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We present experimental observations of evanescent waves in a Smith-Purcell free-electron laser (FEL). These waves, predicted by both theory and simulations, have wavelengths longer than the Smith-Purcell radiation, group velocity antiparallel to the electron beam, and for sufficiently high current, provide feedback to bunch the electron beam. This feedback is the basis of oscillator operation of the Smith-Purcell FEL. The wavelengths observed agree with theoretical predictions, and strong radiation from the upstream end of the grating confirms the negative group velocity. Radiation observed at the second harmonic may indicate electron bunching by the evanescent wave.

Smith-Purcell (SP) radiation is emitted when an electron passes close to the surface of a metallic grating. The radiation becomes coherent (fluence proportional to the square of the number of electrons) when the electrons are in bunches whose dimensions are smaller than the wavelength of the radiation. This has been observed in experiments in which the electrons are prebunched by an rf linac. The enhancement of the spectral intensity is accompanied by large changes in the angular and spectral distribution of the radiation when the electrons appear in periodic bunches. This is called superradiance. Recently, superradiant SP radiation has been observed from a so-called Smith-Purcell free-electron laser (SP-FEL) in which the electrons are bunched by the lasing process. As in other slow-wave structures, the electron beam in a SP-FEL interacts with an evanescent wave for which the phase velocity matches the electron velocity and amplifies it. The frequency of this wave lies below the range of SP radiation and the wave is not radiated except from the ends of the grating. However, the bunching of the electrons by the interaction with the evanescent wave enhances the ordinary Smith-Purcell radiation and changes the angular and spectral distribution due to superradiant effects. In this article, we introduce a new method for computing the SP radiation in three dimensions, including the effects of finite grating length and superradiance due to periodic electron bunching at an arbitrary frequency. We show that the SP radiation develops spectrally and angularly narrow peaks at the harmonics of the bunching frequency. In rf linacs, where the bunches are widely spaced, several closely spaced harmonics lie under the spectral envelope of the emission from a single electron. In a SP-FEL the harmonics are widely spaced and the SP radiation appears in narrow cones at the SP angles corresponding to the harmonics of the bunching frequency. Finally, we calculate the angular spectral fluence radiated by an electron passing over a lamellar grating of finite length, examine its coherent enhancement in SP-FELs and rf linacs, and compare the results with numerical simulations and available experimental data.

It has previously been shown that the electron beam in a Smith-Purcell free-electron laser interacts with a synchronous evanescent wave. At high electron energy, the group velocity of this wave is positive and the device operates on a convective instability, in the manner of a traveling-wave tube. For operation as an oscillator, the gain must exceed the losses in the external feedback system. At low electron energy, the group velocity of the synchronous evanescent wave is negative and the device operates on an absolute instability, like a backward-wave oscillator, and no external feedback is required. For oscillation to occur, the current must exceed the so-called start current. At an intermediate energy, called the Bragg condition, the group velocity v_g of the evanescent wave vanishes and both the gain and the attenuation due to resistive losses in the grating diverge. It is shown that near the Bragg condition the gain depends on v_g^-1/3, while the attenuation depends on v_g^-1. Since the attenuation increases faster than the gain near the Bragg condition, the Smith-Purcell free-electron laser cannot operate at the point of maximum gain. The effects of resistive losses become increasingly important as Smith-Purcell free-electron lasers move to shorter wavelengths.

A formula is derived for the small-signal gain of a Smith-Purcell free-electron laser. The theory describes the electron beam as a moving plasma dielectric, and assumes that the electron beam interacts with an evanescent mode traveling along the surface of a periodic waveguide with a rectangular profile. The phase velocity of the evanescent wave is synchronous with the electron velocity, but the group velocity is actually negative. The electron beam amplifies the evanescent wave, which does not itself radiate. According to this picture, the radiation observed emanating from the grating is Smith-Purcell radiation enhanced by the bunching of the electrons due to the interaction with the evanescent mode. There will also be radiation from the part of the evanescent mode that is outcoupled from the ends of the grating. This radiation appears at a lower frequency than the Smith-Purcell radiation. The new results explain both the gain and the radiation observed in the experiments of Urata and Walsh, and the cube-root current dependence of the gain inferred by Bakhtyari, Walsh, and Brownell.

Coherent enhancement of the Smith-Purcell radiation produced from the interaction of a 1.8 MeV electron beam with a grating has been observed. The emitted radiation has been measured at angles in the 40° to 120° range, which correspond to wavelengths from 0.65 to 4 mm, approximately. The radiated power was 320 mW at 90°. Its angular distribution agrees well with the description of the process in terms of induced surface currents and has been used to infer the longitudinal profile of the electron bunch. It is concluded that the bunch has an approximately triangular profile, with 85% of the bunch particles contained within 14 ps. The possibilities of the technique as a bunch-shape diagnostic tool are also discussed.