Application of the Theory of Characteristic Modes to Antenna Analysis and Design

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In modern applications, such as smart phones and automotive communication systems, there is an ever growing
demand to support multiple wireless communication protocols over a wide frequency range, resulting in the use of
several different antennas. Furthermore, as the need for higher data rates steadily grows, more and more applications
rely on MIMO operation which requires decoupled antennas. Simultaneously, modern devices have a high degree of
integration, in particular with respect to the antennas, to fulfil the requirements of usability and aesthetics. In the end,
this means that a lot of (decoupled) antennas have to be placed in a confined space. A promising approach to tackle
these conflicting issues is the application of the Theory of Characteristic Modes.

This theory has proved to be a valuable tool in antenna engineering. The complex current distribution of an arbitrarily
shaped antenna is decomposed into a set of orthogonal modes. These characteristic modes consist of real surface
current densities (characteristic currents) and their corresponding electromagnetic fields (characteristic fields) which
are oftentimes much easier to understand than the total current distribution. This allows the antenna engineer to gain
deeper insight into the radiation mechanisms of the antenna without placing any driving ports and enables him/her to
manipulate the antenna structure and place excitations in order to obtain desired radiation properties.

Overview

The n-th characteristic mode of an antenna is described by an eigenvalue λn and an eigenvector or eigencurrent In.
They are obtained by solving the following generalized eigenvalue equation:
XIn=λnRIn

This equation contains the real part R and the imaginary part X of a complex impedance matrix Z. Typically, the
Method of Moments (MoM) is used to obtain the impedance matrix of the antenna structure.
By examining the eigenvalues and characteristic currents, the antenna engineer can decide which modes are suitable
for his/her application. An eigenvalue close to zero generally means that the mode has good radiation performance.
Inspecting the characteristic currents yields information on how to excite a desired mode or how to manipulate it, e. g.
to shift its resonant frequency.

If an antenna is driven by a port, the total surface current I of the antenna structure is a weighted linear superposition
of its characteristic currents:
I=∑nαnIn=∑nIHn⋅V1+jλnIn

The coefficient αn is called modal weighting coefficient and describes the contribution of the n-th mode to the total
current density. It depends on the eigenvalue λn and the modal excitation coefficient, which is the scalar product of
the characteristic current In and MoM-excitation-vector V. This allows the antenna engineer to assess how well a
desired mode is excited by the port.
It is now obvious that the Theory of Characteristic Modes has several interesting features which can be leveraged by
engineers for present-day and future antenna applications. As described above, it can be used to analyze a given
antenna structure and determine how to manipulate it or where to place feed ports in order to achieve a desired
performance. Based on this, it is even possible to excite several modes together for multiband operation. Another
approach is to selectively excite different modes in order to obtain a multi-port antenna for MIMO applications.

Although the Theory of Characteristic Modes was derived by Garbacz and Harrington in the early 1970s,
research interest in the topic really started only during the last ten years. While the basic theory is
understood quite well, there are still several issues regarding the characteristic mode computation, like
eigenvalue tracking, that need to be addressed. On top of that, there is a lack of reliable commercial
software tools for mode computation. That is why there is still need for basic research in the field of
characteristic mode computation.

Characteristic Mode Computation with Method of Moments

Since a few years ago there were no suitable software tools available for the characteristic mode
computation, an in-house tool called CMC (Characteristic Mode Computation) was developed in MATLAB
for the simulation of small antennas consisting of perfectly electrically conducting bodies. Over the years,
this tool has evolved into a full characteristic mode computation tool including a graphical user interface
with CAD capabilities and capable of calculating the characteristic modes of perfect electric conductors and
dielectric bodies.

In-house Software CMC

In addition to the basic research in the field of characteristic mode computation, there are several advanced
techniques regarding the computation and manipulation of characteristic modes investigated and utilized at
HFT. The most important of these techniques is the eigenvalue tracking which is necessary if the
characteristic modes are evaluated at different frequencies. Another useful technique is the source
reconstruction which enables the antenna engineer to reconstruct the characteristic modes of an antenna
based on its total radiated far field. If the manipulation of characteristic modes is focused, reactive loading
may be a promising alternative to changing the antenna’s geometry.

The in-house software CMC has evolved over the years into a comprehensive and versatile
tool for the computation of characteristic modes. In the following article, the basic workflow
when working with CMC and its capabilities are explained.

After a project has been created, the first step is to build a model. This is done in the CAD
view shown in Fig. 1. For the creation of a complex antenna structure, basic geometric
objects are available which may be modified by moving operations (translate, rotate, mirror
etc.) and Boolean operations (merge, cut etc.). More sophisticated models can make use of
local coordinate systems. Alternatively, existing models may be imported as STL-files. Other
important features are the placement of excitation ports (lumped port, plane wave) and
lumped elements and the assignment of material properties (conductivity, permittivity,
permeability).
 Fig.1:
CAD view of CMC

The next step is the meshing of the structure. This is done in the mesh view shown in Fig. 2.
Meshing consists of compiling the CAD structure, meshing it with triangles and defining the
RWG basis functions.

Fig.2:
Mesh view of CMC
In the simulation view (Fig. 3), the simulation parameters are set. This includes the frequency
range and the number of points. The integral equation, which the Method of Moments solver
is based on, has to be chosen according to the structure’s geometry and material properties.
Additionally, different MATLAB functions for solving the generalized eigenvalue equation
are selectable. For far field calculations, the angular resolution has to be set.

Fig.3:
Simulation View of CMC

Finally, the different simulation results may be inspected in the result view (Fig. 4). The
eigenvalues of the structure and other modal parameters can be plotted over frequency.
Three-dimensional plots of the total and modal surface current densities and far field patterns
are available as well. For advanced post processing, all simulation parameters and results are
accessible from the MATLAB command window.
 Fig.4:
Result View of CMC

With CMC, HFT has participated in several benchmark programs initiated by the
characteristic mode research community in order to evaluate the state of the art of
characteristic mode computation.

Advanced Techniques for the Computation of Characteristic Modes

As already mentioned above, the Theory of Characteristic Modes has several attractive features for
antenna design. It is particularly insightful when multiband or MIMO antennas are to be designed. HFT
uses the Theory of Characteristic Modes for a wide range of applications like mobile communications and
automotive antennas.

If during the design process a set of suitable modes has been identified for a given application, the
question remains how to excite these modes. There are various ways of effectively exciting a characteristic
mode. The actual implementation depends on the application, i. e. if several modes are to be excited
simultaneously (for multiband operation) or if modes are to be excited independent of each other (for MIMO
operation).

An overview of advanced modal techniques investigated and utilized at HFT are presented in
this article. It comprises eigenvalue tracking, source reconstruction and reactive loading.

Eigenvalue tracking is one of the most important problems still not completely solved in the
computation of characteristic modes. In general, the impedance matrix of the antenna
structure varies over frequency. Therefore, the characteristic modes are frequency dependent
as well. Since the characteristic mode computation is based on the Method of Moments, the
modes are calculated for each frequency separately. The task of eigenvalue tracking is to
trace the eigenvalues calculated at different frequencies over the whole frequency band of
interest.

Fig.1: Eigenvalue tracking (left:unsorted, right: sorted)

Figure 1 shows the eigenvalues of a rectangular PEC plate with dimensions 120 mm x 60 mm
calculated with our in-house software CMC. In Fig. 1a, the raw eigenvalues are plotted as
they are calculated at each frequency step. Applying a tracking algorithm to these unsorted
eigenvalues (included in CMC) yields the plausible eigenvalue curves as shown in Fig.
1b. However, there are cases where the tracking may fail. For instance, if two modes have
the same eigenvalue at a given frequency (degenerate modes), a tracking error may occur,
depending among other parameters on the frequency spacing and the chosen tracking
algorithm. That is why there is still demand for further research and more sophisticated
tracking algorithms.

The source reconstruction method is motivated by the fact that commercial software tools
like Empire XPU are usually used for antenna design, but since an impedance matrix is
generally not available in such tools (e. g. Empire XPU uses the finite-difference time-
domain method), the characteristic modes cannot be calculated from the simulation models.
In order to overcome this drawback, the source reconstruction technique was developed.

The basic idea is to compare the radiated far field of the complete simulation model with the
characteristic far fields of a simplified model whose characteristic modes can be calculated
with the Method of Moments. It is assumed that the simplified model has the same
characteristic modes as the complete model. By correlating the total radiated far field of the
complete model and the far fields of the characteristic modes, the modal weighting
coefficients can be reconstructed, thus yielding the significant characteristic modes of the
complete model.

Reactive Loading is a technique that concerns the manipulation of the characteristic modes. If
for example a given antenna structure has a suitable characteristic mode which is, however,
resonant at the wrong frequency, how can the structure be manipulated in order to shift the
mode to the desired resonant frequency? One possible solution to this problem without
changing the structure’s geometry is the loading of the structure with lumped reactive loads.

Such loading has a direct impact on the Method of Moments impedance matrix and thus
changes the characteristic modes. If placed properly, the lumped elements may affect only
certain modes while others remain unimpaired.

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Corresponding Lectures
Antennas

Propagation of Electromagnetic Waves

Responsible Research Assistants

M.Sc. Nikolai Peitzmeier

 Last Change: 18.07.17

 M.Sc. Nikolai Peitzmeier

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Excitation of Characteristic Modes

In recent years, coupling elements have found widespread use for the excitation of
characteristic modes. These coupling elements may be classified as capacitive if they
primarily couple to the electric field of a characteristic mode or as inductive if they primarily
couple to the surface current of a characteristic mode.Capacitive coupling elements are
generally defined as electrically small or resonant structures which are located in close
vicinity to the actual antenna, thus forming some kind of capacitor. Effective coupling is
achieved if the coupler is placed where the electric field of the desired characteristic mode
has a maximum. This corresponds to a current minimum.

Capacitive coupling is especially suitable for the excitation of several characteristic modes. If
e. g. a rectangular plate is considered, most characteristic modes have current nulls in the four
corners. These modes may be excited simultaneously if a capacitive coupler is placed in one
of the corners. As the excited modes in general have different resonant frequencies,
broadband or multi-band operation can be achieved.Inductive coupling is obtained by small
current loops which couple to the characteristic current of a mode primarily via the magnetic
field (inductively). Such couplers are typically realized as electrically small (non-resonant)
slots within the antenna structure. The coupling is most effective if the coupling element is
placed where the surface current has a maximum.

Inductive coupling is a promising alternative for the selective excitation of characteristic

modes in MIMO applications. In an iterative process, an inductive coupler is placed in a
maximum of the desired mode where the other significant modes have a current minimum.
This way, the desired modes can be excited with high purity and low mutual coupling.

Modern smart phones have to operate in a wide range of different frequency bands. Additionally, in some
of these bands multi-antenna operation is desired. The antennas needed have to be accommodated in the
confined space of current smart phone designs. A promising approach is to use the smart phone chassis
as the actual antenna. The Theory of Characteristic Modes provides the means to analyze the chassis and
identify appropriate modes. By utilizing capacitive and inductive coupling elements, a multi-band and/or
multi-port antenna system can be implemented.

Small Terminal Antenna Design based on the Theory of Characteristic Modes

In recent years, it has been shown that the Theory of Characteristic Modes is particularly
suitable for the design of small terminal antennas where the chassis itself is used as the main
radiator. In the following section, the basis workflow is explained, followed by practical
implementations.

When an initial antenna structure is given, for example a rectangular PEC plate representing a
typical smart phone chassis, the first step is usually the modal analysis of the structure. This
yields the eigenvalues and the characteristic currents. First, the eigenvalues are examined in
order to find the significant modes and their resonant frequencies. If the significant modes do
not fall into the desired frequency band, they may be manipulated e. g. by altering the
structure or introducing reactive loading. After that, the modal analysis is repeated and may
be followed by a further redesign until the eigenvalues show a satisfying behavior.
In the next step, the corresponding characteristic currents are evaluated in order to decide
how to excite the modes. Inductive or capacitive coupling elements are placed in current
maxima or minima, respectively. Depending on the application, modes may be excited
individually or simultaneously.

After port placement, the modal weighting coefficients are examined in order to assess how
well the desired modes are excited. In general, different ports should excite different (sets of)
modes. This may also be verified by evaluating the port correlation