜕Et 1
= −j𝜔𝜇(𝟏 + 2 ▿t ▿t ) ⋅ (Ht × ẑ ) (2.7)
𝜕z k
𝜕Ht 1
= −j𝜔𝜖(𝟏 + 2 ▿t ▿t ) ⋅ (̂z × Et ), (2.8)
𝜕z k
where k is the propagation constant in an unbounded medium made of the material identical to
that inside the waveguide, and the transverse gradient operator is defined as ▿t = ▿ − ẑ 𝜕∕𝜕z. On the
other hand, the z components of the electric and magnetic fields follow from the transverse com-
ponents by the following relations:
j𝜔𝜇Ez = ▿t ⋅ (Ht × ẑ ) (2.9)
j𝜔𝜖Hz = ▿t ⋅ (̂z × Et ). (2.10)
Equations (2.7)–(2.10) are fully equivalent to Maxwell equations. On perfectly conducting bound-
ary of the uniform waveguide filled with a homogeneous isotropic medium, a possible complete
eigenvector set comprises both E(TM) modes functions e′ (𝝆), h′ (𝝆), and H(TE) modes functions
e′′ (𝝆), h′′ (𝝆), where 𝝆 = xx̂ + yy.̂ These mode functions are dependent on the shape of the waveg-
uide cross section, and they are defined by z-independent equations and obtained by applying the
boundary conditions [15, 16]. In terms of the indicated mode functions, the independent transverse
fields read as
∑ ∑
Et (r) = Vi′ (z)e′ (𝝆) + Vi′′ (z)e′′ (𝝆) (2.11)
i i
∑ ∑
Ht (r) = Ii′ (z)h′′ (𝝆) + Ii′′ (z)h′′ (𝝆), (2.12)
i i
22 2 Multitransmission Line Model for Slow Wave Structures

where Vi and Ii are the modes amplitudes (i.e. i is in general a double index), and hi = ẑ × ei .
For uniform waveguides possessing no discontinuities within waveguide cross section or on walls
the substitution of Eqs. (2.11) and (2.12) into Eqs. (2.7) and (2.8) leads to the following infinite set
of equations:
dVi (z)
= −j𝜅i Zi Ii (z) (2.13)
dz
dIi (z)
= −j𝜅i Yi Vi (z), (2.14)
dz
which defines the variation with z of the mode amplitudes Vi and Ii . These equations are valid for
both modes (TE/TM); however, the parameters 𝜅i , Zi , Yi , which represent the mode propagation
constant, and the mode characteristic wave impedance and admittance, respectively, are different
for E-modes and H-modes, and are given as follows:
● for E-modes
√ 𝜅i′ 𝜅i′
𝜅i′ = k2 − kti′ , Zi′ = 𝜁
2
= (2.15)
k 𝜔𝜖
● for H-modes
√
k 𝜔𝜇
𝜅i′′ = k2 − kti′′2 , Zi′′ = 𝜁 = ′′ , (2.16)
𝜅i′′ 𝜅i
√
where 𝜁 = 𝜇∕𝜖 is the intrinsic wave impedance in the medium. For more details about those
definitions, see [15, Chap. 2] and [16, Chap. 1]. Therefore, the EM field is characterized completely
by the amplitudes of the waveguides modes using the obtained equivalent TL equations (2.13),
and (2.14). It is thereby implied that the EM field is rigorously described in terms of equivalent
voltage and current on an appropriate equivalent TL. The knowledge of the characteristic wave
impedances and wavenumbers of the TLs allows describing rigorously the propagation of the
waveguide modes. The impedance description may be extended to describe the behavior of
non-propagating modes. Thus, each of the non-propagating modes is represented by a TL with
reactive characteristic impedance and imaginary wave number.

2.3.2 Propagation in Periodic Waveguides

We present a model for periodic waveguides in terms of an equivalent periodic MTL [6, 17].
Let us consider the propagation in a periodically loaded waveguide, where the unit cell of such
periodic waveguide is composed of two or more cascaded waveguides with different cross sections.
The waveguide is bounded in the transverse plane to the z-direction, and it is made of cascading
waveguides regions (or segments) along z, as shown in Figure 2.3. Each segment has transverse
electric Et,n (r) and magnetic Ht,n (r) components relative to the nth mode supported by that
waveguide segment, similar to the case discussed above in the uniform waveguides, as
Et,n (r) = Vn (z)en (𝝆), and Ht,n (r) = In (z)hn (𝝆), (2.17)
where en (𝝆) and hn (𝝆) are the electric and magnetic modal eigenfunctions, respectively, and Vn and
In are the amplitudes of those fields that describe the evolution of EM waves along the z-direction
in that particular segment. We can assume that these modal eigenfunctions are orthonormal
(i.e. ⟨ei (𝝆), ej (𝝆)⟩ = ∫S ei (𝝆) ⋅ e∗j (𝝆)ds = 𝛿ij , and ⟨hi (𝝆), h∗j (𝝆)⟩ = 𝛿ij where ⟨X, Y⟩ = ∫S X ⋅ Y∗ ds and
 2.3 Modeling of Waveguide Propagation Using the Equivalent Transmission Line Model 23

Figure 2.3 Schematic diagram of a periodic d

waveguide of period d, where each unit cell d1 d2 dM
is composed of M cascaded waveguides
segments with different cross sections
z
A1 , A2 , . . . , AM . Each segment is modeled as a ... AM A1 A2 ... AM A1 ...
uniform MTL with N-TLs relative to the N
modes supported by the waveguide
segment. The interface (junction) between XM,1 X1,2 XM,1
two contiguous segments is represented by a
rotation matrix, or coupling matrix, X that is
schematically represented by the coupling
section (gray). In an MTL, periodic sections
are used to mix the various modes that I1
otherwise would be independent in a +V
TL 1 – 1
uniform waveguide. A properly designed
periodic mixing enables the existence of
multimode degeneracy conditions as I2
discussed in this chapter.
TL 2 +V X1,2
– 2
..
..
IN

TL N +V
– N

S is the segment cross-section area). Therefore, one may write the total transverse electric and
magnetic fields in two contiguous segments denoted by A and B as
∑
n
∑
n
Et,A = VA,n (z)eA,n (𝝆), and Et,B = VB,n (z)eB,n (𝝆) (2.18)
∑
n
∑
n
Ht,A = IA,n (z)hA,n (𝝆), and Ht,B = IB,n (z)hB,n (𝝆). (2.19)
At the junction between segments A and B, the boundary conditions between those two contigu-
ous segments dictate the continuity of the transverse fields, which for the electric field reads
∑
n
∑
n
VA,n (zAB )eA,n (𝝆) = VB,n (zAB )eB,n (𝝆). (2.20)
We take the scalar product of each side with eA,m (𝝆), using orthonormal properties, leading to
∑
n
VA,m (zAB ) = VB,n (zAB )⟨eB,n (𝝆), eA,m (𝝆)⟩, (2.21)
analogously, the magnetic field equations
∑
n
IA,m (zAB ) = IB,n (zAB )⟨hB,n (𝝆), hA,m (𝝆)⟩. (2.22)
The continuity equation of fields at the interface point zAB between segments A and B is cast in
the following matrix form:
[ ] [ ]
VA VB
= XA,B , (2.23)
IA IB
24 2 Multitransmission Line Model for Slow Wave Structures

where V and I are the voltage and current vectors, respectively, which are defined in Eq. (2.6). And
XA,B is the bases rotation or coupling matrix of size 2N × 2N
[ VV ]
Φ 𝟎
XA,B = , (2.24)
𝟎 ΦII
where
⎡ ⟨eB,1 (𝝆), eA,1 (𝝆)⟩ · · · ⟨eB,N (𝝆), eA,1 (𝝆)⟩ ⎤
ΦVV = ⎢ ⋮ ⋱ ⋮ ⎥,
⎢ ⎥
⎣⟨eB,1 (𝝆), eA,N (𝝆)⟩ · · · ⟨eB,N (𝝆), eA,N (𝝆)⟩⎦
⎡ ⟨hB,1 (𝝆), hA,1 (𝝆)⟩ · · · ⟨hB,N (𝝆), hA,1 (𝝆)⟩ ⎤
ΦII = ⎢ ⋮ ⋱ ⋮ ⎥, (2.25)
⎢ ⎥
⎣⟨hB,1 (𝝆), hA,N (𝝆)⟩ · · · ⟨hB,N (𝝆), hA,N (𝝆)⟩⎦
accounting for multiple propagating and evanescent modes (in the waveguide segments) that may
be excited at the discontinuities.
As a result, one can model periodic structures using equivalent MTLs by representing the periodic
waveguide as cascaded stacks of waveguides regions. Each segment is modeled by MTL as discussed
in Section 2.3.1 while the interface between contiguous segments is taken into account by using the
introduced coupling matrix in Eq. (2.23).
The propagation of modes in such periodic waveguide, where modes are mixed at any junction
between segments, is described via transfer matrices as described later on in this chapter.

2.3.3 Floquet’s Theorem

Consider a periodic structure along z with period d, assuming the EM field is a harmonic function of
time (i.e. E(x, y, z, t) = E(x, y, z)ej𝜔t ). Then the magnitude of the field is also periodic with the same
period such that |E(x, y, z + d)| = |E(x, y, z)|. Thus, the complex amplitude after one period along z
is multiplied by e−j𝜙 , where the phase 𝜙 is the difference from unit cell to unit cell. Now consider
the periodic function F(x, y, z) = F(x, y, z + d) = E(x, y, z)ej𝛽0 z , where 𝛽0 = 𝜙∕d. Therefore, a field in
a periodic system with period d in the z-direction is a periodic function of z with the same period
multiplied by the phase multiplier: E(x, y, z) = F(x, y, z)e−j𝛽0 z . Based on this property, the Floquet
theorem reads as
E(x, y, z, t) = E(x, y, z)ej𝜔t = F(x, y, z)ej(𝜔t−𝛽0 z) , (2.26)
and using the periodicity of the function F(x, y, z), one can write it as a Fourier series. By substituting
the periodic function F(x, y, z) in Eq. (2.26), by its Fourier expansion, we obtain the following form
of Floquet theorem that includes spatial harmonics
∑
∞
E(x, y, z, t) = Fn (x, y)ej(𝜔t−𝛽n z) , (2.27)
n=−∞

where 𝛽n = 𝛽0 + 2𝜋 d
n is the wavenumber of the nth spatial harmonic. It is clear now that the field
in the periodic waveguide is a superposition of Floquet waves of type Fn (x, y)ej(𝜔t−𝛽n z) . These waves,
which are called spatial harmonics, have equal frequencies but different spatial structures, par-
ticularly, they have different guided wavelengths 𝜆n = 2𝜋∕𝛽n . They also have different transverse
distributions Fn (x, y), that are obtained by solving Maxwell’s equations with the corresponding
boundary conditions, for more details about the properties of spatial harmonics see [18]. Impor-
tantly, the key property of these spatial harmonics are the slow waves (𝑣ph,n < c), which occur for
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 ULCERATIVE STOMATITIS IN SOLIPEDS.

Causes. Apart from the ulcerations and erosions of specific

diseases (glanders, horsepox, pustulous stomatitis, aphthous fever,
etc.,) this condition is especially liable to appear in anæmic and
debilitated subjects (Cauvet), as in rachitis (Friedberger and
Fröhner), cancer (Cadeac) chronic internal abscess (Cadeac), etc. As
an exciting cause and as a means of furnishing an infection atrium
for the microbes of ulceration all conditions of simple lesion of the
mucous membrane—mechanical, chemical, thermic, venomous, etc.,
are operative. Dieckerhoff has described it in connection with
diphtheritic rhinitis, Friedberger with a nasal and conjunctival
catarrh, Zeilinger and Kohler with aphthous fever, Mobius and
Hackbarth with trefoil poisoning.
Lesions and Symptoms. There is the usual dainty feeding and
disposition to masticate imperfectly or even to drop the partly
insalivated morsels, working of the lips, the formation of froth on
their margins, and the drivelling of saliva in long strings or filaments.
As the disease advances this becomes bloody and fœtid. The local
lesions may be at first like white pulpy spots of softened and
degenerating epithelium, which is exceptionally, raised in blisters.
This is followed by desquamation and the formation of open sores
which are indolent, and show a disposition to further erosion and
extension. They may be rounded or irregularly indented in their
borders, and contain a brownish, blackish or greenish viscid debris.
They vary widely, however, in general appearance and in their
disposition to speedy or sluggish healing, being apparently
influenced by the nature of the pathogenic microbe and the
susceptibility of the subject. In some cases the molecular
degeneration extends deeply into the mucosa, and even over the
edges of the lips into the adjacent skin. Recovery and complete
cicatrization may take place in one week, or successive outbreaks
may take place in the same animal lasting in all for months as in
Cadeac’s case associated with chronic abscess of the mesentery.
Treatment. The first consideration is to correct the debility on
which the affection is based. Iron and bitter tonics, mineral acids,
and nourishing food given in the form of soft mashes, pulped roots,
or farinas, which will require little mastication, and the antiseptic
cleansing of the mouth after each meal are the main features of the
treatment. As antiseptics, vinegar is inimical to the microbes of the
mouth, which affect alkaline media, borax, boric acid, carbolic acid,
sulphurous acid, the sulphites and hyposulphites, permanganate of
potash, chlorate of potash, creolin, and sulphate or chloride of iron
furnish a sufficient choice of comparatively nontoxic agents. Ulcers
may be touched with tincture of iodine, lunar caustic, or sulphate of
copper.
 ULCERATIVE STOMATITIS (DIPHTHERIA)
IN CALVES.
Accessory causes. Infection. Experimental inoculation. Bacillus, grows on blood
serum. Lesions in mouth, nose, air passages, intestines, digits. Symptoms: difficult
sucking, fever, swollen, whitish spots on buccal mucosa, phagadenic sores, fœtor,
symptoms of extending disease, anorexia, debility, prostration. Duration.
Diagnosis from foot and mouth disease, from actinomycosis, from tuberculosis.
Prevention: cleanliness, antisepsis, segregation, diet of dam, sterilized milk.
Treatment: antiseptic and eliminating: locally antiseptic.
This has been observed at frequent intervals in calves, as a serious,
fatal, communicable disorder occurring in the first few weeks of life.
Causes. It has been attributed to unhygienic conditions of the
dams, close, damp, impure stables, unwholesome or spoiled food,
and privations of various kinds, and these, in all probability, increase
the susceptibility. The congestion and traumatism connected with
the cutting of the teeth is another predisposing cause. The ultimate
cause is, however, the contagious element and the disease has been
conveyed to healthy lambs by the introduction into their mouths of
the necrotic products from the diseased subjects (Dammann). Sheep
inoculated in the conjunctiva presented violent conjunctivitis in
forty-eight hours. Inoculated rabbits died of septicæmia. Mice
showed the same symptoms as calves, while guinea pigs showed an
abscess only at the seat of inoculation (Löffler).
The identity of the germ has not been fully demonstrated.
Dammann found a micrococcus, but testimony from the inoculation
of its pure cultures is wanting, and the buccal mucosa of the sucking
calf is full of varied germs some of which are irritating and
pathogenic to an injured mucosa.
Löffler found in the epithelial concretions (false membranes) of
the mouth and intestines, a bacillus of half the thickness of the
bacillus of malignant œdema, five times as long as broad and usually
connected with its fellows to form filaments. He failed to obtain
cultures of this in nutrient gelatine, but grew it successfully in blood
serum from a calf. Transferred to fresh serum the culture failed. The
pure culture does not seem to have been tried on the calf.
According to Dammann the lesions occur indiscriminately in the
mouth, the nose, the larynx, trachea, lungs, the intestinal canal and
the interdigital space.
It has been suggested that the mouth of the calf rendered
susceptible by the congestion caused by suction, is infected by licking
the previously infected umbilicus.
Symptoms. There are the usual symptoms of indisposition to suck,
salivation, redness of the buccal mucosa, and general indisposition.
In two or three days the mucosa shows raised, pulpy, white or
grayish patches about a line in diameter. These gradually soften and
break down and in four or five days leave dark red angry sores one-
sixth to one-third inch in diameter dotted with grayish points and
surrounded by a congested areola. These exhale an offensive odor
and tend to extend in superficial area and in depth, invading
indiscriminately the various subjacent tissues. The lips may be
perforated, the muscles, cartilages, periosteum, and periodontal
membrane invaded, the teeth may be shed, and the alveoli filled with
the offensive debris of ulceration. Swelling of the throat may follow
from implication of the pharynx and its lymph glands, symptoms of
laryngitis, bronchitis, and pneumonia may succeed, also infective
gastritis and enteritis. These various parts may be infected by the
direct transference of the infecting saliva, but the germ is also held to
be transmitted through the blood to implicate distant organs.
Appetite is gradually lost, a blackish, fœtid diarrhœa, sets in and
the calf is sunk in a profound prostration and debility due partly to
the enforced abstinence and colliquative diarrhœa, but much more to
the absorption of toxic matters. Death may ensue from the sixth to
the twelfth day. In case of recovery a month may be requisite for the
completion of convalescence.
Diagnosis. This has to be distinguished especially from aphthous
fever by the absence of the large, and clearly defined vesicles of that
disease, by the fact that the mammary region and interdigital spaces
usually escape, and especially by the immunity of the dam and of
other more mature animals. From actinomycosis of the tongue it is
diagnosed by its more rapid progress, by the marked constitutional
depression, and prostration, and by the absence of the marked
induration of the actinomycotic organ (holzzunge) and by the
sulphur yellow pin head-like nodules of actinomyces. Tuberculosis is
rare in the first weeks after birth in calves, and never makes the rapid
progress nor causes the profound depression of this disorder.
Prevention. The first object must be to destroy the infection, and
the second to obviate the susceptibility of the young animal. The
clearing away of all accumulations of litter, filth, and even fodder
from the stable proper, including the stalls where the dams lie,
should be followed by a thorough whitewashing or disinfection, with
sulphate of copper or of iron, or even mercuric chloride, (1:500.) If
the disease has already appeared in a stable the calves should be
penned singly to avoid the possibility of infection through sucking
each others navels. In all cases an antiseptic (tannin, carbolic acid)
should be applied to the navel of the new born. The food of the dam
and nurse should be nutritive and free from any suspicion of
mustiness or decomposition, and when possible the calf should be
allowed to draw its own milk from the teat. When this cannot be
allowed, artificial feeding should be surrounded by all the
safeguards, named under acute indigestion of calves.
Treatment. Cadeac strongly recommends ½ oz. common salt daily
with the food, or alcohol ¾ oz., or a strong infusion of coffee mixed
with the milk. Lenglen advises quinoa in the form of tincture, ½ to 1
oz. McGillivray sulphate of soda. Tincture of chloride of iron 30
drops in an ounce of water with each meal would be an excellent
resort.
Locally antiseptics are our main reliance. Naphthol, naphthalin,
salicylic acid, or salicylate of soda, may be applied directly to the
diseased mucous membrane. Tincture of chloride of iron in water
(1:2) is one of the best agents (James). Carbolic acid 1 drachm in 6
oz. water, and 1 oz. alcohol has been used safely and with excellent
results (Lenglen). Like most other antiseptics, however, this latter
must be used with caution as regards the amount. No actively
poisonous antiseptic is admissible. The antiseptic should be swabbed
over the whole interior of the mouth after each meal.
In case of deep gangrenous masses excision and antiseptics are
demanded.
 ULCERATIVE STOMATITIS IN LAMBS AND
KIDS.
Causes: Accessory, locality, youth, debility, unsuitable food, impure air,
parasitism, contagion. Bacteria. Symptoms: difficult sucking, frothing, salivation,
buccal redness and swelling, white, softened patches, suppuration, granulation,
fœtor, emaciation, debility, bowel symptoms, respiratory. Duration. Treatment:
Artificial feeding, antisepsis, disinfection, mild caustics, etc.
Causes. This has been noticed as an enzootic affection in young
and debilitated animals, while the mature and more robust ones
escape. Anæmic lambs, those that are fed on watery, innutritious
materials (potatoes, grains, waste of sugar factories), those kept in
close confinement, indoors, and those that suffer from distomatosis
show the disease. Impure air, damp, dark places and impure water
have their influence. The disease is manifestly contagious, but the
infecting microbe has not been demonstrated. It was formerly
supposed to be the oidium albicans, the fungus of muguet, but
Neumann demonstrated its absence, and though he found leptothrix
buccalis, bacilli, spirochcæte and micrococci he failed to show that
any one of these in pure culture would cause the disease. Rivolta
charged it on bacterium subtile agnorum and Berdt on the
polydesmus exitiosus which according to him the sheep contract
from eating rape cake. The withdrawal of the cake led to a rapid
recovery.
Symptoms. The disease may begin insidiously without at first very
marked symptoms. Sucking is painful and infrequent, an acid froth
collects about the mouth, and white patches appear on the gums or
other part of the buccal mucosa, with at times redness and swelling,
and the separation of the gums from the teeth. The white epithelial
patches soften and are easily detached, leaving bright red patches,
which bleed easily, and tend to extension and coalescence. These are
covered by a viscid mucopurulent matter, and may become the seat
of granulations, or they may involve the subjacent tissues in
ulceration causing evulsion of the teeth, or necrosis of the jaw bone.
The odor of the mouth is fœtid. Prostration and emaciation set in,
and often bear a ratio to the extension of the disease to the digestive
and respiratory organs. This is manifested by uneasy movements of
the hind feet, shaking of the tail, frequent lying down and rising,
constipation or diarrhœa: or by cough, snuffling breathing, swelling
of the submaxillary and pharyngeal glands, and hurried, oppressed
breathing. The complication of vesicular and pustular eruption has
been noticed. Death may occur in eight or ten days, or more
commonly recovery ensues.
Treatment must proceed on the same lines as in the calf. Artificial
feeding on gruels, with antiseptic washes for the mouth at each meal
are indicated. Chlorate of potash, chloride of lime, borax, sulphites
and hyposulphites of soda, carbolic acid, and the salts of iron afford
an ample field for selection. For ulcers, a pointed stick of nitrate of
silver, or a solution of muriatic acid in three times its volume of
water, applied by means of a glass rod or pledget of cotton will serve
a good purpose.
 ULCERATIVE STOMATITIS IN SWINE.

Causes: improper food; filthy pens; debility; toxins of specific diseases;

microbian infection. Symptoms: inappetence; grinding teeth; champing jaws;
salivation; fœtor; buccal swelling and redness; pulpy spots; desquamation; ulcers;
pharyngeal, enteric and osseous complications. Treatment: Segregation;
disinfection; local antiseptic washes; tonics.

This is the Scorbutus of Friedberger and Fröhner, the gloss-

anthrax of Benion.
Causes. It has been attributed to insufficient or irritant food, to
damp, close pens, and to chronic debilitating diseases and all these
act as predisposing causes. In gastritis and in infectious fevers like
hog cholera, swine plague, and rouget (hog erysipelas) the spots of
congestion and petechiæ on the buccal mucous membrane may
become the starting points for ulcerative inflammations. These
conditions appear, however, to be supplemented by infection from
bacteria present in the mouth or introduced in food and water, and
as in the case of other domestic animals the most successful
treatment partakes largely of disinfectant applications.
Symptoms. Loss of appetite, grinding of the teeth, champing of the
jaws, the formation of froth round the lips, fœtor of the breath,
redness of the gums and tongue, and the formation of vesicles or
white patches which fall off leaving red angry sores. These may
extend forming deep unhealthy ulcers, with increasing salivation and
fœtor. As the disease advances the initial dullness and prostration
become more profound, and debility and emaciation advance
rapidly. Unless there is early improvement an infective pharyngitis,
or enteritis sets in, manifestly determined by the swallowing of
virulent matters from the mouth, and swelling, redness and
tenderness of the throat, or colics and offensive black diarrhœa
hasten a fatal issue. Rachitis may be a prominent complication, as it
seems in some instances to be a predisposing cause.
Treatment. Isolate the healthy from the diseased and apply
disinfection to all exposed articles and places. Employ local
antiseptics as on the other animals. Sulphuric or hydrochloric acids
in 50 times their volume of water, or tincture of iron, chlorate of
potash, or chloride of ammonia, or borax have been used
successfully. Bitters and aromatics have also been strongly
recommended.
 ULCERATIVE STOMATITIS IN CARNIVORA.
Causes: dietary causes; constitutional debilitating diseases; dental disorders;
microbian infection; microbes. Symptoms: difficult sucking or mastication;
salivation; dullness; prostration; mucosa red with gray patches, erosions, and
ulcers; fœtor; loose teeth; excess of tartar. Extensions to face, throat, lymphatics,
nose, eyes, stomach, liver, bowels. Duration. Treatment: clean teeth; antiseptics;
mild caustics; stimulants.
Causes. This affection is more common in this class of animals
than in the herbivora, being apparently dependent in great part on
their artificial habits of life, the sweet and stimulating diet and the
derangement of the digestive organs. The lowering of the general
health in connection with privation or disease and especially canine
distemper, rachitism or indigestion must be recognized as
predisposing causes, while the accumulation of tartar on the teeth, or
the decay of the teeth themselves, constitutes a potent exciting local
cause. In connection with such cretaceous deposits the decomposing
elements of the food collect, and the irritant products of their
fermentation lead to disease of the gums, congestion and ulceration.
Superadded to this is the bacteridian infection of such diseased
parts, through which the ulceration is started, maintained and
extended. This infection is not that of a specific microbe, but usually
of a multiplicity of germs, one or more of the bacteria that live
habitually in the healthy mouth, taking the occasion of the existence
of a wound, or of a reduction of vitality to colonize the mucosa which
would otherwise have remained sound. The microbes actually found
in the ulcers are very varied. Pasteur isolated a spirillum, Fiocca the
bacillus salivarius septicus, others have found pus bacilli, and in
sucking kittens the bacillus coli communis.
But the attempts made to convey the disease to healthy mouths by
the transfer of the microbes have usually failed (Pasteur, Netter,
Cadeac). To establish their pathogenic action therefore, it appears to
be necessary to furnish a susceptible mucosa as well as an infecting
microbe. This explains why the disease does not spread as an
infection, the average mouth is immune and it is only when it
becomes the seat of a wound, bruise or other injury, or when the
general system has become so reduced that the resisting power is a
minor quantity, that the hitherto harmless germ becomes actually
pathogenic.
Symptoms. There is indisposition to suck or eat, the patient leaves
the teat or the food, and looks dull, depressed and disposed to lie
down apart. There is evident salivation and on opening the mouth we
may find the offensive odor, the tartar covered teeth with red or
ulcerated gums, and on the cheeks, lips and tongue dark red patches
of congestion, or whitish or yellowish gray, soft, pulpy spots of
disintegrating epithelium. This is followed by shedding of these
epithelial patches, and the formation of rounded ulcers of a line in
diameter or less. These are tender, and bleed readily. They may
extend to the skin of the lips, or deeply into the mucosa, the muscles
or bones, and the attendant morbid process may cause loosening and
evulsion of the teeth. There may be implication of the pharynx, the
lymph glands, the nose, the eyes, the stomach, the liver, or the
intestines with corresponding symptoms. Death may supervene in
from six to thirty days, or a more or less speedy recovery may take
place.
Treatment. The first step as a rule is to remove the tartar from the
teeth. This is often done with a wooden spud dipped in a weak
solution of hydrochloric acid. A steel scraper will usually act well and
without the solvent action of the acid.
Next will come the removal of all diseased teeth which are
operating as local irritants and as centres for infectious microbes and
their hurtful products.
Then antiseptics in the form of liquids applied as in the other
animals with each meal, will be necessary to counteract infective
action, and give the tissues an opportunity to re-establish their
integrity. Cadeac recommends a 10 per cent. solution of oil of thyme,
as a safe and efficient application. Boric acid, borax, salol, salicylic
acid, tannic acid, sulphurous acid, or carbolic acid largely diluted
may be substituted. Internally iron tonics and bitters are of great
value in improving the tone of the system and securing antisepsis of
the intestinal canal. The sulphites too may be given with advantage
internally. In depressed conditions alcoholic stimulants may be used
both as local antiseptics and general stimulants. As in other animals
ulcers may be touched with a rod dipped in tincture of iodine, or a
strong solution of chloride of zinc, or nitrate of silver.
 MERCURIAL STOMATITIS.
Animals suffering. Causes: mercurial baths, ointments, blisters and surgical
dressings; mercurial vapors; deposits on vegetation; rat poisons; malicious
poisoning. Lethal dose in horse, ox, sheep and goat. Mature and old eliminate
more slowly. Symptoms; Salivation; red, swollen buccal mucosa; gingivitis;
loosening of teeth; fœtor; ulceration; anorexia; gastro-intestinal tympany; loose,
fœtid stools; fever; weakness; dyspnœa; langor; blood extravasation in nose,
mouth, throat, bowels, womb, skin; abortion; skin eruptions. Lesions in mouth,
stomach, intestines, serosæ, kidneys, muscles, encephalon. Treatment; stop the
introduction of mercury; as antidote potassium sulphide; emetic; cathartic;
mucilaginous and albuminous antidotes; potassium iodide as an eliminating agent.
Locally potassium sulphide or chlorate. Iron tonics.
This has been especially seen in the sheep, dog and ox, and less
frequently in other domestic animals.
Causes. In sheep the use of baths containing corrosive sublimate,
or of mercurial ointment for acariasis or other cutaneous parasitism.
In other animals it comes mostly from licking mercurial dressings
applied to the skin—calomel, red precipitate, mercurial ointment,
protoiodide of mercury. The red iodide being more irritating is less
frequently taken in. The modern extensive usage of mercuric
chloride solutions as surgical antiseptics opens up a new channel of
infection. In the injection of the uterus or of large abscesses, or in the
daily irrigation of large wounds a dangerous amount may be
absorbed. The application of this agent as a caustic in cases of
tumors is correspondingly dangerous. Vapors from metallic mercury
in confined spaces as in ships’ holds, or from fires on which the
mercurial compounds have been thrown, are ready means of
poisoning, acting primarily on the air passages and lungs and later
on the mouth. The condensation of mercury on vegetation and other
food products in the vicinity of factories where mercury is handled
(Idria) affects domestic animals directly. Finally the small animals
are poisoned by eating the mercurial rat poisons, and all animals are
subject to malicious mercurial poisoning, with sublimate especially.
Stomatitis with fatal pharyngitis and enteritis will result in the
horse from 2 drs. of corrosive sublimate. About one-half of this may
poison the ox, and one-fourth the sheep or goat. Ruminants are more
susceptible to the toxic action of mercury than monogastric animals,
one evident reason being the long delay of the successive doses in the
first three stomachs, so that finally a large quantity passes over at
once into the fourth stomach and duodenum for absorption. The old
too are more readily poisoned than the young, as the functions of the
kidneys are more impaired in age and the poison is not eliminated
with the same rapidity.
Symptoms. Mercurial stomatitis is a local manifestation of a
general poisoning. Salivation is one of the most prominent
phenomena, the watery saliva falling in streams from the angles of
the mouth. The buccal mucosa generally becomes red and swollen
and the tongue becomes indented at the edges by pressure against
the molars. The gums especially suffer and the teeth raised in their
sockets by the swelling of the periodontal membrane, become loose,
and easily detached. The mucosa of the gums becomes soft and
spongy, bleeds readily under pressure and soon shows erosions and
ulcers. This condition extends to the lips, cheeks and lower surface of
the tongue while the upper surface of the latter organ, the fauces and
pharynx commonly escape. The breath and buccal exhalations are
very offensive, and the animal loathes food, and has little power of
mastication or deglutition. Sometimes the ulcers extend even to the
bones.
Along with these local symptoms there are usually gastro-
intestinal irritation, tympany, inappetence, continuous rumbling in
the belly; badly digested fœtid stools, often diarrhœa, small weak
pulse, hyperthermia, accelerated breathing, cough, and great langor
and prostration. A tendency to blood extravasation is shown in
sanguineous fæces, epistaxis, bleeding from the mouth, the throat or
the womb and even into the skin. Pregnant females may abort. The
eyes are dull and sunken, and the conjunctiva yellow. Eczematous or
pustular eruptions may appear on the skin on the nose, lips, neck,
back, loins, croup or perineum.
Lesions. In addition to the lesions described above, there are
usually gastro-intestinal inflammation, œdema of the peritoneum
and pleura, in the lung as well as in the serosæ, (pneumonia is not
uncommon especially in sheep), intestines, kidneys and muscles,
hæmorrhagic spots are not uncommon, the blood forms a loose black
coagulum, and the encephalon is anæmic and softened.
 Treatment. The first consideration is to cut off the supply of
mercury. Mercurial applications on the skin should be washed off
with tepid water and if necessary soap. An application of sulphide of
potassium will precipitate the mercury in an insoluble form. For
mercurial agents in the alimentary canal an emetic may be given (if
the animal is one susceptible to emesis) followed by a saline laxative.
This may be combined with or followed by raw eggs, mucilage, wheat
gluten or other albuminoid, sulphide of potash or sulphur, to
precipitate the mercury and prevent its absorption. Later, when the
bowels have been cleared, iodide of potassium in small doses will
serve to dissolve and remove what mercury may be lodged in the
tissues.
Locally one of the best applications is chlorate of potash as a
mouth wash, 2 drs. to the quart of water. To this may be added
tannic acid or other vegetable astringent and even alcohol.
Finally a course of iron and bitter tonics will serve a good purpose
in restoring the general tone.
 STOMATITIS FROM CAUSTICS.

Caustic Alkalies; symptoms, lesions and antidotes. Caustic Acids; symptoms,

lesions and antidotes. Caustic salts; symptoms, lesions and antidotes.

Caustic Alkalies (soda, potash, ammonia and their carbonates)

often cause stomatitis. What is supposed to be weak lye, given to
counteract indigestions, colics, and tympanies often proves
dangerously irritating, and some of the worst forms of stomatitis we
have ever seen in the horse originated in this way. As the animal
refused to swallow, the caustic liquid lay in the mouth and virtually
dissolved the epithelium and surface layers of the fibrous mucosa.
The surface in such a case is usually of a deep red, and where the
cuticular covering remains, it is white and corrugated. The antidote
is a weak, non-irritant acid, such as vinegar, boric, citric, or salicylic
acid. When the caustic alkali has been thoroughly neutralized in this
way the ordinary treatment for catarrhal stomatitis may be followed.
The attendant gastritis must receive its special treatment.
Caustic Acids. Sulphuric, nitric and hydrochloric acids act by
abstracting liquids and charring the tissues. The lesions from strong
sulphuric acid turn black, those due to nitric acid, yellow,
(zanthoproteic acid,) and those due to muriatic acid are white, with
the characteristic odor of chlorine. The antidote in such cases is a
non-irritant basic agent, such as chalk, lime water, soapsuds,
calcined magnesia, and mucilaginous liquids, albumen, gluten, flax
seed, with opium. The same agents are applicable to the attendant
gastritis and when the acids are thoroughly neutralized the treatment
is as for simple inflammation.
Caustic Salts. Among caustic salts may be named mercuric
chloride, sulphates of copper and iron, chlorides of iron and zinc,
tartar emetic. These may be treated by albumen, blood, white of egg,
milk, gluten, mucilage and other sheathing, protecting agents which
will form with the salts insoluble and harmless coagula. The
subsequent treatment will follow the lines marked out for simple
stomatitis. To prevent infection of the raw surface Cadeac
recommends: tannic acid 1 oz., benzo-naphthol 3 drachms,
powdered gentian 6 drachms, honey, sufficient to make an electuary.
 MYCOTIC STOMATITIS IN FOALS, CALVES
AND BIRDS. THRUSH. MUGUET.

Oidium (saccharomyces) albicans; a parasite of the young; cultures. Symptoms

in foals and calves; congested buccal mucosa; curd-like concretions; erosions.
Diagnosis from rinderpest. Treatment; disinfection; sunshine; open air; exercise;
locally antiseptics.

This is a form of stomatitis manifested by a raised white patch on

the mucous membrane and determined by the presence of the
oidium albicans (saccharomyces albicans), a cryptogam
discovered by Berg in 1842 in thrush in children. It is closely allied to
the mucor, and attacks only the young and feeble. The white crust
consists of epithelial cells intermingled with an abundance of the
white mycelium and oval spores of the fungus. Andry in his artificial
cultures found that it was pearly white when grown on gelatine, dirty
white on potato, and snow white on carrot.
Foals and Calves. Symptoms. The buccal mucosa red, congested
and tender, shows here and there white curdy looking elevations, or
red erosions caused by the detachment of such masses. These bear a
strong resemblance to the concretions seen on this mucosa in
rinderpest, but are easily recognized by the absence of the attendant
fever, and by the discovery, under the microscope, of the specific
microphyte. The eruption may extend to the pharynx and œsophagus
and interfere fatally with deglutition, but usually it merely renders
sucking painful and is not serious.
Treatment. It is always well to destroy floating germs by cleansing
and whitewashing the stable, and to invigorate the young animals by
sunshine, free air and exercise. Locally the most effective agent is the
old favorite remedy borax which arrests the growth of the parasite
whether in artificial cultures, or in the mouth. The powder may be
rubbed into the sores or it may be mixed with honey or molasses and
used as an electuary. As substitutes boric acid, salol, thymol, chlorate
of potash, or permanganate of potash may be used.
Birds. The affection has been twice observed as occurring in the
œsophagus and crop of two chickens. Martin tried in vain to
inoculate it on other fowls, and Neumann failed to convey it from
child to chicken by feeding. The element of individual susceptibility
was manifestly lacking. From its seat in the crop the malady passed
unnoticed during life. In cases that can be recognized, treatment
would be the same as in young mammals.
 PARALYSIS OF THE TONGUE.
GLOSSOPLEGIA.
Causes: Nervous lesions—central or peripheral, parasitic, inflammatory,
infectious, traumatic or degenerative. Symptoms: unilateral and bilateral.
Treatment: remove cause; use nerve stimulants, embrocations, blisters, frictions,
galvanism, suspension of tongue.
Paralysis of the tongue depends on a lesion of the medulla
oblongata, or of the 7th or 12th cranial nerve. The central lesions may
be connected with cœnurus or other parasites in the brain,
hydrocephalus, meningitis, cerebro spinal meningitis, infectious
pneumonia, abscess (strangles), and tumors. The distal or nerve
lesions may be due to neuroma, tumors, traumas, lacerations,
bruises, or violent distension of the tongue. Parotitis, abscess of the
guttural pouch and tubercle may be added as occasional causes. As
direct traumatic injuries those caused by wearing a poke by a
habitual fence-breaker, excessive dragging on the tongue in
operations on the mouth, and compression of the tongue by a loop of
rope passed over it, require mention.
Symptoms. In unilateral paralysis the affected half of the tongue
remains soft and flaccid and is liable to be crushed between the
teeth, the active muscles of the opposite half pushing the organ over
to the paralyzed side. In bilateral paralysis the tongue hangs out of
the mouth, and being crushed and torn by the teeth, it swells up, and
may even become gangrenous.
Treatment. Will vary according to the cause. After removal of the
central or nervous lesions, the remaining functional paralysis may be
treated by strychnia, internally or hypodermically, by frictions or
stimulating embrocations to the intermaxillary region, or by
electricity. The tongue must be suspended in a sling to prevent
œdema, inflammation and wounds by the teeth. In bad cases of
bilateral traumatic glossoplegia in meat producing animals it has
been advised to have the subject butchered.