Guided and leaky modes of circular waveguides

Guided and Leaky Modes of Circular
Open Electromagnetic Waveguides:

Dielectric, Plasma, and
Metamaterial Columns
Ki Young Kim
Thesis for the Degree of Ph.D.

Ki Young Kim
Department of Electronics, Major in Wave Propagation Engineering
The Graduate School
December 2004
The Graduate School

Kyungpook National University

Ki Young Kim
Department of Electronics, Major in Wave Propagation Engineering
The Graduate School
Supervised by Professor Heung-Sik Tae
Approved as a qualified thesis of Ki Young Kim

for the degree of Ph.D.
by the Evaluation Committee
December 2004
Chairman
_
_
The Graduate School Council, Kyungpook National University
ABSTRACT
by Ki Young Kim
Ph.D. in Electronics (Major in Wave Propagation Engineering)
Kyungpook National University, Daegu, Korea, 2004.
This thesis numerically investigates the guided and leaky mode characteristics of
circular open electromagnetic waveguides made of dielectrics, plasma, and
metamaterials that are assumed to be isotropic and homogeneous. The leaky or
complex modes are analyzed using complex propagation constants rigorously
obtained using Davidenkos method.
Chapter 1 provides an introduction and addresses the background, motivation,
and general contents of this thesis.
Chapter 2 then investigates the guided and leaky mode characteristics of circular
dielectric rod waveguides using specific numerical examples. The guided mode
characteristics of circular dielectric rod waveguides are first briefly reviewed. The
leaky mode characteristics of the circularly symmetric modes below the guided
mode cutoffs are then identified and classified as a nonphysical mode, antenna
mode(s), reactive mode, and spectral gap. In addition, the leaky TM0n and TE0n
modes are compared. The effects of the dielectric constant and radius of the
waveguide on the modal propagation characteristics are then briefly discussed.
Finally, the lossy effects on the modal characteristics, such as mode coupling
phenomena and the creation of a new transition region between the guided and
leaky modes, are identified.
In Chapter 3, the guided and leaky mode characteristics of plasma column
waveguides are investigated using specific numerical examples. The guided mode
characteristics of plasma columns are first briefly reviewed using frequency
independent and frequency dispersive material models. The leaky mode
characteristics of a plasma column are then analyzed using several normalized
plasma frequencies. The physical validity of the numerically obtained complex

propagation constants is also evaluated using a steepest descent plane (SDP)
analysis.
In Chapter 4, the guided mode characteristics of metamaterial column waveguides
are investigated and compared using frequency independent and frequency
dispersive material models The frequency dispersive material models considered
are a double plasmonic model and Pendrys model. The guided modes with the
frequency independent material model are analyzed using several combinations of
artificial material parameters. With the frequency dispersive material models,
guided modes of TE-like modes, as well as TM-like modes are found to exist, and
the plasma frequencies are associated with the existence of specific modes. The
leaky mode characteristics of metamaterial column waveguides when using the
dispersive material models are found to be similar to the leaky mode
characteristics of plasma column waveguides, except for the low frequency
behavior.
Finally, Chapter 5 summarizes the main results of this thesis and suggests some
areas for further research.
Thesis Supervisors: Professor Heung-Sik Tae and Professor Jeong-Hae Lee.
ii
Table of Contents
Abstract
Table of Contents
List of Figures
List of Tables
i
iii
vii
xxi
1. Thesis Introduction
1.1.
Development of Electromagnetic Wave Technologies
1.2.
Open Electromagnetic Waveguiding Structures
1.3.
Guided and Leaky Waves
1.4.
Thesis Overview
13
16
2. Guided and Leaky Modes of Circular Dielectric Rod Waveguides
19
References
2.1.
Dielectric Media
2.2.
Dielectric Waveguides
2.3.
Guided Modes of Circular Dielectric Rod Waveguides A Review
2.4.
Existence of Leaky TM0n Mode Below Guided Mode Cutoffs
2.5.
Comparison Between Leaky TM0n and TE0n Modes
2.6.
Effect of Design Parameters: Dielectric Constant and Radius
2.7.
Lossy Effects on Modal Propagation Characteristics
2.8.
19
20
23
28
35
41
44
45
2.7.1.
Mode Coupling Phenomena of Leaky Modes
2.7.2.
Attenuation Constants of Guided Modes
50
2.7.3.
New Transition Region Between Guided and Leaky Modes
51
53
54
Conclusions
References
iii
3. Guided and Leaky Modes of Plasma Column Waveguides
57
3.1.
Plasma Media
3.2.
Plasma Column Waveguides
3.3.
Guided Modes of Plasma Column Waveguides A Review
64
3.4.
Leaky Mode Characteristics of Plasma Column Waveguides
68
3.5.
Suggested Electrically Reconfigurable Self Sustained Plasma Column
Leaky Wave Antennas Basic Concept

3.6.
85
87
88
93
4. Guided and Leaky Modes of Metamaterial Column Waveguides

4.1.
60
Conclusions
References
57
Metamaterials Overview
94
4.1.1.
Ideas and Realizations
94
4.1.2.
Terminologies and Basic Properties
96
4.1.3.
Trends and Perspectives
4.1.4.
Effective Medium Approach
100
102
4.2.
Metamaterial Waveguiding Structures
4.3.
Guided Mode Characteristics of Metamaterial Columns Waveguides 103
4.4.
4.5.
102
4.3.1.
Frequency Independent Metamaterials
106
4.3.2.
Dispersive Metamaterials: Identical Plasmonic Model
4.3.3.
Dispersive Metamaterials: Dissimilar Plasmonic Model
4.3.4.
Dispersive Metamaterials: Pendrys Model
114
117
122
Leaky Mode Characteristics of Metamaterial Column Waveguides
128
4.4.1.
Frequency Independent Metamaterials
4.4.2.
Dispersive Metamaterials: Dissimilar Plasmonic Model
4.4.3.
Dispersive Metamaterials: Pendrys Model
Conclusions
References
132
138
141
142
5. Summary, Perspectives, and Future Work

5.1.
Thesis Summary
5.2.
Perspectives and Future Work
References
127
153
153
155
157
iv
Appendix A.
Appendix B.
Appendix C.
Appendix D.
Appendix E.
Flexible Circular Dielectric Waveguide

Summary of Characteristic Equations
Davidenkos Method of Complex Root Search
Classifications of Complex Modes
Steepest Descent Plane (SDP) Analysis
159
173
179
187
191
197
201
Abstract in Korean
Acknowledgement
vi
List of Figures
Figure 1.1: Portraits of Scottish physicist J. C. Maxwell (left, 1831-1879) and
German physicist H. R. Hertz (right, 1857-1894). J. C. Maxwell theoretically
predicted the existence of electromagnetic waves in 1864, while H. R. Hertz
experimentally verified their existence in 1888. 2
Figure 1.2: Plane electromagnetic wave propagation. The electric and magnetic
fields generate each other, and the vector of the electric and magnetic fields and
propagation direction of the electromagnetic waves are all perpendicular. 2
Figure 1.3: Artistic drawings of modern applications of electromagnetic waves. (a)
Satellite communications among earth station, satellites, and space shuttles, where
the communications are performed using electromagnetic waves. (b) The
photonic micropolis, generated by Professor John D. Joannopouloss group at MIT,
composed of various photonic devices, such as waveguides and cavities. 3
Figure 1.4: Two typical examples of closed waveguides: (a) rectangular waveguide
and (b) circular waveguide. An electromagnetic wave is guided in the interior
region of the waveguiding structure. The interior and outer regions of the
waveguides are isolated electrically by the conductor shielding. The modes are
determined by the operating frequency and physical dimensions a and b. 5
Figure 1.5: Earth-ionosphere waveguiding system as example of closed waveguide.
An electromagnetic wave is reflected off the ionosphere layer composed of a
plasma layer. Meanwhile, the plasma acts as a conducting medium when the
incident wave frequency is higher than the ionospheres plasma frequency. A
simple explanation of electromagnetic wave propagation with plasma is given in
Chapter 3.
5
Figure 1.6: Examples of open planar electromagnetic waveguides for optical
integrated circuits: (a) strip waveguide, (b) embedded strip waveguide, (c) rib
waveguide, and (d) inverted rib waveguide. Note that n2 > n1 > n0 , where n0 is
the refractive index of the surrounding free space region. The guided and leaky
dispersion characteristics of the waveguides are governed by the refractive indexes
of the dielectric materials and waveguide dimensions, w and t. 7
vii
Figure 1.7: Examples of open electromagnetic waveguides for planar microwave or

millimeter wave frequencies: (a) microstrip line, (b) slot line, (c) coplanar
waveguide, and (d) image guide. The guided and leaky dispersion characteristics
of the waveguides are governed by the dielectric constant r and waveguide
dimensions, w, t, h, and s.
7
Figure 1.8: Optical fiber as example of electromagnetic surface waveguide: left,
optical fibers and right, principle of light transmitting through optical fiber by total
internal reflection. The incident angles , , and shown in the figure are less
than the critical angle. The electromagnetic waves are guided in the interior high
refractive index region by the total internal reflections. 8
Figure 1.9: Reflection and refraction of electromagnetic wave on surface of two
dissimilar materials. is the angle of incidence. 9
Figure 1.10: Reflection and refraction of electromagnetic wave with several
incident angles. 9
Figure 1.11: Geometrical optic descriptions of simplest guided surface and leaky
wave along dielectric film. The refractive index of the film is assumed to be higher
than that of the surrounding free space. (a) Guided mode with total internal
reflection. The electromagnetic wave energy is confined to the waveguide region.
(b) Leaky mode configuration. Electromagnetic energy is constantly leaked into the
free space region. 10
Figure 1.12: Radiation from semi-infinite leaky waveguide: (a) Leaky waveguide is
fed by closed waveguide. When viewed from point z, the amplitude of the field
increases as the distance from the waveguide increases. (b) Expected field pattern
along x direction (transverse direction). 11
Figure 1.13: First page of the patent (US patent 2,402,622) for earliest leaky wave
antenna invented by William W. Hansen in 1940s. 12
Figure 1.14: Circular open boundary electromagnetic waveguide. The inner region
( r < a ) is considered as a conventional dielectric, plasma, and metamaterial in
Chapters 2, 3, and 4, respectively. 14
viii
G
Figure 2.1: Field quantities in dielectric body in presence of external field. Ea :
G
G
G
applied field, P : polarization, Ed : depolarization, and Etot : total field. The
G
G
electric dipole polarization P and applied field Ea generally proceed in the
same direction in natural dielectric media, resulting in dielectric constants that are
greater than unity. 20
Figure 2.2: Light caught in falling water: original principle of optical fibers. In 1854,
J. Tyndall showed that light could propagate in falling water, which is the earliest
official identification of the principle of optical fibers, and even earlier than
Maxwells equations. 21
Figure 2.3: Examples of circular dielectric rod waveguides: (a) Bundle of optical
fibers carrying visible light waves and (b) flexible waveguide in Q-band. Relatively
low radiation losses with bent or flexible waveguides can be achieved by properly
selecting the design parameters, such as the dielectric materials and radius of the
rod. In this case, the radiation loss is mainly affected by the propagating power
distributions, which in turn are controlled by the dispersion characteristics. The
full text is included in Appendix A. 22
Figure 2.4: Guided and leaky mode regions. The guided mode region is between
r 2 r 2 and r1 r1 . However, below the lower boundary of r 2 r 2 there are
leaky modes with complex propagation constants, which is the main concern of
this and the following chapters. Meanwhile, above the upper boundary of r1 r1
there are superslow guided modes, which will be mentioned in Chapter 4. As far
as the guided mode of a conventional dielectric waveguide is concerned, the leaky
mode regions and superslow mode regions are both forbidden. 24
Figure 2.5: Dispersion characteristics of circular dielectric rod waveguides with
circularly symmetric modes, i.e., m = 0 : (a) TM0n mode and (b) TE0n mode. The
radius and dielectric constants of the rod are assumed to be 10.0 mm and 4.0,
respectively. The cutoff frequencies for each guided mode are the same for the
same order of mode, i.e., n. 26
Figure 2.6: Hybrid dipole modes with azimuthal eigenvalue of m = 1 : (a) HE1n
mode and (b) EH1n mode. Unlike the case of the circularly symmetric modes, the
guided mode cutoff frequencies are no longer identical between the HE1n and EH1n
modes. Note that the HE11 mode has no guided mode cutoff. 27
ix
Figure 2.7: Normalized phase constant of circular dielectric rod waveguide. The
dielectric constant and radius of the rod were assumed to be 5.0 and 5.0 mm,
respectively. Leaky modes exist below the guided mode cutoffs. 32
Figure 2.8: Normalized leakage constant of circular dielectric rod waveguide. The
dielectric constant and radius of the rod were assumed to be 5.0 and 5.0 mm,
respectively. Below the guided mode cutoff frequencies, nonzero values were
generated for the normalized leakage constants. 32
Figure 2.9: Enlarged scale of normalized phase constant in Figure 2.5.
33
Figure 2.10: Leaky mode characteristics of circular dielectric rod waveguide for
four lower-order TM0n modes. The dielectric constant and radius of the rod were
assumed to be r1 = 10.0 and a = 10.0 mm , respectively. (a) Normalized phase
constant and (b) normalized leakage constant. The arrows in (a) depict the cutoffs
for the guided modes. 36
Figure 2.11: Leaky mode characteristics of circular dielectric rod waveguide for
four lower-order TE0n modes. The dielectric constant and radius of the rod were
assumed to be r1 = 10.0 and a = 10.0 mm , respectively. (a) Normalized phase
constant and (b) normalized leakage constant. The arrows in (a) depict the cutoffs
for the guided modes. 37
Figure 2.12: Enlarged scaled plot of the Figure 2.10 (a). Normalized phase constant
of TM0n mode near unity. The arrows depict the cutoffs for the guided modes. 40
Figure 2.13: Enlarged scaled plot of the Figure 2.11 (a). Normalized phase constant
of TE0n mode near unity. The arrows depict the cutoffs for the guided modes.
40
Figure 2.14: Normalized phase constant of circular dielectric rod waveguide with
two different rod radii, while dielectric constant of rod was fixed at r1 = 5.0 .
42
Figure 2.15: Enlarges scale of normalized phase constant in Figure 2.12. Only the
TM02 mode is shown. 42
Figure 2.16: Normalized phase constant of circular dielectric rod waveguide with two
different rod dielectric constants, while radius of rod was fixed at a = 5.0 mm . 43
Figure 2.17: Enlarged scale of normalized phase constant in Figure 2.14. Only the
TM02 mode is shown. 43
Figure 2.18: Leaky mode characteristics of circular lossy dielectric rod waveguide.
(a) Normalized phase constant and (b) normalized leakage constant. The arrows in
(a) represent the nonphysical improper complex roots, the dashed lines are for the
lossless references, and the dotted and solid lines are for the cases of tan = 0.005
and tan = 0.01 , respectively. However, in this scale, the lossy effects are rarely
distinguishable. The other non-arrowed branches are the proper physical guided
modes and real part of the normalized complex propagation constant due to the
finite value of the loss tangent. 46
Figure 2.19: Enlarged scale of encircled regions in Figure 2.18 (a), where regions A
and B correspond to guided TM01 mode and leaky TM03 mode, respectively. In the
guided mode region (A), the normalized phase constant becomes lower when the
loss tangent is higher. Conversely, in the leaky mode region (B), the normalized
phase constant becomes higher when the loss tangent is higher. This leaky mode
property is valid near the border between the guided and leaky mode regions.
When the frequency is much lower in a deep reactive region, the normalized phase
constant of a higher loss tangent can take a lower value, implying the existence of
crossing points between the curves of normalized phase constants with dissimilar
loss tangents. Unfortunately, in this case, this property was unclear. 47
Figure 2.20: Coupling of modes due to finite value of loss tangent. (a) No coupling
and (b) coupling. Mode coupling occurs when the dielectric loss is above a certain
critical value. 48
Figure 2.21: Attenuation characteristics of circular lossy dielectric rod waveguide:
(a) Normalized phase constants, where arrowed branches represent physical
proper guided modes and (b) normalized leakage (or attenuation) constants. Below
the guided mode cutoff, / k0 is the normalized leakage constant, while above the
guided mode cutoff, / k0 is the normalized attenuation constant. 49
Figure 2.22: Attenuation constants in Figure 2.21 (b). Comparison of attenuation
constants obtained using perturbation method and Davidenkos method. 50
xi
Figure 2.23: Transition region between guided and leaky mode regions. The
arrowed region is the transition region between the guided and leaky mode
regions considered here. The spectral gap region where the normalized phase
constants are greater than unity is not the transition region between the guided
and leaky mode regions. 51
Figure 2.24: Enlarged scale of transition region. In (a), in the lossless case, the
dispersion curves for the guided and leaky modes continue without any
discontinuity, however, when the dielectric loss is introduced, the dispersion
curves are split. 52
Figure 3.1: Three examples of space plasma. Plasma makes up 99% of all visible
matter in the universe. (a) The aurora, or northern lights, flickering in the
uppermost reaches of earths atmosphere. (b) X-ray image of the sun. (c) The solar
wind generates an immense sheet of electrical current that spirals like a ballerinas
skirt as the sun rotates. Although naturally-occurring plasma is rare on earth, there
are many man-made examples. 58
Figure 3.2: Examples of plasma columns: (a) missile surrounded by plasma sheath
due to friction between air and thermal ignition, and (b) ordinary fluorescent tube
as effective experimental prototype plasma antenna. 61
Figure 3.3: Cross-sectional view of plasma column with radius a. The length of the
column extends infinitely, while the density of the plasma is assumed to be
uniform and the dielectric constant assumed to be isotropic for simplicity. 61
Figure 3.4: Dielectric constant of plasma column with respect to normalized
plasma frequencies of k p a = 1.0 , k p a = 2.0 , and k p a = 3.0 used in Chapter 3. If
the operating normalized frequency k0 a is higher than the normalized plasma
frequency, the dielectric constant will be positive according to the expression of
2
rp = 1 ( k p a / k0 a ) . 63
Figure 3.5: Guided dispersion characteristics of plasma columns. (a) Frequency
independent dielectric constant case. The dielectric and magnetic constants of the
plasma were assumed to be r1 = 4.0 and r1 = 1.0 , respectively, and the radius
of the plasma column was a = 10.0 mm . (b) Dispersive dielectric constant case
using equation in (3.4). The effective plasma frequency was assumed to be
k p a = 10.0 . 67
xii
Figure 3.6: Leaky mode characteristics of plasma column with normalized plasma
frequency of k p a = 1.0 for TM0n mode. (a) Normalized phase constant and (b)
normalized leakage constant. The inset in (a) is an enlarged scale of the negative
normalized phase constants. 70
frequency of k p a = 1.0 for TE0n mode. (a) Normalized phase constant and (b)
normalized leakage constant. 73
Figure 3.12: Complex propagation constants of plasma column with normalized
plasma frequency of k p a = 1.0 on steepest descent plane. (a) a mode for TM0n
mode in Figure 3.6 and (b) a mode for TE0n mode in Figure 3.9. The leaky TM0n
mode solutions have a physical meaning throughout the frequency range, however,
the leaky TE0n mode solutions lose their physical meaning below 2.522 GHz,
marked by A in (b). 77
frequency of k p a = 1.0 for HE1n mode. (a) Normalized phase constant and (b)
xiii
frequency of k p a = 1.0 for EH1n mode. (a) Normalized phase constant and (b)
Figure 3.19: Examples of radiation regions with plasma column waveguides. The
normalized phase and leakage constants are taken from the TM0n modes in Figure
3.6, i.e., k p a = 1.0 . (a) a mode, (b) b mode, and (c) c mode. 86
Figure 4.1: Professor V. G. Veselago of Moscow Institute of Physics and Technology
who predicted the novel properties of metamaterials in 1967. In his paper entitled
The electrodynamics of substances with simultaneously negative values of and
in Soviet Physics Uspekhi, Professor Veselago investigated the extraordinary
properties of metamaterials, such as the reversal of Snells law, a reversed Doppler
effect, and reversed erenkov radiation. 94
Figure 4.2: Negative effective permittivity can be obtained from thin metallic wires
and photonic crystals, while negative effective permeability can be obtained from
split ring resonators. (a) Thin metallic wires for negative permittivity, (b) diamond
geometry 3D wire mesh photonic crystals for negative permittivity, and (c) spit
ring resonators (SRRs) for negative permeability. 95
xiv
Figure 4.3: Arrays of the thin wires plus split ring resonators. Simultaneous
negative permittivity and permeability can be achieved at certain frequency bands.
(a) First experimental embodiment of effective double negative material index by
UCSD group and (b) its three-dimensional extension. 96
Figure 4.4: (a) Right-handed and (b) left-handed rules. Metamaterials are also
G
called left-handed materials, as their fields are governed by left-handed rules. E ,
G
G
G
H , S , and k are the electric field, magnetic field, Poyntings vector, and wave
G
G
propagation vector, respectively. While k and S are parallel in conventional
media, they are anti-parallel in metamaterials. 97
Figure 4.5: Positive and negative refractions. Angles and are the incidence
and refraction angles, respectively. Refer to the positive refraction in Figure 1.9 for
a comparison. Metamaterials are also called materials with a negative refractive
index (NRI). 98
Figure 4.6: Reversed energy flows inside and outside metamaterial open
waveguide. Metamaterials are also called backward (BW) wave materials or
materials with a negative phase velocity (NPV). 98
Figure 4.7: Classification of materials according to signs of material constants and
behavior of incidence at air (conventional material) material interface. 99
Figure 4.8: Basic elements of various transmission line models: (a) Conventional
transmission line (right-handed (RH) transmission line), (b) left-handed (LH)
transmission line, (c) conventional lossy transmission lines, and (d) CRLH
(Composite Right/Left Hand) transmission line. L, C, R, and G are the inductance
per unit length, capacitance per unit length, resistance per unit length, and
conductance per unit length, respectively. The subscripts R and L stand for right
and left, respectively. The concept of the classical RH transmission lines, i.e., (a)
and (c), has been well established for a long time. The LH transmission lines in (b)
were also proposed a long time ago to describe the backward wave property in
backward wave devices. The CRLH transmission lines are very useful to describe
the wave propagation along metamaterials. 101
Figure 4.9: Examples of light (electromagnetic wave) manipulations by threedimensional photonic crystals. 101
xv
Figure 4.10: Regions of surface plasmon (SP) and ordinary surface (OS) modes.
When the normalized propagation constants are in the regions
r 2 r 2 < / k0 < r1 r1 and / k0 > r1 r1 , the guided modes correspond to the
OS and SP modes, respectively. Below the OS mode, the propagation constants
become complex, which represents the leaky mode. 104
Figure 4.11: Guided mode dispersion characteristics of circularly symmetric modes
( m = 0 ): (a) TM0n mode and (b) TE0n mode. The dotted lines are for the
conventional circular dielectric rod waveguide for comparison. The dashed and
solid lines represent the backward and forward waves in the case of the
metamaterial column waveguide. The cutoff frequencies are 6.63, 15.22, and 23.85
GHz for n = 1 , 2, and 3, respectively. The principal mode ( n = 1 ) has a superslow
wave region where the normalized propagation constant exceeds the r1 r1 = 2.0
line. 108
Figure 4.12: Spatial field distribution of the TE01 guided modes. The radial
magnetic field components are shown. The rescaled dispersion curves of Figure
4.11 (b) are shown above. a, b, , f are the points of interest. 109
Figure 4.13: Guided mode dispersion characteristics of DNG metamaterial column
waveguide for TE01 mode with varied material constants. The product of the
dielectric and magnetic constants was kept invariant as 4.0, i.e., r1 r1 = 4.0 . The
Numbers in the figure represent the dielectric constants. The magnetic constants
for each case are given as r1 = 4.0 / r1 . 111
waveguide for EH11 and EH12 modes with various material constants. The product
of the dielectric and magnetic constants was kept invariant at 4.0, i.e., r1 r1 = 4.0 .
The numbers in the figure represent the dielectric constants. The magnetic
constants for each case are given as r1 = 4.0 / r1 . 112
waveguide for EH21 and EH22 modes with various material constants. The product
of the dielectric and magnetic constants was kept invariant at 4.0, i.e., r1 r1 = 4.0 .
The numbers in the figure represent the dielectric constants. The magnetic
constants for each case are given as r1 = 4.0 / r1 . 113
xvi
Figure 4.16: Dielectric and magnetic constants of dispersive material following

expression in (4.11). Note that the dielectric and magnetic constants are identical.
114
Figure 4.17: Dispersion curve for TM0n/TE0n mode of plasma column with various
normalized plasma frequencies. The dotted and dashed line indicates the border of
the SP mode and OS mode, while the vertical dotted line depicts the high
frequency cutoff ( k p a / 2 ) of the principal mode. 115
Figure 4.18: Dispersion curve for HE1n/EH1n mode of metamaterial column
waveguides when using identical plasmonic model with several normalized
plasma frequencies. 116
Figure 4.19: Dispersion curve for HE2n/EH2n mode of metamaterial column
waveguides when using identical plasmonic model with several normalized
plasma frequencies. 116
Figure 4.20: Dielectric and magnetic constants of metamaterial in (4.12) based on
reference. The normalized electric and magnetic constants of the metamaterial
were assumed to be k pe a = 2.34 and k pm a = 1.98 . (a) Normalized frequency span
from 0.0 to 20.0 and (b) normalized frequency span from 1.0 to 3.0. 118
Figure 4.21: TM-like dispersion curves for three lowest guided modes when using
dissimilar plasmonic model in (4.12): (a) TM0n mode and (b) HE1n mode. 120
Figure 4.22: TE-like dispersion curves for three lowest guided modes when using
dissimilar plasmonic model in (4.12): (a) TE0n mode and (b) EH1n mode. 121
Figure 4.23: Dielectric and magnetic constants of metamaterial: (a) Material
constants from 0 to 100 GHz and (b) same material constant span from 0 to 12 GHz.
As the frequency increases, the dielectric and magnetic constants approach 1.0 and
0.44, respectively. The dielectric and magnetic constants are simultaneously
negative in the shaded region, i.e., from 4 to 6 GHz. From 6 to 10 GHz, the
dielectric constants are negative, yet the magnetic constants are positive. Above 10
GHz, both material constants are positive, yet below unity, which is similar to the
properties of artificial dielectrics. 123
xvii
Figure 4.24: Guided dispersion characteristics of metamaterial column for TM-like

modes when using Pendrys model: (a) TM0n mode, (b) HE1n mode, and (c) HE2n
mode. 125
Figure 4.25: Guided dispersion characteristics of metamaterial column for TM-like
modes when using Pendrys model: (a) TE0n mode, (b) EH1n mode, and (c) EH2n
mode. 126
Figure 4.26: Normalized phase and leakage constants of metamaterial column for
TM0n mode. The column radius a = 10.0 mm and the materials constants are
r1 = 4.0 and r1 = 1.0 . 130
Figure 4.27: Normalized phase and leakage constants of conventional dielectric rod
waveguide for TM0n mode, as comparison. The rod radius a = 10.0 mm and the
dielectric and magnetic constants are r1 = +4.0 and r1 = +1.0 . 131
Figure 4.28: Real and complex solutions for metamaterial column waveguide when
using dissimilar plasmonic model in (4.19). 133
Figure 4.29: Leaky mode characteristics of metamaterial columns when using
forms of material constants in (4.19) for TM0n modes: (a) Normalized phase
constants and (b) normalized leakage constants. 134
Figure 4.30: Negative normalized phase and leakage constants of TM0n mode at
lower frequency. (a) TM01 mode. (b) TM02 mode. The bifurcated point is marked by
A in (b). 136
Figure 4.31: Leaky mode characteristics of metamaterial column when using
plasmonic forms of material constants in (4.19) for TE0n modes: (a) Normalized
phase constants and (b) normalized leakage constants. 137
Figure 4.32: Leaky mode characteristics of metamaterial column for the TM0n
modes when using Pendrys model governed by the expression (4.20): (a)
Normalized phase constants and (b) normalized leakage constants. 139
Figure 4.33: Leaky mode characteristics of metamaterial column for the TE0n modes
when using Pendrys model governed by the expression (4.20): (a) Normalized
phase constants and (b) normalized leakage constants. 140
xviii
Figure A.1: Geometry of circular dielectric waveguides in cylindrical geometry: (a)

rod waveguide and (b) tube waveguide. r is the radius of the dielectric rod
waveguide; r1 and r2 is the inner and outer radii of the dielectric tube
waveguide, respectively. 161
Figure A.2: Dispersion curves of various circular PTFE waveguides.
163
Figure A.3: Fractional power flow ratios in each region of PTFE waveguides: (a)
dielectric region (b) air core region, and (c) free space region. 166
Figure A.4: Experimental setups. (a) Picture and (b) schematic.
168
Figure A.5: Dielectric losses of various flexible waveguides.
170
Figure A.6: Radiation losses of various flexible waveguides.
170
Figure B.1: Geometry and its cylindrical coordinate system ( r , , z ) associated

with circular open wave guiding structure embedded in free space region. 174
Figure D.1: Interface between two different media and its coordinate systems. 187
Figure E.1: Transformation concept from complex propagation constant plane onto
SDP, and associated relations. k z is the complex propagation constant of the
guiding structure and is the steepest decent variable. The physical validity of
the field solutions can be judged on the SDP.
192
Figure E.2: Interface between two dissimilar media. The propagation and
transverse directions are the +z- and +x- directions, respectively. is the complex
observation angle. 192
Figure E.3: Riemann sheets of complex k z plane: (a) Top (proper) sheet and (b)
bottom (improper) sheet. 193
Figure E.4: Steepest descent plane showing properties of waves in each partition.
The field solution mapping into the shaded region is physically valid. 196
Figure E.5: Steepest descent plane showing slow (unshaded) and fast (shaded)
waves. 196
xix
xx
List of Tables
Table 1.1: Contents of thesis.
14
Table 2.1: Summary of spectral ranges and widths of leaky TM0n modes of circular
dielectric rod waveguide when r1 = 5.0 and a = 5.0 mm . 34
Table 2.2: Spectral ranges (and widths) of leaky TM0n mode. The unit GHz is
abbreviated. 38
Table 2.3: Spectral ranges (and widths) of leaky TE0n mode. The unit GHz is
abbreviated. There no spectral gaps in the cases of the TE0n modes. 38
Table 2.4: Spectral widths of leaky mode regions for fixed dielectric constant of
r1 = 5.0 . 44
Table 2.5: Spectral widths of leaky mode regions for fixed radius of a = 5.0 mm . 44
Table 4.1: Points of interests in Figure 4.12.
110
Table A.1: Total lengths and radii of curvature of samples employed in current
study. 168
Table D.1: Types of complex wave.
xxi
189
xxii
CHAPTER 1.
Thesis Introduction
Chapter 1 provides an introduction with a brief review of the development
of academic and engineering electromagnetic wave technologies, including
(1) open electromagnetic waveguides and (2) guided and leaky modes, as
the fundamental concepts underlying this thesis. Finally, brief summaries
are given of Chapters 2, 3, 4, and 5, along with the basic motivation for this
study.
1.1. Development of Electromagnetic Wave Technologies

In 1864, the existence of electromagnetic wave propagation through space was
theoretically predicted for the first time by the Scottish physicist J. C. Maxwell1)
(Figure 1.1, left) in his mathematical derivations of electromagnetic fields. Soon
afterwards, in 1888, the German physicist H. R. Hertz2) (Figure 1.1, right)
conducted an important experiment using a spark gap oscillator that proved
Maxwells theory to be correct.
See, L. Campbell and W. Garnett, The Life of James Clerk Maxwell, Macmillan, London, 1882 (1997
digital preservation). It is available at http://www.sonnetusa.com/bio/maxwell.asp.
2) C. Ssskind, Heinrich Hertz: A short life, IEEE Transactions on Microwave Theory and Techniques, vol.
36, no. 5, pp. 802-805, May 1988.
R. S. Elliot, The history of electromagnetics as Hertz would have known it, IEEE Transactions on
Microwave Theory and Techniques, vol. 36, no. 5, pp. 806-823, May 1988.
J. D. Kraus, Heinrich Hertz Theorist and Experimenter, IEEE Transactions on Microwave Theory and
Techniques, vol. 36, no. 5, pp. 824-829, May 1988.
J. H. Bryant, The first century of microwaves 1886 to 1986, IEEE Transactions on Microwave Theory
and Techniques, vol. 36, no. 5, pp. 830-858, May 1988.
1)
Figure 1.1: Portraits of Scottish physicist J. C. Maxwell (left, 1831-1879) and German
physicist H. R. Hertz (right, 1857-1894). J. C. Maxwell theoretically predicted the existence of
electromagnetic waves in 1864, while H. R. Hertz experimentally verified their existence in
1888. (Source: http://freelektronik.free.fr/LEKTRONIK/annexes/biograph.htm)
Figure 1.2: Plane electromagnetic wave propagation. The electric and magnetic fields
generate each other, and the vector of the electric and magnetic fields and propagation
direction of the electromagnetic waves are all perpendicular.
(Source: http://micro.magnet.fsu.edu/primer/lightandcolor/electromagintro.html)
The mathematical plane electromagnetic waves in Figure 1.2 have transverse

electric and magnetic components that are perpendicular to each other and aimed
in a propagation direction also perpendicular to their transverse electric and
magnetic components. In addition, electromagnetic waves can carry their energy or
information with them from one point to another.
Science and modern technologies have flourished based on the discovery of
electromagnetic waves. For example, modern technologies involving
electromagnetic waves include satellite communications, high-energy particle
accelerators, electron microscopy, various active and passive microwave / optical
devices, and many more modern complex high-precision devices and systems.
Artistic representations of satellite communications and a collection of modern
electromagnetic wave-manipulating devices (electromagnetic crystal devices) are
shown in Figure 1.3.
The efficient transfer of information or energy from one point to another in a
chosen direction is performed by specially designed electromagnetic structures or
media called, electromagnetic waveguides. As such, electromagnetic waveguides
are very important devices as regards carrying electromagnetic energy or signals in
a certain direction, and as a basic part of various other RF/ microwave / millimeter
wave / optical devices, such as filters, directional couplers, power dividers,
resonators, and so on.
(a)
(b)
Figure 1.3: Artistic drawings of modern applications of electromagnetic waves. (a) Satellite
communications among earth station, satellites, and space shuttles, where the
communications
are
performed
using
electromagnetic
waves.
(Source:
http://www.hardlines.co.uk/gall_aw/tec_07.htm) (b) The photonic micropolis, generated
by Professor John D. Joannopouloss group at MIT, composed of various photonic devices,
such as waveguides and cavities. (Source: http://ab-initio.mit.edu/)
1.2. Open Electromagnetic Waveguiding Structures

Initially, waveguides were only made of metal [1], however, it was soon discovered
that electromagnetic waves can also be guided by a dielectric material boundary,
resulting in the active study of electromagnetic wave guiding structures of both
conducting or dielectric materials as a fundamental branch of electromagnetism.
An electromagnetic structure or medium that can convey electromagnetic energy
from one point to another in a chosen direction is generally called a waveguide, as
mentioned previously. In that sense, plane wave propagation through free space, as
shown in Figure 1.2, can also be considered as an electromagnetic energy guiding
structure along a free space waveguide as well as a cylindrical wave or spherical
wave.
Electromagnetic waveguides can be classified as open waveguides and closed
waveguides [2]. Closed waveguides have a conducting outermost boundary and
their guiding fields are sharply defined in their inner region. As such, they include
coaxial cables and metallic waveguides. Figure 1.4 shows the most commonly used
classical metallic waveguides, as examples of closed waveguides, where the inner
and outer regions are well defined by metallic walls and the regions are perfectly
isolated from the surrounding medium.
In contrast, an open electromagnetic waveguide is any electromagnetic
waveguiding structure that is not entirely shielded by metal enclosures and where
the outer boundary is open to the exterior space, permitting the electromagnetic
field to outreach to infinity in a transverse direction to the propagation. In a
broader sense, the earth-ionosphere system [3] in Figure 1.5 can also be considered
as an electromagnetic waveguide in nature.
According to the relationship between the operating frequency of the incident
electromagnetic waves and the natural frequency (plasma frequency) of the
ionosphere layers, the earth-ionosphere electromagnetic waveguiding system can
be regarded as either an open or closed slab waveguide. An electromagnetic wave
is reflected off the ionosphere layer that is composed of a plasma layer. Meanwhile,
the plasma acts as a conducting medium when the incident wave frequency is
higher than the ionospheres plasma frequency. A simple explanation of
electromagnetic wave propagation with plasma will be given in Chapter 3.
b
x
z
a
(a)
(b)
Figure 1.4: Two typical examples of closed waveguides: (a) rectangular waveguide and (b)
circular waveguide. An electromagnetic wave is guided in the interior region of the
waveguiding structure. The interior and outer regions of the waveguides are isolated
electrically by the conductor shielding. The modes are determined by the operating
frequency and physical dimensions a and b.
Figure 1.5: Earth-ionosphere waveguiding system as example of closed waveguide. An

electromagnetic wave is reflected off the ionosphere layer composed of a plasma layer.
Meanwhile, the plasma acts as a conducting medium when the incident wave frequency is
higher than the ionospheres plasma frequency. A simple explanation of electromagnetic
wave propagation with plasma is given in Chapter 3.
(Source: http://www.arsc.edu/science/ionosphere.html)
Planar-type open electromagnetic waveguides have already been extensively

studied for a long time (See, e.g., ref. [4] and references therein.). These waveguides
include image guides, microstrip lines, coplanar waveguides, and slot lines for
microwave or millimeter wave transmission, and strip guides, embedded strip
guides, rib guides, and inverted rib guides for integrated optics. A list of examples
of planar-type open waveguides is shown in Figures 1.6 and 1.7. The guided and
leaky dispersion characteristics of these planar-type waveguides have also been
extensively studied, as they are core parts of modern applications, such as
communication devices and systems.
Another type of open electromagnetic waveguiding structure that is not planar is a
circular open electromagnetic waveguiding structure. The representative
application of a circular open waveguiding structure is an optical fiber [5].
Figure 1.8 shows an optical fiber and its method of propagating total internal
reflection. As such, current advancements in high-speed internet services and
communications are due to optical fibers.
Open electromagnetic waveguides usually have guided modes with a purely real
propagation constant and leaky modes with a complex propagation constant. The
guided mode and leaky mode characteristics of the planar open electromagnetic
waveguides in Figures 1.6 and 1.7 are relatively well known, as they are practically
employed in many microwave / optical integrated circuits. Guided dispersion
characteristics have also been studied for usage in various optical applications.
However, the leaky mode characteristics of circular open waveguiding structures
are relatively unknown in spite of their broad spectrum of potential uses. Therefore,
these leaky mode characteristics are one of the major concerns of this thesis.
Figure 1.6: Examples of open planar electromagnetic waveguides for optical integrated
circuits: (a) strip waveguide, (b) embedded strip waveguide, (c) rib waveguide, and (d)
inverted rib waveguide. Note that n2 > n1 > n0 , where n0 is the refractive index of the
surrounding free space region. The guided and leaky dispersion characteristics of the
waveguides are governed by the refractive indexes of the dielectric materials and waveguide
dimensions, w and t.
Figure 1.7: Examples of open electromagnetic waveguides for planar microwave or

millimeter wave frequencies: (a) microstrip line, (b) slot line, (c) coplanar waveguide, and (d)
image guide. The guided and leaky dispersion characteristics of the waveguides are
governed by the dielectric constant r and waveguide dimensions, w, t, h, and s.
Figure 1.8: Optical fiber as example of electromagnetic surface waveguide: left, optical fibers
and right, principle of light transmitting through optical fiber by total internal reflection.
The incident angles , , and shown in the figure are less than the critical angle. The
electromagnetic waves are guided in the interior high refractive index region by the total
internal reflections.
(Source: http://www.hitachi-cable.co.jp/ewc/smenu091.htm)
(Source: http://kottan-labs.bgsu.edu/teaching/workshop2001/chapter1.htm)
1.3. Guided and Leaky Waves

Generally, once electromagnetic waves are incident upon the surface of two
different dielectric media, reflection and refraction phenomena occur between the
two media due to the dissimilar refractive indexes. Figure 1.9 shows the reflection
and refraction phenomena that occur with geometrical optics. At a certain critical
angle of incidence or above, the transmitted ray disappears and all the
electromagnetic energy becomes confined to the incidence region, as shown in
Figure 1.10. This is total internal reflection, and the fields in the upper regions of
Figure 1.9 or 1.10 exist in an evanescent form, i.e., decaying exponentially in the +ydirection. This is the principle of a guided surface wave [6], and optical fibers and
other guided planar integrated optical circuits use this type of electromagnetic
wave.
Figure 1.9: Reflection and refraction of electromagnetic wave on surface of two dissimilar
materials. is the angle of incidence.
Figure 1.10: Reflection and refraction of electromagnetic wave with several incident angles.
Figure 1.11: Geometrical optic descriptions of simplest guided surface and leaky wave along
dielectric film. The refractive index of the film is assumed to be higher than that of the
surrounding free space. (a) Guided mode with total internal reflection. The electromagnetic
wave energy is confined to the waveguide region. (b) Leaky mode configuration.
Electromagnetic energy is constantly leaked into the free space region.
As in the general case of refraction shown in Figure 1.9, the refracted rays can be
viewed as leaky rays, because even though the electromagnetic waves are guided
to propagate in the +x-direction, the electromagnetic energy can also propagate in
the +y-direction, thus the energy of the electromagnetic wave is constantly leaked
in the transverse direction to the free space when the wave is propagated in the +xdirection [7]. Figure 1.11 shows a more apparent view using dielectric slab
waveguide geometry. Figure 1.11 (a) is the purely guided mode based on total
internal reflection, whereas Figure 1.11 (b) shows the leaky rays. The guided
surface wave is guided by total internal reflection. However, when a critical
incident angle is exceeded, the electromagnetic power is constantly leaked
downward in the traveling direction. When the electromagnetic power is
constantly leaked, the amplitude of the axial field is attenuated, yet this is not due
to material absorption. Mathematically, these waves are improper, because the
amplitude of the wave increases transversely and the radiation condition at infinity
is violated. (See Appendix D for details.) Thus, it would seem that leaky waves are
nonphysical. However, leaky waves are physically measurable and used in many
electromagnetic applications. Yet, since leaky waves are mathematically improper,
they can only exist in a restricted region of a wedge shape within which the field
stays finite, as shown in Figure 1.12. This is because the location of the source is
finite (or fixed).
10
Figure 1.12: Radiation from semi-infinite leaky waveguide: (a) Leaky waveguide is fed by
closed waveguide [8]. When viewed from point z, the amplitude of the field increases as the
distance from the waveguide increases. (b) Expected field pattern along x direction
(transverse direction) [9].
The mathematically improper character of leaky waves is derived from their

source-free condition. Various basic articles and recent reviews are useful to
understand the general physics of leaky waves [7-10].
The earliest and most widely utilized engineering application of the leaky wave
phenomenon is leaky wave antennas [8]. Figure 1.13 shows the structure of the first
leaky wave antenna [11], and this application of leaky waves is still being actively
studied [12]. Meanwhile, other leaky wave applications in the
microwave/millimeter/submillimeter wave band are low-loss waveguides [13],
microwave applicators [14], dielectric resonators [15], leaky wave filters [16],
directional couplers [17], and so on.
11
Figure 1.13: First page of patent (US patent 2,402,622) for earliest leaky wave antenna
invented by William W. Hansen in 1940s [11].
12
1.4. Thesis Overview

The modal propagation characteristics, including the leaky mode characteristics, of
planar dielectric waveguides are relatively well known. However, the leaky wave
characteristics of circular geometry have rarely been investigated in spite of their
potential importance in various applications due to their geometrical simplicity.
Accordingly, this thesis examines the electromagnetic guided and leaky modes
along an open boundary-type cylindrical waveguiding structure composed of (1) a
dielectric column, (2) plasma column, and (3) metamaterial column, respectively.
The dispersion property of a waveguide is an integral part of the various
waveguide characteristics in terms of practical applications and the actual
dispersion physics. Practically, dispersion is the core component, as it determines
the fundamental characteristics of the field distribution, mode classification, wave
velocity characteristics, such as the phase and group velocities, and so on. These
characteristics are also important when designing waveguides / transmission lines
or other relevant electromagnetic devices and improving applications. In the
preceding sections, the concept of an open-type waveguide was introduced, along
with guided and leaky mode characteristics. A column structure is one of the
simplest nonplanar open electromagnetic guiding structures and the composition
materials considered are all nonconducting. A typical example of this structure is
an optical fiber composed of dielectrics. Plasmas and metamaterials can also be
used for open electromagnetic structures, therefore, this thesis focuses on the
unusual material indexes of plasmas and metamaterials, such as their negative
material constants and frequency dispersive natures. More complex material
properties, such as nonlinearity, inhomogeneities, anisotropy are excluded.
Complex propagation constants from complex characteristic equations are
obtained using Davidenkos method that is known to be an efficient way of finding
a complex root. (See Appendix C.)
As such, Chapter 1 provides a brief review of some of the fundamental
electromagnetic concepts underlying this thesis, such as open / closed waveguides
and guided / leaky modes, and gives an overview of the rest of the thesis.
Chapters 2, 3, and 4 then deal with dielectric, plasma, and metamaterial columns
with open boundaries, respectively. Figure 1.14 shows the column structure used in
this thesis, where the radius of the column is a, the dielectric constants (relative
permittivity) of the inner and outer regions are designated by r1 and r 2 ,
respectively, and the magnetic constants (relative permeability) of the inner and
outer regions are designated by r1 and r 2 , respectively. Detailed descriptions
of the material constants are given in the following chapters.
13
Figure 1.14: Circular open boundary electromagnetic waveguide. The inner region ( r < a ) is
considered as a conventional dielectric, plasma, and metamaterial in Chapters 2, 3, and 4,
respectively.
Table 1.1: Contents of thesis.

Chapter 2
Chapter 3
Dielectric
Plasma
Metamaterial
Constant
Mostly Dispersive
Constant / Dispersive
Geometry
Media
Material
Dispersion
Loss
Chapter 4
Circular open
Lossless/Lossy
Lossless
Lossless
Circularly symmetric /
Circularly symmetric /
Mode
Circularly symmetric
Hybrid
Hybrid
Propagation
Guided: Review
Guided: Review
Guided: Original work
type
Leaky: Original work
14
Table 1.1 shows the contents of this thesis.

In Chapter 2, the guided and leaky mode characteristics of conventional circular
dielectric rod waveguides are analyzed for circularly symmetric modes. The
dielectric constant and loss tangent are assumed to be frequency independent.
Although the guided mode characteristics are well known, several modal
properties are repeated with specific design parameters. The leaky modes of this
type of waveguide are rigorously identified as the nonphysical mode, antenna
mode, reactive mode, and spectral gap. Two kinds of circularly symmetric mode
are compared and the effects of the design parameters, such as the dielectric
constant and radius of the waveguide, are investigated, especially for the leaky
modes. Lastly, the lossy effects on the modal propagation characteristics, such as
leaky mode coupling and the creation of the transition region, are examined.
In Chapter 3, the guided and leaky mode characteristics of open plasma columns
are investigated, where the plasma columns are composed of dispersive and
frequency-independent materials. The guided mode characteristics of the plasma
columns with a frequency-independent dielectric constant and dispersive
plasmonic dielectric constants are reviewed using specific numerical examples.
Meanwhile, the leaky mode characteristics of the plasma columns are examined
with a dispersive plasmonic dielectric constant. Discrete solutions for the complex
propagation constants of the plasma columns are found in all the spectral ranges.
The leaky mode characteristics of the plasma columns are investigated for several
normalized plasma frequencies. Possible applications for electrically reconfigurable
plasma column leaky wave antennas are suggested from the leaky mode
characteristics.
In Chapter 4, the guided and leaky mode characteristics of open metamaterial
columns are investigated. The metamaterials considered in this thesis have (1)
frequency-independent and (2) frequency dispersive models. The guided mode
characteristics of the metamaterial columns with frequency-independent material
constants are investigated and several unusual characteristics, such as superslow
waves, backward waves, mode bifurcations, and guided mode coupling, are found.
Plus, the guided mode characteristics of the metamaterial columns with dispersive
materials are also examined. Meanwhile, the leaky mode characteristics of the
metamaterial columns are examined based on the material parameters used in the
guided mode analysis.
In conclusion, Chapter 5 gives a summary of the entire thesis and suggests further
research work related to this thesis.
15
References
[1] K. S. Packard, The origin of waveguides: A case of multiple rediscovery, IEEE
Transactions on Microwave Theory and Techniques, vol. 32, no. 9, pp. 961-969, September
1984.
[2] a) S. F. Mahmoud, Electromagnetic Waveguides: Theory and Applications, Peter Peregrinus,
1991.
b) F. Olyslager, Electromagnetic Waveguides and Transmission Lines, Oxford University
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c) T. Rozzi and M. Mongiardo, Open Electromagnetic Waveguides, The Institution of
Electrical Engineers, 1997.
[3] K. Rawer, Wave Propagation in the Ionosphere, Kluwer Academic Publishers, 1993.
[4] a) S. K. Koul, Millimeter Wave and Optical Dielectric Integrated Guides and Circuits, John
Wiley and Sons, Inc., 1997.
b) Special Issue on Open Guided Wave Structures, IEEE Transactions on Microwave
Theory and Techniques, vol. 29, no. 9, September 1981.
[5] a) D .B. Keck, Selected Papers on Optical Fiber Technology, SPIE Press, 1992.
b) D. Gloge, Optical Fiber Technology, IEEE Press, 1976.
c) C. K. Kao, Optical Fiber Technology II, IEEE Press, 1981.
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b) Surface Waves, IRE Transactions on Antennas and Propagation (Special Supplement), vol.
7, no. 5, pp. S132-S243, December 1959.
[7] T. Tamir, Integrated Optics, Springer-Verlag, 1979.
[8] a) L. O. Goldstone and A. A. Oliner, Leaky-wave antennas I: Rectangular
waveguides, IRE Transactions on Antennas and Propagation, vol. 7, no. 4, pp. 307-319,
October 1959.
b) L. O. Goldstone and A. A. Oliner, Leaky-wave antennas II: Circular waveguides,
IRE Transactions on Antennas and Propagation, vol. 9, no. 3, pp. 280-290, May 1961.
[9] J. S. Myung, Guidance and leakage by open dielectric waveguides for millimeter waves, Ph.D.
Thesis, Polytechnic Institute of New York, 1982.
[10] a) T. Tamir and A. A. Oliner, Guided complex waves Part 1. Fields at an interface,
Proceeding of the IEE, vol. 110, no. 2, pp. 310-324, February, 1963.
b) T. Tamir and A. A. Oliner, Guided complex waves Part 2. Relation to radiation
patterns, Proceeding of the IEE, vol. 110, no. 2, pp. 325-334, February, 1963.
c) A. A. Oliner, Types and basic properties of leaky modes in microwave and
millimeter-wave integrated circuits, IEICE Transactions on Electronics, vol. E83-C, no. 5,
pp. 675-686, May 2000.
d) A. A. Oliner, Leaky-wave antennas, in R. C. Johnson, Antenna Engineering Handbook,
3rd ed., New York: McGraw-Hill, 1993.
e) A. A. Oliner, Leaky waves: Basic properties and applications, 1997 Asia Pacific
Microwave Conference, vol. 1, pp. 397-400, December 2-5, 1997.
16
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f) H. Shigesawa and M. Tsuji, Basic properties of leaky modes in printed-circuit

transmission lines, International Conference on Mathematical Methods in Electromagnetic
Theory, vol. 1, pp. 93-98, September 10-13, 2002.
g) A. A. Oliner, Historical perspectives on microwave field theory, IEEE Transactions
on Microwave Theory and Techniques, vol. 32, no. 9, pp. 1022-1045, September 1984.
h) A. Ishimaru, Electromagnetic Wave Propagation, Radiation, and Scattering, pp. 46-52,
Prentice Hall, 1991.
i) S. T. Peng and A. A. Oliner, Guidance and leakage properties of a class of open
dielectric waveguides: Part I Mathematical formulations, IEEE Transactions on
Microwave Theory and Techniques, vol. 29, no. 9, pp. 843-855, September 1981.
j) S. T. Peng and A. A. Oliner, Guidance and leakage properties of a class of open
dielectric waveguides: Part II New physical effects, IEEE Transactions on Microwave
Theory and Techniques, vol. 29, no. 9, pp. 855-869, September 1981.
W. W. Hansen, Radiating Electromagnetic Wave Guide, US Patent 2,402,622.
a) W. Hong and Y. D. Lin, Single-conductor strip leaky-wave antenna, IEEE
Transactions on Antennas and Propagation, vol. 52, no. 7, pp. 1783-1789, July 2004.
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tapered microstrip leaky-wave antenna, IEEE Transactions on Antennas and Propagation,
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submillimeter waves transmission, IEEE Transactions on Microwave Theory and
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a) G. dAmbrosio and M. D. Migliore, Numerical and experimental analysis of leakywave microwave applicators, IEEE Transactions on Antennas and Propagation, vol. 52, no.
6, pp. 1429-1433, June 2004.
b) G. Sauv, M. Moisan, Z. Zakrzewski, and C. A. Bishop, Sustaining long linear
uniform plasmas with microwaves using a leaky-wave (Troughguide) field applicator,
IEEE Transactions on Antennas and Propagation, vol. 43, no. 3, pp. 248-256, March 1995.
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radiating cylindrical dielectric resonator for wireless communications, IEEE
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E. G. Cristal, Analytical solution to a waveguide leaky-wave filter structure, IEEE
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17
b) D. C. Niu, T. Yoneyama, and T. Itoh, Analysis and measurement of NRD-guide

leaky wave coupler in Ka-band, IEEE Transactions on Microwave Theory and Techniques,
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18
CHAPTER 2.
Guided and Leaky Modes of
Circular Dielectric Rod
Waveguides
The guided and leaky mode characteristics of circular dielectric rod
waveguides are investigated. The guided mode characteristics are reviewed
using specific numerical examples, while the leaky modes are identified
below the guided mode cutoff frequencies and classified as nonphysical,
reactive, antenna mode regions, and spectral gaps for circularly symmetric
modes. The effects of the dielectric constant and radius on the leaky mode
characteristics are examined. Lossy effects, such as mode coupling
phenomena and the creation of new transition regions between the guided
and leaky modes, are also discussed.
2.1. Dielectric Media

All materials are composed of positively charged atoms and negatively charged
electrons. The molecules in materials are electrically neutral if no external field is
applied. The applied electric fields displace the charges that make up the dielectric
body, then the resulting dipole moments and induced dipole fields can diminish
the applied electric fields, see Figure 2.1. This effect accumulates and results in a
collective response that can be macroscopically modeled by modifying the material
parameters from their vacuum values so that = r 0 , where is the permittivity,
r is the relative permittivity or dielectric constant, and 0 is the permittivity of
the free space given by 0 = 8.854 1012 F / m . Detailed descriptions of the internal
process in a dielectric body are already available in many textbooks.
19
Ea
Ed
Etot
Ea
Figure 2.1: Field quantities in dielectric body in presence of external field. Ea : applied field,
P : polarization, Ed : depolarization, and Etot : total field [1]. The electric dipole
polarization P and applied field Ea generally proceed in the same direction in natural
dielectric media, resulting in dielectric constants that are greater than unity.
(See e.g., [1]). A similar (although not the same) procedure can be applied to
magnetic media and magnetic fields, where the relative permeability (magnetic
constants) r is obtained [1]. Together, the dielectric and magnetic constants are
two of the most important media parameters for describing the interactions
between electromagnetic fields (or waves) and material media. Typical natural
dielectrics have dielectric constants that are above unity, and, to date, dielectric
materials are most widely used in RF to optical frequency devices [2]. Many typical
dielectric constants can be found in existing literature [3].
2.2. Dielectric Waveguides

Waveguiding using dielectric structures dates back to the 19th century. In 1854, J.
Tyndall1) demonstrated that light could be guided in free-falling water flows in his
paper entitled On some phenomena connected with the motion of liquids. See
Figure 2.2. This is the earliest official publication regarding the principle of optical
fibers, and even earlier than Maxwells equations in 1864.
1)
J. Tyndall, On some phenomena connected with the motion of liquids, Proceedings of the Royal
Institution of Great Britain, 1854.
20
Figure 2.2: Light caught in falling water: original principle of optical fibers. In 1854, J.
Tyndall showed that light could propagate in falling water, which is the earliest official
identification of the principle of optical fibers, and even earlier than Maxwells equations.
(Source: http://stereo.thurstons.org/out_and_about.htm)
Thereafter, from the late 19th century through the early 20th century, J. Larmor1),
Lord Rayleigh2), D. Hondros3), P. Debye3), H. Zhan4), O. Schriever5), et al.
investigated the use of a dielectric rod as a waveguiding structure conceptually as
well as experimentally [4]. As a result, circular dielectric rod waveguides are
regarded as one of the simplest nonplanar guiding structures and extensively used
for microwave, millimeter wave, and optical frequencies [5, 6]. However, the most
successful application of a circular dielectric rod is optical fibers [7], which were
J. Larmor, Electric vibrations in condensing systems, Proc. London Math. Soc , vol. 26, p. 119, Dec.
1894.
2) Lord Rayleigh, On the passage of electric waves through tubes, or the vibrations of dielectric
cylinders, Phil. Mag., vol. XLIII, pp. 125-132, 1897.
3) D. Hondros and P. Debye, Elektromagnetische Wellen an dielektrischen Drhten, Ann. d. Phys., vol.
32, ser. 4, p. 465, 1910.
4) H. Zhan, ber den Nachweis Elektromagnetische Wellen an dielektrischen Drhten, Ann. d. Phys.,
vol. 49, ser. 4, p. 907, 1916.
5) O. Schriever, Elektromagnetische Wellen an dielektrischen Drhten, Ann. d. Phys., vol. 63, ser. 4, p.
645, 1920.
1)
21
proposed in the 1960s and are now widely used for high-speed and high-capacity
optical communications. Similar to optical fibers, most circular dielectric
waveguide applications use guided modes that have purely real propagation
constants. Mathematical derivations of the real propagation constants can be
obtained from the physical concepts of the total internal reflection (TIR), as shown
in Figure 1.11 (a). Figure 2.3 shows two examples of circular dielectric rod
waveguides used with optical and millimeter wave frequencies. The main
advantages of these waveguides are easy fabrication and analysis, as they can be
easily made by the well-established extrusion process and their modal guided
wave solutions are already recognized in existing literature.
However, there are also leaky modes below the guided mode cutoff frequency [8],
yet the characteristics of the leaky modes of circular dielectric waveguides are
relatively unknown compared with those of the guided modes.
Accordingly, this chapter investigates the leaky mode properties of circular
dielectric waveguides without any approximations. In addition, the lossy effects,
such as mode coupling phenomena and the creation of a new transition region
between the guided and leaky modes, are also analyzed.
(a)
(b)
Figure 2.3: Examples of circular dielectric rod waveguides: (a) Bundle of optical fibers
carrying visible light waves. (Source: http://www.hitachi-cable.co.jp/ewc/smenu091.htm) and
(b) flexible waveguide in Q-band [6]. Relatively low radiation losses with bent or flexible
waveguides can be achieved by properly selecting the design parameters, such as the
dielectric materials and radius of the rod. In this case, the radiation loss is mainly affected by
the propagating power distributions, which in turn are controlled by the dispersion
characteristics. The full text is included in Appendix A.
22
2.3. Guided Modes of Circular Dielectric Rod Waveguides A Review

The mode classification of circular dielectric rod waveguides is not a recent
research topic, as the guided mode of circular dielectric rod waveguides has
already been extensively analyzed in existing literature [9].
As such, this section provides a brief review of the guided mode characteristics
using a specific numerical example. The procedure used to derive the characteristic
equation for the waveguides and associated matters can be found in Appendix B.
The characteristic equations for circular dielectric rod waveguides can be expressed
as follows:
r1 J m (k1a) r 2 K m (k2 a ) r1 J m (k1 a) r 2 K m (k 2 a) m 1

1
+
+
2 + 2
=
k1 J m (k1a) k2 K m (k 2 a ) k1 J m (k1a ) k2 K m (k 2 a) k0 a k1 k2
(2.1)
where r1 and r 2 are the dielectric constants (relative permittivity) of the

dielectric and free space regions, respectively, r1 and r 2 are the magnetic
constants (relative permeability) of the dielectric and free space regions,
respectively, the dielectric and free space regions are represented by subscripts 1
and 2, r 2 = r1 = r 2 = 1.0 is assumed for this situation, i.e., a dielectric rod
embedded in free space, J m () and K m () are an ordinary Bessel function of the
first kind and modified Bessel function of the second kind, respectively, m is the
azimuthal eigen value indicating the azimuthal variation of the fields, prime
denotes the differentiation, a is the radius of the circular dielectric waveguide, and
k1 and k2 are the propagation constants in the transverse direction and related
with the axial propagation constant and material constants as follows:
k1 = k0 r1 r1 2
(2.2 a)
k 2 = k0 2 r 2 r 2
(2.2 b)
where k0 is the free space wave number and ( = / k0 ) is the normalized

propagation constant in the axial direction. From equations (2.1) and (2.2), the
propagation constants of the guided mode with purely real propagation constants
are bounded by r1 r1 and r 2 r 2 , that is, r 2 r 2 r1 r1 , or, k0 r 2 r 2
k0 r1 r1 .
Figure 2.4 shows the permitted guided mode region of the normalized propagation
constant between the values of r 2 r 2 and r1 r1 . However, below the lower
boundary of r 2 r 2 there are leaky modes with complex propagation constants,
which is the main concern of this and the following chapters.
23
= / k0
r1 r1
r 2 r 2
0
Figure 2.4: Guided and leaky mode regions. The guided mode region is between r 2 r 2
and r1 r1 . However, below the lower boundary of r 2 r 2 there are leaky modes with
complex propagation constants, which is the main concern of this and the following
chapters. Meanwhile, above the upper boundary of r1 r1 there are superslow guided
modes, which will be mentioned in Chapter 4. As far as the guided mode of a conventional
dielectric waveguide is concerned, the leaky mode regions and superslow mode regions are
both forbidden.
If the azimuthal eigen value is m = 0 , the characteristic equation in (2.1) can be

split into two characteristic equations for the circularly symmetric modes of the
waveguides, i.e., TM0n and TE0n modes, respectively, as follows:
r1 J1 (k1a)
k1 J 0 (k1a)
r1 J1 (k1a)
k1 J 0 (k1a)
+
+
r 2 K1 (k2 a )
k2 K 0 (k2 a)
r 2 K1 (k2 a )
k2 K 0 (k2 a )
=0
(2.3 a)
=0
(2.3 b)
Note that the characteristic equations for the TM0n and TE0n modes are identical,
except for the material constants. In addition, a mode with a circular
unsymmetrical field distribution is called a hybrid mode ( m 1 ), and its
mathematical expression of (2.1) can be written by inductions as follows:
2
r 2 r 2 Q
r 2 r 2 Q
R
+
+
P=0

+
r1 r1 2 r1 r1
r1 r1 2
24
(2.4)
where
P=
1 J m 1 ( k1a ) m
k1a J m ( k1a ) k1a
(2.5 a)
Q=
1 K m 1 ( k2 a ) m
+
k2 a K m ( k2 a ) k2 a
(2.5 b)
m2 2 1
1
R=
2+ 2
4
a k1 k2
(2.5 c)
Note that the + sign in (2.4) is for the EHmn mode and the sign is for the HEmn
mode in the case of a conventional circular dielectric rod, however, the + and
conventions can be exchanged in other guiding structures, as with the plasma and
metamaterial column waveguides in the following chapters.
Figure 2.5 shows the dispersion characteristics of the circularly symmetric modes
( m = 0 ) of circular dielectric rod waveguides. The example used here is a circular
dielectric rod waveguide with a radius of 10 mm and dielectric constant of 4.0. The
normalized propagation constant increases as the operating frequency becomes
higher. The cutoff frequencies for the TM0n and TE0n modes were identical, i.e., 6.63
GHz for the TM01 and TE01 modes, 15.22 GHz for the TM02 and TE02 modes, 23.86
GHz for the TM03 and TE03 modes, and so on. Since the dielectric constant of the
dielectric cylinder is assumed to be 4.0, the normalized propagation constant
approaches as the operating frequency increases, however, it cannot exceed the
upper limit value of r1 r1 = 2.0 and modes with a dissimilar order of modes
cannot cross each other.
Figure 2.6 shows the dispersion characteristics of the hybrid dipole modes ( m = 1 )
of circular dielectric rod waveguides. Traditionally, a mode with a zero guided
mode cutoff frequency is referred to as the HE11 mode. The dispersion curves for
the hybrid modes are not that different from those for the circularly symmetric
modes, as the hybrid modes have both TM and TE mode characteristics, namely,
they have both axial electric and magnetic fields simultaneously. If the axial
magnetic field is dominant, the mode is referred to as an HE mode, whereas if the
axial electric field is dominant over the axial magnetic field, the mode is referred to
as an EH mode. However, the cutoff frequencies for hybrid modes with identical
azimuthal eigen values are no longer identical.
25
2.0
(a)
1.8
/ k0
TM01
TM02
1.6
TM03
1.4
6.63
1.2
1.0
15.22
10
23.86
20
30
40
50
40
50
Frequency (GHz)
2.0
(b)
/ k0
1.8
TE01
TE02
1.6
TE03
1.4
6.63
15.22
1.2
1.0
10
23.86
20
30
Frequency (GHz)
Figure 2.5: Dispersion characteristics of circular dielectric rod waveguides with circularly
symmetric modes, i.e., m = 0 : (a) TM0n mode and (b) TE0n mode. The radius and dielectric
constants of the rod are assumed to be 10.0 mm and 4.0, respectively. The cutoff frequencies
for each guided mode are the same for the same order of mode, i.e., n.
26
2.0
(a)
/ k0
1.8
HE11
HE12
1.6
HE13
1.4
11.00
1.2
1.0
19.50
10
20
30
40
50
40
50
Frequency (GHz)
2.0
(b)
/ k0
1.8
EH11
1.6
EH12
1.4
1.2
1.0
EH13
10.57
19.34
28.05
10
20
30
Frequency (GHz)
Figure 2.6: Hybrid dipole modes with azimuthal eigenvalue of m = 1 : (a) HE1n mode and (b)
EH1n mode. Unlike the case of the circularly symmetric modes, the guided mode cutoff
frequencies are no longer identical between the HE1n and EH1n modes. Note that the HE11
mode has no guided mode cutoff.
27
2.4. Existence of Leaky TM0n Mode Below Guided Mode Cutoffs

Leaky waves have recently received much attention, as they play a significant role
in numerous antenna applications [10] and microwave/millimeter-wave integrated
circuits [11], as mentioned in Section 1.3, while also explaining a variety of physical
phenomena, such as Woods anomalies [12], SmithPurcell Radiation [13],
erenkov radiation [14], prism coupling [15], and so on. In particular, leaky waves
in microwave / millimeter-wave integrated circuits have been extensively studied
for over a decade, including the analysis of leakage effects and discovery of their
novel physical phenomena (see, for example, [11] and references therein). These
two aspects of leaky mode studies strongly depend on the determination of the
complex propagation constant, as the phase and attenuation (or leakage) constants
involved in the complex propagation constant are two of the most important
parameters revealing the properties of leaky waves. Accordingly, an accurate
determination of the phase and attenuation constants is crucial prior to the analysis
of leaky modes for specific guiding structures. Since a complex characteristic
equation cannot be solved analytically, traditional complex root search algorithms,
such as the Newton-Raphson method or Mller method, have been utilized to
obtain the complex roots for a complex characteristic equation. However, these
iterative methods require a careful selection of the initial starting point for iteration.
If the initial values are not chosen properly, the iteration fails. As an alternative
approach, Davidenkos method has been successfully applied to the dispersion
analysis of guided waves, such as lossy moving waveguides, lossy nonlinear
waveguides, lossy waveguides including gyrotropic media, surface plasmon
polaritons, a cylindrical substratesuperstrate layered medium, surface-wave
modes in microstrip antennas, and so on. (See references in Appendix C.) Since
Davidenkos method has the advantage of being more relaxed as regards the
selection of the initial values, it is anticipated that it can also be applied to the
analysis of leaky modes when using a complex propagation constant.
Furthermore, the present author already reported on a brief analysis of the leaky
TM mode of a circular dielectric rod using Davidenkos method [16]. The principles
of Davidenkos method can be found in Appendix C.
Since a cylindrical dielectric rod waveguide is one of the simplest realistic
electromagnetic wave guiding structures that has already been used as a low loss
straight waveguide [5], low cost flexible waveguide [6], and surface wave antenna
[17], the guided mode characteristics of cylindrical lossless dielectric rod
waveguides have been well established for many decades. However, the leaky
mode characteristics of a cylindrical dielectric rod waveguide are not well known,
even though the leaky modes for various partially open waveguides are relatively
28
well analyzed (for example, see reference [11] and the references therein).
In 1969, Arnbak first demonstrated the existence of leaky modes in a circular
dielectric rod using an approximation of a characteristic equation [18]. Sammut et
al. also examined the leaky mode characteristics graphically and asymptotically for
both lossless and lossy cases [19]. However, the previous results are based on
approximation methods, so the results cannot be directly utilized in the leaky
mode analysis of a cylindrical dielectric rod waveguide operated under a
microwave frequency range and low millimeter wave frequency, as the
wavelengths at those frequencies have the same order of diameter as the
cylindrical dielectric rod waveguide.
Accordingly, this section investigates the guidance and leakage properties of
cylindrical lossless and lossy dielectric waveguides for several lower-order circular
symmetric modes (This structure can also support hybrid modes, but circular
symmetric modes are treated here.) using the efficient and accurate Davidenko
method.
The general form of the characteristic equation for circular open waveguides can be
expressed as follows when adopting the e + jt convention. Note that the
characteristic equation for a general complex wave used here can also be used for
the plasma column in Chapter 3, metamaterial column in Chapter 4, and even
general lossy material circular open waveguiding structures.
r1 J m (k1a ) r 2 H m(2) (k2 a ) r1 J m (k1a ) r 2 H m(2) (k 2 a) m 1

1
2 2
=
( 2)
(2)
k1 J m (k1a ) k2 H m (k2 a ) k1 J m (k1a ) k2 H m (k2 a ) k0 a k1 k2
(2.6)
The other variables and functions are the same as in the previous case of the
guided mode characteristic equation, except for the use of a Hankel function of the
second order, H m(2) () instead of a modified Bessel function of the second kind,
K m () .
The complex transverse propagation constants can also be calculated using the
following expression:
k1 = k0 r1 r1 2
(2.7 a)
k 2 = k0 r 2 r 2 2
(2.7 b)
where is the normalized complex axial propagation constant, which is the

complex axial propagation constant normalized by the free space wave number k0 .
29
The normalized complex axial propagation constant also has real and imaginary
parts as follows:
k0
j
k0
k0
k0
= j
(2.8)
where and are the normalized phase and leakage constants, respectively.
Since the complex transverse propagation constant can be expressed as
ki = Re{ki } + j Im{ki }(i = 1, 2) , the normalized complex transverse propagation
constant, as in the case of axial ones, can be defined as follows:
ki =
ki Re{ki } + j Im{ki } Re{ki }

Im{ki }
=
=
+j
k0
k0
k0
k0
k
k
= Re i + j Im i = Re ki + j Im ki
k0
k0
{ }
{ }
(2.9)
In the case of general complex waves ( 0 ), the following relationship should be

satisfied, which is obtained by substituting (2.8) and (2.9) into (2.7) and collecting
each real and imaginary term [20].
( { }) ( Im {k })
Re k
i
= ri ri 2 + 2
{ } { }
Re ki Im ki =
(i = 1, 2)
(2.10)
In addition to (2.10), the conditions for forward leaky waves are > 0 , > 0 ,
Re ki > 0 , and Im ki [20] if the dielectric constant of the dielectric rod is real.
{ }
{ }
In the case the dielectric rod is lossy, i.e., r1 = r1 (1 j tan ) , a set of (2.10) can be
expressed as follows, which will be used in Section 2.6.
( { }) ( { })
Re k 2 Im k 2 = 2 + 2
i
i
ri ri
(i = 1, 2)
1
Re ki Im ki = ri ri tan
{ } { }
(2.11)
Equation (2.6) is the general case, yet the characteristic equations for the TM0n and
TE0n modes are as follows, respectively:
30
r1 J1 (k1a)
k1 J 0 (k1a)
r1 J1 (k1a)
k1 J 0 (k1a)
r 2 H1(2) (k2 a)
r 2 H1(2) (k2 a)
k2 H 0(2) (k2 a)
k2 H 0(2) (k2 a)
=0
(2.12 a)
=0
(2.12 b)
For the hybrid mode ( m 1 ) cases, the characteristic equation, which is identical
with (2.4), can be rewritten as follows:
r 2 r 2 Q
+

r1 r1 2
r 2 r 2 Q
R
+
P=0
+
2
r1
r1 r1
r1
(2.13)
where
P=
1 J m 1 ( k1a ) m
k1a J m ( k1a ) k1a
(2.14 a)
Q=
(2)
1 H m 1 ( k2 a ) m
(2)
k2 a H m ( k2 a ) k2 a
(2.14 b)
1
R=m 4 2 2
a k1 k2
2
2 1
(2.14 c)
the signs in (2.13) represent the HEmn and EHmn modes, respectively.
Figures 2.7 and 2.8 show the normalized phase and normalized leakage constants
of a dielectric rod waveguide for the leaky and guided modes, respectively. The
two design parameters, i.e. the dielectric constant and radius of the dielectric rod,
were arbitrarily chosen to be 5.0 and 5.0 mm, respectively. The cutoff frequencies
for the guided mode were 11.48, 26.36, 41.32, and 56.30 GHz for the TM01, TM02,
TM03, and TM04 modes, respectively, and below these cutoff frequencies, nonzero
values were introduced for the normalized attenuation constants. Meanwhile, in
the guided mode region (above the cutoff frequency), the normalized attenuation
constants were zeros, since the dielectric material in the current study was
assumed to have a real constant. As the frequencies decreased from the cutoff
frequency for the guided mode, nonzero values were introduced for the
normalized attenuation constants, implying the commencement points of the leaky
mode. Here, the normalized attenuation constant was not derived from the
material loss, but rather from the leakage of the guided propagating power into the
free space.
31
2.5
5
2.0
/ k0
TM01
TM02
1.5
TM03
TM04
1.0
0.5
0.0
10
20
30
40
50
60
Frequency (GHz)
Figure 2.7: Normalized phase constant of circular dielectric rod waveguide. The dielectric
constant and radius of the rod were assumed to be 5.0 and 5.0 mm, respectively. Leaky
modes exist below the guided mode cutoffs.
10
10
10
-1
/ k0
10
TM02
TM01
-2
10
TM03
TM04
-3
10
-4
10
-5
10
10
20
30
40
50
60
Frequency (GHz)
Figure 2.8: Normalized leakage constant of circular dielectric rod waveguide. The dielectric
constant and radius of the rod were assumed to be 5.0 and 5.0 mm, respectively. Below the
guided mode cutoff frequencies, nonzero values were generated for the normalized leakage
constants.
32
1.05
1.04
TM02
1.03
/ k0
TM04
TM03
1.02
1.01
1.00
0.99
15
20
30
40
50
60
Frequency (GHz)
Figure 2.9: Enlarged scale of normalized phase constant in Figure 2.5.
Figure 2.9 shows an enlarged scale of the normalized phase constant when the
value of the normalized phase constant was near unity. In Figure 2.7, at low
frequencies near zero, the normalized phase constants exceeded unity, meaning
this regime has no physical meaning [21], and the upper limits of the nonphysical
regime were 3.51, 1.98, 1.95, and 1.94 GHz for the TM01, TM02, TM03, and TM04
modes, respectively, shifting toward lower frequencies with a higher mode. Above
these frequency limits, as seen in Figure 2.7, the normalized phase constants
decreased to a minimum point, then increased again up to unity. This regime
corresponds to the physical leaky mode [22], as the higher mode had a lower value
for the minimum point of the normalized phase constant, at which point the
frequencies shifted to a higher frequency. This physical leaky mode regime can be
divided into two distinct regions: the antenna mode region ( < 1 and > ),
where the energy of the guided wave is continuously leaked into the free space,
and reactive mode region ( < 1 and < ), where the energy of the wave is
stored as a form of reactive energy [23].
Note that the TM01 mode did not have a reactive mode region, since the frequency
with the normalized phase constant equal to the normalized attenuation constant
lay within the nonphysical leaky mode region. The reactive mode regions for the
TM02, TM03, and TM04 modes ranged from 1.98 to 17.15 GHz (15.17 GHz in width),
1.95 to 30.57 GHz (28.62 GHz), and 1.94 to 43.93 GHz (41.99 GHz), respectively,
33
whereas the antenna mode regions ranged from 17.15 to 20.27 GHz (3.12 GHz in
width), 30.57 to 35.76 GHz (5.19 GHz), and 43.93 to 51.17 GHz (7.24 GHz) for the
TM02, TM03, and TM04 modes, respectively. The widths of both the reactive mode
region and the antenna mode region increased with an increase in the mode order.
As the operating frequency approached a frequency higher than the antenna mode
region, the normalized phase constants exceeded unity again, as in the nonphysical
leaky mode region, refer Figure 2.7. This region was also a leaky mode region with
no physical meaning, and called the spectral gap region, which ranged from 20.27
to 22.84 GHz (2.57 GHz in width), 35.76 to 39.13 GHz (3.37 GHz), and 51.17 to 54.70
GHz (3.53 GHz) for the TM02, TM03, and TM04 modes, respectively, plus the width
increased with a higher mode. The TM01 mode had no spectral gap region (and no
reactive mode region), and only one antenna mode region ranging from 3.51 to
11.48 GHz (7.97 GHz in width), indicating that the leaky mode of the TM01 mode
differed from that of the other high order modes. The remaining portion of the
leaky mode region was another antenna mode region above the spectral gap region
in frequency, ranging from 22.84 to 26.36 GHz (3.52 GHz in width), 39.13 to 41.32
GHz (2.19 GHz), and 54.70 to 56.30 GHz (1.60 GHz) for the TM02, TM03, and TM04
modes, respectively. The widths of the second antenna mode regions tended to
decrease with an increase in the mode order. The upper limit frequency of this
range was the same as the cutoff frequency for the guided mode. The spectral
ranges and width of the leaky TM0n modes are summarized in Table 2.1.
In other guiding structures, such as an NRD guide [23] or partially dielectricloaded open guiding structure [24], the normalized leakage constants become zero
at the frequency with the maximum normalized phase constants within the
spectral gap region.
Table 2.1: Summary of spectral ranges and widths of leaky TM0n modes of circular dielectric
rod waveguide when r1 = 5.0 and a = 5.0 mm . (N/A: Not Available)
Mode
TM01
TM02
TM03
TM04
Nonphysical
mode
0-3.51
(3.51 )
0-1.98
(1.98 )
0-1.95
(1.95)
0-1.94
(1.94 )
Reactive
mode
1st
Antenna
mode
Spectral
gap
N/A
N/A
N/A
1.98-17.15
(15.17 )
1.95-30.57
(28.62)
1.94-43.93
(41.99 )
17.15-20.27
(3.12 )
30.57-35.76
(5.19 )
43.93-51.17
(7.24 )
20.27-22.84
(2.57 )
35.76-39.13
(3.37 )
51.17-54.70
(3.53 )
34
2nd
Antenna
mode
3.51-11.48
(7.97 )
22.84-26.35
(3.51 )
39.13-41.31
(2.18 )
54.70-56.30
(1.60 )
Guided
mode
cutoff
11.48
26.35
41.31
56.30
Yet, the normalized leakage constant of the dielectric rod became zero at this
frequency, i.e., the upper limit of the second antenna mode region or cutoff of the
guided mode. Hence, it was observed that the spectral gap region was not always
consistent with the transition region between the guided mode and the leaky mode
in the case of a dielectric rod waveguide. However, it was unclear whether or not
this discrepancy was induced from the circular geometry of the rod waveguide or
the all-dielectric boundary of the rod waveguide, when compared with an NRD
guide or partially dielectric-loaded open guiding structure.
2.5. Comparison Between Leaky TM0n and TE0n Modes

Figures 2.10 and 2.11 show the normalized phase and leakage constants of a
circular dielectric rod waveguide for four lower-order TM0n and TE0n modes,
respectively. Note that the radius and dielectric constant of the rod were arbitrarily
chosen to be 10.0 mm and 10.0, respectively, as distinct to the previous section,
where the radius and the dielectric constant were assumed to be 5.0 mm and 5.0,
respectively.
As shown in Figures 2.10 (a) and 2.11 (a), there were no crossing points among the
normalized phase constants for the TM0n mode, whereas there were several
crossing points for the TE0n mode. As regards the curves for the normalized
leakage constants in Figures 2.10 (b) and 2.11 (b), there were also no crossing points
among the modes. The arrows shown in Figures 2.10 (a) and 2.11 (a) depict the
borders between the guided and leaky modes, i.e., cutoff frequencies for the guided
mode.
The cutoff frequencies for the TM0n and TE0n modes were identical, i.e., 3.827, 8.785,
13.773, and 18.767 GHz for the first, second, third, and fourth modes, respectively.
Yet, in the leaky mode region, several distinct modes were observed that exhibited
their own unique properties, as described in the previous section.
As shown in Figures 2.10 (a) and 2.11 (a), as the frequency decreased from the
cutoff frequency, the normalized phase constant decreased to a minimum point
and then increased again until it exceeded unity and grew rapidly to infinity.
Conversely, the normalized leakage constant in Figures 2.10 (b) and 2.11 (b)
increased monotonically with a decrease in the frequency. From Figures 2.10 (a)
and 2.11 (a), the upper limits for the nonphysical frequency regions of the TM0n
modes shifted toward lower frequencies as the modes became higher. The resulting
nonphysical frequency regions were decreased, while those of the TE0n modes were
increased. More detailed numerical data are listed in Tables 2.2 and 2.3 for the TM0n
and TE0n modes, respectively.
35
3
TM01
TM02
/ k0
TM03
TM04
10
Frequency (GHz)
15
20
(a)
10
10
10
/ k0
-1
10
TM01
-2
TM02
TM04
TM03
10
-3
10
-4
10
-5
10
10
Frequency (GHz)
15
20
(b)
Figure 2.10: Leaky mode characteristics of circular dielectric rod waveguide for four lowerorder TM0n modes. The dielectric constant and radius of the rod were assumed to be
r1 = 10.0 and a = 10.0 mm , respectively. (a) Normalized phase constant and (b) normalized
leakage constant. The arrows in (a) depict the cutoffs for the guided modes.
36
TE01
TE02
/ k0
TE03
TE04
10
15
20
Frequency (GHz)
(a)
10
10
10
TE01
/ k0
-1
10
TE02
TE03
TE04
-2
10
-3
10
-4
10
-5
10
10
15
20
Frequency (GHz)
(b)
Figure 2.11: Leaky mode characteristics of circular dielectric rod waveguide for four lowerorder TE0n modes. The dielectric constant and radius of the rod were assumed to be
r1 = 10.0 and a = 10.0 mm , respectively. (a) Normalized phase constant and (b) normalized
leakage constant. The arrows in (a) depict the cutoffs for the guided modes.
37
Table 2.2: Spectral ranges (and widths) of leaky TM0n mode. The unit GHz is abbreviated. (N/A: Not
available)
NonMode physical
mode
0-0.850
TM01
(0.850 )
0-0.486
TM02
(0.486 )
0-0.481
TM03
(0.481 )
0-0.480
TM04
(0.480 )
Reactive
mode
0.850-1.000
(0.150 )
0.486-6.027
(5.541 )
0.481-10.785
(10.304 )
0.480-15.520
(15.040 )
1st Antenna
mode
Spectral gap
N/A
N/A
6.027-6.590
(0.563 )
10.785-11.636
(0.851 )
15.520-16.698
(1.178 )
6.590-6.944
(0.354 )
11.636-12.522
(0.886 )
16.698-17.821
(1.123)
2nd Antenna
mode
1.000-3.827
(2.827 )
6.944-8.785
(1.841 )
12.522-13.773
(1.251 )
17.821-18.767
(0.946 )
Guided
mode
cutoff
3.827
8.785
13.773
18.767
Table 2.3: Spectral ranges (and widths) of leaky TE0n mode. The unit GHz is abbreviated. There
were no spectral gaps in the case of the TE0n modes. (N/A: Not available)
Mode
TE01
TE02
TE03
TE04
Nonphysical
mode
0-3.170
(3.170)
0-6.170
(6.170)
0-7.198
(7.198)
0-7.989
(7.989)
Reactive mode
N/A
6.170-7.896
(1.726)
7.198-12.789
(5.591)
7.989-17.601
(9.612)
38
Antenna mode
3.170-3.827
(0.657)
7.896-8.785
(0.889)
12.789-13.773
(0.984)
17.601-18.767
(1.166)
Guided mode
cutoff
3.827
8.785
13.773
18.767
As listed in Tables 2.2 and 2.3, the spectral widths of both the reactive and antenna
mode regions were increased as the modes became higher, except for the TM01
antenna mode. It should be noted that there was no reactive mode for the TE01
mode, as the normalized phase constant always remained greater than the
normalized attenuation constant for the entire frequency range considered. Figures
2.12 and 2.13 indicate enlarged scaled plots of the normalized phase constants for
the TM0n and TE0n modes, respectively, near unity. The arrows depict the cutoff
frequencies for the guided modes, as in Figures 2.10 and 2.11. As the frequency
became higher, the normalized phase constants for the TM01 and TE0n modes met
the cutoff frequencies of the guided modes. Thus, it was found that the TE0n mode
had nonphysical, reactive, and antenna modes below the cutoff frequency of the
guided mode, where the spectral widths increased as the mode became higher. In
the case of the leaky TM0n mode, except for the TM01 mode, the normalized phase
constant exceeded unity again, as shown in Figure 2.12, when the frequency was
below the cutoff frequency of the guided TM0n modes. The upper limit frequency
of the TM01 antenna mode directly met the cutoff frequency of the guided TM01
mode. These narrow spectral ranges of the normalized phase constants that were
greater than unity in the leaky TM0n ( n > 1 ) mode were identified as spectral gaps,
where the normalized phase constant was physically meaningless, similar to the
nonphysical frequency region. Plus, their spectral widths increased with the order
of the mode, as seen in Table 2.2. However, the spectral gap region structure was
inconsistent with the traditional transition region from a leaky ( > 0 ) to a guided
( = 0 ) mode, as it was found that the nonzero value of the normalized attenuation
constants remained for the entire spectral gap region, as shown in Figures 2.10 (b)
and 2.12. In the frequency region above the spectral gap, there was a second
antenna mode region, where the normalized phase constants became less than
unity once again, as shown in Figure 2.12. The spectral width of the second
antenna mode also decreased as the modes became higher. Since the previously
observed spectral width of the TM01 antenna mode was broader than that of the
TM0n ( n > 1 ) antenna mode and the second antenna mode exhibited a decreasing
spectral width with the order of the mode, the antenna mode of the TM01 mode
was categorized as a second antenna mode. The upper limit of the second antenna
mode region in the TM0n ( n > 1 ) mode met the cutoff frequency for the guided
mode.
39
1.06
TM04
TM03
/ k0
1.04
1.02
TM01
TM02
1.00
0.98
10
Frequency (GHz)
15
20
Figure 2.12: Enlarged scaled plot of Figure 2.10 (a). Normalized phase constant of TM0n
mode near unity. The arrows depict the cutoffs for the guided modes.
1.08
/ k0
1.04
TE02
TE01
TE04
TE03
1.00
0.96
0.92
10
15
20
Frequency (GHz)
Figure 2.13: Enlarged scaled plot of Figure 2.11 (a). Normalized phase constant of TE0n mode
near unity. The arrows depict the cutoffs for the guided modes.
40
2.6. Effect of Design Parameters: Dielectric Constant and Radius

Next, the effects of two design parameters, the dielectric constant and radius of the
rod, on the leaky dispersion characteristics are briefly considered. Figure 2.14
shows the normalized phase constants of the first two TM modes with different
rod radii; a = 5.0 mm and a = 4.0 mm , while the dielectric constant of the dielectric
rod was fixed at r1 = 5.0 . The tendency of the dispersion curve in Figure 2.14
shows that the normalized phase constant curves for both the TM01 and TM02
modes shifted toward a higher frequency regime with a decrease in the radius of
the rod. An enlarged scale of the normalized phase constant near unity for the TM02
mode is shown in Figure 2.15. Since there was no spectral gap in the case of the
TM01 mode, only the TM02 mode case is shown in Figure 2.15. The detailed leaky
characteristics of the TM01 and TM02 modes relative to the radius of the rod are
listed in Table 2.4, where the spectral widths of the nonphysical frequency regions,
reactive mode regions, two antenna mode regions, and spectral gap regions tended
to increase with a decrease in the radius of the rod for the TM01 and TM02 modes.
With different rod dielectric constants ( r1 = 5.0 and r1 = 4.0 ), the normalized
phase constants of the first two TM modes varied with the operating frequency, as
shown in Figure 2.16. The effect of the rod dielectric constant on the dispersion
characteristics of the normalized phase constant exhibited the same tendency as
that of the rod radius, as shown in Figure 2.16. As for the TM02 mode, an enlarged
scale near unity is also shown in Figure 2.17. The detailed leaky characteristics of
the TM01 and TM02 modes relative to the rod dielectric constant are listed in Table
2.5, where the spectral widths of the nonphysical mode regions, reactive mode
regions, first antenna mode regions, and spectral gap regions all increased with a
decrease in the rod dielectric constant. Furthermore, with a small rod dielectric
constant, the second antenna mode region of the TM01 mode was larger, whereas
the spectral widths of the second antenna mode of the higher-order modes (TM02
mode) were smaller, as listed in Table 2.5.
41
TM01
2.0
/ k0
1.5
TM02
1.0
a = 5.0mm
a = 4.0mm
0.5
0.0
10
20
30
40
50
Frequency (GHz)
different rod radii, while dielectric constant of rod was fixed at r1 = 5.0 .
1.03
a = 5.0mm
a = 4.0mm
/ k0
1.02
1.01
1.00
0.99
20
24
28
Frequency (GHz)
32
36
Figure 2.15: Enlarges scale of normalized phase constant in Figure 2.12. Only the TM02 mode
is shown.
42
2.0
/ k0
1.5
TM01
TM02
1.0
r1 = 5.0
0.5
0.0
r1 = 4.0
0
10
20
30
40
Frequency (GHz)
50
different rod dielectric constants, while radius of rod was fixed at a = 5.0 mm .
1.03
/ k0
1.02
r1 = 5.0
r1 = 4.0
1.01
1.00
0.99
18
20
24
28
32
34
Frequency (GHz)
Figure 2.17: Enlarged scale of normalized phase constant in Figure 2.14. Only the TM02 mode
is shown.
43
Table 2.4: Spectral widths of leaky mode regions for fixed dielectric constant of r1 = 5.0 .
Mode
TM01
TM02
Radii
Nonphysical
mode
5.0mm
4.0mm
5.0mm
4.0mm
3.51
4.39
1.98
2.47
Reactive
mode
1st Antenna
mode
Spectral gap
N/A
N/A
N/A
15.17
18.96
3.12
3.91
2.57
3.21
2nd Antenna
mode
7.97
9.97
3.51
4.40
Table 2.5: Spectral widths of leaky mode regions for fixed radius of a = 5.0mm .
Mode
TM01
TM02
Nonphysical
mode
5.0
4.0
5.0
4.0
3.51
4.61
1.98
2.50
Reactive
mode
1st Antenna
mode
Spectral gap
N/A
N/A
N/A
15.17
16.69
3.12
4.56
2.57
3.26
2nd Antenna
mode
7.97
8.65
3.51
3.42
2.7. Lossy Effects on Modal Propagation Characteristics

Next, the leaky mode characteristics of circular lossless dielectric rod waveguides
are investigated below the guided mode cutoff frequency. Dielectric materials are
assumed to be lossless, however, all practical dielectric materials are lossy, while
some have an extremely low loss. It is clear that a rigorous analysis of the guidance
and leakage properties, including the attenuation characteristics, of general lossy
dielectric rod waveguides is required to use them as simple, low cost microwave or
millimeter wave devices, as well as studying their fundamental physics.
However, apart from previous research results on the leaky dispersion
characteristics of planar or quasi-planar lossy dielectric structures [25], there has
not yet been a rigorous study of the guided and leaky mode properties of
cylindrical lossy dielectric rod waveguides. Therefore, the modal characteristics of
lossy dielectric cylinders need to be investigated or modified from existing lossless
cases. Yet, before analyzing these properties, a precise determination of the
complex propagation constants is needed, and Davidenkos method is also used for
this.
Generally, the losses in dielectric materials are expressed as a loss tangent. Practical
dielectric materials have a complex dielectric constant as follows due to their
imperfections.
44

rc = r j r = r 1 j r = r (1 j tan )
r
(2.15)
where r and r are the real and imaginary parts of the complex dielectric
constant, respectively, and is the loss angle. A perfect lossless dielectric has zero
loss tangents, yet the loss tangent of a perfect conductor is infinity.
As such, this section considers (1) the mode coupling phenomena between two
adjacent leaky modes, (2) the attenuation constants of the guided modes, and (3)
the creation of a new transition region between the guided and leaky modes when
the dielectric has a finite loss.
2.7.1. Mode Coupling Phenomena of Leaky Modes

Figure 2.18 shows the leaky mode characteristics of a circular dielectric rod
waveguide when the dielectric is lossy, and r = 10.0 and a = 10.0mm . The loss
tangent of the dielectric material was tan = 0.0 for the lossless case, plus
tan = 0.005 and tan = 0.01 were arbitrarily chosen to investigate the lossy
effects. At the scale in Figure 2.18, the lossy effects were indistinguishable between
the three loss tangents, i.e., tan = 0.0 , tan = 0.005 , and tan = 0.01 , because the
losses were relatively low.
However, figure 2.19 shows enlarged scaled plots of the encircled regions in Figure
2.18 (a), i.e., regions A and B. In region A, corresponding to the guided TM01
mode region, the normalized phase constant became lower when the loss tangent
was higher, as shown in Figure 2.19. Conversely, in region B, corresponding to
the leaky TM03 mode region, the normalized phase constant became higher when
the loss tangent was higher. This leaky mode property is also valid near the border
between the guided and leaky mode regions, as when the frequency is much lower
in a deep reactive region, the normalized phase constant of a higher loss tangent
takes a lower value, implying the existence of crossing points between the curves
of normalized phase constants with dissimilar loss tangents. Unfortunately, this
property was unclear, yet this is not the main concern here.
The arrows in Figure 2.18 (a) represent the branches of the nonphysical improper
complex roots, and mode coupling phenomena are strongly related with these
branches. (The other non-arrowed branches represent the physical proper guided
mode due to the nonzero value of the loss tangent, which will be discussed later.)
45
3.0
2.5
/ k0
2.0
TM01
1.5
TM02
TM03
1.0
TM04
0.5
0.0
20
10
10
15
20
Frequency [GHz]
1
TM04
10
/ k0
10
TM03
TM02
TM03
-1
10
TM01
-2
10
-3
10
-4
10
TM01
TM02
TM03
TM04
-5
10
10
Frequency (GHz)
15
20
Figure 2.18: Leaky mode characteristics of circular lossy dielectric rod waveguide. (a)
Normalized phase constant and (b) normalized leakage constant. The arrows in (a) represent
the nonphysical improper complex roots, the dashed lines are for the lossless references, and
the dotted and solid lines are for the cases of tan = 0.005 and tan = 0.01 , respectively.
However, in this scale, the lossy effects are rarely distinguishable. The other non-arrowed
branches are the proper physical guided modes and real part of the normalized complex
propagation constant due to the finite value of the loss tangent.
46
1.25
TM01
/ k0
tan =0.005
tan =0
1.20
tan =0.01
1.15
5.1
5.2
5.3
Frequency (GHz)
1.10
tan =0.01
tan =0.005
tan =0
/ k0
1.05
5.4
TM03
1.00
0.95
11
12
13
14
Frequency (GHz)
15
Figure 2.19: Enlarged scale of encircled regions in Figure 2.18 (a), where regions A and B
correspond to guided TM01 mode and leaky TM03 mode, respectively. In the guided mode
region (A), the normalized phase constant becomes lower when the loss tangent is higher.
Conversely, in the leaky mode region (B), the normalized phase constant becomes higher
when the loss tangent is higher. This leaky mode property is valid near the border between
the guided and leaky mode regions. When the frequency is much lower in a deep reactive
region, the normalized phase constant of a higher loss tangent can take a lower value,
implying the existence of crossing points between the curves of normalized phase constants
with dissimilar loss tangents. Unfortunately, in this case, this property was unclear.
47
1.2
1.1
tan = 0
tan = 0.01
1.3
TM02
/ k0
/ k0
1.3
TM03
11.6
11.8
12.0
Frequency [GHz]
1.1
0.9
12.2
10
tan = 0
tan = 0.01
TM04
16.6
16.8
17.0
17.2
Frequency [GHz]
0.1
10
-1
10
-2
10
-3
tan = 0
tan = 0.01
TM04
TM03
TM02
12.0
12.5
Frequency [GHz]
13.0
(a)
17.4
/ k0
TM03
0.01
11.5
TM03
TM04
/ k0
1.2
1.0
1.0
0.9
11.4
tan = 0
tan = 0.01
TM04
TM03
16.5
17.0 17.5 18.0

Frequency [GHz]
18.5
(b)
Figure 2.20: Coupling of modes due to finite value of loss tangent: (a) No coupling and (b)
coupling. Mode coupling occurs when the dielectric loss is above a certain critical value.
Figure 2.20 shows the mode coupling phenomena due to the finite value of the loss
tangent. In a higher-order mode, mode coupling was observed between complex
waves when the dielectric loss was higher than a certain critical value. Figure 2.20
(a) shows the case where there was no mode coupling between the TM02 and TM03
modes, while Figure 2.20 (b) shows the mode coupling case between the TM03 and
TM04 modes. As such, it is expected that a higher loss tangent would result in mode
coupling phenomena in a lower-order mode.
In Section 2.4, it was found that the spectral gap is not the transition region
between the guided and leaky mode. In circular lossy dielectric rod waveguides,
the spectral gap region is strongly related with the mode coupling region between
complex waves with adjacent mode orders [26].
48
3.0
2.5
/ k0
2.0
TM01
1.5
TM02
TM03
1.0
TM04
0.5
0.0
20
10
10
15
20
Frequency [GHz]
1
10
/ k0
10
10
-1
10
-2
10
-3
10
-4
10
-5
TM01
TM02
TM03
10
Frequency [GHz]
15
20
Figure 2.21: Attenuation characteristics of circular lossy dielectric rod waveguide: (a)
Normalized phase constants, where arrowed branches represent physical proper guided
modes and (b) normalized leakage (or attenuation) constants. Below the guided mode cutoff,
/ k0 is the normalized leakage constant, while above the guided mode cutoff, / k0 is the
normalized attenuation constant.
49
Perturbation method
Davidenko's method
-1
10
tan = 0.01
-2
/ k0
10
tan = 0.005
-3
10
-4
10
TM01
TM02
TM03
10
15
Frequency (GHz)
20
Figure 2.22: Attenuation constants in Figure 2.21 (b). Comparison of attenuation constants
obtained using perturbation method and Davidenkos method.
2.7.2. Attenuation Constants of Guided Modes

Next, the other branch of the normalized phase constants is considered, which are
arrowed in Figure 2.21 (a) and correspond to the physical proper guided modes,
whose imaginary part in the complex propagation constant is due to the nonzero
value of the loss tangent, rather than the leakage effect. Figure 2.22 shows the
attenuation characteristics of Figure 2.21 (b). In Figure 2.21 (b), increasing the
/ k0 value with respect to a decrease in the frequency is the leakage constant, as
previously mentioned. The attenuation constant can be directly obtained from the
complex characteristic equation using Davidenkos method. The traditional way of
obtaining the attenuation constant (loss) is the perturbation method, which is
calculated from the power considerations [27]. The attenuation constants from the
two methods are shown in Figure 2.22, which agree well. Yet, in a higher lossy case,
the direct calculation method from the complex characteristic equation can be more
powerful, because the loss also affects the phase characteristics, e.g., shifts in the
guided mode cutoffs.
50
2.7.3. New Transition Region Between Guided and Leaky Modes

Another unusual complex modal property of a circular lossy dielectric rod
waveguide is the creation of a new transition region between the guided and leaky
modes. In planar partially open printed circuit lines, such as microstrips, coplanar
waveguides, and so on, the transition region between the guided and leaky modes
is generally assumed to be a spectral gap region. In other words, the leakage
constants become zero within the spectral gap region.
In the present case of a circular dielectric rod waveguide, the spectral gap region
was not the transition region between the guided and leaky modes, as there was a
narrow second antenna mode between the spectral gap and the guided mode. The
transition between the guided and leaky modes occurred right at the guided mode
cutoff frequency, while the complex propagation constant began just below the
guided mode cutoff frequency. As such, the transition occurred not in the region,
but at the frequency point. However, in lossy cases, the situation was changed. The
arrowed encircled region in Figure 2.23 shows the transition region between the
guided and leaky modes, and Figure 2.24 shows an enlarged scale of the encircled
region in Figure 2.23. The normalized phase and leakage constants of the previous
lossless case are also shown for comparison.
3.0
2.5
/ k0
2.0
TM01
1.5
TM02
TM03
1.0
TM04
0.5
0.0
10
15
20
Frequency [GHz]
Figure 2.23: Transition region between guided and leaky mode regions. The arrowed region
is the transition region between the guided and leaky mode regions considered here. The
spectral gap region where the normalized phase constants are greater than unity is not the
transition region between the guided and leaky mode regions.
51
1.002
Transition region
tan =0.01
/ k0
1.001
1.000
tan =0.005
tan =0.0
0.999
tan =0.005
tan =0.01
0.998
13.5
-2
10
13.6
13.7
13.8
Frequency (GHz)
tan =0.01
tan =0.005
13.9
14.0
tan =0.01
-3
/ k0
10
tan =0.005
tan =0.0
-4
10
-5
10
13.5
13.6
13.7
13.8
13.9
14.0
Frequency (GHz)
Figure 2.24: Enlarged scale of transition region. In (a), in the lossless case, the dispersion
curves for the guided and leaky modes continue without any discontinuity, however, when
the dielectric loss is introduced, the dispersion curves are split.
52
In a lossless case, the transition occurred just at the frequency point of A in

Figure 2.24 (a), i.e., 13.773 GHz. In other words, the guided mode was cutoff at
13.773 GHz and the leaky mode began at 13.773 GHz. In the lossless case, the
dispersion curves of the guided and leaky modes continued without any
discontinuity, as shown in Figure 2.24 (a). However, when finite losses were
introduced, the dispersion curves were split into two: one is for the leaky mode
and the other for the guided mode. When the loss was introduced, as mentioned
previously, the normalized phase constants became lower for the guided mode
case, yet higher for the leaky mode case. Thus, the splitting occurred near the
cutoff frequency. For the guided mode, the spectral region, in which the
normalized phase constants were greater than unity, was physically valid due to
the slow wave property ( / k0 > 1 ). Meanwhile, for the leaky mode, the spectral
region, in which the normalized phase constants were less than unity, was
physically valid due to the fast wave property ( / k0 < 1 ). As such, a region where
none of the guided and leaky modes could be physically meaningful was newly
created due to the nonzero value of the material loss, and the guided and leaky
modes were transitioned within this region.
2.8. Conclusions
This chapter investigated the guided and leaky mode characteristics of circular
lossless and lossy dielectric rod waveguides for the TM0n and TE0n modes.
Several lower-order circular symmetric leaky modes in circular dielectric rod
waveguides were then analyzed using the normalized phase and attenuation
constants obtained using Davidenkos method. As a result, the leaky modes
existing below the cutoff frequency of the guided mode were classified as a
nonphysical mode, reactive mode, antenna mode, and spectral gap. The effects of
the dielectric constant and radius of the rod on the leaky mode characteristics were
also examined.
The modal propagation characteristics for a lossy dielectric case were also analyzed,
including unusual mode coupling phenomena and a transition region between the
guided and leaky modes. The spectral gap region between the two antenna mode
regions was found to be related to the coupling region of two leaky waves with
different orders. If the dielectric loss was larger than a certain critical value, mode
coupling occurred and the second antenna mode disappeared. A transition region
was found between the guided and leaky mode regions, and the solutions for the
transition region between the guided and leaky modes were all nonphysical. The
transition region also became wider as the dielectric loss increased.
53
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Guillon, Dielectric Resonator, Artech House, 1986.
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America, vol. 51, no. 5, pp. 491-498, May 1961.
e) S. P. Schlesinger, P. Diament, and A. Vigants, On higher-order modes of dielectric
cylinders, IRE Transactions on Microwave Theory and Techniques, vol. 8, no. 2, pp. 252-253,
March 1960.
f) R. E. Collin, Field Theory of Guided Waves, 2nd ed., pp. 721-723, IEEE Press, 1991.
g) C. A. Balanis, Advanced Engineering Electromagnetics, pp. 506-517, John Wiley & Sons,
Inc., 1989.
h) M. J. Adams, An Introduction to Optical Waveguides, pp. 223-228, John Wiley & Sons,
Inc., 1981.
i) D. Marcuse, Light Transmission Optics, 2nd ed., pp. 289-305, Van Nostrand Reinhold
Company, 1982.
j) R. Chatterjee, Dielectric and Dielectric-Loaded Antennas, pp. 13-23, John Wiley & Sons,
Inc., 1985.
k) D. G. Kiely, Dielectric Aerials, pp. 7-29, John Wiley & Sons, Inc., 1953.
A. A. Oliner, Leaky-wave antennas, in R. C. Johnson, Antenna Engineering Handbook,
3rd Edition, McGraw-Hill, New York, 1993.
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A leaky-mode analysis, Optics Letters, vol. 22, no. 11, pp. 760-762, June 1997.
P. Benech and D. Khalil, Rigorous spectral analysis of leaky structures: Application to
the prism coupling problem, Optics Communications, vol. 118, no. 3-4, pp. 220-226, July
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K. Y. Kim, H. S. Tae, and J. H. Lee, Analysis of leaky modes in circular dielectric rod
waveguides, Electronics Letters, vol. 39, no. 1, pp. 61-62, January 2003.
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[19] R. Sammut and A. W. Snyder, Leaky modes on circular optical waveguides, Applied
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56
CHAPTER 3.
Plasma Column Waveguides
The guided and leaky mode characteristics of isotropic, homogeneous, and
lossless open plasma column waveguides operated in circularly symmetric
and hybrid modes are numerically investigated using several normalized
plasma frequency values. After a brief review of the guided mode
characteristics of plasma column waveguides, the leaky mode characteristics
are analyzed from the normalized complex propagation constants that are
rigorously obtained using Davidenkos method. The resulting modal
solutions are then projected onto the steepest decent plane (SDP) to check
their physical significance. The leaky modes analyzed can be applied to the
basic concept of electrically reconfigurable self-sustained plasma column
leaky wave antennas.
3.1. Plasma Media

Plasma1) is a quasi-neutral gas composed of charged and neutral particles that
exhibit a collective behavior. This collective behavior of plasma mainly results from
the statistical long-range Coulomb forces between the charged particles, and the
term fourth state of matter is often used to illustrate the plasma state.
Although the universe is 99% plasma (See Figure 3.1), the natural occurrence of
plasma on earth is rare, because the low temperature and high density of the
earths natural environment are not conducive to plasma.
1)
The term plasma was first used by L. Tonks and I. Langmuir in their paper entitled Oscillations in
ionized gases, Physical Review, vol. 33, no. 2, pp. 195-210, February 1929.
57
(a)
(b)
(c)
Figure 3.1: Three examples of space plasma. Plasma makes up 99% of all visible matter in
the universe. (a) The aurora, or northern lights, flickering in the uppermost reaches of
earths atmosphere. (b) X-ray image of the sun. (c) The solar wind generates an immense
sheet of electrical current that spirals like a ballerinas skirt as the sun rotates. Although
naturally-occurring plasma is rare on earth, there are many man-made examples.
(Source: http://www.spacescience.org/ExploringSpace/PlasmaStateOfMatter/)
However, there are a large number of man-made laboratory plasmas or plasmaemploying devices1), such as the Tokamak fusion reactor, fluorescent lamps,
plasma display panels (PDPs), various plasma sources for material processing,
plasma-filled high-power microwave / millimeter wave / submillimeter wave
oscillators and amplifiers, e.g., TWTs (traveling wave tubes) and BWOs (backward
wave oscillators), and so on.
Plasmas can be classified with respect to their temperature and density, for
example, high-temperature and high-density plasmas are used for lasers and
nonlinear phenomena, high-temperature and low-density plasmas for nextgeneration energy sources, and low-temperature and low-density plasmas for
material processing.
Since plasmas are composed of a number of charged particles, they can be
controlled with external electric and magnetic fields, although this is not always
easy due to diverse interactions between the external controlling electromagnetic
fields and plasma medium, between the internal charged particles themselves, and
between the internal charged particles and boundary vessels, etc.
From the viewpoint of electromagnetic wave propagation, a plasma medium can
be considered as a complex medium due to its many interactions [1]. Based on
simple modeling, plasma has an unusual dielectric constant between zero and
1)
For latest information, visit websites such as http://www.plasmas.org and http://www.plasmacoalition.org.
58
unity, and can even have a negative value. Thus, electromagnetic wave
propagation with plasma has a complicated nature that is not generally observed
in conventional dielectric media [2]. The dielectric constant of a plasma medium is
given as follows [3, 4]:
rp = 1
p2
2
(3.1)
where p is the plasma angular frequency of the angular form and is the
angular frequency. The plasma angular frequency is given by
p =
Ne 2
m 0
(3.2)
where N is the density of plasma, i.e., the number of electrons per unit volume, e is
the charge of an electron, m is the mass of an electron, and 0 is the permittivity
of the free space and given by 0 = (1/ 36 ) 107 F / m . Thus, the plasma angular
frequency is dominated by the plasma density of the medium and is a kind of
natural oscillation frequency. More detailed descriptions of plasma media can be
found in existing literature, e.g., see references [3, 5].
From the expression in (3.1), the general form of the propagation constant of the
electromagnetic waves in boundless plasmas can be expressed as follows:
= = 0 0 rp = 0 0 1
p2
2
(3.3)
where and are the permittivity and permeability, respectively, and 0 is

the permeability of the free space and given by 0 = 4 107 H / m . When the
operating frequency is higher than the plasma frequency, i.e., > p , the
propagation constant becomes purely real, allowing the electromagnetic waves to
freely propagate without any attenuations when assuming a collisionless (lossless)
plasma. Conversely, when the operating frequency is lower than the plasma
frequency, i.e., < p , the propagation constant becomes purely imaginary, which
means the electromagnetic waves decay in the plasma medium and cannot
propagate, representing a cutoff of the electromagnetic wave in the propagation
direction. Referring back to Figure 1.5, in the earth-ionosphere waveguiding
system, an earth station can only communicate with a satellite when the plasma
frequency of the ionosphere is lower than the operating frequency. The typical
plasma frequency of the ionosphere is between 0.9 and 9 MHz according to the
59
expression in (3.1) [4]. However, it should be noted that the practical situation is
also more complex due to the existence of the earths magnetic field, collisions
between charged particles, the Doppler effect, and the time-varying properties of
the ionospheres layers, etc.
Meanwhile, conductors are filled with numerous amounts of microscopic free
electrons, which is why metals have been called a sea of electrons. The natural
oscillation frequency of a metal is generally in the UV (ultraviolet) region. Metals at
optical frequencies also act as a plasma medium because their dielectric constants
can have negative real parts at optical frequencies [6]. As a typical example, at
= 0.6 m , silver has r = 17.2 j 0.498 [7]. Such negative values for the dielectric
constant then affect the electromagnetic wave propagation along the interface
between the metal and the free space.
In addition to those natural gas discharge plasmas and the metals at optical
frequencies, artificial dielectric media [8] whose dielectric constants are ranged
between zero and unity at microwave frequencies, have been studied and their
leaky wave antenna applications have also been reported [9]. Their effective
dielectric constant can be obtained with the periodic structures. Because of their
unusual dielectric constants, the applications using the artificial dielectrics have
also been expected that there exist abnormal properties or enhanced performances
which may not obtained at general situations. The artificial dielectric can be
viewed as a kind of metamaterials, which will be considered in next chapter.
3.2. Plasma Column Waveguides

Section 2.3 reviewed the surface mode guidance along a circular dielectric rod,
where the dielectric constant was frequency independent and greater than unity.
Yet, surface mode guidance along a plasma column with a negative dielectric
constant is also possible under certain circumstances [10]. Electromagnetic wave
propagation along plasma columns was extensively studied in the 1950s and 1960s,
when much attention was paid to the surface and leaky wave problems in an
unmagnetized and magnetized plasma layer (slab) and column involving
communications between missiles and the earth [11, 12].
High-speed rockets or missiles with high-temperature exhaust fumes can make the
surrounding atmosphere into plasma due to friction and thermal ignition. As such,
the atmosphere around a high-speed vehicle can be considered as a metal rod
plasma cladding system and the atmosphere affected by high-speed vehicles
considered as a plasma column, as shown in the Figure 3.2 (a). The
communications between such vehicles and earth stations can be affected by the
electromagnetic properties of the plasma.
60
(a)
(b)
Figure 3.2: Examples of plasma columns: (a) missile surrounded by plasma sheath due to
friction between air and thermal ignition, and (b) ordinary fluorescent tube as effective
experimental prototype plasma antenna.
(Source: http://www.tc.cornell.edu/Research/CMI/RLVsource/rockets.html)
(Source: http://www.rsphysse.anu.edu.au/~ggb112/)
Figure 3.3: Cross-sectional view of plasma column with radius a. The length of the column
extends infinitely, while the density of the plasma is assumed to be uniform and the
dielectric constant assumed to be isotropic for simplicity.
61
A plasma column has also been applied as a plasma antenna with cylindrical
geometry in the RF band [13], as in Figure 3.2 (b). Another strong research area
related to plasma columns is surface wave plasma sources with circular geometry.
(See references [14] and references therein.) Lastly, from a broader perspective,
light propagation in cylindrical metal or cylindrical geometry with a negative
dielectric constant can also be included as applications of plasma column
waveguides. This case involves cylindrical surface plasmon or surface plasmon
polariton1) where the field energy is strongly confined near the cylindrical surfaces.
Surface plasmons with a planar geometry have already been extensively studied
(see reference [15] and references therein.) and remain a very attractive research
topic [16]. However, surface plasmons on cylindrical surfaces [17, 18] have received
more attention recently due to the probe structure of NSOM (Near-field Scanning
Optical Microscopy).
All the above applications use the guided modes of a plasma column, and a crosssectional view of a simple plasma column is shown in Figure 3.3. Nonetheless, the
guided modes of a plasma column are limited in their operating frequency due to
high frequency cutoffs, given as p / 2 . S. S. Martinos and E. N. Economou
previously studied the existence of a virtual radiation mode for surface plasmon
above the plasma frequency [18].
Accordingly, this chapter analyzes the general leaky modes of plasma column
waveguides, which are similar to the findings of Martinos. However, a more
general picture of the leaky modes of plasma column waveguides is also provided,
along with the existence of these modes in entire spectral ranges. As a result, these
modes have potential application in wider frequency ranges above the high
frequency cutoffs as a resource for plasma leaky wave antennas, which will be
covered in Section 3.5. Therefore, including the factor of the radius of the plasma
cylinder., a, the dielectric constant of isotropic, homogeneous, and lossless2) plasma
For the terms plasmon and polariton, refer to texts about solid state physics, e.g., C. Kittel,
Introduction to Solid State Physics, 7th ed., Chapter 10, John Wiley & Sons, Inc., 1996.
2) Practically, the dielectric constant of plasma can be expressed as = 1 2 / ( j ) 2 where is
rp
p
the collision frequency and is associated with the momentum transfer and loss. Of course, if this term
is absent, the dielectric constant of plasma can have the form of (3.1). Normally, the collision
frequency is much lower than the plasma frequency, i.e., p >> , typically, 0.1 p or much less.
Furthermore, the imaginary part of the above complex dielectric constant can be neglected at certain
higher frequencies. Thus, in the present leaky mode analysis, frequencies above the plasma frequency
cannot be affected by collisions. Another loss mechanism is due to Landau damping [3, 5, 17], which
is related to synchronization between the phase velocity of the wave and the velocity of the charged
particles. Yet, since the leaky mode is in the fast wave region, Landau damping can be neglected. Also,
radiative damping is not considered [5], as it is much less than the collisional damping.
1)
62
can be expressed in terms of the normalized (operating) frequency k0 a and

normalized plasma frequency k p a as follows:
rp = 1
p2 ( a 2 / c 2 )
2 ( a 2 / c2 )
= 1
k p2 a 2
kpa
= 1
2 2
k0 a
k0 a
(3.4)
where c is the speed of light, k0 is the free space wave number, and k p ( = p / c )
can be defined as the plasma wave number. The plots of (3.4) are shown in Figure
3.4. Unlike the case of a conventional dielectric constant in the previous chapter, i.e.
a frequency independent dielectric constant, the dielectric constant of a plasma
medium is dispersive with respect to the frequency, which affects the guided and
leaky dispersion characteristics of the plasma column. How a dispersive medium
affects the guided and leaky dispersion characteristics of a waveguide will also be
discussed in the next chapter (about electromagnetic waves along metamaterial
columns).
kpa=1.0
kpa=2.0
kpa=3.0
rp
-1
-2
10
k0a
15
20
Figure 3.4: Dielectric constant of plasma column with respect to normalized plasma
frequencies of k p a = 1.0 , k p a = 2.0 , and k p a = 3.0 used in Chapter 3. If the operating
normalized frequency k0 a is higher than the normalized plasma frequency, the dielectric
2
constant will be positive according to the expression of rp = 1 ( k p a / k0 a ) .
63
3.3. Guided Modes of Plasma Column Waveguides A Review

The plasma columns reviewed in this section are a plasma column with a
dispersive form of the dielectric constant of a classical plasmonic form, that is,
2
rp = 1 ( k p a / k0 a ) and with a negative frequency independent dielectric constant.
Here, it is assumed that the plasma medium is isotropic, homogeneous, and
lossless. The magnetic constant (relative permeability) of the plasma is assumed to
be unity, which is the same as the dielectric and magnetic constants of the
surrounding free space, i.e., r1 = r 2 = r 2 = 1.0 .
The characteristic equation for a plasma column waveguide is given as follows:
r1 I m (k1a) r 2 K m (k2 a ) r1 I m (k1a) r 2 K m (k2 a ) m 1

1
2 2
=
k1 I m (k1a) k2 K m (k2 a ) k1 I m (k1a) k2 K m (k2 a ) k0 a k1 k2
(3.5)
where a modified Bessel function of the first kind I m () is used instead of J m ()

in Chapter 2. However, the other variables are the same as in Chapter 2. Refer to
Appendix B. Similar to Chapter 2, if the azimuthal eigen value is m = 0 , the
general form of the characteristic equation in (3.5) can be split into two
characteristic equations involving the TM0n and TE0n modes as follows,
respectively:
r1 I1 (k1a )
k1 I 0 (k1a)
r1 I1 (k1a )
k1 I 0 (k1a)
+
+
r 2 K1 (k2 a)
k2 K 0 (k2 a)
r 2 K1 (k2 a)
k2 K 0 (k2 a)
=0
(3.6 a)
=0
(3.6 b)
Satisfactory solutions of (3.6 b), i.e., the TE0n mode, do not exist for the guided
surface modes of plasma column waveguides.
The relations between the propagation constants, axial propagation constants, and
material constants are given as follows:
k12 = k02 ( 2 r1 r1 )
(3.7 a)
k22 = k02 ( 2 r 2 r 2 )
(3.7 b)
In a more general case, i.e., m 1 , the characteristic equation (3.5) can be rewritten
as follows using an empirical induction procedure:
64
r 2 r 2 Q
+

r1 r1 2
R
r 2 r 2 Q
+
P=0
+
r1 r1 2 r1 r1
(3.8)
where
P=
1 I m 1 ( k1a ) m
k1a I m ( k1a ) k1a
Q=
(3.9 a)
1 K m 1 ( k 2 a ) m
+
k2 a K m ( k2 a ) k2 a
1
R=m 4 2 2
a k1 k 2
2
2 1
(3.9 b)
(3.9 c)
The signs in (3.8) are for the HEmn and EHmn modes, respectively. Yet, since the
EHmn mode does not exist in a plasma column, only the + sign is significant.
The characteristic equations (3.6) and (3.8) are numerically solved using an internal
function FindRoot from the software package MATEMATICA 4.0.
Figure 3.5 shows the dispersion curves for the plasma columns. Figure 3.5 (a)
shows the dispersion curve for the case of a dielectric constant of r1 = 4.0 , which
was arbitrarily chosen, yet its absolute value was greater than unity for the purpose
of reviewing the guided dispersion characteristics of the plasma column. It was
fixed at a frequency below the plasma frequency so the dielectric constant in (3.4)
would have a negative constant, namely, 4.0. Figure 3.5 (b) shows the dispersion
curve for the case of the dispersive dielectric constant in (3.4), where the effective
plasma frequency was arbitrarily assumed to be k p a = 10.0 .
The guided modes with azimuthal eigen values of m = 0 , 1, and 2 are shown in
Figure 3.5. The guided dispersions had mono mode characteristics, which were not
presented in the previous case of circular dielectric rod waveguides in Chapter 2 or
in the next case of metamaterial columns in Chapter 4. In other words, there were
TM01, TM02, and TM03 modes and higher discrete eigen values in the conventional
dielectric rod waveguides, as shown in Figures 2.5 and 2.6, while there was only a
principal mode ( n = 1 ) for each azimuthal eigen value ( m ) in the case of the
plasma column waveguide, as shown in Figure 3.5.
These modes were TM-like modes, such as TM0n, HE1n, and HE2n modes. Yet, TElike modes, such as TE0n, EH1n, and EH2n modes, cannot exist with a negative
dielectric constant. (However, although not shown here, it is expected that TE-like
modes can exist with only negative magnetic constants in circular open
65
waveguides, which can be easily demonstrated by the symmetry of the

characteristic equations. Meanwhile, negative permeabilities can be realized by
artificial magnetic structures, which will be briefly mentioned in Chapter 4.)
In the case of Figure 3.5 (a), i.e., the case of a frequency independent dielectric
constant, there was no guided mode cutoff for the m = 0 mode and this mode had
a superslow property ( p << 1 , where p was the phase velocity) when the
normalized frequency was decreased.
In the case of Figure 3.5 (b), i.e., the case of a dispersive dielectric constant, there
was a high frequency cutoff corresponding to the plasma frequency divided by 2 ,
i.e., ( k0 a )hc = k p a / 2 . At this frequency, the dielectric constant was 1.0. A purely
guided mode existed in the plasma column when the absolute value of the
dielectric constant was greater than unity. In the case of conventional circular
dielectric rod waveguides, the guided modes exist only when the dielectric
constant is greater than the surrounding free space. It is also known that backward
wave modes can exist for a higher order of azimuthal eigen value when the plasma
frequency is low [12], although not shown here.
66
2.0
(a)
1.8
/ k0
1.6
m=0
1.4
m=1
1.2
m=2
1.0
10
20
30
40
50
Frequency (GHz)
p/ 2
10
/ k0
(b)
k p a / 2 = 7.07
10
m=2
m=0
m=1
10
k0a
10
Figure 3.5: Guided dispersion characteristics of plasma columns. (a) Frequency independent
dielectric constant case. The dielectric and magnetic constants of the plasma were assumed
to be r1 = 4.0 and r1 = 1.0 , respectively, and the radius of the plasma column was
a = 10.0 mm . (b) Dispersive dielectric constant case using equation in (3.4). The effective
plasma frequency was assumed to be k p a = 10.0 .
67
3.4. Leaky Mode Characteristics of Plasma Column Waveguides

The characteristic equation for plasma columns in the case of the leaky modes is
the same as that in Chapter 2. (The general characteristic equations for the circular
core and infinite cladding waveguiding structure systems are identical in spite of
their dissimilar material distributions or even those including lossy media [20].)
However, for clarity, it is presented again as follows:

1
2 2
=
( 2)
(2)
(3.10)
The relation between the propagation constants and the material parameters can
then be given as follows:
k12 = k02 ( r1 r1 2 )
(3.11 a)
k12 = k02 ( r1 r1 2 )
(3.11 b)
where is the normalized complex propagation constant given by = j ,

where = / k0 and = / k0 are the normalized phase and leakage constants,
respectively.
The characteristic equation in (3.10) is the general case, but the characteristic
equations for the TM0n and TE0n modes can be respectively obtained as follows by
substituting the azimuthal eigen value of m = 0 into equation (3.10):
r1 J1 (k1a)
k1 J 0 (k1a)
r1 J1 (k1a)
k1 J 0 (k1a)
r 2 H1(2) (k2 a)
r 2 H1(2) (k2 a)
k2 H 0(2) (k2 a)
k2 H 0(2) (k2 a)
=0
(3.12 a)
=0
(3.12 b)
Meanwhile, the characteristic equation for the hybrid modes ( m 1 ) can be

rewritten as follows through an empirical induction procedure:
r 2 r 2 Q
+

r1 r1 2
r 2 r 2 Q
R
+
P=0
2
r1
r1 r1
r1
where
68
(3.13)
P=
1 J m 1 ( k1a ) m
k1a J m ( k1a ) k1a
(3.14 a)
Q=
(2)
1 H m 1 ( k2 a ) m
(2)
k2 a H m ( k2 a ) k2 a
(3.14 b)
R = m2
2 1
a 4 k12
k22
(3.14 c)
where the signs in (3.13) represent the HEmn and EHmn modes, respectively, or
vice versa under certain circumstances.
The guided dispersion characteristics have already been reviewed in the previous
section. The propagation constants of the guided modes are purely real and
restricted to the frequency region below the high frequency cutoffs, which can be
expressed as k0 a = k p a / 2 . Meanwhile, complex leaky modes also exist in the
frequency region above the high frequency cutoffs. More precisely, complex leaky
mode solutions for plasma columns can exist in all the frequency regions.
Figures 3.6, 3.7, and 3.8 show the leaky TM0n mode characteristics, where the
normalized phase and leakage constants of the plasma column are shown for the
cases of k p a = 1.0 , 2.0, and 3.0, respectively.
Although the guided modes had high frequency cutoffs, i.e., these modes did not
exist above the cutoffs, the leaky modes existed throughout the frequency
spectrum. Unlike the previous guided mode case, the leaky modes had multimodal
characteristics. Three lower order leaky modes were designated, namely, a, b,
and c in the Figures. Despite the existence of higher leaky modes, only three
leaky modes are shown. As the normalized frequency k0 a became higher, the
normalized phase constants monotonically increased and approached unity. At the
plasma frequency, the normalized phase constants had a zero value, while below
the plasma frequency, the normalized phase constants had negative values,
meaning backward leaky waves [7]. The insets in Figures 3.6 (a), 3.7 (a), and 3.8 (a)
are enlarged scales of the negative normalized phase constant portions. The leaky
mode with a higher normalized leakage constant ( = / k0 ) had a higher negative
normalized phase constant ( = / k0 ). The normalized leakage constants
decreased as the normalized frequency increased. When comparing Figures 3.6, 3.7,
and 3.8, the overall dispersion patterns were almost same, yet the normalized
phase constants took a zero value at each effective plasma frequency. With a higher
normalized plasma frequency, the normalized phase constant became higher below
the normalized plasma frequency.
69
1.0
0.5
/ k0
0.0
0.0
-0.5
-0.5
-1.0
-1.0
-1.5
-2.0
-1.5
-2.0
2
10 0
-2.5
0.0
5
0.2
0.4
10
0.6
0.8
15
1.0
20
/ k0
10
10
c
b
-1
10
a
-2
10
10
15
20
k0a
Figure 3.6: Leaky mode characteristics of plasma column with normalized plasma frequency
of k p a = 1.0 for TM0n mode. (a) Normalized phase constant and (b) normalized leakage
constant. The inset in (a) is an enlarged scale of the negative normalized phase constants.
70
1.0
0.5
/ k0
0.0
0.0
-0.4
-0.8
-0.5
-1.0
20
10
-1.2
0.0
0.5
1.0
1.5
2.0
10
15
20
10
15
20
/ k0
10
10
-1
10
-2
10
k0a
71
1.0
0.5
(a)
/ k0
0.0
0.0
-0.2
-0.4
-0.5
-0.6
-0.8
0
-1.0
20
10
10
15
20
(b)
1
10
/ k0
c
0
10
b
a
-1
10
-2
10
10
k0a
15
20
72
2.0
/ k0
1.5
1.0
a
b
c
0.5
0.0
20
10
10
15
20
10
15
20
/ k0
10
10
b
a
-1
10
-2
10
k0a
of k p a = 1.0 for TE0n mode. (a) Normalized phase constant and (b) normalized leakage
constant.
73
2.0
(a)
/ k0
1.5
1.0
a
b
0.5
0.0
20
10
10
15
20
(b)
1
/ k0
10
10
b
a
-1
10
-2
10
10
k0a
15
20
frequency of k p a = 2.0 for TE0n mode. (a) Normalized phase constant and (b) normalized
leakage constant.
74
2.0
/ k0
1.5
1.0
0.5
0.0
20
10
10
15
20
10
15
20
/ k0
10
10
-1
10
-2
10
k0a
frequency of k p a = 3.0 for TE0n mode. (a) Normalized phase constant and (b) normalized
leakage constant.
75
Figures 3.9, 3.10, and 3.11 show the leaky mode characteristics for the TE0n modes,
where Figures 3.9 (a), 3.10 (a), and 3.11 (a) show the normalized phase constants
for k p a = 1.0 , 2.0, and 3.0, respectively, and Figures 3.9 (b), 3.10 (b), and 3.11 (b)
show the normalized leakage constants for k p a = 1.0 , 2.0, and 3.0, respectively. As
in the previous case of the TM0n modes, leaky TE0n modes were found to exist at all
frequencies. At a lower frequency, the normalized phase constants became higher
as the normalized frequencies decreased. The normalized phase constants
exceeding unity were apparently nonphysical, similar to the leaky modes of the
conventional dielectric rod waveguide in Chapter 2. The normalized phase
constants decreased to specific minimal points, then increased again with an
increase in the normalized frequency and approached unity. The normalized phase
constants never took negative values, as in the previous case of the TM0n modes.
The normalized leakage constant decreased slowly as the normalized frequency
increased. Furthermore, the overall patterns of the normalized phase and leakage
constants versus the normalized frequency were almost the same as in the previous
case of the TM0n modes.
Figure 3.12 shows the complex propagation constants on the steepest descent plane
(SDP). For details about the SDP, refer to Appendix E. The a modes of the leaky
TM0n and TE0n modes in Figures 3.6 and 3.9 were projected onto the SDP in Figures
3.12 (a) and (b), respectively.
All the leaky TM0n mode solutions were captured in the physical region of the SDP.
As the frequency decreased below point B, the normalized phase constants were
captured in the backward wave region, i.e., backward leaky waves. Between points
C and D, the backward leaky modes exhibited slow wave characteristics, while
outside the slow wave region, the backward leaky modes were in the fast wave
region. Whether the modal solutions of the backward leaky modes were captured
in the fast or slow wave regions, they were all physical [21].
However, the leaky TE0n mode solutions lost their physical meaning below the
normalized frequency of k0 a = 2.522 , marked by A in Figure 3.12 (b). Using the
SDP criteria, the physical validities of the hybrid modes of plasma column
waveguides were also evaluated, although these criteria can equally be applied to
modal solutions with complex values for other guiding structures.
76
1.5
1.0
0.5
/ k0
0.5
0.0
0.0
-0.5
-0.5
-1.0
-1.0
-1.5
-1.5
0.0
0.5
10
C
1.0
1.5
15
k0a
20
(a)
4
2
B
C
D
-2
20
-4
-2
(b)
2
0
-2
20
-4
-2
Figure 3.12: Complex propagation constants of plasma column with normalized plasma
frequency of k p a = 1.0 on steepest descent plane. (a) a mode for TM0n mode in Figure 3.6
and (b) a mode for TE0n mode in Figure 3.9. The leaky TM0n mode solutions have a
physical meaning throughout the frequency range, however, the leaky TE0n mode solutions
lose their physical meaning below 2.522 GHz, marked by A in (b).
77
Figures 3.13, 3.14, and 3.15 show the HE1n leaky mode characteristics. The
normalized phase and leakage constants of the plasma columns are shown for the
cases of k p a = 1.0 , 2.0, and 3.0, respectively. Since the TM0n mode is a special case
of the HE1n mode, some similarities in the patterns of the HE1n mode dispersion
curve were found. The negative propagation constants observed were below the
normalized plasma frequency.
The first mode, designated as the a mode, was very sensitive to the normalized
plasma frequency. When the normalized plasma frequency was k p a = 1.0 , the
normalized phase constant of the a mode was nearly flat over a broad spectrum
of the normalized frequency above the narrow region of the nonphysical spectral
gap-like region. Meanwhile, the leaky mode characteristics of the b, c, and d
modes were nearly the same as those of the previous TM0n mode case. Only the a
mode had a different zero crossing normalized frequency that was different from
the normalized plasma frequency. At certain higher normalized plasma frequencies,
such as k p a = 2.0 and k p a = 3.0 in Figures 3.10 (a) and 3.11 (a), respectively, the
a modes did not exhibit negative portions.
Figures 3.16, 3.17, and 3.18 show the EH1n leaky mode characteristics, where the
normalized phase and leakage constants of the plasma columns are shown for the
cases of k p a = 1.0 , 2.0, and 3.0, respectively. The a modes showed normalized
phase constants exceeding unity that did not have physical meanings above the
normalized frequency. Meanwhile, the b, c, and d modes had similar
dispersion curves to the TE0n modes.
78
1.5
1.0
/ k0
0.5
0.0
-0.5
0.0
-1.0
-0.5
-1.5
-2.0
-1.0
-1.5
2
10 0
-2.5
0.0
0.2
0.4
0.6
0.8
1.0
10
15
20
10
15
20
10
/ k0
10
-1
10
-2
10
-3
10
k0a
frequency of k p a = 1.0 for HE1n mode. (a) Normalized phase constant and (b) normalized
leakage constant. The inset in (a) is an enlarged scale of the negative normalized phase
constants.
79
1.5
1.0
/ k0
0.5
0.0
0.0
-0.3
-0.5
-0.6
-0.9
-1.0
-1.5
-1.2
0.0
10
0.5
1.0
1.5
2.0
10
15
20
10
15
20
10
/ k0
10
-1
10
-2
10
-3
10
k0a
constants.
80
1.5
1.0
/ k0
0.5
0.0
0.0
-0.2
-0.5
-0.4
-1.0
-0.6
-1.5
20
10
-0.8
0
10
15
20
10
15
20
10
/ k0
10
-1
10
-2
10
-3
10
k0a
constants.
81
2.0
/ k0
1.5
1.0
0.5
0.0
2
10
10
15
20
10
15
20
10
/ k0
10
-1
10
-2
10
-3
10
k0a
frequency of k p a = 1.0 for EH1n mode. (a) Normalized phase constant and (b) normalized
leakage constant.
82
2.0
/ k0
1.5
1.0
0.5
0.0
2
10
10
15
20
10
15
20
10
/ k0
10
-1
10
-2
10
-3
10
k0a
leakage constant.
83
2.0
(a)
/ k0
1.5
a
1.0
0.5
0.0
2
10
10
15
20
(b)
1
10
/ k0
10
-1
10
-2
10
-3
10
10
15
20
k0a
leakage constant.
84
3.5. Suggested Electrically Reconfigurable Self Sustained Plasma

Column Leaky Wave Antenna Basic Concept
The previous section investigated the leaky mode characteristics of open plasma
column waveguides using several normalized plasma frequencies, namely,
k p a = 1.0 , 2.0, and 3.0. A conventional plasma column surface wave (guided mode)
antenna [13] has a limited frequency band as a result of the high frequency cutoff
of the plasma cylindrical surface waves due to the dispersive nature of plasma.
Thus, conventional plasma column antennas using the guided mode regions are
operated at lower frequencies. However, as analyzed in the previous section, the
leaky modes of plasma columns exist in all the spectral ranges and could be used
for antenna applications at higher frequencies. Yet, to use plasma columns as leaky
wave antennas, the antenna mode region (physical radiation region, < k0 and
/ k0 > / k0 ) needs to be considered among the complex dispersion characteristics.
Figure 3.19 shows an example of a plasma leaky waveguide that can be applied to
a wide band leaky wave antenna. The electromagnetic energy is radiated in the
antenna frequency region, as shown in Figure 3.19, as the radiation region. Since
the typical plasma frequency of laboratory plasma (e.g., fluorescent lamps) ranges
between 1 to 10 GHz, plasma column leaky wave antennas could be operated in
tens of GHz bands, such as X-bands (8-12 GHz), Ku-bands (12-18 GHz), or a higher
frequency band, while excitations could be performed using specially designed
mode couplers that are identical or similar to those for a surface plasma column
[14]. Parts of the coupled power can be used to sustain the plasma state, whereas
the other parts of the energy are radiated to the space along the plasma column,
making it a self-sustained type. Although the above description is for an ideal
plasma column, i.e., the plasma column is sharply bounded with free space, the
basic principle cannot be altered in certain modified structures. For the practical
realization of plasma column leaky wave antennas, glass or another kind of
dielectric tube with a proper thickness should be prepared. Of course, the dielectric
effect should be included in the leaky dispersion characteristics and modified with
specific design parameters.
The advantages of plasma column leaky wave antennas compared to dielectric rod
leaky wave antennas are as follows:
The radiation characteristics of plasma column leaky wave antennas can be
reconfigurable based on the electrical properties of the plasma media that can be
controlled with the amplitude of the input power, frequency, and so on.
The antenna mode regions of plasma columns are wider than those of circular
dielectric rod waveguides, as in Chapter 2, and the normalized phase and
leakage constants are relatively flat at high frequencies.
85
2
/ k0
/ k0
0
Radiation Region
-1
-2
0
2
10
15
/ k0
/ k0
0
Radiation Region
-1
-2
0
2
10
15
20
/ k0
/ k0
0
Radiation Region
-1
-2
20
10
k0a
15
20
Figure 3.19: Examples of radiation regions with plasma column waveguides. The
normalized phase and leakage constants are taken from the TM0n modes in Figure 3.6, i.e.,
k p a = 1.0 . (a) a mode, (b) b mode, and (c) c mode.
86
The plasma losses due to collisions and other possible damping mechanisms or
instabilities, as well as the dielectric loss of the dielectric tube at given operating
frequencies, should also be considered to achieve successful practical applications.
3.6. Conclusions
The dielectric constant of plasma can have a value between zero and unity, as well
as a negative value. Consequently, the electromagnetic wave propagations in
plasma are extraordinary to the general phenomena associated with conventional
dielectric materials. In particular, this chapter investigated the guided and leaky
mode characteristics of isotropic, homogeneous, and lossless plasma column
waveguides at several normalized plasma frequencies. Following a brief review of
the guided mode characteristics of a plasma column waveguide with a frequency
independent negative dielectric constant column and dispersive dielectric constant,
the leaky mode characteristics of a dispersive plasma column were investigated at
several normalized plasma frequencies. Although there were TM-like modes for
the guided modes, both TM-like and TE-like modes existed for the leaky modes.
The physical significance of the complex propagation constants, obtained using
Davidenkos method, were checked on the SDP. Finally, the basic concept of an
electrically reconfigurable self sustained plasma column leaky wave antenna using
the leaky modes is suggested.
87
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92
CHAPTER 4.
Metamaterial Column
Waveguides
This chapter investigates the guided and leaky mode characteristics of
metamaterial column waveguides. The metamaterials considered are a
frequency independent model (double negative index, i.e., simultaneously
negative constants of permittivity and permeability.) and two frequency
dispersive models (plasmonic model and Pendrys model). All the media
models describing the properties of the metamaterials are assumed to be
isotropic and homogeneous from an effective medium approach and lossless
for simplicity in the analysis. The guided modes of the double negative
material index and frequency independent metamaterial column
waveguides are compared with those of ordinary circular dielectric (double
positive index) waveguides. The properties of the principal mode are
extensively examined and extraordinary mode coupling phenomena
between the guided waves found. For the guided modes with the frequency
dispersive models, several modal behaviors, such as high frequency cutoffs,
the existence of TE-like modes and higher order modes, and degeneracy of
discrete solutions, are discussed. In the leaky mode analysis, the properties
of a metamaterial column compared with those of a circular dielectric rod
are investigated. Several unusual leaky mode characteristics that were not
previously observed with the conventional dielectric rod and plasma
column are also discussed.
93
Figure 4.1: Professor V. G. Veselago of Moscow Institute of Physics and Technology who
predicted the novel properties of metamaterials in 1967. In his paper entitled The
electrodynamics of substances with simultaneously negative values of and in Soviet
Physics Uspekhi, Professor Veselago investigated the extraordinary properties of
metamaterials, such as the reversal of Snells law, a reversed Doppler effect, and reversed
erenkov radiation. (Source: http://www.hut.fi/Yksikot/Sahkomagnetiikka/kuvia/)
4.1. Metamaterials Overview

4.1.1. Ideas and Realizations
In 1967, a Russian physicist V. G. Veselago (See Figure 4.1) predicted extraordinary
electromagnetic wave phenomena related to materials with a simultaneously
negative permittivity and permeability, such as the reversal of Snells law, a
reversed Doppler effect, and reversed erenkov radiation [1]. In his analysis, these
bizarre materials are named left-handed substances, as their electric field, magnetic
field, and propagation vector obey the left-handed rule.
However, these striking predictions were not widely accepted until their
experimental verification over 30 years later by Professor David R. Smith1) and
Professor Sheldon Schultz at the University of California, San Diego (UCSD) [2],
who used Professor Pendrys2) work about negative permittivity and negative
permeability [3, 4]. (Independently, D. F. Sievenpiper3) et al. also created a negative
effective dielectric medium using photonic crystals at nearly the same time [5].)
Figure 4.2 shows the structures from which negative effective material constants
can be obtained.
http://physics.ucsd.edu/~drs/left_home.htm
http://www.sst.ph.ic.ac.uk/photonics/
3) He is also famous for artificial electromagnetic surfaces, called high-impedance surfaces. Refer to D. F.
Sievenpiper, High-Impedance Electromagnetic Surfaces, Ph.D. Thesis, University of California, Los
Angeles, 1999, available at http://www.ee.ucla.edu/~photon/.
1)
2)
94
(a)
(b)
(c)
Figure 4.2: Negative effective permittivity can be obtained from thin metallic wires and
photonic crystals, while negative effective permeability can be obtained from split ring
resonators. (a) Thin metallic wires [3] for negative permittivity, (b) diamond geometry 3D
wire mesh photonic crystals [5] for negative permittivity, and (c) spit ring resonators (SRRs)
[4] for negative permeability.
95
Figure 4.3: Arrays of the thin wires plus split ring resonators. Simultaneous negative
permittivity and permeability can be achieved at certain frequency bands. (a) First
experimental embodiment of effective double negative material index by UCSD group and
(b) its three-dimensional extension.
(Source: http://physics.ucsd.edu/lhmedia; http://rsphy2.anu.edu.au/nonlinear/research/lhm)
Left-handedness in materials requires a simultaneously negative permittivity and

negative permeability that can be effectively obtained with periodic structures of
metallic rods plus split ring resonators (SRRs), as shown in Figure 4.3. The UCSD
group demonstrated that a simultaneous negative material index of a composite
structure of thin metallic wires plus SRRs could be shown in a narrow frequency
band (a few GHz), as just mentioned. Following such experimental confirmation of
the possible existence of simultaneous negative material parameters, a lot of
attention from both the scientific and engineering communities has been focused
on seeking novel physical phenomena and their applications to novel
electromagnetic devices and systems [6].
4.1.2. Terminologies and Basic Properties
Although the term metamaterial has not been strictly defined, a metamaterial is
generally admitted to refer to an artificially designed electromagnetic structure
with unusual electromagnetic properties that are rarely found in nature. Meta- is
a Greek prefix meaning beyond, so metamaterials can be understood as materials
that exhibit an extraordinary electromagnetic response. Metamaterials also
commonly referred to as left-handed materials (LHM) [7], materials with a
negative refractive index (NRI) [8], backward wave (BW) media [9], double
negative (DNG) media [10], media with a negative phase velocity (NPV) [11], and
Veselagos media, etc. Most terminologies are associated with the abnormal
96
physical phenomena of the metamaterials. Left-handedness, as shown in Figure 4.4,

means that the directions of the electric field ( E ), magnetic field ( H ), and wave
propagation vector ( k ) obey the left-handed rule instead of the right-handed rule
in ordinary dielectric materials. When electromagnetic waves are incident on a lefthanded material (LHM), the refraction is also reversed, as shown in Figure 4.5.
Thus, LHMs are called materials with a negative refractive index (NRI). The
negative refraction and left-handedness are caused by a simultaneous negative
permittivity and permeability at a given frequency, so the metamaterials are also
called double negative (DNG) media. In addition, the reversal of the phase and
energy propagations leads to a negative phase velocity (NPV) (or sometimes a
negative group velocity (NGV)) and backward wave (BW) with opposite directions
of the phase and group velocities. Figure 4.6 shows the backward wave
phenomena in open metamaterial waveguide configurations.
S k
E
S
E
Figure 4.4: (a) Right-handed and (b) left-handed rules. Metamaterials are also called lefthanded materials, as their fields are governed by left-handed rules. E , H , S , and k are
the electric field, magnetic field, Poyntings vector, and wave propagation vector,
respectively. While k and S are parallel in conventional media, they are anti-parallel in
metamaterials.
97
Figure 4.5: Positive and negative refractions. Angles and are the incidence and
refraction angles, respectively. Refer to the positive refraction in Figure 1.9 for a comparison.
Metamaterials are also called materials with a negative refractive index (NRI).
Figure 4.6: Reversed energy flows inside and outside metamaterial open waveguide.
Metamaterials are also called backward (BW) wave materials or materials with a negative
phase velocity (NPV). (Source: http://rsphy2.anu.edu.au/nonlinear/research/lhm/)
98
Figure 4.7: Classification of materials according to signs of material constants and behavior
of incidence at air (conventional material) material interface.
(Source: M. C. K. Wiltshire, Bending light the wrong way, Science, vol. 292, Issue 5514, pp.
60-61, 6 April 2001)
Figure 4.7 shows the classification of materials according to the signs of the
material indexes and radiation incident behavior at an air (conventional material)
material interface. The materials in the first and second quadrants are naturally
occurring, while the materials in the third and fourth quadrants are not. The
dielectrics and plasmas dealt with in Chapters 2 and 3 belong to the first and
second quadrants. As such, the materials corresponding to the third and fourth
quadrants are metamaterials with a simultaneous negative permittivity and
permeability, and materials with a negative permeability. Waveguiding along
metamaterial columns will be examined in this chapter, and the modal propagation
characteristics associated with the materials of fourth quadrants can be understood
along with the results in Chapter 3.
In this thesis, the term metamaterial is used in a broader sense to refer to
artificial materials with a simultaneous negative permittivity and permeability and
materials with extended material constants, including 0 < r < 1 and / or
0 < r < 1 .
99
4.1.3. Trends and Perspectives

Since metamaterials possess various extraordinary electromagnetic responses that
cannot (or are difficult to) be observed in conventional media, their unrevealed or
modified physical phenomena, such as superluminality [12], a negative GoosHnchen shift [13], reversal of circular Bragg phenomena [14], reversal of circular
dichroism [15], total external reflections (TER) [16], and negative Hartman effect
[17], have already been investigated. In addition, metamaterials have also been
applied to various electromagnetic wave devices and systems for the development
of novel or enhanced engineering performances, including perfect lenses for future
image processing, near field imaging / focusing, and near field lithography [1, 18],
radar absorbing materials [19], directive antennas [19, 20], leaky wave antennas
[21], subwavelength resonators [22], various filter applications [23], phase shifters
[24], directional couplers [25], MRI [26], microstrip lines [27], optical storage
systems [28], and many more. For a recent comprehensive and quick review of the
physical phenomena and engineering applications of metamaterials, refer to
review papers such as reference [29]. The practical embodiment of metamateials is
thus major research topic world-wide. Although the practical fabrication of
metamaterials is in the early stage of development, a lot of methods have been
proposed and the successful fabrication of metamaterials is expected in the near
future. In addition to the thin wire arrays plus SRR structures, two major methods
of fabricating metamaterials have attracted attention from the engineering
community. The first is the transmission line approach, which involves the artificial
additive loading of a series capacitance and shunt inductance to host transmission
lines. The transmission line approach has been actively pursued by Professor
George V. Eleftheriades group1) at the University of Toronto [30] and Professor
Christophe Caloz2) at the cole Polytechnique de Montral [31]. (Professor Caloz
was previously at the University of California, Los Angeles (UCLA) under
Professor Tatsuo Itoh.) In Figure 4.8, a basic element of the equivalent CRLH
transmission line, which is very useful in describing the wave propagation
behavior along metamaterials, is shown. Meanwhile, the other method of
fabricating metamaterials is using photonic crystals [32]. The observation of a
negative refraction in photonic crystals [33] initially lead to more systematic
theoretical and experimental works [34]. However, the photonic crystals are now
regarded as candidates for the fabrication of three-dimensional electromagnetic
wave manipulating structures, including metamaterials [35]. (See Figure 4.9.)
1)
2)
http://www.waves.utoronto.ca/prof/gelefth/main.html
http://www.grmes.polymtl.ca/groupe/WW8/p302813
100
Figure 4.8: Basic elements of various transmission line models: (a) Conventional
transmission line (right-handed (RH) transmission line), (b) left-handed (LH) transmission
line, (c) conventional lossy transmission lines, and (d) CRLH (Composite Right/Left Hand)
transmission line. L, C, R, and G are the inductance per unit length, capacitance per unit
length, resistance per unit length, and conductance per unit length, respectively. The
subscripts R and L stand for right and left, respectively. The concept of the classical RH
transmission lines, i.e., (a) and (c), has been well established for a long time [36]. The LH
transmission lines in (b) were also proposed a long time ago to describe the backward wave
property in backward wave devices [37]. The CRLH transmission lines are very useful to
describe the wave propagation along metamaterials [31].
Figure 4.9: Examples of light (electromagnetic wave) manipulation by three-dimensional

photonic crystals.
(Source: http://www.physics.utoronto.ca/~john/; http://rsphy2.anu.edu.au/nonlinear/research/photonic/)
101
4.1.4. Effective Medium Approach

The two previous fabrication methods, i.e., the transmission line approach and
photonic crystal approach, are still far from making real metamaterials in bulk.
In order to have useful bulk-type metamaterials, like general dielectrics such as
polymers, chemical reactions or molecular operations may be needed. At optical
frequencies, various existing physical and engineering concepts, such as selfassembled photonic crystals [38], artificial molecule design [39], and modern
nanotechnologies (nano powder synthesis / nano-optics), could be conjectured and
merged to accomplish the goal. However, even though the present technology of
bulk metamaterial synthesis is still embryonic, homogeneous, isotropic
metamaterials are assumed in the analysis in this chapter. This assumption can be
physically validated based on the effective medium approach ( >> d ) [40], a kind
of homogenization of materials. Nonetheless, it is expected that real metamaterials
will be synthesized in the near future and employed in various electromagnetic
field and wave manipulating devices and systems. (Previously synthesized novel
materials, such as superconductors [41] and conducting polymers [42], also
extensively contributed to the performances of microwave / optical devices.)
Recently, various possibilities of making real metamaterials have been reported
[43].
4.2. Metamaterial Waveguiding Structures

Among the existing novel electromagnetic device applications of metamaterials,
this study focuses on a guided and leaky mode analysis of waveguides composed
of metamaterials. Waveguides are core electromagnetic devices for efficient energy
or signal transfer and become fundamental parts for their offspring, such as filters,
dividers, and so on.
Although present experimental realizations or the synthesis of isotropic and
homogeneous metamaterials has not yet been achieved, as just mentioned, their
theoretical and experimental physical phenomena have been extensively studied
considering their wide variety of potential applications. For example, quite
recently, the guided mode characteristics of metamaterial (grounded) slab
waveguides, channel and partially open planar metamaterial waveguides, and
closed waveguides with partially metamaterial-inclusion waveguides have been
analyzed [44-48]. In particular, metamaterial waveguides are expected to find
applications in both linear and nonlinear optical technologies, such as optical data
storage, optical memories, quantum computing, dispersion management, optical
soliton formation, subwavelength cavity or waveguides, and so on. Thus,
102
analyzing the modal propagation modes of other geometrical configurations is

clearly required.
The main focus of this thesis is the guided and leaky mode characteristics of
circular open electromagnetic waveguides. As such, Chapters 2 and 3 theoretically
investigated the guided and leaky modes of a conventional dielectric rod
waveguide with a positive permittivity and permeability, and circular open
plasma waveguide with a negative permittivity yet positive permeability,
respectively. However, in the case of a metamaterial cylinder where the
electromagnetic wave propagation is related to the axis of the cylinder, the guided
and leaky mode characteristics would be expected to differ from those of the
conventional circular dielectric rod and plasma column in the previous chapters. H.
Cory et al. analyzed the surface waves of a metamaterial cylinder where the
materials constants were simultaneously negative and the frequency independent
[45].
Accordingly, this chapter deals with the unusual guided and leaky mode
characteristics of metamaterial columns for three different metamaterial models: a
frequency independent model with a simultaneous negative permittivity and
permeability, two widely known frequency dispersive models of metamaterials.
4.3. Guided Mode Characteristics of Metamaterial Column Waveguides

The characteristic equations for a metamaterial column waveguide are composed
of two distinct guided modes: ordinary surface (OS) mode and surface plasmon
(SP) mode. When the normalized propagation constants range between r1 r1
and r 2 r 2 , i.e., r 2 r 2 < / k0 < r1 r1 , the guided mode corresponds to the
OS mode, while the normalized propagation constants, which are in the region of
/ k0 > r1 r1 > r 2 r 2 correspond to the SP mode. The characteristic equations
for the OS and SP modes are identical to those for a circular dielectric rod
waveguide (Chapter 2) and plasma column waveguide (Chapter 3), respectively.
Refer to Appendix B. A similar situation can be found in conventional cladded
fibers that have core and cladding modes [49]. Figure 4.10 shows the region of the
OS and SP modes.
For clarification, the characteristic equations for each mode of a metamaterial
column are repeated. The general characteristic equation for the OS mode of a
metamaterial column is given as follows:
r1 J m (k1a) r 2 K m (k2 a ) r1 J m (k1 a) r 2 K m (k 2 a) m 1

1
+
+
2 + 2
=
k1 J m (k1a) k2 K m (k 2 a ) k1 J m (k1a ) k2 K m (k 2 a) k0 a k1 k2
103
(4.1)
Guided mode
(Slow wave)
0
r2 r2 (=1)
r1 r1
Ordinary
Surface
Surface Mode Plasmon Mode
Figure 4.10: Regions of surface plasmon (SP) and ordinary surface (OS) modes. When the
normalized propagation constants are in the regions
r 2 r 2 < / k0 < r1 r1 and
/ k0 > r1 r1 , the guided modes correspond to the OS and SP modes, respectively. Below
the OS mode, the propagation constants become complex, which represents the leaky mode.
Descriptions of the variables are omitted here. For the circularly symmetric modes,
i.e., m = 0 , the left-hand side of the general expression (4.1) can be split into the
following characteristic equations for the TM0n and TE0n modes, respectively:
r1 J1 (k1a)
k1 J 0 (k1a)
r1 J1 (k1a)
k1 J 0 (k1a)
+
+
r 2 K1 (k2 a )
k2 K 0 (k2 a)
r 2 K1 (k2 a )
k2 K 0 (k2 a )
=0
(4.2 a)
=0
(4.2 b)
For the hybrid modes, i.e., m 1 , the characteristic equation in (4.1) can be
rewritten as follows using an empirical induction procedure:
r 2 r 2 Q
+

r1 r1 2
r 2 r 2 Q
R
P=0
2
r1
r1 r1
r1
(4.3)
where the variables P, Q, and R are given as follows, respectively:
P=
1 J m 1 (k1 a) m
k1a J m (k1a ) k1a
(4.4 a)
Q=
1 K m 1 ( k2 a ) m
+
k2 a K m ( k2 a ) k2 a
(4.4 b)
104
R=
m2 2 1
1
+
a 4 k12 k22
(4.4 c)
The transverse propagation constants for the OS mode are given as follows:
k1 = k0 r1 r1 2
(4.5 a)
k 2 = k0 2 r 2 r 2
(4.5 b)
Meanwhile, the general characteristic equation for the SP mode of a metamaterial

column waveguide is given as follows:

1
2 2
=
(4.6)
As for the previous OS mode, the SP mode characteristic equations for the TM0n
and TE0n modes are given as follows, respectively:
r1 I1 (k1a )
k1 I 0 (k1a)
r1 I1 (k1a )
k1 I 0 (k1a)
+
+
r 2 K1 (k2 a)
k2 K 0 (k2 a)
=0
(4.7 a)
=0
(4.7 b)
r 2 K1 (k2 a)
k2 K 0 (k2 a)
The characteristic equation for the SP mode of the hybrid mode ( m 1 ) is as

follows:
r 2 r 2 Q
+

r1 r1 2
R
r 2 r 2 Q
P=0
+
r1 r1 2 r1 r1
(4.8)
where the variables of P, Q, and R are expressed as follows, respectively:
P=
1 I m 1 ( k1a ) m
k1a I m ( k1a ) k1a
Q=
(4.9 a)
1 K m 1 ( k 2 a ) m
+
k2 a K m ( k2 a ) k2 a
(4.9 b)
105
R = m2
2 1
a 4 k12
k 22
(4.9 c)
The transverse propagation constants for the SP mode are given as follows:
k1 = k0 2 r1 r1
(4.10 a)
k 2 = k0 2 r 2 r 2
(4.10 b)
4.3.1. Frequency Independent Metamaterials

As a first analysis of the guided electromagnetic wave propagation along a
metamaterial column waveguide, a simple metamaterial column with a
simultaneous negative permittivity and permeability is considered, as in the
previous analysis by H. Cory et al. [45]. The material constants are assumed to be
frequency independent as well as homogeneous, isotropic, and lossless.
Figure 4.11 shows the dispersion characteristics of the metamaterial column with a
frequency independent metamaterial column for circularly symmetric modes, i.e.,
the TM0n and TE0n modes. The dielectric constant (relative permittivity) and
magnetic constant (relative permeability) were assumed to be r1 = 4.0 and
r1 = 1.0 , respectively. For comparison, a circular dielectric rod waveguide with
dielectric and magnetic constants of r1 = +4.0 and r1 = +1.0 , respectively, was
used. The absolute values of both materials were set to be identical. The radii of the
columns were assumed to be 10.0 mm, which was arbitrarily chosen.
The three lower-order TM0n modes are shown in Figure 4.11 (a). The normalized
propagation constants of the guided modes for the conventional dielectric rod
waveguide increased as the frequency increased from certain guided mode cutoff
frequencies, which were 6.63, 15.22, and 23.85 GHz for the TM01, TM02, and TM03
modes, respectively. At these cutoff frequencies, the normalized propagation
constants of the metamaterial column were also unity. In other words, the
normalized propagation constants of the RHM (Right-Handed Material) and LHM
(Left-Handed Material) columns with the same absolute values (RHM: r1 = +4.0
and r1 = +1.0 , LHM: r1 = 4.0 and r1 = 1.0 ) met each other, as shown in
Figure 4.11 (a). However, just below the cutoff frequency, there were discrete
guided mode solutions for the LHM case, whereas the RHM column (conventional
dielectric rod waveguide) did not have any satisfactory solutions. For the principal
mode ( n = 1 ) of the LHM column, the normalized propagation constant increased
as the frequency decreased, indicating backward wave propagation [46], as a
106
negative slope in a dispersion curve is clear evidence of backward waves.

Backward wave propagation was also briefly mentioned in Section 3.2 for the
plasma column. A more comprehensive analysis of backward waves in a
metamaterial column is beyond the scope of this study, yet can be pursued in other
literature, for example, reference [50].
Below a certain frequency, the normalized propagation constants had a value
exceeding r1 r1 ( = 2.0 ) , exhibiting a superslow wave [47]. For the TM0n higher
order modes (TM02, TM03, ), there was a critical frequency point from which two
branches of the normalized propagation constants were drawn. These critical
frequencies of the bifurcations were 13.488 GHz and 22.546 GHz for the TM02 and
TM03 modes, respectively. Therefore, from the bifurcation frequency to the guided
mode cutoff frequency, i.e., 13.488 to 15.22 GHz for the TM02 mode and 22.546 to
23.85 GHz for the TM03 mode, two guided modes coexisted in a single order of n,
as the two guided modes were orthogonal [46]. As the frequency became higher
beyond the guided mode cutoff, the normalized propagation constants of the
higher TM0n guided modes for the LHM column increased monotonically, yet did
not cross each other, even with the RHM solutions. In the case of the TE0n mode,
as shown in Figure 4.11 (b), the principal mode was also twofold, as for the higher
order modes of the previous TM0n modes. The superslow wave of the TE01 mode
was a forward wave type due to the positive slope of the normalized propagation
constant with respect to the frequency, whereas it was a backward wave type for
the TM01 mode, as mentioned previously. The higher order modes of the TE0n mode
had the same properties as the TM0n mode.
When examining the characteristic equations for the TE0n and TM0n modes in (4.2)
and (4.7), respectively, the characteristic equations are identical, except for the
material constants. In other words, the characteristic equation for the TM0n modes
can be obtained by simply exchanging r1 with r1 in the TE0n mode
characteristic equation. This means that the dispersion characteristics of the TM0n
modes with r1 = 4.0 and r1 = 1.0 are identical to those of the TE0n modes
with r1 = 4.0 and r1 = 1.0 based on employing the same principle as in
Chapter 3, where it was mentioned that the guided and leaky mode characteristics
of an imaginary magnetic rod waveguide could be easily guessed by exchanging
the material constants from the plasma column waveguides.
Figure 4.12 shows the rescaled dispersion curves for the TE01 mode in Figure 4.11
(b) for the drawing field distribution and points of interest listed in Table 4.1.
Between the bifurcated frequency of the TE01 mode (6.263 GHz) and the guided
mode cutoff frequency (6.629 GHz), there were two discrete eigenvalue solutions
satisfying the characteristic equation.
107
1.3
(a)
1.2
1.1
/ k0
1.0
0
10
10
20
30
20
30
40
50
1.3
(b)
1.2
1.1
/ k0
1.0
0
10
10
20
30
20
40
30
50
Frequency (GHz)
Figure 4.11: Guided mode dispersion characteristics of circularly symmetric modes ( m = 0 ):
(a) TM0n mode and (b) TE0n mode. The dotted lines are for the conventional circular
dielectric rod waveguide for comparison. The dashed and solid lines represent the backward
and forward waves in the case of the metamaterial column waveguide. The cutoff
frequencies are 6.63, 15.22, and 23.85 GHz for n = 1 , 2, and 3, respectively. The principal
mode ( n = 1 ) has a superslow wave region where the normalized propagation constant
exceeds the r1 r1 = 2.0 line.
108
2.2
2.0
/ k0
1.8
1.6
1.4
d
c
1.2
1.0
6.2
b
6.3
6.4
6.5
6.6
Frequency (GHz)
6.7
-0.02
-0.02
0.02
0.02
-0.02
-0.02
0.02
0.02
-0.02
-0.02
0
0.02
0
0.02
Figure 4.12: Spatial field distribution of TE01 guided modes. The radial magnetic field
components are shown. The rescaled dispersion curves of Figure 4.11 (b) are shown above,
and a, b, , f are the points of interest.
109
Table 4.1: Points of interests in Figure 4.12.

Point
Frequency (GHz)
= / k0
6.570
1.00972
6.400
1.09109
6.263
1.39123
6.263
1.40258
6.400
1.78993
6.570
1.99088
Next, the effects of more various material constants, other than the case in Figure
4.11, that are also frequency independent are considered. The characteristics of the
higher order modes are not shown, as these are nearly the same as the previous
case. Figure 4.13 shows the dispersion characteristics of the TE01 modes with
several values for the dielectric and magnetic constants. The dispersion properties
of the metamaterial column for the hybrid modes ( n = 2,3, 4, ) were not much
different from those for the circularly symmetric modes, although not shown here.
The product of r1 r1 = 4.0 was maintained. For example, if the dielectric constant
of the metamaterial was r1 = 8.0 , the magnetic constant was r1 = 0.5 . Also,
identical material constants did not shift the guided mode cutoff frequency of the
magnetodielectric ( r1 > 0 and r1 > 0 , especially r1 1.0 ) counterpart. Such
metamaterials with freely chosen material constants would be available based on
the concept in [51]. When the dielectric constant of the metamaterial was lower
than 4.0, i.e., the magnetic constants were greater than the unity, implying the
existence of backward waves in the superslow wave region.
Figure 4.14 shows the guided dispersion characteristics of the metamaterial
column for the EH1n mode. Similar to the case in Figure 4.13, the product value of
4.0 was kept invariant through the calculations. Extraordinary coupling
phenomena between the principal ( n = 1 ) and the next ( n = 2 ) modes were
observed in Figure 4.14. EH11 and EH12 mode coupling has already been reported
in tapered fibers with a nonconventional index profile [52]. When the dielectric
constant (absolute value) was the same or higher than 4.0, the principal mode
( n = 1 ) did not exist. Conversely, when the dielectric constant was less than 4.0, in
other words, when the magnetic constant was higher than unity, the principal
mode existed. Meanwhile, if the dielectric constant took a value less than -2.82, the
EH1n modes with n = 1 and n = 2 merged together resulting in mode coupling.
Unusual guided mode coupling was also observed in the case of the EH2n mode, as
shown in Figure 4.15. When the dielectric constant was lower than -3.84, mode
coupling occurred between the EH21 and EH22 modes.
110
10
8
-3.6
-3.9
-3.2
/ k0
-3.8
-2.0
-4.0
-1.0
-8.0
-0.5
5 6.63
10
15
20
Frequency (GHz)
waveguide for TE01 mode with varied material constants. The product of the dielectric and
magnetic constants was kept invariant at 4.0, i.e., r1 r1 = 4.0 . The numbers in the figure
represent the dielectric constants. The magnetic constants for each case are given as
r1 = 4.0 / r1 .
111
10
-3.6
8
-3.2
/ k0
-3.9
-2.82
-4
2.8
-5
-8
-3.6
-3.9
-2.6 2.0
Frequency (GHz)
12
15

waveguide for EH11 and EH12 modes with various material constants. The product of the
dielectric and magnetic constants was kept invariant at 4.0, i.e., r1 r1 = 4.0 . The numbers in
the figure represent the dielectric constants. The magnetic constants for each case are given
as r1 = 4.0 / r1 .
112
10
-3.7
/ k0
-3.84
-3.9
-3.845
-3.4
-4.0
1.4
1.3
-3.84
1.2
-3.9
-3.845
1.1
3
12
Frequency (GHz) 1
3.0
-3.845
15
3.3
3.6
-3.84
3.9
4.2
4.5

waveguide for EH21 and EH22 modes with various material constants. The product of the
dielectric and magnetic constants was kept invariant at 4.0, i.e., r1 r1 = 4.0 . The numbers in
the figure represent the dielectric constants. The magnetic constants for each case are given
as r1 = 4.0 / r1 .
113
4.3.2. Dispersive Metamaterials: Identical Plasmonic Model

The previous subsection presented an analysis of the guided mode of a DNG
metamaterial column with constant material constants. At present, however, the
negative values of the material constants of the DNG metamaterial are generally
believed to be dispersive with respect to the operating frequency. Thus, the
following three subsections consider the DNG metamaterial as a dispersive
magneto-dielectric medium with dispersive material constants with respect to the
frequency. As the first dispersive material model, this subsection considers a
double identical plasmonic model, where the dielectric and magnetic constants
have the same plasmonic form [53]. Since the material constants of metamaterials
are believed to be artificially controllable, identical dispersive forms of both
material constants are available. As such, the identical plasmonic model of the
material constants is given as follows:
kpa
k0 a
r1 = r1 = 1
(4.11)
where k0 a and k p a are the normalized frequency and normalized plasma

frequency of the metamaterials considered. Here, the normalized plasma
frequencies of 0.5, 1.0, and 1.5 are considered, respectively. Figure 4.16 shows the
dielectric and magnetic constants, as expressed in (4.11).
1.5
1.0
kpa = 0.5
kpa = 1.0
0.5
0.0
kpa = 1.5
-0.5
-1.0
-1.5
0.0
0.5
1.0
k0a
1.5
2.0
Figure 4.16: Dielectric and magnetic constants of dispersive material following expression in
(4.11). Note that the dielectric and magnetic constants are identical.
114
Figures 4.17, 4.18, and 4.19 show the dispersion curves corresponding to the cases
of m = 0, 1, and 2 , respectively, with several normalized plasma frequencies,
i.e., k p a = 0.5, 1.0 and 1.5 [54]. The dotted and dashed lines
r1 r1 are the
boundary between the OS and SP modes, i.e., the lower left half
( r 2 r 2 < 2 < r1 r1 ) and upper right half ( 2 > r1 r1 ) regions correspond to the
OS and SP mode regions, respectively. Meanwhile, the solid and dashed lines
represent the forward and backward propagating modes, respectively. Backward
propagation is known to be the anti-parallel situation of the phase and group
velocities occurring from the negative values of the material constants. Certain
high-frequency limits were also found to exist, i.e., k0 a = k p a / 2 , which are
generally observed in circular wave guiding geometries containing dispersive
material constants, and are represented by vertical dotted lines. The curve
approaches to the high-frequency cutoff were very similar in shape to those for the
plasma column, therefore, this mode was also called the principal mode. Yet, as the
normalized frequency decreased, multiple modes were continuously generated,
whereas in the case of the plasma column, there was only a single mode for each m.
When m = 0 , the dispersion relation split into characteristic equations for the TM0n
and TE0n modes, respectively. However, the two characteristic equations were the
same, as the material constants were assumed to be identical in (4.11). As such,
when the two material constants were assumed to be different, the dispersion
curves were separated, as shown in the next section. For the hybrid modes ( m 1 ),
there were two possible modes, the HEmn (TM-like) and EHmn (TE-like) modes.
Since the TM0n and HEmn modes also existed in the plasma column ( - negative
medium), according to the duality principle, in the case of a single negative (SNG)
material column, TM0n and HEmn modes were anticipated for the - negative
medium and TE0n and EHmn modes for the - negative medium.
10
TM0n/TE0n
kpa=1.0
/ k0
/ k0
kpa=0.5
1
10
100.1
10
TM0n/TE0n
/ k0
10
0.3
0.4
100.1
TM0n/TE0n
kpa=1.5
10
10
0.2
k0a
0.3
k0a
0.5 0.7
100.1
0.4
k0a
0.7 1
Figure 4.17: Dispersion curve for TM0n/TE0n mode of plasma column with various
normalized plasma frequencies. The dotted and dashed line indicates the border of the SP
mode and OS mode, while the vertical dotted line depicts the high frequency cutoff
( k p a / 2 ) of the principal mode.
115
/ k0
10
0.2
k0a
0.3
0.4
10
HE1n
kpa=0.5
1
100.1
0.3
k0a
0.5 0.7
0.3
0.4
0.4
k0a
0.7 1
100.1
100.1
10
HE1n
kpa=1.0
10
0.2
k0a
10
100.1
10
EH1n
kpa=1.5
/ k0
10
EH1n
kpa=1.0
/ k0
100.1
10
10
EH1n
kpa=0.5
/ k0
10
/ k0
/ k0
10
HE1n
kpa=1.5
10
0.3
k0a
0.5 0.7
100.1
0.4
k0a
0.7 1
Figure 4.18: Dispersion curve for HE1n/EH1n mode of metamaterial column waveguide when
using identical plasmonic model with several normalized plasma frequencies.
/ k0
10
100.1
10
0.2
k0a
0.3
0.4
0.3
k0a
0.5 0.7
0.3
0.4
100.1
0.4
k0a
0.7 1
100.1
10
HE2n
kpa=1.0
10
0.2
k0a
EH2n
kpa=1.5
10
10
HE2n
kpa=0.5
10
100.1
10
EH2n
kpa=1.0
100.1
/ k0
/ k0
10
/ k0
/ k0
10
EH2n
kpa=0.5
/ k0
10
HE2n
kpa=1.5
10
0.3
k0a
0.5 0.7
100.1
0.4
k0a
0.7 1
Figure 4.19: Dispersion curve for HE2n/EH2n mode of metamaterial column waveguide when
using identical plasmonic model with several normalized plasma frequencies.
116
For the principal mode, the normalized propagation constants of the circularly
symmetric modes, i.e., the TM0n and TE0n modes, and EHmn mode crossed the
boundary between the OS and SP modes, however, those of the HEmn mode did not
cross the boundary.
When m = 0 and m = 1 , the plasma column did not exhibit low-frequency cutoff,
however, the DNG metamaterial column did, indicating the existence of a leaky
mode below the cutoff frequency. Therefore, this dispersion property would enable
the principal mode to be the single mode within the limited range of the
normalized frequency with both a low- and high- frequency cutoff, which could be
used in band pass filters. In addition, for the SP mode in this region, particularly
near the high-frequency cutoff, the phase velocity of the mode was extremely slow,
which could be useful for simple optical devices with enhanced wave-matter
interactions. Finally, a bandgap-like forbidden region for the guided modes
between the principal mode region and the multiple mode regions was also
observed, which was not seen with the plasma column.
4.3.3. Dispersive Metamaterials: Dissimilar Plasmonic Model
The previous subsection dealt with the guided modes of a metamaterial column
where the dielectric and magnetic constants had an identical plasmonic form. As
such, this subsection assumes slightly dissimilar normalized plasma frequencies
for the material constants. Consequently, the normalized plasma frequencies are
expected to have an effect on each guided mode. The dissimilar plasmonic model
for the dielectric and magnetic constants is given as follows, respectively:
k pe a
k0 a
r1 = 1
k pm a
k0 a
(4.12 a)
2
r1 = 1
(4.12 b)
where k pe a and k pm a are the normalized electric and magnetic plasma

frequencies of the metamaterial, respectively, and assumed to be k pe a = 2.34 and
k pm a = 1.98 , respectively, based on the values of Haltermann [48]. The dielectric
and magnetic constants of the metamaterial in (4.12) are shown in Figure 4.20. As
in the previous case of the identical plasmonic model, the dielectric constants were
positive above k pe a = 2.34 and negative below k pe a = 2.34 , while the magnetic
constants were positive above k pm a = 1.98 and negative below k pm a = 1.98 . The
negative values crossing the normalized frequencies for the dielectric and magnetic
constants were k0 a = 1.65 and k0 a = 1.40 , respectively, which were obtained using
k pe a / 2 and k pm a / 2 , respectively.
117
1.5
(a)
1.0
0.5
0.0
-0.5
-1.0
-1.5
10
k0a
15
20
1.0
(b)
0.5
1.98
0.0
-0.5
2.34
1.40
-1.0
-1.5
1.0
1.65
1.5
2.0
2.5
3.0
k0a
Figure 4.20: Dielectric and magnetic constants of metamaterial in (4.12) based on reference
[48]. The normalized electric and magnetic constants of the metamaterial were assumed to
be k pe a = 2.34 and k pm a = 1.98 . (a) Normalized frequency span from 0.0 to 20.0
and (b) normalized frequency span from 1.0 to 3.0.
118
Figure 4.21 shows the dispersion characteristics of the TM-like mode. In the case of
the TM0n mode, the principal mode had low and high-frequency cutoffs at
k0 a = 1.189 and k0 a = 1.655 , respectively. Whereas, in the case of the plasma
column, the TM01 mode had no guided mode low-frequency cutoff and there were
no higher order modes, such as the TM02 and TM03 mode. The high-frequency
cutoff frequency k0 a = 1.655 corresponded to ( k0 a )hfc = 2.34 / 2 above which the
absolute value for the dielectric constant of the metamaterial was less than unity.
Only the TM01 mode was captured in the SP mode region, i.e., / k0 r1 r1 . The
solutions for the TM02 and TM03 modes were all in the OS mode region, i.e.,
r 2 r 2 ( = 1.0 ) / k0 r1 r1 .
In the HE1n mode dispersion, the principal mode also had a high-frequency cutoff
at k0 a = 1.655 . Since the low-frequency cutoff for the HE11 mode was at
k0 a = 1.513 and r1 r1 = 1.0 at k0 a = 1.511 , the guided mode of the HE11 mode
was only in the SP mode region. For 1.513 k0 a 1.516 , the guided mode solutions
were three-fold, where all were orthogonal and one was a backward wave. For
1.511 k0 a 1.516 , the absolute value for the refractive index of the column was
lower than that of the surrounding free space.
Figure 4.22 shows the dispersion characteristics of the TE-like mode. A similar
analysis of the TM-like mode was also directly applied to the TE-like mode case.
The high-frequency cutoffs occurred at k0 a = 1.400 for the principal modes.
119
/ k0
10
10
1.655
10
0.0
0.5
10
1.0
k0a
1.5
2.0
1.8
1.6
/ k0
1.4
1.2
1
10
1.0
1.50
1.51
1.52
1.655
0
10
0.0
0.5
1.0
k0a
1.5
2.0
Figure 4.21: TM-like dispersion curves for three lowest guided modes when using dissimilar
plasmonic model in (4.12): (a) TM0n mode and (b) HE1n mode.
120
/ k0
10
10
1.400
10
0.0
0.5
/ k0
10
1.0
k0a
1.5
2.0
10
1.400
0
10
0.0
0.5
1.0
k0a
1.5
2.0
Figure 4.22: TE-like dispersion curves for three lowest guided modes when using dissimilar
plasmonic model in (4.12): (a) TE0n mode and (b) EH1n mode.
121
4.3.4. Dispersive Metamaterials: Pendrys Model

As the final method of analyzing the guided mode characteristics of metamaterial
column waveguides, the most popular dispersive material model is used, as
proposed by Professor John B. Pendry from Imperial College and experimentally
verified by the UCSD group. (Refer to subsection 4.1.1.) This model has already
been used by many researchers to investigate metamaterial physics and novel
devices adopting metamaterials [55]. With this model, the frequency and material
constants are applied independently, whereas in the two previous models, the
material constants were expressed in terms of the normalized frequency and the
normalized plasma frequency, including the column radius a.
Pendrys dispersive model of the dielectric and magnetic constants of a
metamaterial are expressed as follows:
r1 = 1
2p
2
(4.13 a)
r1 = 1
F 2
2 02
(4.13 b)
where F is the filling factor, and p and 0 are the plasma and resonant
frequency of the metamaterial structures. It was assumed that p / 2 = 10 GHz ,
0 / 2 = 4 GHz , and F = 0.56 . The dielectric and magnetic constants in (4.13) are
shown in Figure 4.23. The polarities of the dielectric constants were divided at 10
GHz: i.e. they were positive above 10 GHz, and negative below 10 GHz. In
addition, the dielectric and magnetic constants approached 1.0 and 0.44,
respectively, as the frequency increased, which was easily predicted from (4.13). As
the frequency decreased, the magnetic constants also decreased to a resonant
frequency of 4 GHz. Below 4 GHz, the magnetic constant took a positive value
exceeding unity. With these parameters, a double negative (simultaneously r1 < 0
and r1 < 0 ) spectral region was found from approximately 4 to 6 GHz, as shown
by the shaded region in Figure 4.23 (b). From 6 to 10 GHz, the dielectric constant
was negative, yet the magnetic constant was positive, exhibiting a single negative
(SNG) spectral region, especially an negative (ENG) region1). Above 10 GHz,
the dielectric and magnetic constants were both positive, yet less than unity.
1)
DNG (Double NeGative)

SNG (Single NeGative)
ENG (Epsilon NeGative)
MNG (Mu NeGative)
122
r
1
0.44
-1
-2
20
40
60
Frequency (GHz)
80
100
r
1
0.44
r
-1
-2
Frequency (GHz)
10
12
Figure 4.23: Dielectric and magnetic constants of metamaterial: (a) Material constants from 0
to 100 GHz and (b) same material constant span from 0 to 12 GHz. As the frequency
increases, the dielectric and magnetic constants approach 1.0 and 0.44, respectively. The
dielectric and magnetic constants are simultaneously negative in the shaded region, i.e.,
from 4 to 6 GHz. From 6 to 10 GHz, the dielectric constants are negative, yet the magnetic
constants are positive. Above 10 GHz, both material constants are positive, yet below unity,
which is similar to the properties of artificial dielectrics.
123
Figure 4.24 shows the TM-like guided mode dispersion characteristics of a

metamaterial column waveguide when using Pendrys model in (4.13). The
principal mode of the TM0n mode, i.e., the TM01 mode, had a low- and highfrequency cutoff at 4.455 GHz and 7.071 GHz, respectively. As mentioned before,
above 6.03 GHz, the dielectric constant was negative, yet the magnetic constant
was positive, corresponding to the ENG region. The border between the DNG and
ENG regions is represented in Figure 4.24 (a). However, the dispersion curve for
the principal mode continued seamlessly at the border. The high-frequency cutoff
was at 7.071 GHz, corresponding to ( p / 2 ) / 2 , which also corresponded to the
negative unity crossing frequency point in Figure 4.23 (b) represented by A.
Discrete solutions of the principal modes were captured in both the SP and OS
modes. Higher order modes were also found to exist at lower frequencies and all
the higher order guided mode solutions were in the OS mode region.
Figure 4.24 (b) shows the guided mode dispersion characteristics of the HE1n mode.
The guided mode solution for the HE11 mode was only captured in the region of
the SP mode, i.e., / k0 > r1 r1 . The guided mode solution for the HE11 mode
was abruptly terminated at 6.03 GHz. The guided mode low-frequency cutoff for
the HE11 mode occurred at 5.23 GHz. From the cutoff frequency to the terminated
frequency, i.e., 5.23 GHz to 6.03 GHz, the value of the product r1 r1 was within
0.010 < r1 r1 < 0.963 . In other words, the guided mode (here, the SP mode) of the
metamaterial column waveguide only existed when the absolute value for the
refractive index of the core was less than that of the surrounding medium
( n2 = r 2 r 2 = 1.0 ), which is evidence of a total external reflection (TER) [16],
which cannot be observed in conventional situations. Above 6.03 GHz, i.e., in the
ENG region, there was no guided mode solution for the HE11 mode. The guided
mode solutions for the HE2n mode are shown in Figure 4.24 (c). The principal mode
of the HE2n mode, i.e., the HE21 mode, was absent with the material constants in
(4.13).
Figure 4.25 shows the TE-like guided mode dispersion characteristics of the
metamaterial column waveguide when adopting Pendrys model. The highfrequency cutoff was 4.714 GHz, corresponding to the negative unity crossing
frequency in Figure 4.23 (b) represented by B. Figures 4.25 (a), (b), and (c)
correspond to the TE0n, EH1n, and EH2n modes, respectively. All the guided mode
solutions for the TE-like modes were captured in the DNG region. The principal
modes ( n = 1 ) for each azimuthal eigenvalue ( m ) were captured in both the SP and
OS modes. The higher order azimuthal eigenvalues provided large portions of the
backward wave region, as expressed by the dashed lines in both the principal and
higher order modes.
124
/ k0
10
10
10
4.0
/ k0
10
4.5
5.0
5.5
6.0
6.5
7.0
7.5
10
6.03GHz
10
4.0
/ k0
10
4.5
5.0
5.5
6.0
6.5
7.0
7.5
4.5
5.0
5.5
6.0
6.5
7.0
7.5
10
10
4.0
Frequency (GHz)
Figure 4.24: Guided dispersion characteristics of metamaterial column for TM-like modes
when using Pendrys model: (a) TM0n mode, (b) HE1n mode, and (c) HE2n mode.
125
10
/ k0
(a)
10
4.714
10
4.0
2
10
4.2
4.4
4.6
4.8
/ k0
(b)
10
4.714
10
4.0
2
10
4.2
4.4
4.6
4.8
/ k0
(c)
10
4.714
10
4.0
4.2
4.4
4.6
4.8
Frequency (GHz)
Figure 4.25: Guided dispersion characteristics of metamaterial column for TE-like modes
when using Pendrys model: (a) TE0n mode, (b) EH1n mode, and (c) EH2n mode.
126
4.4. Leaky Mode Characteristics of Metamaterial Column Waveguides

The previous sections already investigated the guided mode dispersion
characteristics of metamaterial column waveguides using specific numerical
examples and four kinds of material model: (1) simultaneously double negative
(DNG) material constants, (2) plasmonic model with the same material constants
for the permittivity and permeability, (3) plasmonic model with dissimilar material
constants, and (4) Pendrys model.
Therefore, this section investigates the leaky mode characteristics of metamaterial
column waveguides using several material models to describe the material
behavior.
The characteristic equations used to calculate the complex propagation constants of
the metamaterial column waveguide are the same as used in the case of the circular
dielectric rod in Chapter 2 and plasma column in Chapter 3, where the general
complex characteristic equation for the finite circular core and infinite cladding
system can be derived as follows: Refer to Appendix B and Section 2.4. Details
about the variables are omitted here.
2

1
2 2 (4.14)
=
( 2)
(2)
The characteristic equations of the leaky TM0n and TE0n modes can be respectively
derived by substituting the azimuthal eigen value of m = 0 into (4.14).
r1 J1 (k1a)
k1 J 0 (k1a)
r1 J1 (k1a)
k1 J 0 (k1a)
r 2 H1(2) (k2 a)
r 2 H1(2) (k2 a)
k2 H 0(2) (k2 a )
k2 H 0(2) (k2 a )
=0
(4.15 a)
=0
(4.15 b)
The characteristic equation for the hybrid modes ( m 1 ) is as follows:

r 2 r 2 Q
+

r1 r1 2
r 2 r 2 Q
R
P=0
+
r1 r1 2 r1 r1
where the variables P, Q, and R are defined as follows, respectively.
127
(4.16)
P=
1 J m 1 (k1 a) m
k1a J m (k1a ) k1a
(4.17 a)
Q=
1 H m(2)1 (k2 a ) m
k2 a H m(2) (k2 a ) k2 a
(4.17 b)
R = m2
2 1
a 4 k12
k22
(4.17 c)
where the signs in (4.16) represent the HEmn and the EHmn modes, respectively,
although this depends on the situation. The complex transverse propagation
constants are given as follows:
k1 = k0 r1 r1 2
k 2 = k0 r 2 r 2
(4.18 a)
2
(4.18 b)
where ( = j ) is the normalized complex axial propagation constant.

Davidenkos method is also used to obtain the complex propagation constants from
the complex characteristic equation in (4.15). For simplicity, only the circularly
symmetric modes ( m = 0 ) are considered and the results are presented in the
following three subsections.
4.4.1. Frequency Independent Metamaterials
Figure 4.26 shows the TM0n leaky mode characteristics of the metamaterial column
waveguide when r1 = 4.0 and r1 = 1.0 . For comparison, the leaky mode
characteristics of a conventional circular dielectric rod waveguide when r1 = +4.0
and r1 = +1.0 are shown in Figure 4.27. In Figures 4.26 and 4.27, the dotted,
dashed, and solid lines represent the real, proper complex, and improper complex
solutions, respectively. The real solutions (here, the guided mode solutions) in the
slow wave region ( / k0 > 1 ) and improper complex solutions (here, the forward
leaky modes) in the fast wave region ( / k0 < 1 ) were physically meaningful.
Otherwise, the solutions were physically meaningless.
As previously mentioned, the guided modes of the metamaterial column were
cutoff at 6.63 GHz, 15.22 GHz, and 23.86 GHz for the TM01, TM02, and TM03 modes,
respectively. In the case of the circular dielectric rod waveguide, the leaky modes
began from the guided mode cutoffs and existed at lower frequencies. However,
for the metamaterial column, the leaky modes initiated from the guided mode
128
cutoffs and existed at higher frequencies. While the physically meaningful leaky
TM0n mode regions (here, only the second antenna mode) of the circular dielectric
rod waveguide ranged from 2.30 to 6.63 GHz (4.33 GHz in width), 13.51 to 15.22
GHz (1.71 GHz), and 22.80 to 23.86 GHz (1.06 GHz in width) for the TM01 and TM02
and TM03 modes, respectively, the metamaterial counterpart regions had much
narrower ranges from 6.63 to 8.10 GHz (1.47 GHz in width), 15.22 to 16.18 GHz
(0.96 GHz in width), 23.86 to 24.53 GHz (0.67 GHz), respectively, with a decreasing
tendency with respect to the order of the modes ( n = 1, 2,3, ). Above the higher
frequency of the physically meaningful TM0n leaky mode regions for the
metamaterial case, the normalized phase constants exceeded unity and the
solutions lost their physical meaning, while the normalized leakage constants
increased to maximum values and decreased down to very small values as the
frequency increased.
Just below the bifurcated frequency points, i.e., 13.488 GHz and 22.546 GHz for the
TM02 and TM03 modes, respectively, other branches of the discrete mode solutions
were generated, however, the solutions were proper complex and did not have a
physical meaning.
129
1.01
1.00
3.0
B
D
F
G
I
K
M
N
P
R
T
U
2.5
0.99
0
10
20
30
/ k0
2.0
1.5
1.0
0.5
0.0
2
10
10
20
30
40
Frequency (GHz)
10
10
B
D
F
H
J
-1
/ k0
10
-2
10
-3
10
-4
10
-5
10
10
20
Frequency (GHz)
30
40
Figure 4.26: Normalized phase and leakage constants of metamaterial column for TM0n
mode. The column radius a = 10.0 mm and the materials constants are r1 = 4.0 and
r1 = 1.0 .
130
1.04
1.02
1.00
0.98
3.0
0.96
2.5
0.94
0
/ k0
2.0
10
20
30
1.5
1.0
0.5
0.0
20
10
10
20
30
40
20
30
40
Frequency (GHz)
10
/ k0
10
-1
10
-2
10
-3
10
-4
10
10
Frequency (GHz)
Figure 4.27: Normalized phase and leakage constants of conventional dielectric rod
waveguide for TM0n mode, as comparison. The rod radius a = 10.0 mm and the dielectric
and magnetic constants are r1 = +4.0 and r1 = +1.0 .
131
4.4.2. Dispersive Metamaterials: Dissimilar Plasmonic Model

This subsection considers the leaky mode characteristics of metamaterial column
waveguides using the dissimilar plasmonic model described in subsection 4.3.3
and given as follows, plus plots versus the normalized frequency are shown in
Figure 4.20.
k pe a
k0 a
r1 = 1
k pm a
r1 = 1
k0 a
(4.19 a)
2
(4.19 b)
The normalized electric and magnetic plasma frequencies were assumed to be

k pe a = 2.34 and k pm a = 1.98 based on the values of Haltermann [48].
Figure 4.28 shows the real and complex solutions for the TM0n mode of the
metamaterial column waveguide when adopting the dispersive material model in
(4.19). As expected, leaky modes were found to exist below the guided mode
cutoffs. The complex solutions corresponded to improper complex solutions.
Therefore, the complex modes when / k0 < 1.0 were all physical, which were
identified as spectrally very narrow antenna mode regions ( / k0 < 1.0 and
/ k0 > / k0 ). There were also proper nonphysical complex solutions. The
branches started from the bifurcated points of the guided forward and backward
waves, which are encircled in Figure 4.28 (a).
When taking negative values for the above nonphysical and partially physical
complex solutions, this was also found to satisfy the complex characteristic
equations. However, the physical validities were exchanged. In other words, the
negative values of the complex solutions starting from the bifurcated solutions
became improper complex solutions. The improper complex solutions starting
from the guided mode cutoffs were also changed into nonphysical proper complex
solutions through taking negative values.
Figure 4.29 shows the TM0n leaky mode characteristics of the metamaterial column
waveguide when using the dissimilar plasmonic model in (4.19). Chapter 3 also
investigated the leaky mode characteristics similar to the current case. The
normalized phase constants took negative values below k0 a = 2.34 , corresponding
to the normalized electric plasma frequency. Below the normalized electric plasma
frequency, the normalized phase constants decreased to minimal values, then
increased again to the maximum value. The normalized leakage constants also
exhibited maximum values at the lower normalized frequencies.
132
1.10
1.05
1.00
2
10
0.95
0.90
0.85
0.0
0.5
1.0
1.5
/ k0
10
1.655
0
10
-1
10
0.0
0.5
1.0
1.5
2.0
1.0
1.5
2.0
10
/ k0
10
-1
10
-2
10
0.0
0.5
k0a
Figure 4.28: Real and complex solutions for metamaterial column waveguide when using
dissimilar plasmonic model in (4.19).
133
1.0
/ k0
0.5
0.5
0.0
0.0
-0.5
-1.0
-1.0
-1.5
2.34
-0.5
-1.5
0
10
15
20
10
B
D
F
/ k0
10
-1
10
-2
10
10
k0a
15
20
Figure 4.29: Leaky mode characteristics of metamaterial columns when using plasmonic
forms of material constants in (4.19) for TM0n modes: (a) Normalized phase constants and (b)
normalized leakage constants.
134
/ k0
-1
-2
-3
-0.98
-0.99
-1.00
-4
B
D
F
G
-1.01
-1.02
1.05
-5
0.0
1
10
1.10
1.15
1.20
1.25
0.5
1.0
X Axis Title
10
/ k0
1.5
-1
10
-2
10
-3
10
-4
10
0.0
0.5
1.0
1.5
k0a
(a)
Figure 4.30: Negative normalized phase and leakage constants of TM0n mode at lower
frequency. (a) TM01 mode (continued).
135
0
-1
/ k0
-0.90
-2
-0.95
-1.00
-3
-1.05
-4
-1.10
0.60
-5
10.0
10
0.5
k0a
B
D
E
G
I
J
0.65
0.70
1.0
1.5
1.0
1.5
0.75
0.80
/ k0
10
-1
10
B
D
-2
10
-3
10
0.0
0.5
k0a
(b)
Figure 4.30: Negative normalized phase and leakage constants of TM0n mode at lower
frequency: (b) TM02 mode. The bifurcated point is marked by A in (b).
136
1.0
(a)
0.5
/ k0
0.5
0.0
0.0
-0.5
-0.5
-1.0
-1.0
-1.5
-1.5
0
0
1.98
b
a
1
10
15
20
10
(b)
B
D
F
10
/ k0
b
a
-1
10
-2
10
10
15
20
k0a
Figure 4.31: Leaky mode characteristics of metamaterial column when using plasmonic
forms of material constants in (4.19) for TE0n modes: (a) Normalized phase constants and (b)
normalized leakage constants.
137
As a result, the complex propagation constants are transformed into negative real
propagation constants at the bifurcated points of the forward and backward waves,
as shown in Figure 4.30. In particular, the bifurcated points are marked by A in
Figure 4.30 (b). Yet, this was not observed in the leaky mode analysis of the plasma
column waveguide, where the normalized leakage constants monotonically
increased as the normalized frequency decreased for the leaky TM0n modes. Refer
to Figures 3.6 (b), 3.7 (b), and 3.8 (b). Therefore, this would seem to result from the
non-unity magnetic constants of the metamaterial.
Figure 4.31 shows the TE0n leaky mode characteristics. Similar to the previous TM0n
mode case, the normalized phase constants below the normalized magnetic plasma
frequency, i.e., k0 a = 1.98 , were negative.
4.4.3. Dispersive Metamaterials: Pendrys Model
This subsection considers the leaky mode characteristics of a metamaterial column
waveguide when using the dispersive Pendrys model. The guided modes of a
metamaterial column waveguide using Pendrys model were already discussed in
subsection 4.3.4, and the model is written as follows:
r1 = 1
2p
2
(4.20 a)
r1 = 1
F 2
2 02
(4.20 b)
where F is the filling factor, and p and 0 are the plasma and resonant
frequency of the metamaterial structure, respectively. It was assumed that
p / 2 = 10 GHz , 0 / 2 = 4 GHz , and F = 0.56 . Instead of using the normalized
frequency, the frequency was used, and the radius of the metamaterial column was
arbitrarily assumed to be 10.0 mm.
Figure 4.32 shows the leaky mode characteristics of a metamaterial column
waveguide when using the dispersive metamaterials of Pendrys model operated
under the TM0n mode. The normalized phase constants below 10 GHz were
negative. This frequency was the plasma frequency in (4.20). Above 10 GHz, the
normalized phase constants increased to their maximum values, decreased to their
minimum values, then increased again gradually. The values did not exceed
/ k0 = 0.44 , which was the high-frequency limit based on (4.20).
Figure 4.33 shows the leaky TE0n mode characteristics. The normalized phase
constants took negative values below 6 GHz, corresponding to the resonant
frequency in (4.20).
138
1.0
/ k0
(a)
0.5
0.0
0.3
0.0
-0.3
-0.5
a
b
-0.6
-1.0
-0.9
-1.5
-1.2
3
40
20
10 GHz
c
6
60
9
80
12
100
10
(b)
/ k0
10
-1
10
-2
10
-3
10
20
40
60
80
100
Frequency (GHz)
Figure 4.32: Leaky mode characteristics of metamaterial column for TM0n modes when using
Pendrys model governed by (4.20): (a) Normalized phase constants and (b) normalized
leakage constants.
139
1.0
0.5
0.0
/ k0
0.5
0.0
-0.5
-0.5
-1.0
-1.0
-1.5
-1.5
-2.0
-2.0
4
40
0
1
10
20
60
7
80
8
100
60
80
100
/ k0
10
-1
10
-2
10
-3
10
20
40
Frequency (GHz)
Figure 4.33: Leaky mode characteristics of metamaterial column for TE0n modes when using
Pendrys model governed by (4.20): (a) Normalized phase constants and (b) normalized
leakage constants.
140
4.5. Conclusions
Similar to Chapters 2 and 3, this chapter numerically investigated the guided and
leaky mode characteristics of metamaterial column waveguides. In the analysis, the
material constants used for the metamaterial columns were: (1) frequency
independent (double negative and invariant with respect to the frequency or to the
normalized frequency) models, (2) identical and dissimilar plasmonic models, and
(3) Pendrys model.
In the guided mode analysis, the characteristic equations or dispersion relations
were obviously divided into two distinct operating modes, such as the OS and SP
modes. TE-like (TE0n and EHmn) modes were found to exist, along with TM-like
(TM01 and HEmn) modes, although they did not coexist in the case of the SNG
columns, e.g., the plasma columns in Chapter 3. Moreover, higher-order modes
were found to exist, such as TM0n, TE0n, HE1n, EH1n, HE2n, EH2n ( n 2 ), and so on,
which were also not found in the case of the SNG column. The guided mode
characteristics of frequency independent metamaterial column waveguides are
analyzed and compared with those of circular dielectric rod waveguides.
Extraordinary mode coupling phenomena were observed in the hybrid modes for
nonunity simultaneously negative materials constants of the metamaterials under
certain circumstances. Only the principal mode ( n = 1 ) had superslow waves. For
the frequency dispersive models, i.e. the plasmonic and Pendrys models, higher
order modes were successively generated as the frequency decreased, whereas
they were generated as the frequency increased with the frequency independent
model. Backward waves were also found to exist. As such, there were two
simultaneous guided modes (forward and backward type) within a certain
frequency band. For the plasmonic models, the high-frequency cutoff was
determined as the plasma frequency divided by 2 . Superslow wave phenomena
were also observed for the principal modes near the high-frequency guided mode
cutoffs. In the leaky mode analysis, the leaky modes of metamaterial columns were
briefly investigated and compared with those identified in the previous two
chapters. Thus, the role of the plasma frequency and resonant frequency of the
material constants on the leaky mode propagation characteristics was investigated
and several unique leaky mode properties were found.
Although the analysis in this chapter was relatively hypothetical, it is still expected
that the results can be useful in the analysis and design of circular waveguiding
structures with arbitrary material constants distributions. Moreover, it is hoped
that the current findings can offer insights for future guided / leaky mode devices
adopting the concepts of nanooptics, e.g., nanostructured optical antennas and
nano-transmission lines, etc.
141
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152
CHAPTER 5.
Summary, Perspectives, and

Future Work
This thesis theoretically investigated the guided and leaky modes of three
types of circular open electromagnetic waveguide: conventional dielectric,
plasma, and metamaterial columns that are embedded in free space.
Therefore, this chapter summarizes the important results and suggests
several areas for future work.
5.1. Thesis Summary

This thesis analyzed the guided and leaky modal phenomena in circular open
electromagnetic column waveguides composed of dielectric materials, plasma, and
metamaterials. The analyses were based on the complex dispersion characteristics
rigorously obtained using Davidenkos method. The physical validities of the
obtained solutions were also checked on the steepest descent plane (SDP).
In Chapter 2, the circularly symmetric leaky mode characteristics of circular
dielectric rod waveguides were analyzed for both the lossless and lossy case. The
guided modes of conventional circular dielectric rod waveguides were also briefly
reviewed. Below the guided mode cutoff frequency, leaky modes were found with
nonzero values for the leakage constants. In the leaky mode region, there were
nonphysical modes, antenna modes, reactive modes, and spectral gaps, and the
spectral widths were investigated and analyzed for several conditions. The lossy
effects on the propagation characteristics, such as mode coupling and the creation
of a novel transition region between the guided and leaky modes were observed at
certain higher critical values for the loss tangent.
153
In Chapter 3, the leaky mode characteristics of an open plasma column were

investigated for several values of the normalized plasma frequency. As in the case
of the circular dielectric rod, the guided dispersion characteristics of a plasma
column were briefly reviewed using a frequency independent model and
dispersive model. For the guided modes, the TM0n and HEmn modes were found to
exist, yet and the TE0n and EHmn modes did not. Mono modal characteristics, i.e.,
only principal modes for each azimuthal eigen value, were identified with specific
numerical parameters for both cases. The leaky modes of the dispersive plasma
columns existed for the circularly symmetric modes, i.e., TM0n and TE0n modes, and
the hybrid modes. The leaky modes of the dispersive plasma columns were found
to exist throughout the operating frequency range, while the guided modes of the
dispersive plasma columns were limited as regards their frequency range due to
high-frequency cutoffs given by p / 2 . The normalized phase constants of the
TM-like modes could also have negative values below the plasma frequency,
whereas the normalized phase constants of the TE-like modes could not. The
complex normalized propagation constants obtained were also cast onto the
steepest descent plane (SDP) to check the physical validities of the solutions.
In Chapter 4, the guided and leaky mode characteristics of open metamaterial
column waveguiding structures were investigated using specific numerical
examples. The metamaterial models considered were double negative frequency
independent material models, plasmonic models, and Pendrys model. For
simplicity in the analysis, all the models were assumed to be isotropic,
homogeneous, and lossless based on the effective medium approach. The guided
modes of the frequency independent metamterial columns were investigated and
compared with a dielectric counterpart that had material constants equal to the
absolute value of the material constants of the metamaterial. The guided mode
cutoffs were identical for both cases, however, there were some frequency bands in
which forward and backward types of the guided modes coexisted. Using several
variations of the material constants, the behavior of the circularly symmetric
modes was investigated and extraordinary mode coupling phenomena discovered
in the two lower hybrid modes. When using the plasmonic dispersive
metamaterial models, for the guided modes, TE-like modes were found to exist, as
well as TM-like modes. Higher-order modes for each azimuthal eigen value were
successively generated as the operating frequency decreased. High-frequency
cutoffs are also found in both the TM-like and TE-like modes, corresponding to
certain frequencies at which the material constants were negative: r1 = 1.0 for
the TM-like modes and r1 = 1.0 for the TE-like modes. The guided modes for
154
Pendrys metamaterial model were very similar to those with the plasmonic
models. However, this model also found a total external reflection, seamless
continuation of the dispersion curves between the DNG and ENG regions, abrupt
termination of the HE11 mode, and the absence of the HE21 mode under certain
circumstances for the principal mode. The leaky mode characteristics were also
investigated for metamaterial columns. When using the plasmonic dispersive
models and Pendrys model, leaky modes were found to exist throughout the
frequency spectrum, as in the case of the plasma column. For all the leaky modes,
negative values for the normalized phase constants were found below the plasma
frequencies. The leaky mode characteristics of the metamaterial columns were
characterized by investigating the normalized phase and leakage constants.
5.2. Perspectives and Future Work

Based on the current investigation of the guided and leaky mode characteristics of
several circular open waveguiding systems, it is hoped that this thesis will inspire
further work in such areas as: (1) the hybrid leaky modes of conventional circular
dielectric rod waveguides, (2) leaky waves in multiple cladding, curved, and
periodic structures, (3) more on guided and leaky mode classifications for lossy
open waveguides, (4) the visualization of complex leaky fields, and (5) improved
numerical algorithms to find complex roots, or combinations of the
aforementioned.
Hybrid leaky modes of conventional circular dielectric rod waveguides
Chapter 2 investigated the leaky mode characteristics of conventional dielectric rod
waveguides. The leaky modes considered were the circularly symmetric modes, i.e.,
TM0n and TE0n modes, and leaky modes were found to exist below the guided
mode cutoffs. Since waveguides can be operated under hybrid modes, e.g. the HE1n
and EH1n modes etc., the leaky modes of higher hybrid modes need to be
investigated for a complete modal analysis. For conventional dielectric rod
waveguides, all the guided modes have a cutoff frequency, except for the HE11
mode [1]. Melnikov and Romanova already investigated the characteristics of the
leaky modes of the HE1n modes of lossless and lossy optical fibers [2, 3] under
limited conditions. Thus, more general considerations of other hybrid modes need
to be investigated.
155
Leaky waves in multiple cladding, curved, and periodic structures

This thesis focused on the simplest circular open electromagnetic waveguides and
revealed several new physical effects. However, this type of analysis needs to be
extended to circular open waveguides with more complex axial and transverse
boundaries, such as multiple cladding or tube structures [4-9] or periodic circular
structures [10, 11], and it is expected that more novel physical phenomena will be
discovered. Moreover, this study only investigated straight waveguiding structures,
whereas the guided and leaky mode characteristics of bent or curved structures
(See for example, ref. [12, 13]) for circular open electromagnetic waveguides are
still relatively unknown.
More on guided and leaky mode classifications for lossy open waveguides
Chapter 2 briefly considered the leaky mode characteristics of lossy circular
dielectric open cylinders. However, a rigorous analysis of the lossy effects on the
guided and leaky electromagnetic wave problem would be a good challenge [14,
15]. For example, lower normalized leakage constants were obtained for a more
lossy guiding structure in a deep reactive region, however, the physical meaning is
unclear at this time.
Visualization of complex leaky fields
The novel physical phenomena found in this thesis were determined based on the
relationships between the normalized phase and leakage constants,
transformations onto the SDP, and comparison with existing theories and
principles. However, the complex electromagnetic fields could also be plotted
spatially to make their physical meaning or validity more apparent.
Improvement of numerical algorithms to find complex roots
This thesis used Davidenkos method to obtain the complex propagation constants
for the leaky mode analysis. However, although Davidenkos method is a very
good way to find complex roots, it is sometimes inefficient, as the solution of the
characteristic equation, i.e., the propagation constant, is multi-valued with respect
to the operating frequency. Therefore, if the initial search value is set at a relatively
large value compared to the true value, the result will not be correct. In this case,
the correct value can be found by reentering the initial values. Yet, this inefficiency
could be avoided by the development of more convenient and fast algorithms to
find complex roots using other kernel algorithms [16, 17].
156
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158
APPENDIX A.
Flexible Circular Dielectric Waveguide:
Measurement of dielectric and radiation losses for
flexible circular dielectric waveguides in Q-band1)
Ki Young Kim, Heung-Sik Tae and Jeong-Hae Lee*
School of Electronic and Electrical Engineering, Kyungpook National University,

Daegu 702-701, Korea.
*Department of Radio Science and Communication Engineering, Hongik University,
Seoul 121-791, Korea.
Experimental results are presented for the dielectric and radiation losses from
flexible circular PTFE waveguides in the Q-band. The dielectric and radiation
losses from rod and tube waveguides were found to depend strongly on the design
parameters, such as the operating frequency, area of the dielectric region in the
guiding cross sections, and curvature radii of the bending. The dielectric losses
from the straight guides showed a relatively good agreement with the theoretical
results. The radiation losses with a small curvature radius, which cannot be
predicted using current theories, were determined based on the differences
between the measured insertion losses and the dielectric losses. The validity of the
current results was confirmed based on the fractional power flow ratios in each
region of the waveguides.
Key words: flexible waveguide; Q-band; dielectric loss; radiation loss; curvature
radius of bend.
1)
This appendix is a slightly modified version of the paper that appeared in Microwave and Optical
Technology Letters, vol. 35, no. 2, pp. 102-106, October 2002.
159
A.1. Introduction
Various flexible wave-guiding structures have already been extensively studied in
an optical frequency range. However, research on a flexible waveguide in a
millimeter wave frequency, especially on a dielectric flexible waveguide, has
received relatively little attention, even though a lot of research has focused on the
development of low-loss millimeter wave guiding structures using a dielectric
medium [1]. A flexible dielectric guiding structure applicable to a millimeter wave
band has various potential applications, including a homo-dyne phase
measurement system [2] or millimeter wave MMIC testing system [3-4]. A
dielectric rod or tube waveguide is a promising candidate as a low cost flexible
guiding structure in a millimeter wave band, because its loss characteristic is lower
than that of a metal flexible waveguide with corrugation [5], plus the mechanical
properties of some commercial polymer dielectrics, such as polystyrene,
polyethylene, polypropylene, and PTFE [6], are very flexible.
Nonetheless, when a dielectric guide is used as a flexible waveguide, an additional
radiation loss is generated at the bending section. The phase velocity of the guided
waves along the curved section of dielectric waveguides exceeds the velocity of
light at a certain distance from the curvature center. Thereafter, the waves are no
longer guided and begin to radiate their energy into the free space [7]. To
determine the exact radiation loss from a curved dielectric waveguide, the
electromagnetic fields redistributed at the curved section of the guides relative to a
reference straight guide needs to be known in advance. Unfortunately, it is very
difficult to directly describe and analyze the redistributed fields caused by the
bend [8]. It is expected that the redistributed electromagnetic fields at the curved
section depend strongly on the design parameters, such as the operating frequency,
curvature radius of the bend, and structure of the waveguide, including the
dielectric property. However, there is no systematic study on such parameters.
Furthermore, previous results from various flexible dielectric waveguides at
millimeter wave frequencies have been limited to specific cases [9-11]. For example,
the radiation loss was determined in the regime of a large curvature radius. For a
flexible dielectric waveguide to be practically utilized in a millimeter wave circuit
system, the total amount of power radiated from the bent dielectric guiding
structure needs to be systematically investigated with a wide range of design
parameters.
Accordingly, the current paper measured the insertion losses to obtain the
dielectric and radiation losses of circular PTFE waveguides in the Q-band (33 GHz
to 50 GHz) according to variations in certain parameters, such as the frequency and
guiding cross section. In particular, the measurements were performed with large
160
Figure A.1: Geometry of circular dielectric waveguides in cylindrical geometry: (a) rod
waveguide and (b) tube waveguide. r is the radius of the dielectric rod waveguide; r1
and r2 is the inner and outer radii of the dielectric tube waveguide, respectively.
variations of the curvature at the bend. The dielectric and radiation losses are then
qualitatively explained based on the fractional power flows in each region of the
guides.
A.2. Field Expression and Eigenvalue Equation

Figure A.1 shows the geometry of the dielectric waveguides employed in the
current study. The wave propagates along the z-direction. The radius of the rod is r,
whereas the inner and outer radii of the tube are, r1 and r2 , respectively. The
surrounding media in the rod and tube waveguides, including the hollow region
from the origin to r1, are the free spaces. The axial field components of each region
of the rod and tube waveguides can be expressed by equations (A.1)-(A.4) and
(A.5)-(A.10), respectively [12-13].
Ezd = Am J m (kd ) , 0 < < r
(A.1)
H zd = Bm J m (kd ) , 0 < < r
(A.2)
Ezf = Cm K m (k f ) , > r
(A.3)
H zf = Dm K m (k f ) , > r
(A.4)
161
Ezi = Am I m (ki ) , 0 < < r1
(A.5)
H zi = Bm I m (ki ) , 0 < < r1
(A.6)
Ezd = Cm J m (kd ) + DmYm (kd ) , r1 < < r2
(A.7)
H zd = Em J m (kd ) + FmYm (kd ) , r1 < < r2
(A.8)
Ezf = Gm K m (k f ) , > r
(A.9)
H zf = H m K m (k f ) , > r
(A.10)
The propagation factors of cos m exp[ j (t z )] (or sin m exp[ j (t z )] ) for

the electric fields and sin m exp[ j (t z )] (or cos m exp[ j (t z )] ) for the
magnetic fields are abbreviated. Jm and Ym are mth order Bessel functions of the
first and second kind; Im and Km are modified mth order Bessel functions of the first
and second kind. m is the azimuthal eigenvalue. kx (x=d, i, f) is the propagation
constant of the radial direction and is expressed as in (A.11)-(A.13).
kd = k0 rd rd 2
(A.11)
ki = k0 2 ri ri
(A.12)
k f = k0 2 rf rf
(A.13)
The subscripts d, i, and f represent the dielectric medium, hollow free space region
inside the tube, and outer free space region, respectively. k0 is the free space wave
number, whereas (= / k0 ) is the normalized propagation constant. rx and
rx are the relative permeability and relative permittivity of each region,
respectively. Am to Hm are the magnitude coefficients of the fields corresponding to
the azimuthal eigenvalue. The azimuthal components of the fields are obtained
from the axial field components. Equating the tangential field components at the
boundaries ( = r for the rod waveguides; = r1 and = r2 for the tube
waveguides) produces square matrices ( 4 4 for the rod waveguides and 8 8
for the tube waveguides) for the magnitude coefficients. To obtain an eigenvalue
equation, whereby the dispersion relation and field distribution in the cross section
of the guide can be determined, the determinant of the coefficient matrix should be
set to vanish. The dielectric constant of the dielectric material, radius of the guide,
and thickness of the dielectric region for the tube waveguide are all considered as
the design parameters in the dispersion relation.
162
1.30
1.25
r=2.5mm
1.20
/ k0
r1=1.0mm, r2=2.5mm
1.15
1.10
r1=1.5mm, r2=2.5mm
1.05
1.00
33 34
36
38
40
42
44
46
44.3 45.5
Frequency (GHz)
48
50
49.7
Figure A.2: Dispersion curves of various circular PTFE waveguides.
A.3. Design of Single Mode Waveguide

In addition to its dispersion characteristics, the design of a flexible dielectric
waveguide in a millimeter wave band requires the consideration of its mechanical
properties, such as flexibility for a freely bending waveguide and stability to
prevent deformation.
In general, dielectrics tend to be hard and rigid as they have higher dielectric
constants. Thus, in this study, PTFE was chosen as the guiding medium, as its
dielectric constant in the Q-band is assumed to be 2.08 [6]. For a single mode
operation, the second mode cutoff also needs to be determined. The fundamental
mode of a circular dielectric waveguide is traditionally referred to as the HE11
mode, which has no cutoff.
Accordingly, when considering both the flexibility and the dispersion properties of
the PTFE guides, the outer radii of the guides were set at 2.5 mm ( r for the rod
and r2 for the tubes), while the inner radii of the tube waveguide were set at 1.0
mm and 1.5 mm from the dispersion relation [12]. The thickness of the tube with
an inner radius of 1.5 mm, was set at 1.0 mm to avoid any deformation when the
tube was bent or exposed to an external force.
163
Figure A.2 illustrates the dispersion curve for the waveguides used in the current
work. The vertical axis represents the normalized propagation constants. As shown
in Figure A.2, the second mode cutoff frequency for the rod waveguide with a
radius of 2.5 mm was 44.3 GHz. The second (TM01 mode) and third mode (TE01
mode) cutoff frequencies of the rod waveguide were nearly same. The second
mode (TE01 mode) cutoff frequencies of the tubes with inner radii of 1.0 mm and
1.5 mm were 45.45 GHz and 49.7 GHz, respectively. With a decrease in the
thickness ( r2 r1 ) of the tubes, the cutoff frequencies of the second mode shifted
toward a higher frequency regime. Based on the selection of PTFE as the guiding
material and the above radii in the guiding cross section, the guides could be
operated in a single mode for a considerable portion of the Q-band.
A.4. Fractional Power Considerations

The dielectric and radiation losses strongly depend on the amount of power
propagated along the dielectric region and outer free space region, respectively,
implying that the more power confined in the dielectric region, the higher the
dielectric loss and the lower the radiation loss, as less power is radiated at the bend.
Therefore, the power propagated in each region needs to be investigated relative to
the design parameters in order to predict the dielectric and radiation losses. The
total power propagated along the rod or tube waveguide, PT, is expressed in (A.14)
and (A.15), respectively.
PT =
1 r
( E d H*d E d H * d ) d + 12 r ( E f H* f E f H * f ) d
20
(A.14)
for rod waveguide
PT =
1 r1
1 r2
E i H*i E i H * i ) d + ( E d H*d E d H * d ) d
(
0
2
2 r1
+
1
( E f H* f E f H * f ) d
2 r2
(A.15)
for tube waveguide

In (A.14) and (A.15), the azimuthal field components are given in (A.1) to (A.10).
The fractional power flow ratios in each region of the waveguides are defined as
follows:
164
*
*
Pd =
E
H
E
H
( d d d d )
/ PT
2
Dielectric
Region
(A.16)
1 r1
Pi = ( E i H*i E i H * i ) d / PT
0
2
(A.17)
1
Pf =
E f H* f E f H * f
(
r
or
r
2
2
) d / P
(A.18)
where Pd , Pi , and Pf are the fractional powers propagated in the dielectric

region of the rod or tube waveguide, in the inner free space region of the tube
waveguide, and in the outer free space of the rod or tube waveguide, respectively.
The fractional power flow ratios in each region of the PTFE waveguides relative to
the operating frequency are shown in Figure A.3. The fractional power flows are
expressed as a function of Bessel functions, whose arguments are related to the
design parameters. Consequently, the general relationships between the fractional
power flows and the design parameters are quite complicated. In this work, the
fractional power flows were obtained relative to the frequencies from 33 GHz to 50
GHz. Figure A.3 (a) shows that the propagating powers in the dielectric region
increased with an increase in both the frequency and the dielectric area. For the
tube guides, the fractional power flows in the free space region inside the tube
increased with an increase in the frequency, whereas they decreased with an
increase in the dielectric area, as shown in Figure A.3 (b). In Figure A.3 (c), the
amount of power propagated along the outside of the rod or tube waveguide was
found to decrease relative to an increase in the operating frequency and dielectric
area. These fractional power flows are used to explain both the dielectric and
radiation losses in a later section.
165
100
r = 2.5mm
(a)
Pd [%]
80
r1 = 1.0mm, r2 = 2.5mm
60
40
r1 = 1.0mm, r2 = 2.5mm
20
0
34
25
(b)
36
38
40 42 44 46 48
r1 = 1.5mm, r2 = 2.5mm
50
Pi [%]
20
15
10
80
r1 = 1.0mm, r2 = 2.5mm
34
36
38
40
42
46
48
50
(c)
r1=1.5mm, r2=2.5mm
60
Pf [%]
44
40
20
0
r1=1.0mm, r2=2.5mm
34
36
r = 2.5mm
38 40 42 44 46
Frequency (GHz)
48
50
Figure A.3: Fractional power flow ratios in each region of PTFE waveguides: (a) dielectric
region (b) air core region, and (c) free space region.
166
A.5. Measurements
Figure A.4 illustrates a schematic diagram of the experimental setup used to take
the measurements. The experiments were performed with an HP8510C vector
network analyzer (VNA) to obtain scattering parameters. Two 25 dBi standard gain
horn antennas were used to efficiently launch and receive the signals from the
vector network analyzer. The PTFE guides were inserted into the horn antennas, as
illustrated in Figure A.4. The central position in the horn and semicircle shape of
the bending section of the guide were fixed with foam. Both tips of the rod
waveguides were tapered to reduce the return loss, achieving approximately below
20 dB. The return losses of the tube waveguides were also below 20 dB without
any tapering. To determine the attenuations per unit length of the straight PTFE
guide, the insertion losses of various samples with different lengths and the same
bending section were measured relative to an operating frequency from 33 GHz to
50 GHz. The specifications of the samples used in this measurement are shown in
Table A.1.
The radiation characteristics of the two guides with the same curvature radius
were assumed to be same, even though they had different lengths. Consequently,
the dielectric loss d representing the attenuations per wavelength for the straight
rod and tube waveguides was obtained using equation (A.19).
10 Log10 1 10 21, l2
d =
l1 l2
S
/10
10
S 21, l1 /10
) 1
F
[dB / g ]
(A.19)
In (A.19), F is a dimensionless factor transforming dB/cm to dB/ g , that is,

30 / f r where the frequency f is in GHz, and, the guided wavelength, g is in
cm. S21,l1 and S21,l 2 are the measured insertion losses of the samples with
different lengths, l1 and l2 , at the same curvature radius condition. In this case,
the dielectric loss along the straight guide was assumed to be almost the same as
that along the curved guide, as with the radiation loss. Accordingly, the dielectric
loss and radiation loss could be separated from the measured insertion losses. The
radiation loss per unit angle, r for the rod and tube waveguides was obtained
from the difference between the dielectric loss and the measured insertion loss
using equation (A.20).
d l1
S , /10
10 Log10 1 10 10 10 21 l1

[dB / Deg.]
r =
180
167
(A.20)
VNA
Horn
Antenna
Foam
(a)
(b)
Figure A.4: Experimental setups (a) Picture and (b) schematic.
Table A.1: Total lengths and radii of curvature of samples employed in current study
W/G Types
Length, l1 (cm)
Length, l2 (cm)
Curvature Radius, R (cm)
Rod (r=2.5mm)
101
72
3, 5
Tube (r1=1.0mm, 2=2.5mm)
201
90
3, 5, 7
Tube (r1=1.5mm, 2=2.5mm)
200
90
3, 5, 7, 9
168
where d is the dielectric loss from (A.19) and S21,l1 is the measured insertion
losses.
In this experiment, the bent angle was fixed at 180, regardless of any variations in
the curvature radii. As such, the difference between the dielectric loss and the
insertion loss, i.e., the radiation loss, was divided by the bent angle rather than the
total angle in order to represent the radiation loss per unit angle.
A.6. Results and Discussion

The dielectric losses, i.e., the attenuations per wavelength of the flexible dielectric
waveguides were determined from the measured insertion losses using equation
(A.19). Figure A.5 illustrates the dielectric losses for the rod and tube flexible
waveguides relative to an operating frequency from 33 GHz to 50 GHz.
The measured values of the dielectric losses for the rod and tube waveguides were
below 0.02 dB/g for the whole frequency range. In addition, the dielectric loss
characteristics tended to increase slightly with the operating frequency. The
experimental dielectric losses showed a relatively good agreement with the
theoretical dielectric losses obtained using the perturbation method [14]. When
determining the theoretical results, the loss tangent for the PTFE material was
assumed to be 0.0001. A loss tangent for PTFE has rarely been observed in the Qband and thus is obscure. For both the rod and tube waveguides, the dielectric
losses increased relative to the frequency as more propagating power was confined
in the dielectric region with an increase in the frequency from 33 GHz to 50 GHz,
as illustrated in Figure A.3. Furthermore, the dielectric loss for the rod waveguide
was higher than that for the tube waveguide because the dielectric area of the rod
waveguide was larger than that of the tube waveguide.
The radiation losses per unit angle for the rod and tube waveguides were
determined using (A.20). The radiation loss per unit angle for the rod and tube
waveguides with an operating frequency from 33 GHz to 50 GHz is shown in
Figure A.6. The radiation losses for the flexible waveguides, especially for the tube
waveguide with an inner radius of 1.5 mm, decreased as the operating frequency
increased from 33 GHz to 50 GHz.
This tendency in the radiation loss for the tube waveguide is attributed to the
increase in the propagating power confined within the waveguide in proportion to
the variation of the frequency from 33 GHz to 50 GHz. The measurement results in
Figure A.6 also show that the radiation loss per unit angle decreased rapidly in
proportion to the dielectric area, implying that the radiation loss for the rod
waveguide was lower than that for the tube waveguide.
169
Dielectric Loss (dB/g)
0.040
0.035
Rod (r=2.5mm), Theory

Tube (r1=1.0mm, r2=2.5mm), Theory
0.030
Tube (r1=1.5mm, r2=2.5mm), Theory
0.025
Rod (r=2.5mm), Measurement

Tube (r1=1.0mm, r2=2.5mm), Measurement
0.020
Tube (r1=1.5mm, r2=2.5mm), Measurement
0.015
0.010
0.005
0.000
33 34
36
38
40
42
44
46
48
50
Frequency (GHz)
Radiation Loss [dB/Degree]
Figure A.5: Dielectric losses of various flexible waveguides.
0.20 3cm
0.18 5cm
Tube (r1=1.5mm, r2=2.5mm)
7cm
Tube (r1=1.0mm, r2=2.5mm)
0.16 9cm
0.14
Rod (r=2.5mm)
0.12
0.10
0.08
0.06
0.04
0.02
0.00
3cm
5cm
7cm
5cm
34
3cm
36
38
40
42
44
Frequency [GHz]
Figure A.6: Radiation losses of various flexible waveguides.
170
46
48
50
In the case of the same type of flexible waveguide, the guided power was reduced
as the radius of the curvature decreased. This means that the power radiated to the
free space increased with an increase in the radius of the curvature. For the rod and
tube waveguides, the radiation loss showed an opposite tendency in the dielectric
loss because the radiated power was inversely proportional to the power confined
in the dielectric region, as shown in Fig. 3 (c). Since the propagation constant of the
second mode in Fig. 2 was small, compared with that of the fundamental mode, the
effects of the second mode on the dielectric and radiation losses of the fundamental
HE11 mode were not distinct here.
A.7. Conclusion
The dielectric and radiation losses of circular flexible PTFE rod and tube
waveguides were measured relative to an operating frequency in the Q-band. The
dielectric losses below 0.02 dB/g were obtained for the rod and tube waveguides
based on the difference in the insertion losses measured between the waveguide
samples with different lengths. It was found that the increase in the frequency and
the dielectric region caused the increase in the dielectric loss irrespective of the rod
or tube waveguide. The radiation losses for the rod and tube waveguides, which
cannot be predicted within the regime of a small curvature radius based on current
theories, were also measured based on the difference between the dielectric loss
and the measured insertion loss. It was observed that the increase in the frequency,
dielectric region in the guiding cross section, and curvature radii caused the
reduction of the radiation loss irrespective of the rod or tube waveguide.
Acknowledgement
This work was supported by grant No. R01-2000-00261 from the Basic Research
Program of the Korea Science & Engineering Foundation.
171
References
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Wiley and Sons, Inc., 1997.
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wavelengths, 1998 IEEE Sixth International Conference on Terahertz Electronics, pp. 166169, Reeds, United Kingdom, September 3-4, 1998.
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system, IEICE Transactions on Electronics, vol. E82-C, no. 7, pp. 1312-1317, July 1999.
[4] I. M. Boese and R. J. Collier, Measurements on millmetre wave circuits at 140 GHz,
IEE Proceedings Science, Measurement and Technology, vol. 145, no. 4, pp. 1312-1317, July
1998.
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3,940,718, February 1976.
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Methods and Their Applications, New York, Elsevier, 1986.
[7] J. A. Arnaud, Transverse coupling in fiber optics, Part III: Bending losses, The Bell
System Technical Journal, vol. 54, pp. 1379-1394, September 1974.
[8] L. Lewin, Radiation from curved dielectric slabs and fibers, IEEE Transactions on
Microwave Theory and Techniques, vol. 22, no. 7, pp. 718-727, July 1974.
[9] K. Yamamoto, A novel low-loss dielectric waveguide for millimeter and submillimeter
wavelengths, IEEE Transactions on Microwave Theory and Techniques, vol. 28, no. 6, pp.
580-585, June 1980.
[10] W. M. Bruno and W. B. Bridges, Flexible dielectric waveguides with powder cores,
IEEE Transactions on Microwave Theory and Techniques, vol. 36, no. 5, pp. 882-890, May
1988.
[11] J. Obrzut and P. F. Goldsmith, Flexible circular waveguides at millimeter wavelengths
from metallized Teflon tubing, IEEE Transactions on Microwave Theory and Techniques,
vol. 38, no. 3, pp. 324-327, March 1990.
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of the IEE, vol. 116, no. 2, pp. 214-224, February 1969.
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John Wiley and Sons, 3rd ed., 1993.
172
APPENDIX B.
Summary of Characteristic Equations1)
The derivation procedure of the characteristic equation for the conventional
dielectric rod waveguide is presented here. This procedure can also be applied to
other waveguiding systems, as well as the general complex characteristic equation
for the leaky modes. The field components, relations between the real / complex
field amplitudes, and characteristic equations for various circular cylindrical open
wave guiding structures used in this thesis are summarized here.
When the propagation direction of the guided wave along the column is chosen to
be the + z -direction, the axial electric and magnetic field components of the
circular dielectric waveguide can be expressed as follows. Referring to Figure B.1,
subscripts 1 and 2 denote regions 1 and 2, respectively.
Ez1 = Amn J m (k1r )e j (t m z )
(B.1)
H z1 = Bmn J m (k1r )e j (t m z )
(B.2)
Ez 2 = Cmn K m (k 2 r )e j (t m z )
(B.3)
H z 2 = Dmn K m (k2 r )e j (t m z )
(B.4)
where , m , and are the angular frequency, azimuthal wave number, and
axial propagation constants, respectively, J m ( ) and K m ( ) are an ordinary
Bessel function of the first kind and modified Bessel function of the second kind,
respectively, k1 = k0 r1 r1 2 , k2 = k0 2 r 2 r 2 is the radial propagation
constant in regions 1 and 2, k0 is the free space wave number, ri and ri
( i = 1, 2 ) are the magnetic and dielectric constants, respectively, ( = / k0 ) is the
normalized propagation constant, and Amn , Bmn , Cmn , and Dmn are the real
constants to be determined. The radial and azimuthal field components can also be
derived from the above axial field components [21, 22].
1)
This appendix is based on references [1-20].
173
Figure B.1: Geometry and cylindrical coordinate system ( r , , z ) associated with circular
open wave guiding structure embedded in free space region.
m
j
Er1 = Amn
J m ( k1r ) Bmn 21 J m ( k1r ) e j (t m z )
k
k
r
1
1
(B.5)
m
j
H r1 = Amn 2 1 J m ( k1r ) Bmn
J m ( k1r ) e j (t m z )
k
r
k
1
1
(B.6)
j1
m
E 1 = Amn 2 J m ( k1r ) + Bmn
J m ( k1r ) e j (t m z )
k
r
k
1
1
(B.7)
j1
m
H 1 = Amn
J m ( k1r ) Bmn 2 J m ( k1r ) e j (t m z )
k
k
r
1
1
(B.8)
m
Er 2 =
Cmn K m ( k2 r ) + 22 Dmn K m ( k2 r ) e j (t m z )
k2 r
k2
(B.9)
j
H r 2 = 2 2 Cmn K m ( k2 r ) +
Dmn K m ( k2 r ) e j (t m z )
k2
k2 r
(B.10)
j 2
E 2 = 2 Cmn K m ( k2 r )
Dmn K m ( k2 r ) e j (t m z )
k2
k2 r
(B.11)
j 2
m
H 2 =
Cmn K m ( k2 r ) + 2 Dmn K m ( k2 r ) e j (t m z )
k2 r
k2
(B.12)
174
Here, prime denotes the differentiation, and i and i are the permeability and
permittivity, respectively, of region i, i.e., i = 0 ri and i = 0 ri .
Applying the boundary conditions of the tangential field components, i.e., z
and components, at r = a , produces the following:
Amn J m (k1a ) = Cmn K m (k2 a)
(B.13)
Bmn J m (k1a) = Dmn K m (k2 a )
(B.14)
Amn
j1
j 2
m
m
K m ( k2 a )
J m ( k1a ) + Bmn
J m ( k1a ) = Cmn 2 K m ( k2 a ) Dmn
k2
k1
k2 a
k12 a
(B.15)
Amn
j1
j 2
m
m
K m ( k2 a ) + Dmn 2 K m ( k2 a )
J m ( k1a ) Bmn 2 J m ( k1 a ) = Cmn
k2
k1
k2 a
k1 a
(B.16)
In general, a 4 4 coefficient matrix is constructed and the characteristic equation

is derived from the condition that the determinant of the matrix should be zero to
avoid nontrivial solutions. Here, an alternative way is used to obtain the
characteristic equation.
The amplitude ratio of the electric fields to the magnetic fields can be derived from
(B.13), (B.14), and (B.15).
Amn Cmn
=
= j
Bmn Dmn
(B.17)
where
a
m
1 J m ( k1a ) 2 K m ( k2 a ) 1
1
+
/ 2 + 2
k1 J m ( k1a ) k2 K m ( k2 a ) k1 k2
(B.18)
On the other hand, the amplitude ratio of the magnetic fields to the electric fields
can also be obtained from (B.13), (B.14), and (B.16).
Bmn Dmn
=
= j
Amn Cmn
(B.19)
175
where
a
m
1 J m ( k1a ) 2 K m ( k2 a ) 1
1
+
/ 2 + 2
k1 J m ( k1a ) k2 K m ( k2 a ) k1 k2
(B.20)
Multiplying (B.17) and (B.19) side by side, the characteristic equation for a guided
circular dielectric rod waveguide can be obtained as follows:
2
r1 J m ( k1a ) r 2 K m ( k2 a ) r1 J m ( k1a ) r 2 K m ( k2 a ) m 1
1
+
+
=
2 + 2 (B.21)
k1 J m ( k1a ) k2 K m ( k2 a ) k1 J m ( k1a ) k2 K m ( k2 a ) k0 a k1 k2
Here, the relation of = k0 / 0 0 is applied.
The characteristic equation and associated axial field components used in this
thesis are summarized in the following pages.
176
1) Guided circular dielectric rod waveguide /

Ordinary Surface (OS) mode of metamaterial columns

k = k 2
1
0
r1 r1
2
k2 = k0 r 2 r 2
r1 J m ( k1a ) r 2 K m ( k2 a ) r1 J m ( k1a ) r 2 K m ( k2 a ) m 1
1
+
+
=
2 + 2
k1 J m ( k1a ) k2 K m ( k2 a ) k1 J m ( k1a ) k2 K m ( k2 a ) k0 a k1 k2
2) Guided plasma column waveguide /

Surface plasmon (SP) mode of metamaterial column waveguide
Ez1 = Amn I m (k1r )e j (t m z )

H z1 = Bmn I m (k1r )e j (t m z )
k = k 2
r1 r1
1
0
2
k2 = k0 r 2 r 2

1
2 2
=
3) Leaky mode of circular open waveguides

Ez 2 = Cmn H m(2) (k2 r )e j (t m z )
H z 2 = Dmn H m(2) (k2 r )e j (t m z )
k = k 2
r1 r1
1
0
2
k2 = k0 r 2 r 2

1
2 2
=
( 2)
(2)
177
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2000.
[17] H. Cory and T. Blum, Surface-wave propagation along a metamaterial cylindrical
guide, Microwave and Optical Technology Letters, vol. 44, no. 1, pp. 31-35, January 2005.
[18] J. Blackburn, Calculating attenuation in waveguides below cut-off, IEE Proceedings
Science, Measurement and Technology, vol. 151, no. 5, pp. 356-361, September 2004.
[19] K. Y. Kim, H. S. Tae, and J. H. Lee, Analysis of leaky modes in circular dielectric rod
[20] J. Arnbak, Leaky modes on a dielectric rod, Electronics Letters, vol. 5, no. 3, pp. 41-42,
February 1969.
[21] S. Ramo , J. R. Whinnery, and T. V. Duzer, Fields and Waves in Communication Electronics,
3rd ed., John Wiley and Sons, Inc., 1994.
[22] D. M. Pozar, Microwave Engineering, 3rd ed., John Wiley & Sons, Inc., 2004.
178
APPENDIX C.
Davidenkos Method of Complex Root
Search
Generally, the leaky (or complex) modes of lossless wave guiding structures and
leaky (or complex) and guided modes of lossy wave guiding structures have
complex propagation constants. The phase and attenuation (or leakage) constants
are two of the most important and fundamental parameters, from which the
properties of the complex waves can be described in specific guiding structures.
Therefore, since the complex propagation constant can reveal insights on complex
waves, it is quite important to determine exact complex propagation constants
prior to the analysis of the leaky modes as well as the guided modes. Among the
existing complex root search algorithms, Davidenkos method is known to be
superior over other conventional complex root search algorithms, such as NewtonRaphsons method or Mllers method [1] due to its insensitivity to initial guesses
and high speed of convergence. Several previous publications on Davidenkos
method [2-14] have successfully applied the method to various wave propagation
problems, plus Davidenkos method can find solutions, even when other methods
fail to converge [12, 14]. As such, Davidenkos method was judged as a suitable
candidate for determining the complex propagation constants of the leaky and
guided modes along lossless and lossy open column electromagnetic wave guiding
structures. Accordingly, Davidenkos method is used to determine the complex
propagation constants of the complex characteristic equation for open column
wave guiding structures in this thesis. No modification to the characteristic
equations for open column wave guiding structures is required for the application
of Davidenkos method.
In principle, Davidenkos method transforms a set of n-coupled nonlinear algebraic
equations with n unknowns into a set of n-coupled first-order ordinary differential
equations with a scalar dummy variable. As the dummy variable approaches
infinity, each unknown approaches a true value. It should be noted that
Davidenkos method can only be applied to analytic functions. The following is a
brief review of Davidenkos method.
179
First, starting with the Newton-Raphson scheme, let F ( x) = 0 be a nonlinear

algebraic equation where x is the root of this equation. In the Newton-Raphson
method [1], the (n+1)th approximation of the root x of the equation F ( x) = 0 is as
follows:
xn +1 = xn
F ( xn )
dF ( xn )
dx
(C.1)
Equation (C.1) can be written as:
dF ( xn )
F ( xn )
F ( xn )
=
=
xn
dx
xn +1 xn
(C.2)
where xn = xn +1 xn is the nth correction term between the (n+1)th and nth
approximations. If dF ( xn ) / dx is too small, the nth correction term may diverge,
meaning that the Newton-Raphson method will fail [12, 14]. This weak point in the
Newton-Rhapson method is particularly serious when the value of the initial guess
( x0 ) is far from the root x of the given equation. Without loss of generality, if a
small positive quantity factor, ( 0 < < 1 ) is included in (C.2), failure of the
Newton-Raphson method can be avoided, and the modified form of (C.2) is as
follows:
dF ( xn )
F ( xn )
=
dx
xn
(C.3)
As such, even when the right hand side of (C.3) becomes small due to the small
value of dF ( xn ) / dx , the resultant small value on the right-hand side can be mainly
weighted to the factor so that the correction term xn does not have a large
value. Consequently, the iteration will not fail, which is the essential feature of
Davidenkos method. When taking the limit of both sides in (C.3) as 0 , the
nth correction term xn and factor change into dx and dt , respectively. Thus,
(C.3) becomes
dF ( x)
F ( x)
=
dt
dx
dx
(C.4)
180
where t is a scalar dummy variable independent of x. Rearranging and

manipulating (C.4) as
dx
F ( x)
dx
=
=
dF ( x )
dt
d [ln F ( x)]
dx
(C.5)
then, equating the denominators of both sides in (C.5) as
dt = d [ln F ( x)]
(C.6)
and integrating both sides of (C.6),
dt = d[ln F ( x)] = ln F ( x) + C
(C.7)
ln F ( x) = t + C2
(C.8)
where C1 and C2 are arbitrary integration constants, finally produces:
F ( x) = Ce t
(C.9)
where C is also an arbitrary integration constant. Therefore, F ( x) = 0 is the

independent scalar dummy variable when t approaches infinity, as mentioned
previously.
Although the above procedure can also be applied to the general n-dimensional
case [14], the current study focuses on the two-dimensional case of Davidenkos
scheme, since the complex characteristic equation of leaky modes has two
unknowns, i.e., normalized phase and attenuation constants, which will be
explained later. If the function F ( x) and its root x are considered as a complex
analytic function and complex variable, i.e., F ( x) = Re { F ( x)} + j Im { F ( x)} and
x = a + jb , respectively, the first equality of (C.5) can be written as follows:
dx
= J 1 F ( x)
dt
(C.10)
where J is a Jacobian matrix of the form
181
F ( x)
F ( x)
Re a Re b
J =
F ( x)
F ( x)
Im
Im
b
a
(C.11)
Since the function F ( x) is assumed to be analytic, the total derivative of F ( x)

with respect to x can be expressed using a Cauchy-Riemann relation as follows:
Fx ( x)
F ( x)
F ( x)
F ( x)
F ( x)
F ( x ))
= Re
+ j Im
= Re
j Re
x
a
a
a
b
(C.12)
Thus, the following relations are obtained:
F ( x)
Re { Fx ( x)} = Re a
Im { F ( x)} = Re F ( x)
(C.13)
Using (C.11), (C.12), and (C.13), the inverse form of the Jacobian matrix in (C.10) is
J 1 =
1
det J
Re { Fx ( x)} Im { Fx ( x)}
Im { Fx ( x)} Re { Fx ( x)}
(C.14)
with
2
F ( x ) F ( x)
2
det J = Re
+ Re
= Fx ( x)
a b
(C.15)
Since the real and imaginary terms of the complex root x and complex function
F ( x) can be expressed as the following column vectors, respectively:
a
x=
b
(C.16)
182
Re { F ( x)}
F ( x) =
Im { F ( x)}
(C.17)
equation (C.10) can be expressed in a matrix form as follows:
d a
1 Re { Fx ( x)} Im { Fx ( x)} Re { F ( x)}
=
2
dt b
Fx Im { Fx ( x )} Re { Fx ( x)} Im { F ( x)}
(C.18)
Finally, Davidenkos expression of a two-coupled first-order ordinary differential

equation with an independent scalar variable t is obtained as follows:
Re { F ( x)} Re { Fx ( x)} + Im { F ( x)} Im { Fx ( x)}

da
=
2
Fx ( x)
dt
db = Re { F ( x)} Im { Fx ( x)} Im { F ( x)} Re { Fx ( x)}

2
dt
Fx ( x)
(C.19)
The existence of the total derivative of F ( x) with respect to x, i.e., Fx ( x) is a

necessary condition for deriving Davidenkos expression, which means that the
complex function F ( x) should be analytic. In other words, Davidenkos method
can only be applied to an analytic characteristic function, as mentioned
previously. In this thesis, the set of equation (C.19) was implemented with the help
of an internal function, NDSolve (based on the RungeKutta algorithm), from
the software package MATHEMATICA 4.0 and numerically solved, implying that
the explicit analytic form of the complex characteristic function, F ( x) and its total
derivative, Fx ( x) are not required, even when the analytic forms exist. The
resulting normalized phase and attenuation (or leakage) constants are then
substituted into the original characteristic function F ( x) . The tolerances of the
resulting values are checked by comparing them with the zeros for both the real
and imaginary parts. For the procedure of solving (C.19), when t is set larger, the
tolerance can have a smaller value, yet it takes longer to converge, therefore, the
tolerance was arbitrarily set at 10 10 (or larger) for both the real and imaginary
parts.
Here is an example of Davidenkos complex root searching algorithm written
using the MATEMATICA package. This was used in Chapter 4. Complex
propagation constants along a column waveguide of other material media can also
be calculated with properly modified material constants.
183
184
185
References
[1] S. D. Conte and C. Boor, Elementary Numerical Analysis: An Algorithmic Approach, 3rd ed.,
McGraw-Hill Kogakusha, Ltd., 1980.
[2] K. Y. Kim, H. S. Tae, and J. H. Lee, Analysis of leaky modes in circular dielectric rod
[3] M. M. Shabat, Y. S. Madi, and D. Jger, Solution of lossy dielectric moving waveguides
using numerical method (Davidenkos approach), Electromagnetics, vol. 22, no. 8, pp.
659-666, November 2002.
[4] M. M. Shabat, D. Jger, M. A. Abdel-Naby, and N. M. Barakat, Numerical and
analytical solutions of dispersion equation in lossy nonlinear waveguiding system,
Microwave and Optical Technology Letters, vol. 22, no. 4, pp. 273-278, August 1999.
[5] M. M. Shabat, Application of Davidenkos method to a lossy nonlinear waveguide,
International Journal of Infrared and Millimeter Waves, vol. 20, no. 7, pp. 1363-1370, July
1999.
[6] M. M. Shabat, M. A. Abdel-Naby, Y. S. Madi, and D. Jger, Exact and analytical
methods for finding complex roots of moving waveguides with absorbing layers,
International Journal of Infrared and Millimeter Waves, vol. 20, no. 4, pp. 725-735, April
1999.
[7] M. M. Shabat, M. A. Abdel-Naby, Y. S. Madi, and D. Jger, Complex zeros of moving
optical waveguides, Microwave and Optical Technology Letters, vol. 21, no. 6, pp. 465-470,
June 1999.
[8] M. M. Shabat, Numerical algorithms for modeling hybrid surface plasmon polaritons
guided by metal films, Microwave and Optical Technology Letters, vol. 16, no. 2, pp. 122124, October 1997.
[9] S. Chakrabarti, C. K. Maiti, and D. Bhattacharya, Propagation loss of magnetostatic
waves in single and multilayered waveguides, Journal of Applied Physics, vol. 76, no. 2,
pp. 1260-1265, July 1994.
[10] K. Naishdham and H. W. Yao, An efficient computation of transient scattering by a
perfectly conducting cylinder, IEEE Transactions on Antennas and Propagation, vol. 41,
no. 11, pp. 1509-1515, November 1993.
[11] K. Naishdham and L. B. Felsen, Dispersion of waves guided along a cylindrical
substrate-superstrate layered medium, IEEE Transactions on Antennas and Propagation,
vol. 41, no. 3, pp. 304-313, March 1993.
[12] H. A. N. Hejase, On the use of Davidenkos method in complex root search, IEEE
Transactions on Microwave Theory and Techniques, vol. 41, no. 1, pp. 141-143, January 1993.
[13] N. E. Buris, Magnetostatic wave propagation in lossy ferrite layers under
perpendicular bias, Journal of Applied Physics, vol. 64, no. 9, pp. 4726-4732, November
1988.
[14] S. H. Talisa, Application of Davidenkos method to the solution of dispersion relations
in lossy waveguiding systems, IEEE Transactions on Microwave Theory and Techniques,
vol. 33, no. 10, pp. 967-971, October 1985.
186
APPENDIX D.
Classifications of Complex Modes 1)
The general wave types are usually complex waves or complex modes whose
propagation constants are complex. In order to obtain a simple picture of the
complex modes, two-dimensional scalar waves are assumed.
When using an e + jt convention, a scalar wave u ( x, z ) propagating in the + z
direction in free space can be considered. / y = 0 are assumed for the twodimensional problem and the guiding structure is located below x = 0 , while the
free space ( x = 0 ) is extended to infinity in the + x direction. The system
considered can be represented as shown in Figure D.1.
Figure D.1: Interface between two different media and its coordinate systems.
1)
This appendix is based on the contents in A. Ishimaru, Electromagnetic Wave Propagation, Radiation, and
Scattering, pp. 46-60, Prentice-Hall, Inc., 1991.
187
The scalar field u ( x, z ) satisfies the following scalar wave equation:
2
+
+ k 2 u ( x, z ) = 0
2
2
z
x
(D.1)
The solution can be expressed in the following form:
u ( x, z ) = exp j ( z + px )
(D.2)
where and p are the complex propagation constants in the propagation and
transverse directions, respectively. Thus, they can be expressed as follows:
= j
(D.3 a)
p = b ja
(D.3 b)
where and are the phase and leakage constants in the propagation direction,
respectively, and b and a are the phase and leakage constants in the transverse
direction, respectively.
Substituting (D.2) into (D.1) produces the following relation:
p2 + 2 = k 2
(D.4)
Substituting (D.3) into (D.4) and collecting the real and imaginary parts yields the
following:
b2 a2 + 2 2 = k 2
(D.5 a)
ba + = 0
(D.5 b)
The behavior of the wave as x can be judged by considering the magnitude

of the wave in the transverse direction. Taking the wave propagating in the
propagation direction ( > 0 ), consider the magnitude of the wave whose
magnitude in the transverse direction ( x ), which is given by
exp( jpx) = exp(ax)
(D.6)
From this notion, if a > 0 , the wave attenuates exponentially in the + x direction
as the wave travels in the transverse direction and is called a (mathematically)
proper wave. If a < 0 , the wave grows in the + x direction and violates the
radiation condition. This type of the wave is called an improper wave.
The signs of b, a, , and determine various types of complex waves, as listed in
Table D.1.
188
Table D.1: Types of complex wave.
Fast wave
Backward leaky wave
Trapped surface wave
Zenneck wave
Plane wave incidence
Untrapped surface wave
Forward leaky wave
189
Proper wave
Improper wave
190
APPENDIX E.
Steepest Descent Plane (SDP) Analysis1)
Sometimes a mathematical field solution that satisfies all the boundary conditions
does not contribute the actual field. Thus, it is essential to check the physical
validity of the complex mode solutions on the steepest descent plane (SDP). In
other words, the complex propagation constants are cast onto the SDP, in which the
physical significance is checked using certain criteria. Figure E.1 shows the
transformation concept from the complex propagation constant plane onto the SDP
and the associated relations. The SDP has a vertical and horizontal axis as the real
and imaginary parts of the complex observation angle ( ), as shown in Figure E.1.
(The complex observation angle can also be called the steepest decent variable
or SDP angle.) Figure E.2 shows an interface between two dissimilar media in
which the complex observation angle is represented. The propagation of the wave
is in the +z direction and the field considered is in the vertical plane above the
interface, which is in the xz plane. The field at and above the interface can be
interpreted as follows:
E ( x, z ) =
1)
1
2
f (k x ) exp( jk x x) exp( jk z z )dk z
(E.1)
This appendix is a summary of the steepest descent plane (SDP) analysis in the following two Ph.D.
dissertations. Some of the figures and contents have been directly extracted.
K. S. Lee, Microstrip Line Leaky Wave Antenna, Ph.D. Thesis, Polytechnic Institute of New York, 1986.
S. Majumder, Spectral Gaps and Radiation Characteristics of One-Dimensional Periodic Leaky-Wave
Antennas, Ph.D. Thesis, University of Houston, 1997.
The SDP analysis has already been used to judge the physical validity of field solutions, e.g.,
S. Majumder, D. R. Jackson, A. A. Oliner, and M. Guglielmi, The nature of the spectral gap for leaky
waves on a periodic strip-grating structure, IEEE Transactions on Microwave Theory and Techniques, vol.
45, no. 12, pp. 2296-2307, December 1997.
C. D. Nallo, F. Frezza, A. Galli, P. Lampariello, and A. A. Oliner, Properties of NRD-guide and Hguide higher-order modes: Physical and nonphysical ranges, IEEE Transactions on Microwave Theory
and Techniques, vol. 42, no. 12, pp. 2429-2434, December 1994.
H. Shigesawa, M. Tsuji, and A. A. Oliner, The nature of the spectral gap between bound and leaky
solutions when dielectric loss is present in printed-circuit lines, Radio Science, vol. 28, no. 6, pp. 12351243, November-December 1993.
191
Figure E.1: Transformation concept from complex propagation constant plane onto SDP, and
associated relations. k z is the complex propagation constant of the guiding structure and
is the steepest decent variable. The physical validity of the field solutions can be judged
on the SDP.
Figure E.2: Interface between two dissimilar media. The propagation and transverse
directions are the +z- and +x- directions, respectively, and is the complex observation
angle.
192
where an e jt time convention is assumed. Since this deals with the fields in the
xz plane, the complex wave numbers in the x- and z-directions in (E.1), k x and k z ,
are related as follows, where k0 is the free space wave number.
k z = k02 k x2
(E.2)
The complex propagation constants in the axial and transverse directions in (E.2)
are respectively given as follows:
k x = k xr jk xi
(E.3 a)
k z = k zr jk zi
(E.3 b)
where k xr and k zr are the real parts of the complex transverse and axial
propagation constants, respectively, and k xi and k zi are the imaginary parts of
the complex transverse and axial propagation constants, respectively. The kernel
f (k x ) in (E.1) depends on the guiding structure and excitation method.
In the transverse direction (x), in order to satisfy the radiation condition at infinity,
the wave decays in the x-direction as k xi > 0 as the wave goes to infinity. The field
solutions that satisfy the condition k xi > 0 lie on the top (proper) sheet of the
Riemann sheets. On the other hand, the wave grows in the x-direction for the
condition of k xi < 0 , i.e., the improper mode. The improper mode lies on the
bottom (improper) sheet of the Riemann sheets. Figure E.3 shows the Riemann
sheets of the complex k z plane.
Figure E.3: Riemann sheets of complex k z plane: (a) top (proper) sheet and (b) bottom
(improper) sheet.
193
As shown in Figures E.1 and E.2, introducing the steepest decent variable , the
axial and transverse complex propagation constants can be respectively defined by
k z = k0 sin
(E.4 a)
k x = k0 cos
(E.4 b)
where the steepest decent variable can be expressed as the sum of the real and
imaginary parts as follows:
= r + ji
(E.5)
As a result, no branch choice is required for the transverse propagation constants,

because the top and bottom sheets are both transformed into the single-valued plane. Then, (E.4) can be expressed using (E.5) as follows:
k z = k0 [ cos r cosh i j sin r sinh i ]
(E.6 a)
k z = k0 [ cos r cosh i j sin r sinh i ]
(E.6 b)
The transformation in (E.4) plots the entire two-sheeted k z plane into a strip 2
wide in the plane, i.e., SDP as shown in Figure E.4. Each of the eight quadrants
in the k z plane is transformed into as the -plane, which is identified as T (top)
or B (bottom) and quadrant numbers. For example, the notation B1 means the
mapping from the bottom (improper) sheet of the first quadrant of the k z plane;
T3 denotes the mapping from the top (proper) sheet of the third quadrant, and so
on.
The extreme steepest descent plane (ESDP) curve is the SDP curve for = / 2
and is defined as follows:
sin r cosh i = 1
(E.7)
In Figure E.5, the shaded and unshaded regions represent the fast and slow waves,
respectively. Physical interpretations of the solutions captured in each region
partitioned by ESDP curves are available in Figure E.4. The solution on the
growing waves, i.e., B1, B2, T1, and T2, are all nonphysical. The field solution on
the slow wave region of the T4 plane is physically meaningful, because this region
has nothing to do with radiation. The fast wave portion of region B4 has a physical
meaning, since this region is mathematically improper and supports physical leaky
waves. The entire T3 region has physical significance, because backward waves are
proper whether they are fast or slow. The whole B3 region is nonphysical, since the
backward waves should be proper. The parts that have physical significance (slow
wave region of T4, fast wave region of B4, and entire T3 regions) are represented in
Figure E.4 as shaded regions.
194
If the complex propagation constants of specific guiding structures are given, the
transformation onto the SDP can be done as follows. From the complex
propagation constant k z = j and the SDP angle = r + ji , the relation
(E.4) can be written as follows:
/ k0 = sin r cosh i
(E.8 a)
/ k0 = cos r sinh i
(E.8 b)
The normalized phase and leakage (or attenuation) constants, / k0 and / k0 ,

can be transformed into the SDP plane with r and i , or vice versa.
Practical examples of the SDP analysis can be found in Figure 3.12.
195
2
0
-2
-4
-2
Figure E.4: Steepest descent plane showing properties of waves in each partition. The field
solution mapping into the shaded region is physically valid.
2
0
-2
-4
-2
Figure E.5: Steepest descent plane showing slow (unshaded) and fast (shaded) waves.
196
:
, ,

(: )
( )
(guided mode)
(leaky mode) .
, (plasma), (metamaterial)
(isotropic) (homogeneous) .
.

.
Davidenko .
(Transverse Magnetic, TM) (Transverse Electric, TE)
,
. (loss tangent)
(mode coupling) ,
(transition region) .
.

. TM0n, HE1n,
HE2n (TM-like mode) ,
(TE-like mode)
. TM0n
,
TE0n .
(steepest descent plane, SDP)
. HEmn EHmn TM0n TE0n
197
.

, .
,
plasma , Pendry .

.

.

. ,
(forward type)
(backward type) .
(orthogonality) .
(principal mode) (superslow) ,
,
. Pendry
HE11
(abrupt termination) HE12 .
(single negative, SNG) ( n > 1 )
.

(electric plasma frequency)
(magnetic plasma frequency) .

,
.
. Pendry

. , 6 GHz
(double negative, DNG)
(epsilon negative or negative, ENG)
. (total external
reflection, TER) (surface wave) .
HE11 HE21
.

,
198
.

.
, Pendry
.
199
200
Acknowledgement
My past eleven years at KNU have been a very special journey and particularly
enjoyable part of my life, and completing this thesis would not have been possible
without the extraordinary help and support I received from my teachers,
colleagues, friends, and family.
Most students only have one advisor, however, the lucky ones have two. First and
foremost, I would like to express my appreciation and gratitude to both my
advisors, Professor Heung-Sik Tae and Professor Jeong-Hae Lee, for introducing
me to the field of electromagnetism and plasma, and for their guidance, assistance,
interest, advice, understanding, and encouragement during the course of this
research and throughout my graduate studies at KNU. In spite of various
difficulties, they consistently gave me the freedom to pursue my own choice of
research topics, resulting in the successful completion of this thesis. The problems
and challenges we faced together are a precious memory.
I would also like to express my appreciation to the other committee members,
Professor Young Ki Cho, Professor Kang Wook Kim, and Professor Hyun Deok
Kim, for their time and particular effort. My special thanks go to Professor Young
Ki Cho who has shown me an inspiring example of enthusiasm towards research
combined with a respectful attitude towards nature. I was honored to have him
officiate at my wedding.
I recently had chances to travel abroad with Mr. (almost Dr.) Jae-Gon Lee, whose
sense of humor is outstanding. He was also instrumental in helping me with the
more tedious aspects of my research work.
On numerous occasions I enjoyed collaborating on experiments and discussing
with Mr. J. R. Sohn and Mr. Y. H. Ryu. I would like to thank them for their help.
I am also very grateful to have so many long-time friends with whom I have share
a particular closeness. Their support has been invaluable.
Without my parents and brother, none of the present work here, or my future work,
would have been possible or meaningful. They have inspired me my whole life
and I owe them everything.
My parents-in-law have also encouraged me throughout the years, and I deeply
appreciate their support.
And last but not least, I would like to express my heartfelt thanks to my wife for
being with me through everything. This thesis is dedicated to my wife, Jung Min
Lee.
201

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Guided and Leaky Modes of Circular

Open Electromagnetic Waveguides:

Thesis for the Degree of Ph.D.

Guided and Leaky Modes of Circular

The Graduate School

Guided and Leaky Modes of Circular

Supervised by Professor Heung-Sik Tae

Approved as a qualified thesis of Ki Young Kim

The Graduate School Council, Kyungpook National University

plasma frequencies. The physical validity of the numerically obtained complex

Development of Electromagnetic Wave Technologies

Open Electromagnetic Waveguiding Structures

Guided and Leaky Waves

2. Guided and Leaky Modes of Circular Dielectric Rod Waveguides

Guided Modes of Circular Dielectric Rod Waveguides A Review

Existence of Leaky TM0n Mode Below Guided Mode Cutoffs

Comparison Between Leaky TM0n and TE0n Modes

Effect of Design Parameters: Dielectric Constant and Radius

Lossy Effects on Modal Propagation Characteristics

Mode Coupling Phenomena of Leaky Modes

Attenuation Constants of Guided Modes

New Transition Region Between Guided and Leaky Modes

3. Guided and Leaky Modes of Plasma Column Waveguides

Plasma Column Waveguides

Guided Modes of Plasma Column Waveguides A Review

Leaky Mode Characteristics of Plasma Column Waveguides

Suggested Electrically Reconfigurable Self Sustained Plasma Column

Leaky Wave Antennas Basic Concept

4. Guided and Leaky Modes of Metamaterial Column Waveguides

Ideas and Realizations

Terminologies and Basic Properties

Trends and Perspectives

Effective Medium Approach

Metamaterial Waveguiding Structures

Guided Mode Characteristics of Metamaterial Columns Waveguides 103

Frequency Independent Metamaterials

Dispersive Metamaterials: Identical Plasmonic Model

Dispersive Metamaterials: Dissimilar Plasmonic Model

Dispersive Metamaterials: Pendrys Model

Leaky Mode Characteristics of Metamaterial Column Waveguides

Frequency Independent Metamaterials

Dispersive Metamaterials: Dissimilar Plasmonic Model

Dispersive Metamaterials: Pendrys Model

5. Summary, Perspectives, and Future Work

Perspectives and Future Work

Flexible Circular Dielectric Waveguide

Figure 1.7: Examples of open electromagnetic waveguides for planar microwave or

Figure 4.16: Dielectric and magnetic constants of dispersive material following

Figure 4.24: Guided dispersion characteristics of metamaterial column for TM-like

Figure A.1: Geometry of circular dielectric waveguides in cylindrical geometry: (a)

Figure A.5: Dielectric losses of various flexible waveguides.

Figure A.6: Radiation losses of various flexible waveguides.

Figure B.1: Geometry and its cylindrical coordinate system ( r , , z ) associated

1.1. Development of Electromagnetic Wave Technologies

The mathematical plane electromagnetic waves in Figure 1.2 have transverse

1.2. Open Electromagnetic Waveguiding Structures

Figure 1.5: Earth-ionosphere waveguiding system as example of closed waveguide. An

Planar-type open electromagnetic waveguides have already been extensively

Figure 1.7: Examples of open electromagnetic waveguides for planar microwave or

1.3. Guided and Leaky Waves

The mathematically improper character of leaky waves is derived from their

1.4. Thesis Overview