Post-print of: Warecka M., Lech R., Kowalczyk P.

: Efficient Finite Element Analysis of Axially Symmetrical Waveguides and

1
Waveguide Discontinuities. IEEE TRANSACTIONS ON MICROWAVE THEORY AND TECHNIQUES. Vol. 67, iss. 11
(2019), pp. 4291–4297. DOI: 10.1109/TMTT.2019.2940021

Efficient Finite Element Analysis of Axially

Symmetrical Waveguides and Waveguide
Discontinuities
Malgorzata Warecka, Rafal Lech, Senior Member, IEEE, and Piotr Kowalczyk, Member, IEEE

Abstract—A combination of the body-of-revolution and finite

element methods is adopted for full-wave analysis of waveguides
and waveguide discontinuities involving angular field variation.
Such an approach is highly efficient and much more flexible than
analytical techniques. The method is performed in two different
cases: utilizing a generalized impedance matrix to determine
the scattering parameters of a single waveguide section, and
utilizing periodic boundary conditions without sources. In order
to confirm the validity and efficiency of both approaches a few
examples of axially symmetrical structures have been analyzed. (a)
The obtained results are compared to those obtained from
commercial software and available in the literature.
Index Terms—Cylindrical waveguides, Dispersion diagrams,
Finite element method, Generalized impedance matrix, Meta-
materials, Periodic boundary conditions.
(b)

I. I NTRODUCTION
XIALLY symmetrical structures (see. Fig. 1) have been
A widely used in microwave technology and optics for
many years. For instance, cylindrical waveguides containing (c)
different types of discontinuities are commonly applied in pas-
Fig. 1. Axial cross section of (a) Microwave filter (b) Slow-wave periodic
sive filtering devices [1]–[4]. In the last few decades, periodic structure (c) Circular waveguide with electron beam.
structures known as electric or photonic band-gap materials
have also become very popular due to their wide practical
applications. Such structures can support left-handed waves
as well as backward and slow waves. The specific properties many practical cases such an approach is not sufficiently
of these systems can be utilized for miniaturization of waveg- flexible. More sophisticated techniques, e.g. boundary integral-
uides or modification of their operating band [5]–[9]. Special resonant-mode expansion (BI-RME) [12], [13], can be used
attention should also be given to their application in electron for more complicated geometries, however their application is
beam devices such as gyrotrons, magnetrons, travelling-wave less general than discrete numerical techniques, which have
tubes, backward-wave oscillators, gyro-travelling-wave tubes recently become the most popular analysis methods. Usually,
and accelerators, where the structure is composed of periodic commercial full-wave simulators based on the finite difference
metal-dielectric layers [10], [11]. The interaction of an electron (FD) or finite element method (FEM) require a discretization
beam with the fields supported in a slow-wave structure gives of the whole three dimensional computational domain inside
these structures potential for THz devices. the structure. For complex geometries, especially containing
For a structure with a simple geometry an analytical method thin metal-dielectric layers, the discretization must be fine,
(e.g. mode matching) can be applied [7], [8], however in which results in time and memory-consuming analysis. In such
cases the optimization of the structure (which requires many
This work was supported in part from sources of project ”EDISOn - simulations for different parameters) can be inefficient.
Electromagnetic Design of flexIble SensOrs” carried out within the TEAM-
TECH programme of the Foundation for Polish Science co-financed by the It is well known that the structures of axial symmetry can
European Union under the European Regional Development Fund, Smart be analyzed much more simply, taking advantage of the fixed
Growth Operational Programme 2014–2020 and under funding for Statutory angular variation of the fields - Body-Of-Revolution (BOR).
Activities for the Faculty of Electronics, Telecommunication and Informatics,
Gdansk University of Technology. This feature is widely described in the literature and applied
M. Warecka, R. Lech and P. Kowalczyk are with the Department of for many different issues involving radiation, propagation
Microwave and Antenna Engineering, Faculty of Electronics, Telecommu- and scattering problems [5], [14]–[20], and for FEM [21]–
nications and Informatics, Gdansk University of Technology, Gdansk 80-
233, Poland (e-mail: [email protected], [email protected], [31]. However, to the authors’ best knowledge, the BOR
[email protected].) approach for periodic and quasi-periodic guiding structures
© 2019 IEEE. Personal use of this material is permitted. Permission from IEEE must be obtained for all other uses, in any current or future media, including reprinting/republishing this material
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 2

has not been presented in combination with FEM. A recently Ez (ρ, z)i~z . Then, directly from the Maxwell equations one
published paper [6] considers this problem only for the case obtains:
with no angular variation (suggesting that the generalization    
∇~ t × µ−1 ~ ~ ~ −1 ~
r ∇ϕ × Et + ∇t × µr ∇t × Eϕ
~
to arbitrary variation is not possible) which is useless from a
practical point of view. ~ϕ = 0
−k02 εr E (2)
In this paper, a combination of BOR and FEM is adopted for
full-wave analysis of waveguides and waveguide discontinu- and
ities (involving angular field variation, in opposite to [6]). Such    
~ t × µ−1
∇ ~ ~ ~ −1 ~
r ∇t × Et + ∇ϕ × µr ∇t × Eϕ
~
an approach is highly efficient and much more flexible than
analytical techniques. The proposed method is performed in
 
+∇~ ϕ × µ−1
r ∇~ ϕ × ~
E t
~t = 0
− k02 εr E (3)
two different cases. The first involves a generalized impedance
matrix (GIM) to determine the scattering parameters of a ~ t = ~iρ ∂ + ~iz ∂ and ∇ ~ ϕ = ~iϕ ∂ .
where the operators ∇ ∂ρ ∂z ∂ϕ
single waveguide section. Such results can be used to analyze
The relative permittivity and permeability of the structure are
structures composed of the same or different sections (involv-
represented by εr and µr , respectively, and k0 is a vacuum
ing quasi-periodic or even periodic structures). The second
wavenumber. A weak form of the considered problem can
method, based on periodic boundary conditions and no sources
be obtained (similarly to [33], [34]), taking into account
(modal analysis), can be applied to periodic structures, and
assumption (1), for scalar component Eϕ (ρ, z)
becomes more efficient than the first for short and complex ZZ
sections. jm h ~ ~
i
− ∇t (ρFϕ ) · µ−1
r Et dρdz
In order to confirm the validity and efficiency of both ρ
S
approaches, a few examples of axially symmetrical structures ZZ
have been analyzed. The obtained results have been compared −k02 ρFϕ εr Eϕ dρdz
with those obtained from commercial software and available
in the literature. Z Z S h
1 ~  
~
i
It is worth noting that the proposed approach can be easily + ∇t (ρFϕ ) · µ−1
r ∇t (ρEϕ ) dρdz
ρ
combined with techniques which can significantly improve S
the efficiency of the analysis and optimization process. One 2 Z
X
example is the model order reduction [32], which is useful +jωµ0 ~ tp ) · ~ip ρdρ = 0
Fϕ (~iϕ × H (4)
Lp
when the analysis is performed in a wide frequency band. p=1
Another example is based on a hybridization of the FEM with ~t (ρ, z)
and for vector component E
modal expansion techniques and utilizing surface impedance.
If the structure involves homogeneous regions, then the field
ZZ
~ t × F~t ) · (µ−1
ρ(∇ ~ ~
r ∇t × Et ) dρdz
inside these regions can be expressed in analytical terms,
which also improves the efficiency of the simulation [6], [33], S
ZZ
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[34]. Moreover, in the optimization process mesh morphing −k02 ρF~t · εr E

~t dρdz
algorithms [35] can be applied to avoid step changes in the
results caused by slight modifications of the generated mesh ZZS
jm ~ h −1 ~ i
for different simulation parameters. + Ft · µr ∇t (ρEϕ ) dρdz
ρ
S
m2 ~
ZZ
II. F ORMULATION OF THE P ROBLEM + Ft · (µ−1 ~
r Et ) dρdz
ρ
S
Symmetric structures have some special features that can 2 Z
be used to improve the efficiency of analysis. In this article,
X
+jωµ0 ρ(F~t × H
~ ϕ ) · ~ip dρ = 0. (5)
a section of a cylindrical waveguide with a symmetry axis p=1 Lp
is considered. In this case, the structure can be analyzed in
cylindrical coordinates in a two dimensional domain (ρ, ϕ) where Fϕ and F~t are testing functions. The computational
which is ”rotated” around the mentioned axis (see Fig. 2). domain S is bounded by L, which consists of two ports,
The variation of the electric (and magnetic) field along ϕ can L1 and L2 , the axis of the structure La and the waveguide
be expressed as boundary Lb (see Fig.2). The unit vectors i~p are normal
~ tp and
(outside) to the ports’ cross sections, and functions H
~ ϕ, z) = E(ρ,
E(ρ, ~ z)ejmϕ , (1) ~ p
Hϕ represent excitation in these ports.

where m is an arbitrary integer number (mode number). For

the investigated axially symmetrical structures the analysis can A. Calculation of Scattering Parameters with the Use of GIM
be performed separately for each m. The main idea of the GIM is based on finding the relation
In the first step, the fields must be separated into two com- between the electric and magnetic fields at the ports of the
ponents E ~ ϕ (ρ, z) = Eϕ (ρ, z)~iϕ and E~t (ρ, z) = Eρ (ρ, z)i~ρ + structure. Let us assume that the fields at the ports are
 3

r where global matrices G and B can be obtained from the

aggregation of proper local matrices [33]:
" #
Lb [n] [n]
[n] Gt,t Gt,ϕ
G = [n] [n] (13)
Gϕ,t Gϕ,ϕ
L1 S L2 and
" #
[n],1 [n],1 [n],2 [n],2
[n] Bt,T E Bt,T M Bt,T E Bt,T M
i1 La i2 z B = [n],1 [n],1 [n],2 [n],2 , (14)
Bϕ,T E Bϕ,T M Bϕ,T E Bϕ,T M
where the submatrices are described in Appendix B.
From the projection of the electric field at the ports on the
basis (7), another simple system of equations can be obtained
Fig. 2. Example of a two-dimensional computational domain for BOR  
combined with FEM. Φ
BH = ∆V, (15)
Ψ

expressed by the modal basis obtained for the regular circular where
waveguide ∆ = diag{∆T1 E , ∆T2 E , . . . , ∆T1 M , ∆T2 M , . . . } (16)
Q
~p =
X and
E ξ (VqT E,p~eTξ,qE,p + VqT M,p~eTξ,qM,p ), (6) Z    ∗
(·) (·)
q=1 ∆q(·) = (·)
~et,q + ~eϕ,q · ~ht,q + ~hϕ,q
(·)
ρdρ. (17)
Q
X L
~p =
H (IqT E,p~hTξ,qE,p + IqT M,p~hTξ,qM,p ), (7) Finally, the relations (12) and (15) can be combined into a
ξ
q=1 single formula:
where Q is the number of modes considered in the ports, jωµ0 BH G−1 BI = ∆V, (18)
(·),p (·),p
p = {1, 2} is a port number, and ~eξ,q and ~hξ,q are defined
in Appendix A for ξ = {t, ϕ}. In such a case any electric field which determines the GIM as follows:
at the ports is unambiguously defined by the set of coefficients Z = jωµ0 ∆−1 BH G−1 B. (19)
V = [V1 , V2 ]T , where
From the above GIM Z, a multi-mode scattering matrix
Vp = [V1T E,p , . . . , VQT E,p , V1T M,p , . . . , VQT M,p ]T (8) S of the waveguide section can be obtained [38]. Both Z
and S are of dimensions 4Q × 4Q (Q modes for TE and
and similarly a magnetic field by set I = [I1 , I2 ]T , where TM for each port). Next, such a matrix can be utilized to
construct more complicated structures composed of the same
Ip = [I1T E,p , . . . , IQ
T E,p T M,p
, I1 T M,p T
, . . . , IQ ] . (9)
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or different sections (eg. periodic/quasi-periodic structures or

Hence, the GIM represented by matrix Z is the relation waveguide filters). In the case of periodic structures, the simple
between these coefficients: rule described in [39] can be applied to find the structure
propagation coefficients from the scattering matrix of a unit
V = ZI. (10) cell, which boils down to solving a matrix eigenvalue problem
with respect to the propagation coefficient. In the case of other
In order to obtain this matrix the FEM can be utilized, as has filtering structures, a cascading formula of multimode scatter-
been widely described in the literature [33], [36]. ing matrices [40] can be utilized to calculate the structure
Let us assume that the electric field in the discretized region responses.
can be expressed utilizing standard hierarchical (scalar and
[n] ~ [n] of the second order:
vector) basis functions [37] α(·) and W (·)
B. Periodic Boundary Conditions with No Sources
N X
6 N X
8 In some cases, especially for periodic structures with short
[n] [n] [n] ~ [n]
X X
Eϕ = Ψ(i) α(i) , ~t =
E Φ(i) W (i) , (11) unit cell sections with complex geometry, the approach pre-
n=1 i=1 n=1 i=1 sented in the previous paragraph can be inefficient or even
where n = 1, . . . , N is the element number with N being the ineffective due to the huge number of modes required to
total number of elements, i represents the local node/edge, properly describe a waveguide section. In such a case, the
[n] [n] scattering matrix can be numerically ill-conditioned and it is
and Ψ(i) and Φ(i) are unknown coefficients for the scalar and
vector components, respectively. Starting from the weak form better to introduce periodic boundary condition (PBC), which
of the problem (4) and (5) a simple system of equations can does not involve modal expression of the fields in the ports.
be obtained (in analogy to [33]): The implementation of PBC is based on the elimination of
  the sources in (12)  
Φ Φ
G = jωµ0 BI, (12) G =0 (20)
Ψ Ψ
 4

and requires a rearrangement of the unknown variables in p2

p1 p1 p1
vectors Φ and Ψ (similarly to the approach proposed in [21]).
The fields at the left port (L1 ) are denoted by ΦL and ΨL , r
whereas at the right port (L2 ) by ΦR and ΨR . Moreover, they h1

PEC

PEC
h h
are linked by the following relation
    h2 r
ΦR ΦL −γp
= e , (21)

PEC
ΨR ΨL
a a a
where γ = α + jβ represents the propagation coefficient and
p the length of the unit cell (the period). The other elements of er
the vectors Φ and Ψ must also be segregated into two groups.
The first one contains fields inside the numerical domain ΦI
and ΨI , the second one fields at the boundary described by
Dirichlet conditions ΦD and ΨD (which eventually can be p p p
neglected). Finally, the system (20) can be reformulated to a (a) (b) (c)
more convenient matrix equation:
  Fig. 3. Axial cross sections of single cells in the considered structures.
ΦI
  ΨI 
 
 2
GII GIL GIR GID  ΦL  
 1.8
 GLI GLL GLR GLD   ΨL 
 GRI GRL GRR GRD   ΦR  = 0. (22)
   1.6
  1.4
GDI GDL GDR GDD   ΨR 

1.2
 ΦD 
(b/k0 ) 2

1
ΨD 0.8

After some algebra, involving relation (21), the above system 0.6

can be reduced to a simple generalized matrix eigenvalue 0.4

problem 0.2
1 1 1 1 1 1 2
0
TE 1 TM 0 TE 2 TM 1 TE 0 TM 2 TM 0
    2 2.5 3 3.5 4 4.5 5 5.5 6
  ΦI   ΦI k0 a
GII GIL   ΨI  = −e−γp 0
 GIR  ΨI 
 .
GRI 0  ΦL  GLI GLL + GRR  ΦL  Fig. 4. Dispersion characteristics of periodic structure composed of cells
ΨL ΨL presented in Fig. 3(a) (GIM - red line, PBC - red circles, HFSS - green
diamonds, [6] - blue triangles).
(23)
A solution of this problem provides the characteristic dis-
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persion of the considered mode and the corresponding field

approaches, with the use of Q = 10 modes for GIM, which
distribution inside the structure.
was sufficient to obtain accurate results. The increase of mesh
density and number of modes does not significantly reduce
III. N UMERICAL R ESULTS the convergence error but increases the analysis time. The
In order to confirm the validity of the proposed approach results are compared with those obtained from the HFSS 3D
three structures of different geometries were examined (see commercial software and with those from [6] for m = 0.
Fig. 3). The algorithm was implemented in the Matlab envi- All of the results are in excellent agreement, however the
ronment, and all of the tests were performed using an Intel(R) computational time of 2D analysis was shorter by about two
Core i7-2600K CPU 3.40 GHz, 16 GB RAM computer. The orders of magnitude than the full 3D simulation.
results were validated by comparison with those obtained from As the second example, a dielectric and metal-loaded pe-
commercial software and the literature. riodic circular waveguide [8] was considered (see Fig. 3(b))
The first considered structure was a periodic waveguide for two different unit cell lengths p. The dimensions of this
whose axial cross sections are presented in Fig. 3(a), and the structure are as follows a = 9 mm, h = 3 mm, p = 0.5
dimensions are p = 13.1125 mm, a = 50 mm, p1 = 2.6225 mm or p = 10 mm, p1 = 0.1p and the relative permittivity
mm, p2 = 7.8675 mm, h1 = 2.025 mm and h2 = 6.075 mm. of the dielectric is εr = 15. In the cases of p = 0.5
The structure is presented in [6], however only for m = 0 mm, due to the short length of the unit cell, the approach
since the authors claim that a two-dimensional analysis is involving GIM is ineffective. The high complexity of the
not sufficient for m 6= 0 and it requires three dimensional fields at the ports requires a huge number of modes and the
discretization. As is shown here, this requirement is unnec- computation of the scattering matrix can be numerically ill-
essary and the dispersion characteristics (for different values conditioned so it is better to introduce PBC, which does not
of m) obtained from the proposed approach are presented in involve modal expressions of the fields in the ports. The results
Fig. 4. The simulation was performed for a 2D mesh composed presented in Fig. 5 obtained in the analysis involving PBC
of N = 2416 triangular elements involving PBC and GIM (with N = 1060 for p = 0.5 mm triangular elements - see
 5

Fig. 7. Scattering parameters of TE11 mode for a single cell from Fig. 3(c)
and different rounding radii: r = 0 mm (GIM - solid line, InventSim -
squares), r = 2.38 mm (GIM - dashed line, InventSim - diamonds).

Fig. 5. Dispersion characteristics of periodic structure composed of cells

presented in Fig. 3(b) for different unit cell lengths: p = 0.5 mm (PBC -
crosses, [8] - downward pointing triangles), p = 10 mm (GIM - solid line,
PBC - circles, [8] - upward pointing triangles).

Fig. 8. Normalized propagation coefficients versus frequency for the periodic

structure from Fig. 3(c) and different rounding radii: r = 0 mm (GIM - solid
line, PBC - circles), r = 2.38 mm (GIM - dashed line, PBC - crosses).

presented in Fig. 7. Also, the results obtained in the analysis

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of the periodic structure involving both GIM and PBC methods

Fig. 6. Meshes for the structure presented in Fig. 3(b) for different unit cell are in excellent agreement (see Fig. 8). As can be seen, the
lengths: p = 10 mm and p = 0.5 mm. roundings can significantly affect the dispersion characteristics
of this simple structure (e.g. modifying its bands). Similarly
to the previous examples the computation time in the case of
Fig. 6) are in excellent agreement with those obtained with 2D analysis was about two orders of magnitude shorter than
the mode matching technique and verified experimentally in in commercial software.
[8]. For longer cells (p = 10 mm) in the periodic structures
it was sufficient to utilize Q = 10 modes for GIM analysis to
obtain consistent results (with N = 4799 triangular elements). IV. C ONCLUSION

The last structure was a corrugated empty waveguide with A two-dimensional FEM has been utilized to investigate
rounded edges, as is shown in Fig. 3(c). Such common guides axially symmetrical guiding structures. The utilization of BOR
are usually considered only for sharp edges [4] even though the significantly improves the efficiency of the discrete analysis
roundings are very important from a practical point of view reducing the computational time by up to two orders of
(for example, due to the manufacturing technology or high magnitude. This attribute makes this technique comparable
power transmission). The analysis was performed for a = 25 to the analytical approaches while maintaining great flexi-
mm, h = 11 mm, d = 5 mm, p = 15 mm and different values bility of the algorithm with respect to structure geometry.
of radii: r = 0 mm (with N = 1561 triangular elements) The proposed approaches allow the study of periodic/quasi-
and r = 2.38 mm (with N = 1850 triangular elements). periodic structures as well as whole devices composed of
The scattering matrix for (Q = 6 modes) obtained using different waveguide sections. The validity and efficiency of
the GIM approach agrees very well with the one from the the presented technique have been verified, which confirms its
3D InventSim analysis - scattering parameters for TE11 are usefulness for the design and optimization process.
 6

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[22] A. D. Greenwood and J.-M. Jin, “Finite-element analysis of complex ax- Malgorzata Warecka received the MScEE degree
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simulation of bor scattering and radiation using a higher order fem,” Faculty of Electronics, Telecommunications and In-
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[24] G. Gentili, P. Bolli, R. Nesti, G. Pelosi, and L. Toso, “High-order fem Engineering, Gdansk University of Technology. Her
mode matching analysis of circular horns with rotationally symmetric current research interests include scattering and
dielectrics,” IEEE Trans. Antennas Propag., vol. 55, no. 10, pp. 2915– propagation of electromagnetic wave problems, al-
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Trans. Antennas Propag., vol. 57, no. 9, pp. 2798–2803, Sept. 2009. Rafal Lech (M’14-SM’17) was born in Elblag,
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for inhomogeneous axisymmetric resonators,” Prog. Electromagn. Res., (with honors) and D.Sc. degrees from the Gdansk
vol. 21, pp. 189–201, 2010. University of Technology, Gdansk, Poland, in 2001,
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complex bodies of revolution buried and partly buried in layered lossy neering, Faculty of Electronics, Telecommunications
media,” IEEE Trans. Geosci. Remote Sens., vol. 49, no. 4, pp. 1431– and Informatics, Gdansk University of Technology.
1440, Apr. 2011. His main research interests are electromagnetic wave
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structures with constant axial ratio by body-of-revolution finite element Piotr Kowalczyk (M’19) was born in Wejherowo,
method and transformation optics,” Int. J. Microw. Wirel. Technol., pp. Poland, in 1977. He received the M.Sc.E.E. degree
501–508, Jun. 2019. in applied physics and mathematics, Ph.D. (with
[32] M. Czarniewska, G. Fotyga, A. Lamecki, and M. Mrozowski, honors) and D.Sc. degrees in electrical engineering
“Parametrized local reduced-order models with compressed projection from the Gdansk University of Technology, Gdansk,
basis for fast parameter-dependent finite-element analysis,” IEEE Trans. Poland, in 2001, 2008 and 2018, respectively. He is
Microw. Theory Tech., vol. 66, no. 8, pp. 3656–3667, Jun. 2018. currently with the Faculty of Electronics, Telecom-
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plane wave scattering from a cylindrical object with an arbitrary cross crowave and Antenna Engineering, Gdansk Univer-
section using a hybrid technique,” J. Electromagn. Waves Appl., vol. 33, sity of Technology. His current research interests in-
no. 2, pp. 178–192, 2018. clude scattering and propagation of electromagnetic
[34] J. Rubio, J. Arroyo, and J. Zapata, “Analysis of passive microwave wave problems, algorithms, and numerical methods.
circuits by using a hybrid 2-D and 3-D finite-element mode-matching
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