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The number of degrees-of-freedom (NDoF) in a communication system is limited by the number of antenna ports, element shapes, positions, and the propagation environment. As the number of antenna elements increases within a given region, the NDoF eventually saturates due to correlation of the radiated fields. The maximal NDoF can be determined numerically for communication between two regions using singular value decomposition of a channel model representing wave propagation between densely sampled sources at the transmitter and fields at the receiver. This paper provides a straightforward analytical estimate of the NDoF for arbitrarily shaped transmitter and receiver regions. The analysis show that the NDoF for electrically large regions is approximated by the mutual shadow area of the regions, measured in wavelengths. Several setups illustrate the results, which are then compared with numerical evaluations of the singular values of the propagation channel. These new analytical expressions also simplify to previously established results based on Weyl's law and the paraxial approximation.

This paper presents an optimal synthesis of material distributions in obstacles for maximal extinction, scattering, or absorption. The material synthesis is based on an explicit construction utilizing the current distribution derived from physical bounds excited from the far-field. The bounds are expressed in radiation modes for materials restricted by their resistivity and characteristic modes for materials restricted by the contrast. The results are valid for arbitrary shapes, and analytical expressions are provided for spherical shapes.

Electromagnetic degrees of freedom are instrumental in antenna design, wireless communications, imaging, and scattering. Larger number of degrees of freedom enhances control in antenna design, influencing radiation patterns and directivity, while in communication systems, it links to spatial channels for increased data rates and reliability, and resolution in imaging. The correlation between computed degrees of freedom and physical quantities is not fully understood, prompting a comparison between classical estimates, Weyl's law, modal expansions, and optimization techniques. In this paper, it is shown that NDoF for arbitrary shaped radiating structures approaches the shadow area measured in squared wavelengths.

This paper presents radiation efficiency and gain bounds for microstrip patch antennas. The presented bounds are shown to be good predictors of antenna performance. Using the bounds, patch miniaturization techniques based on high permittivity substrates and geometrical shaping are compared. Further, a semi-analytic model is developed to approximate the bounds. Measurements are used to validate the bounds. Finally, maximum bandwidth of a microstrip patch antenna is linked to its maximum radiation efficiency.

The problem of substructure characteristic modes is reformulated using a scattering matrix-based formulation, generalizing subregion characteristic mode decomposition to arbitrary computational tools. It is shown that the scattering formulation is identical to the classical formulation based on the background Green's function for lossless systems. The scattering formulation, however, opens a variety of new subregion scenarios unavailable within previous formulations, including cases with lumped or wave ports or subregions in circuits. Thanks to its scattering nature, the formulation is solver-agnostic with the possibility to utilize an arbitrary full-wave method., Comment: 13 pages, 11 figures

The scattering formulation of characteristic mode decomposition is utilized to extend modal analysis to lossless scatterers breaking time-reversal symmetry. This enables characteristic modes analysis on devices containing gyrotropic or moving media. The resulting nonreciprocity introduces features not observed in reciprocal scenarios, such as asymmetric phase progression in characteristic far fields. These new phenomena are carefully discussed using examples of varying complexity. Indicators of nonreciprocity based on modal data are also introduced., Comment: 5 pages, 6 figures, 1 table

Characteristic modes of arbitrary two-dimensional periodic systems are analyzed using scattering parameter data. This approach bypasses the need for periodic integral equations and allows for characteristic modes to be computed from generic simulation or measurement data. Example calculations demonstrate the efficacy of the method through comparison against a periodic method of moments formulation for a simple, single-layer conducting unit cell. The effect of vertical structure and electrical size on the number of modes is studied and its discrete nature is verified with example calculations. % Additional examples verify the binary impact of vertical structure on the number of radiating characteristic modes. A multiband polarization-selective surface and a beamsteering metasurface are presented as additional examples., Comment: 11 pages, 11 figures

An iterative algorithm is adopted to construct approximate representations of matrices describing the scattering properties of arbitrary objects. The method is based on the implicit evaluation of scattering responses from iteratively generated excitations. The method does not require explicit knowledge of any system matrices (e.g., stiffness or impedance matrices) and is well-suited for use with matrix-free and iterative full-wave solvers, such as FDTD, FEM, and MLFMA. The proposed method allows for significant speed-up compared to the direct construction of a full transition matrix or scattering dyadic. The method is applied to the characteristic mode decomposition of arbitrarily shaped obstacles of arbitrary material distribution. Examples demonstrating the speed-up and complexity of the algorithm are studied with several commercial software packages., Comment: 5 pages, 2 figures, 2 algorithms

Characteristic modes are formulated using the scattering dyadic, which maps incident plane waves to scattered far fields generated by an object of arbitrary material composition. Numerical construction of the scattering dyadic using arbitrary full-wave electromagnetic solvers is demonstrated in examples involving a variety of dielectric and magnetic materials. Wrapper functions for computing characteristic modes in method-of-moments, finite-difference time domain, and finite element solvers are provided as supplementary material., Comment: 11 pages, 10 figures, with supplementary material (github)

Optimal inverse design, including topology optimization and evaluation of fundamental bounds on performance, which was introduced in Part~1, is applied to various antenna design problems. A memetic scheme for topology optimization combines local and global techniques to accelerate convergence and maintain robustness. Method-of-moments matrices are used to evaluate objective functions and allow to determine fundamental bounds on performance. By applying the Shermann-Morrison-Woodbury identity, the repetitively performed structural update is inversion-free yet full-wave. The technique can easily be combined with additional features often required in practice, \eg{}, only a part of the structure is controllable, or evaluation of an objective function is required in a subdomain only. The memetic framework supports multi-frequency and multi-port optimization and offers many other advantages, such as an actual shape being known at every moment of the optimization. The performance of the method is assessed, including its convergence and computational cost., Comment: 14 pages, 17 figures. Part 2 of two-parts paper. For Part 1, see arXiv:2110.08044

A memetic framework for optimal inverse design is proposed by combining a local gradient-based procedure and a robust global scheme. The procedure is based on method-of-moments matrices and does not demand full inversion of a system matrix. Fundamental bounds are evaluated for all optimized metrics in the same manner, providing natural stopping criteria and quality measures for realized devices. Compared to density-based topology optimization, the proposed routine does not require filtering or thresholding. Compared to commonly used heuristics, the technique is significantly faster, still preserving a high level of versatility and robustness. This is a two-part paper in which the first part is devoted to the theoretical background and properties, and the second part applies the method to examples of varying complexity., Comment: 11 pages, 8 figures, The first part of two-part paper

This is the second component of a two-part paper dealing with a unification of characteristic mode decomposition. This second part addresses modal tracking and losses and presents several numerical examples for both surface- and volume-based method-of-moment formulations. A new tracking algorithm based on algebraic properties of the transition matrix is developed, achieving excellent precision and requiring a very low number of frequency samples as compared to procedures previously reported in the literature. The transition matrix is further utilized to show that characteristic mode decomposition of lossy objects fails to deliver orthogonal far fields and to demonstrate how characteristic modes can be evaluated using the finite element method., Comment: 12 pages, 54 references, 10 figures. Portions of this previously appeared as arXiv:2109.00063v1, which has been split for publication. For Part 1, see arXiv:2109.00063v2

A unification of characteristic mode decomposition for all method-of-moment formulations of field integral equations describing free-space scattering is derived. The work is based on an algebraic link between impedance and transition matrices, the latter of which was used in early definitions of characteristic modes and is uniquely defined for all scattering scenarios. This also makes it possible to extend the known application domain of characteristic mode decomposition to any other frequency-domain solver capable of generating transition matrices, such as finite difference or finite element methods. The formulation of characteristic modes using a transition matrix allows for the decomposition of induced currents and scattered fields from arbitrarily shaped objects, providing high numerical dynamics and increased stability, removing the issue of spurious modes, and offering good control of convergence. This first part of a two-part paper introduces the entire theory, extensively discusses its properties and offers its basic numerical validation., Comment: 12 pages, 54 citations, 10 figures

Fundamental bounds on the performance of monochromatic scattering-cancellation and field-zeroing cloaks made of prescribed linear passive materials occupying a predefined design region are formulated by projecting field quantities onto a sub-sectional basis and applying quadratically constrained quadratic programming. Formulations are numerically tested revealing key physical trends as well as advantages and disadvantages between the two classes of cloaks. Results show that the use of low-loss materials with high dielectric contrast affords the highest potential for effective cloaking., Comment: 15 pages, 4 figures

Hybrid computational schemes combining the advantages of a method of moments formulation of a field integral equation and T-matrix method are developed in this paper. The hybrid methods are particularly efficient when describing the interaction of electrically small complex objects and electrically large objects of canonical shapes such as spherical multi-layered bodies where the T-matrix method is reduced to the Mie series making the method an interesting alternative in the design of implantable antennas or exposure evaluations. Method performance is tested on a spherical multi-layer model of the human head. Along with the hybrid method, an evaluation of the transition matrix of an arbitrarily shaped object is presented and the characteristic mode decomposition is performed, exhibiting fourfold numerical precision as compared to conventional approaches., Comment: 15 pages, 19 figures, 3 tables

Trade-offs between feasible absorption and scattering cross sections of obstacles confined to an arbitrarily shaped volume are formulated as a multi-objective optimization problem solvable by Lagrangian-dual methods. Solutions to this optimization problem yield a Pareto-optimal set, the shape of which reveals the feasibility of achieving simultaneously extremal absorption and scattering. Two forms of the trade-off problems are considered involving both loss and reactive material parameters. Numerical comparisons between the derived multi-objective bounds and several classes of realized structures are made. Additionally, low-frequency (electrically small, long wavelength) limits are examined for certain special cases., Comment: 16 pages, 9 figures

This paper reformulates and extends some recent analytical results concerning a new optical theorem and the associated physical bounds on absorption in lossy media. The analysis is valid for any linear scatterer (such as an antenna), consisting of arbitrary materials (bianisotropic, etc.) and arbitrary geometries, as long as the scatterer is circumscribed by a spherical volume embedded in a lossy background medium. The corresponding formulas are here reformulated and extended to encompass magnetic as well as dielectric background media. Explicit derivations, formulas and discussions are also given for the corresponding bounds on scattering and extinction. A numerical example concerning the optimal microwave absorption and scattering in atmospheric oxygen in the 60 GHz communication band is included to illustrate the theory., Comment: arXiv admin note: text overlap with arXiv:1908.09657

Two different versions of an optical theorem for a scattering body embedded inside a lossy background medium are derived in this paper. The corresponding fundamental upper bounds on absorption are then obtained in closed form by elementary optimization techniques. The first version is formulated in terms of polarization currents (or equivalent currents) inside the scatterer and generalizes previous results given for a lossless medium. The corresponding bound is referred to here as a variational bound and is valid for an arbitrary geometry with a given material property. The second version is formulated in terms of the T-matrix parameters of an arbitrary linear scatterer circumscribed by a spherical volume and gives a new fundamental upper bound on the total absorption of an inclusion with an arbitrary material property (including general bianisotropic materials). The two bounds are fundamentally different as they are based on different assumptions regarding the structure and the material property. Numerical examples including homogeneous and layered (core-shell) spheres are given to demonstrate that the two bounds provide complimentary information in a given scattering problem., Comment: 15 pages, 6 figures

The optimal spectral efficiency and number of independent channels for MIMO antennas in isotropic multipath channels are investigated when bandwidth requirements are placed on the antenna. By posing the problem as a convex optimization problem restricted by the port Q-factor a semi-analytical expression is formed for its solution. The antennas are simulated by method of moments and the solution is formulated both for structures fed by discrete ports, as well as for design regions characterized by an equivalent current. It is shown that the solution is solely dependent on the eigenvalues of the so-called energy modes of the antenna. The magnitude of these eigenvalues is analyzed for a linear dipole array as well as a plate with embedded antenna regions. The energy modes are also compared to the characteristic modes to validate characteristic modes as a design strategy for MIMO antennas. The antenna performance is illustrated through spectral efficiency over the Q-factor, a quantity that is connected to the capacity. It is proposed that the number of energy modes below a given Q-factor can be used to estimate the degrees of freedom for that Q-factor., Comment: 13 pages, 17 figures

A recently introduced technique of topology sensitivity in method of moments is extended by the possibility of adding degrees-of-freedom (reconstruct) into underlying structure. The algebraic formulation is inversion-free, suitable for parallelization and scales favorably with the number of unknowns. The reconstruction completes the nearest neighbors procedure for an evaluation of the smallest shape perturbation. The performance of the method is studied with a greedy search over a Hamming graph representing the structure in which initial positions are chosen from a random set. The method is shown to be effective data mining tool for machine learning-related applications., Comment: 5 pages, 8 figures (one of them is animated), 1 table, accepted to AWPL

Modern antenna design for communication systems revolves around two extremes: devices, where only a small region is dedicated to antenna design, and base stations, where design space is not shared with other components. Both imply different restrictions on what performance is realizable. In this paper properties of both ends of the spectrum in terms of MIMO performance is investigated. For electrically small antennas the size restriction dominates the performance parameters. The regions dedicated to antenna design induce currents on the rest of the device. Here a method for studying fundamental bound on spectral efficiency of such configurations is presented. This bound is also studied for $N$-degree MIMO systems. For electrically large structures the number of degrees of freedom available per unit area is investigated for different shapes. Both of these are achieved by formulating a convex optimization problem for maximum spectral efficiency in the current density on the antenna. A computationally efficient solution for this problem is formulated and investigated in relation to constraining parameters, such as size and efficiency.

Fundamental bounds on antenna gain are found via convex optimization of the current density in a prescribed region. Various constraints are considered, including self-resonance and only partial control of the current distribution. Derived formulas are valid for arbitrarily shaped radiators of a given conductivity. All the optimization tasks are reduced to eigenvalue problems, which are solved efficiently. The second part of the paper deals with superdirectivity and its associated minimal costs in efficiency and Q-factor. The paper is accompanied with a series of examples practically demonstrating the relevance of the theoretical framework and entirely spanning wide range of material parameters and electrical sizes used in antenna technology. Presented results are analyzed from a perspective of effectively radiating modes. In contrast to a common approach utilizing spherical modes, the radiating modes of a given body are directly evaluated and analyzed here. All crucial mathematical steps are reviewed in the appendices, including a series of important subroutines to be considered making it possible to reduce the computational burden associated with the evaluation of electrically large structures and structures of high conductivity., Comment: 12 pages, 15 figures, submitted to TAP

We introduce the set of quasi-Herglotz functions and demonstrate that it has properties useful in the modeling of non-passive systems. The linear space of quasi-Herglotz functions constitutes a natural extension of the convex cone of Herglotz functions. It consists of differences of Herglotz functions, and we show that several of the important properties and modeling perspectives are inherited by the new set of quasi-Herglotz functions. In particular, this applies to their integral representations, the associated integral identities or sum rules (with adequate additional assumptions), their boundary values on the real axis and the associated approximation theory. Numerical examples are included to demonstrate the modeling of a non-passive gain media formulated as a convex optimization problem, where the generating measure is modeled by using a finite expansion of B-splines and point masses., Comment: 23 pages, 5 figures. Updated Introduction and Sections 2.1 and 2.4. Restructured and updated Section 5. New numerical example in Section 5.3

This paper presents a study of transmission through arrays of periodic sub-wavelength apertures. Fundamental limitations for this phenomenon are formulated as a sum rule, relating the transmission coefficient over a bandwidth to the static polarizability. The sum rule is rigorously derived for arbitrary periodic apertures in thin screens. By this sum rule we establish a physical bound on the transmission bandwidth which is verified numerically for a number of aperture array designs. We utilize the sum rule to design and optimize sub-wavelength frequency selective surfaces with a bandwidth close to the physically attainable. Finally, we verify the sum rule and simulations by measurements of an array of horseshoe-shaped slots milled in aluminum foil., Comment: 10 pages, 11 figures. Updated Introduction and Conclusions

Considerable time is often spent optimizing antennas to meet specific design metrics. Rarely, however, are the resulting antenna designs compared to rigorous physical bounds on those metrics. Here we study the performance of optimized planar meander line antennas with respect to such bounds. Results show that these simple structures meet the lower bound on radiation Q-factor (maximizing single resonance fractional bandwidth), but are far from reaching the associated physical bounds on efficiency. The relative performance of other canonical antenna designs is compared in similar ways, and the quantitative results are connected to intuitions from small antenna design, physical bounds, and matching network design., Comment: 10 pages, 15 figures, 2 tables, 4 boxes

A method evaluating the sensitivity of a given parameter to topological changes is proposed within the method of moments paradigm. The basis functions are used as degrees of freedom which, when compared to the classical pixeling technique, provide important advantages, one of them being impedance matrix inversion free evaluation of the sensitivity. The devised procedure utilizes port modes and their superposition which, together with only a single evaluation of all matrix operators, leads to a computationally effective procedure. The proposed method is approximately one hundred times faster than contemporary approaches, which allows the investigation of the sensitivity and the modification of shapes in real-time. The method is compared with known approaches and its validity and effectiveness is verified using a series of examples. The procedure can be implemented in up-to-date EM simulators in a straightforward manner. It is shown that the iterative repetition of the topology sensitivity evaluation can be used for gradient-based topology synthesis. This technique can also be employed as a local step in global optimizers., Comment: 13 pages, 16 figures, 2 tables

A passive approximation problem is formulated where the target function is an arbitrary complex valued continuous function defined on an approximation domain consisting of a finite union of closed and bounded intervals on the real axis. The norm used is a weighted $\text{L}^p$-norm where $1\leq p\leq\infty$. The approximating functions are Herglotz functions generated by a measure with H\"{o}lder continuous density in an arbitrary neighborhood of the approximation domain. Hence, the imaginary and the real parts of the approximating functions are H\"{o}lder continuous functions given by the density of the measure and its Hilbert transform, respectively. In practice, it is useful to employ finite B-spline expansions to represent the generating measure. The corresponding approximation problem can then be posed as a finite-dimensional convex optimization problem which is amenable for numerical solution. A constructive proof is given here showing that the convex cone of approximating functions generated by finite uniform B-spline expansions of fixed arbitrary order (linear, quadratic, cubic, etc) is dense in the convex cone of Herglotz functions which are locally H\"{o}lder continuous in a neighborhood of the approximation domain, as mentioned above. As an illustration, a typical physical application example is included regarding the passive approximation and optimization of a linear system having metamaterial characteristics.

The trade-off between radiation efficiency and antenna bandwidth, expressed in terms of Q-factor, for small antennas is formulated as a multi-objective optimization problem in current distributions of predefined support. Variants on the problem are constructed to demonstrate the consequences of requiring a self-resonant current as opposed to one tuned by an external reactance. The resulting Pareto-optimal sets reveal the relative cost of valuing low radiation Q-factor over high efficiency, the cost in efficiency to require a self-resonant current, the effects of lossy parasitic loading, and other insights., Comment: 11 pages, 9 figures

Radiation efficiencies of modal current densities distributed on a spherical shell are evaluated in terms of dissipation factor. The presented approach is rigorous, yet simple and straightforward, leading to closed-form expressions. The same approach is utilized for a two-layered shell and the results are compared with other models existing in the literature. Discrepancies in this comparison are reported and reasons are analyzed. Finally, it is demonstrated that radiation efficiency potentially benefits from the use of internal volume which contrasts with the case of the radiation Q-factor., Comment: 5 pages, 5 figures

A new method to improve the accuracy and efficiency of characteristic mode (CM) decomposition for perfectly conducting bodies is presented. The method uses the expansion of the Green dyadic in spherical vector waves. This expansion is utilized in the method of moments (MoM) solution of the electric field integral equation to factorize the real part of the impedance matrix. The factorization is then employed in the computation of CMs, which improves the accuracy as well as the computational speed. An additional benefit is a rapid computation of far fields. The method can easily be integrated into existing MoM solvers. Several structures are investigated illustrating the improved accuracy and performance of the new method., Comment: 11 pages, 12 figures, 4 tables, submitted to TAP

Though commonly used to calculate Q-factor and fractional bandwidth, the energy stored by radiating systems (antennas) is a subtle and challenging concept that has perplexed researchers for over half a century. Here, the obstacles in defining and calculating stored energy in general electromagnetic systems are presented from first principles as well as using demonstrative examples from electrostatics, circuits, and radiating systems. Along the way, the concept of unobservable energy is introduced to formalize such challenges. Existing methods of defining stored energy in radiating systems are then reviewed in a framework based on technical commonalities rather than chronological order. Equivalences between some methods under common assumptions are highlighted, along with the strengths, weaknesses, and unique applications of certain techniques. Numerical examples are provided to compare the relative margin between methods on several radiating structures., Comment: This update corrects the constant in (23), which was missing a factor of 1/k in the original version. Many thanks to Lars Jonsson for pointing out this error

Antenna current optimization is often used to analyze the optimal performance of antennas. Antenna performance can be quantified in e.g., minimum Q-factor and efficiency. The performance of MIMO antennas is more involved and, in general, a single parameter is not sufficient to quantify it. Here, the capacity of an idealized channel is used as the main performance quantity. An optimization problem in the current distribution for optimal capacity, measured in spectral efficiency, given a fixed Q-factor and efficiency is formulated as a semi-definite optimization problem. A model order reduction based on characteristic and energy modes is employed to improve the computational efficiency. The performance bound is illustrated by solving the optimization problem numerically for rectangular plates and spherical shells.

Characteristic modes of a spherical shell are found analytically as spherical harmonics normalized to radiate unitary power and to fulfill specific boundary conditions. The presented closed-form formulas lead to a proposal of precise synthetic benchmarks which can be utilized to validate the method of moments matrix or performance of characteristic mode decomposition. Dependence on the mesh size, electrical size and other parameters can systematically be studied, including the performance of various mode tracking algorithms. A noticeable advantage is the independence on feeding models. Both theoretical and numerical aspects of characteristic mode decomposition are discussed and illustrated by examples. The performance of state-of-the-art commercial simulators and academic packages having been investigated, we can conclude that all contemporary implementations are capable of identifying the first dominant modes while having severe difficulties with higher-order modes. Surprisingly poor performance of the tracking routines is observed notwithstanding the recent ambitious development., Comment: 12 pages, 17 figures, 1 table, submitted to IEEE TAP

The optimal currents on arbitrarily shaped radiators with respect to the minimum quality factor Q are found using a simple and efficient procedure. The solution starts with a reformulation of the problem of minimizing quality factor Q as an alternative, so-called dual, problem. Taking advantage of modal decomposition and group theory, it is shown that the dual problem can easily be solved and always results in minimal quality factor Q. Moreover, the optimization procedure is generalized to minimize quality factor Q for embedded antennas, with respect to the arbitrarily weighted radiation patterns, or with prescribed magnitude of the electric and magnetic near-fields. The obtained numerical results are compatible with previous results based on composition of modal currents, convex optimization, and quasi-static approximations; however, using the methodology in this paper, the class of solvable problems is significantly extended., Comment: 9 pages, 8 figures, 2 tables, submitted to IEEE-TAP