Mechanics, Materials Science & Engineering Journal Vol 6

Mechanics, Materials Science & Engineering, September 2016 ISSN 2412-5954
MMSE Journal. Open Access www.mmse.xyz

1
Sankt Lorenzen 36, 8715, Sankt Lorenzen, Austria
Mechanics, Materials Science & Engineering Journal
September 2016
2
Mechanics, Materials Sciences & Engineering Journal, Austria, Sankt Lorenzen, 2016
Mechanics, Materials Science & Engineering Journal (MMSE Journal) is journal that deals in peer-
reviewed, open access publishing, focusing on wide range of subject areas, including economics,
business, social sciences, engineering etc.
MMSE Journal is dedicated to knowledge-based products and services for the academic, scientific,
professional, research and student communities worldwide.
Open Access model of the publications promotes research by allowing unrestricted availability of
high quality articles.
All authors bear the personal responsibility for the material they published in the Journal.
The Journal Policy declares the acceptance of the scientific papers worldwide, if they passed the
peer-review procedure.
Editor-in-Chief Mr. Peter Zisser
Dr. Zheng Li, University of Bridgeport, USA
Prof. Kravets Victor, Ukraine
Ph.D., Shuming Chen, College of Automotive Engineering, China
Dr. Yang Yu, University of Technology Sydney, Australia
Prof. Amelia Carolina Sparavigna, Politecnico di Torino, Italy
ISSN 2412-5954 Design and layout: Mechanics, Materials

Science & Engineering Journal, www.mmse.xyz
e-ISSN 2414-6935
Technical support: hotmail@mmse.xyz
2016, Magnolithe GmbH
Copyright, by the authors

3
CONTENT
I. Materials Science MMSE Journal Vol. 6 ..................................................................................... 6
Effect of Temperature and Strain Rate on Dynamic Re-Crystallization of 0.05C-1.52Cu-
1.51Mn Steel. Pawan Kumar, Peter Hodgson .................................................................................... 7
Nanostructure Formation in Anodic Films Prepared on a Alloy Ti39Nb PVD Layer. Zdenek
Tolde, Vladimr Star, Petr Kozk ..................................................................................................... 15
Diagnostics of Argon Injected Hydrogen Peroxide Added High Frequency Underwater
Capillary Discharge. Muhammad Waqar Ahmed, Sooseok Choi, Jong-Keun Yang, Rai Suresh,
Heon Ju Lee ....................................................................................................................................... 27
Optimizing the Parameters in Heat Treatment for Achieving High Hardness and Efficient
Bending of Thin BS 2014 Aluminium Alloy Sheets. Abirami Priyadarshini B. ........................... 39
The Effects of Ukam (Cochlospermum Planchonii) Plant Fiber Variation on the Properties
of Polyester Matrix Fiber Reinforced Composite. Ihom A.P., Dennis O. Onah .......................... 46
Effect of Alternating Bending and Texture on Anisotropic Damage and Mechanical
Properties of Stainless Steel Sheets. V.V. Usov, N.M. Shkatulyak, E.A. Dragomeretskaya,
E.S. Savchuk, D.V. Bargan, G.V. Daskalytsa ................................................................................... 56
II. MECHANICAL ENGINEERING & PHYSICS MMSE JOURNAL VOL. 6 .......................................... 64
The Influence of Cutting Speed on Concordant and Discordant Tangential Milling of MDF.
Priscila Roel de Deus, Manoel Cleber de Sampaio Alves, Luciano Rossi Bilesky ............................ 65
Substantiating of Rational Law of Hydrostatic Drive Control Parameters While
Accelerating of Wheeled Tractors with Hydrostatic and Mechanical Transmission. Taran I.O.,
Kozhushko A.P ................................................................................................................................... 70
Modelling of Fatigue Crack Propagation in Part-Through Cracked Pipes Using Gamma
Function. Pawan Kumar, Vaneshwar Kumar Sahu, P.K.Ray, B.B.Verma ....................................... 77
Fundamental Solutions for Micropolar Fluids with Two-Temperature. M. Zakaria ............ 86
Calibration of COD Gauge and Determination of Crack Profile for Prediction of Through
the Thickness Fatigue Crack Growth in Pipes Using Exponential Function. Pawan Kumar,
Hemendra Patel, P.K.Ray, B.B. Verma ............................................................................................. 99
Numerical Solution of Nonlinear Fredholm Integro-Differential Equations using Leibnitz-
Haar Wavelet Collocation Method. C. Shiralashetti, R. A. Mundewadi ...................................... 108
An Equivalent Beam Model for the Dynamic Analysis to a Feeding Crane of a Tall Chimney.
Application in a Coal Power Plant. Viorel-Mihai Nani, Ioan Cires............................................. 120
Determination of Bond Capacity in Reinforced Concrete Beam and Its Influence on the
Flexural Strength. Mohammad Rashidi, Hana Takhtfiroozeh ....................................................... 135
Prediction of Rubber Element Useful Life under the Long-Term Cyclic Loads. Dyrda V.I.,
Loginova A.A., Shevchenko V.G. ..................................................................................................... 145
Calculation of Strength and Stiffness of Sports Equipment for Games in a Radial Basketball.
V. P. Ovchinnikov, A. A. Nesmeyanov, A. N. Chuiko ....................................................................... 151
Development of Force Monitoring Transducers Using Novel Micro-Electromechanical
Sensor (MEMS). Dimitar Chakarov, Vladimir Stavrov, Detelina Ignatova, Assen Shulev,
Mihail Tsveov, Rumen Krastev, Ivo Vuchkov .................................................................................. 158
Analytical Simulation of Dynamical Process in One-Dimension Task. Kravets V.V.,
Kravets T.V., Fedoriachenko S.A., Loginova A.A. ........................................................................... 169

4
VI. ENVIRONMENTAL SAFETY MMSE JOURNAL VOL. 6 .............................................................. 177

The Impact of Vehicular Emissions on Air Quality in Uyo, Nigeria. Aondona Paul Ihom,
Ogbonnaya Ekwe Agwu, John Akpan John ..................................................................................... 178
Utilization of Point Clouds Characteristics in Interpretation and Evaluation Geophysical
Resistivity Surveying of Unstable Running Block. Marcel Brejcha, Petr Zbral, Hana Stakov,
Pavel ernota .................................................................................................................................. 185
Atmosphere Re-Entry Simulation Using Direct Simulation Monte Carlo (DSMC) Method.
Francesco Pellicani ......................................................................................................................... 195
VII. INFORMATION TECHNOLOGIES VOL. 6 ................................................................................... 204
Comparison of Modeling and Simulation Results Management Microclimate of the
Greenhouse by Fuzzy Logic Between a Wetland and Arid Region. Didi Faouzi), N. Bibi-Triki,
B. Draoui, A. Abne ........................................................................................................................ 205
IX. ECONOMICS & MANAGEMENT MMSE JOURNAL VOL. 6........................................................ 218
The Role of Education in Formation of Knowledge Economy. Tetiana Chumachenko,
Olena Hladun ................................................................................................................................... 219
Selection of the Reconstruction Options for Industrial Power Supply System under
Uncertainty Conditions on the Basis of the Game Theory Criteria. Alina Iuldasheva,
Aleksei Malafeev .............................................................................................................................. 223

5
I . M a t e r i a l s S c i e n c e
M M S E J o u r n a l V o l . 6

6
Effect of Temperature and Strain Rate on Dynamic Re-Crystallization of 0.05C-

1.52Cu-1.51Mn Steel
Pawan Kumar1, a, Peter Hodgson1, b
1 Institute For Frontier Materials, Deakin University, Australia

a pkumar@deakin.edu.au
b peter.hodgson1@deakin.edu.au
DOI 10.13140/RG.2.1.4905.2403
Keywords: dynamic re-crystallization, strain rate, temperature
ABSTRACT. Dynamic re-crystallization (DRX) is one of the most efficient methods to achieve ultra-fine ferrite grain
in the steel. The DRX associated with the formation of new grains in hot working condition. The factors influencing the
grain size achievable through thermo-mechanical controlled processing are known to be work hardening and softening
by dynamic process of recovery. The point at which the combine effect of strain hardening and recovery are unable to
accommodate more immobile dislocation is the starting point of DRX process. In present investigation, critical stress for
initiation of DRX is calculated for 0.05C-1.52Cu-1.51Mn steel and the influence of strain rate and temperature is studied.
It was observed that at lower strain rate, critical stress for initiation of Dynamic re-crystallization (DRX) is increases
initially and then it become saturated at higher strain rate. It is also absorbed that higher temperature and lower strain
rates are the favourable condition for typical DRX process. It is also hinted that Cu precipitation take place process
adopted in the experiments.
Introduction. Dynamic re-crystallization (DRX) is one of the most efficient method to achieve ultra-
fine ferrite grain in the steel [1-2]. The DRX associated with the formation of new grains (in hot
working condition); the size of grain is expressed as:
where A is a constant;
G is the shear modulus;
n is the grain size exponent, which is about 0.7 for hot working conditions [3-5].
The factors influencing the grain size achievable through thermo-mechanical controlled processing
are known to be work hardening and softening by dynamic process of recovery [6]. The three
mechanisms with strain hardening, dynamic recovery and dynamic re-crystallization are different in
their softening mechanisms.
When the combine effect of strain hardening and recovery are unable to accommodate more immobile
dislocation is the starting point of DRX process. Low stacking-fault energy materials generally
exhibit discontinuous DRX. The mechanism corresponding to DDRX is bulging (local migration).
Bulging of grain boundaries generate nuclei which further grows and consumes at deformed matrix;
leading to increase in the dislocation density. The morphology governing by DDRX shows nearly
constant average grains size, which is due to the further deforming of large grains due to further
straining and taken up by new DRX nuclei. This process considered as a Discontinuous process [7,
8-9].

7
High stacking-fault energy materials generally exhibit Continuous DRX [10-13]. In this phenomenon
the formation of three-dimensional arrays of deformation low-angle boundaries (LABs) takes place,
which is further transformed into high-angle grain boundaries (HABs). The high orientation gradient
and the strain incompatibility between joint grains evolves the strain induced LABs. Upon further
straining their mis-orientation increases leading to transformation into HABs; this leads to the
development of recrystallized grains. The CDRX phenomena generally exhibits an equi-axed
morphology throughout the structure.
The Cu is use to provide precipitation hardening in steel. Setuo Takaki et. al has studied the effect of
pre-strain with Cu addition on 0.007C-0.01Mn-1.5Cu steel aged at 300C at 20 mins [14]. There is no
Cu clusters/precipitates observed in non-prestrained steel; although existence of Cu clusters of size
around 0.7nm are reported in prestrained steel, it has shown any change in distribution upon ageing
as 500 oC for 20 mins. It is observed that Cu clusters tend to distribute coarsely in non-pre-strained
steel. It is also observed that at peak age condition; clusters of copper tend to grow homogeneously
in pre-strained samples. However it found that in non-pre-strained samples; a coarsening behavior is
observed. The mechanism of grain refinement in steel by Cu precipitation is not known till now. It
is proposed by some workers that precipitate dislocation interaction tends to create deformation
bands during straining and this leads to fine re-crystallized grains [14]. Setuo Takaki et. al. also
reported strengthening of heavily deformed and re-crystallized ferrite due to precipitates of copper
[14].
In the present investigation the effect of temperature and strain rate is studied for the flow behaviour
of material under investigation. The critical stress and strain is also calculated for the initiation of
dynamic re-crystallization process. Also the influence of temperature and strain rate on the critical
stress and strain for DRX is investigated.
Materials and Methods.
The material under investigation is 0.05C-1.52Cu-1.51Mn steel. Thermo-mechanical simulator
(Gleeble) was used for hot compression test in plain strain condition. The specimens were austenitized
at 1100oC for 5 min and cooled at the rate of 5oC/Sec; it is then subjected to hot compression as shown
in Fig. 1. Single hot compression tests were conducted at temperature 800-1000oC with strain rates
of 0.01, 0.1, 1 s-1.
Fig 1. Thermo-Mechanical process used in experiments.
Result and Discussion. From Fig. 2, It is observed that DRX taken place at strain rate of 0.01/Sec at
different temperature up to 800 0C. Effect of temperature and strain rate on DRX of experimental
steel can also be observed from fig. 3, fig. 4 and fig. 5. When the deformation temperature is
comparatively low , DRX seemingly take place only at a slower strain rate of 0.01/Sec; for higher
8
strain rates however offend indication of dynamic recovery is noticed is noticed for higher strain rate
of 0.1/sec. Increasing the strain rate at low deformation temperature as restricted DRX is observed
from Fig. 3. Upon increasing deformation temperature to 950 0C the dynamic re-crystallization is
recorded at low strain rates till 0.1/Sec; whereas at higher strain rates of 1/Sec occurrence of dynamic
recovery is indicated as shown in Fig. 4.
As expected higher deformation temperature like 1000 0C envisages the occurrence of DRX at all
strain rates which 0.01/Sec, 0.1/Sec and 1/Sec. It therefore follows from the above diagram that
dynamic re-crystallization of the experimental steel is favored at higher temperature and lower strain
rate. The combination of deformation temperature and strain rate is essentially an important aspect in
deciding dynamic re-crystallization is set in or not. It is known that DRX is thermally activated from
therefore it is accentuated by higher deformation temperature and higher availability of time at
deformation temperature. It is obvious that the slower strain rates provides longer time for DRX
phenomena to take place and hence above observations are made in present investigation.
The - Analysis to Calculate Critical Stress for Initiation of DRX:
From true stress/ true strain Curve; plot of work hardening rate Vs true stress (-) is given in Fig. 6
as:
The inflection point is detected by fitting 3rd degree polynomial to - curve
= 3 + 2 + + (1)
At critical stress for initiation of DRX the second derivative becomes zero; so
2
= 6 + 2 (2)
2
Becomes zero, therefore, (critical) = B/3A (3)
Following the same argument the critical stress for DRX as well as critical strain for the same has
been calculated for all cases where DRX could be observed. It appears from Fig. 7 that the critical
stress decreases with increase in deformation temperature. Fig. 8 exhibits that critical strain for
occurrence of DRX at a constant strain rate of 0.01/Sec decreases with deformation temperature
tending to assume some constant value at higher deformation temperature. Fig. 9 shows that effect of
strain rate on critical stress for occurrence of DRX at fixed highest deformation temperature 10000C;
rise in the magnitude of critical stress for DRX with increasing strain rate is logically consistent with
the fact that higher strain rate provides less time for DRX to take place at any specific deformation
temperature.
In fig. 10 transmission electron micrographs of steel deformed at strain rates of 0.01/Sec at 900 0C
shows that precipitation of Cu has taken place concurrently with DRX or just after DRX and during
austenite to ferrite transformation. In the first case the precipitates would have sited at the grain
boundaries while in the second case the precipitate impend transformation growth of DRX grains
although conclusive evidence has not been derived in the present investigation. The either of the
above two events could lead to achievement of fine grained ferrite from austenite this is why SEM
image by Fig. 10 shows that ferrite grain size of 2-3 m that the precipitates of Cu forms in specimens
deformed at 900 0C.

9
180
160
140
120
stress(Mpa)
100
80
60 (950C-0.01/sec)
(1000C-0.01/sec)
40
(850C-0.01/sec)
20
(800C-0.01/sec)
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
strain
Fig. 2. Flow curve at temperature 800 oC-1000 oC and strain rate of 0.01/sec.
850C-strain rate 0.01/sec

300
850C-strain rate 1/sec
250
200
stress(Mpa)
150
100
50
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
strain
Fig. 3. Flow currve at temperature 850 oC and strain rate of 0.01, 0.1 and 1/sec.

10
250
200
stress(Mpa)
150
100

50
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
strain
Fig. 4. Flow curve at temperature 950 oC and strain rate of 0.01, 0.1 and 1/sec.
180
160
140
120
stress(Mpa)
100
80
60 (1000C- strain rate 0.01/sec)
40 1000c-strain rate 0.1/sec

20
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
strain
Fig. 5. Flow curve at temperature 1000 oC and strain rate of 0.01, 0.1 and 1/sec.

11
300
250
work hardening rate

200
150
100
50
0
100 110 120 130 140 150
stress (Mpa)
Fig. 6. Work hardening rate Vs True stress.

0.35
0.3
critical strain for DRX
0.25
0.2
0.15
0.1
800 850 900 950 1000 1050 1100
Temperature in C
Fig. 7. Critical strain for DRX Vs Temperature.
140
130
120
critical stress for DRX
110
100
90
80
70
60
50
40
800 900 1000
Temperature in C
Fig. 8. critical stress for DRX Vs temperature.

12
160
140
120
critical stress for DRX

100
80
60
40
20
0
0 0.2 0.4 0.6 0.8 1 1.2 1.4
strain rate
Fig. 9. critical stress for DRX Vs strain rate at 1000 0C.
Fig. 10. TEM micrograph at temperature 900 oC and strain rate of 0.01/sec.
Summary.
1. High deformation temperature and low strain rate is the favorable condition for dynamic re-
crystallization for the material under investigation which is 0.05C-1.52Cu-1.51Mn steel.
2. The critical stress for dynamic re-crystallization decreases with increase in deformation
temperature. The critical strain for occurrence of DRX at a constant strain rate of 0.01/Sec decreases
with deformation temperature tending to assume some constant value at higher deformation
temperature.
3. Precipitation of Cu has taken place concurrently with DRX or just after DRX and during austenite
to ferrite transformation. The ferrite grain size of 2-3 m is formed in the process adopted in the
experimentation.

13
References
[1] H. Beladi, P. Cizek, and P. D. Hodgson, On the characteristics of substructure development
through dynamic recrystallization, Acta Materialia, Vol. 58, pp. 3531-3541, 2010, doi:
10.1016/j.actamat.2010.02.026
[2] R. D. Doherty, D. A. Hughes, F. J. Humphrey, and J. J. Jonas, et al., Current issues in
recrystallization: A review, Materials Science and Engineering A, Vol. 238, pp. 219-274, 1997, doi:
10.1016/S0921-5093(97)00424-3
[3] Sakai T, Jonas JJ., Overview no. 35 dynamic recrystallization: mechanical and microstructural
considerations, Acta Metallurgica, 1984 Vol. 32, pp. 189-209
[4] Derby B. Acta Metallurgica, Grain Refinement in a Copper Alloy by Shaped Charge Explosion,
1991, Vol. 39, p. 955.
[5] Sakai T. J Mater Process Technology, 1995, Vol. 53, p.349
[6] Kentaro IharaYasuhiro Miura. Dynamic recrystallization in Al-Mg-Sc alloys. MaterialsSCience
& Engineering A, 2003, doi:10.1016/j.msea.2004.05.082
[7] Gourdet S, Montheillet F., An experimental study of the recrystallization mechanism during hot
deformation of aluminium, Materials Science and Engineering A 283(1):274-288, doi:
10.1016/S0921-5093(00)00733-4
[8] Sakai T, Jonas JJ. In: Buschow KH, Cahn RW, Flemings MC, Ilschner B, Kramer EJ, Mahajan
S, editors. Encyclopedia of materials: science and technology, vol. 7. Oxford: Elsevier; 2001. p. 7079.
[9] Solberg JK, McQueen HJ, Ryum N, Nes E. Philos Mag. A 1989; 60:447.
[10] Hales, S.J., McNelley, T.R. & McQueen, H.J. MTA (1991) 22: 1037.
doi:10.1007/BF02661097
[11] Tsuji N, Matsubara Y, Saito Y., Dynamic recrystallization of ferrite in interstitial free steel,
Scripta Materialia,Volume 37, Issue 4, 1997, pp. doi:10.1016/S1359-6462(97)00123-1
[12] McNelley TR, McMahon ME. Metall. Mater. Trans. A, 1997; 28: 1879.
[13] Setuo Takaki, Masaaki Fujioka, Shuji Aihara, Yasunobu Nagataki, Takako Yamashita,Naoyuki
Sano, Yoshitaka Adachi, Masahiro Nomura and Hiroshi Yaguchi, Effect of Copper on Tensile
Properties and Grain-Refinement of Steel and its Relation to Precipitation Behavior, Materials
Transactions, Vol. 45, No. 7 (2004) pp. 2239- 2244, doi: 10.2320/matertrans.45.223
Cite the paper

Kumar, P., & Hodgson, P. (2016). Effect of Temperature and Strain Rate on Dynamic Re-
Crystallization of 0.05C-1.52Cu-1.51Mn Steel. Mechanics, Materials Science &
Engineering, Vol 6. doi:10.13140/RG.2.1.4905.2403

14
Nanostructure Formation in Anodic Films Prepared on a Alloy Ti39Nb PVD

Layer
Zdenek Tolde1, a, Vladimr Star1, Petr Kozk1
1 Department of Materials Engineering, Faculty of Mechanical Engineering, CTU in Prague, Karlovo nm. 13, CZ-121
35 Prague 2, Czech Republic
a zdenek.tolde@fs.cvut.cz
DOI 10.13140/RG.2.1.2756.8883
Keywords: TiNb, oxide layer, Ti alloys, nanostructured surface, anodic oxidation.
ABSTRACT. Ti alloys are widely used for construction of bone implants. Some of them can be prepared without any
toxic elements containing only Nb, Zr and Ta. At suitable composition they have the beta (BCC) structure with low
modulus of elasticity and high corrosion resistance. The oxidation of their surface can increase the biocompatibility and
enable the preparation of nanostructured surface morphology.
The -alloy Ti39wt.%Nb alloy was melted eight times by electric discharge, annealed at 850C for 30 minutes and
quenched to water. The substrates of the TiNb layers were prepared from bulk Ti39Nb and commercial cpTi and Ti6Al4V.
They were cut using a SiC cutting wheel, ground with abrasive papers and then polished with a suspension of colloidal
SiC. The TiNb layers were prepared by cathodic sputtering in a Hauser Flexicoat 850 unit. The thickness of the TiNb
layer was measured by Calotest. Surface roughness was measured by a Hommel T1000 Basic roughness tester. The
sample surface was observed by a JSM7600F scanning electron microscope. Samples were anodically oxidized in
(NH4)2SO4 + 0,5wt%NH4F electrolyte at DC voltages 10, 20 and 30 V using a stabilized voltage source.
The morphology of the nanostructured surface of a PVD layer depends particularly on the oxidation voltage and time, but
also on the type of substrate. The surface morphology containing nanotubes appeared only on TiNb layer with a TiAlV
substrate prepared at certain oxidation voltage and time.
The morphology of oxidized layers is heavily influenced by substrate material even though the surface roughness of PVD
layer and substrate is identical for all oxidation processes.
TiNb alloy have very suitable properties for bioapplications and the study of surface properties contribute to the practical
use of this material.
Introduction. Titanium alloys have very suitable properties for bioapplications including high
specific strength, high corrosion resistance and due to these properties also excellent biocompatibility.
Until now the classical biomedical material stainless steel (e.g. AISI 316L, (E ~ 210 GPa)) and pure
Ti and and + Ti alloys (E ~ 110-120 GPa) are usually used for the production of implants [1; 2].
Recently Ti alloys, which have a lower modulus of elasticity, are intensively studied. Since for bone
implants is very useful to obtain maximum similarity of the moduli of elasticity of the material f the
implant and the bone [3] and, simultaneously, the high corrosion resistance, the aim of these studies
is the fabrication of a material with these properties. The moduli of -Ti alloys, especially TiNb alloys
(-TiNb), can be about 60 GPa. Layers of these -alloys with prospective properties can be prepared
applying an appropriate method, particularly PVD (Physical Vapour Deposition) [4].
A relatively thin film of oxide(s) of the basic material is present on the surface of titanium and its
alloys. In a TiNb alloy these are usually titanium oxide TiO2 and a niobium oxide, usually Nb2O5 [4;
5]. These oxides form a layer, which decreases potential corrosion in a corrosive environment. By
anodic oxidation a basic thicker oxide layer is created. The properties of this layer (crystalline
15
structure, thickness, porosity and/or nanoporosity) depend on the conditions of oxidation and can be
selected with respect to the required properties of the final application. One of the advantageous
properties of the surface is its porosity, since a better adhesion of cells was observed on the surface
with a porous morphology (structure). The structure with suitable pores can also be used as a reservoir
of appropriate healing drugs. All these properties can improve the process of healing after
implantation [5].
In our work we studied -Ti39Nb, i.e., a Ti alloy with 39 wt.% Nb (further only TiNb). Both elements
in the alloy are nontoxic and highly biocompatible [4; 6; 7]. At present research is concentrated on a
material which could replace the until now widely used Ti alloy Ti6Al4V, which can hypothetically
cause damage to the tissue due to the content of potentially toxic elements Al and V [3].
Generally, titanium alloys containing 10 - 15% of stabilizers are in a metastable state and they are
denoted as -metastable. According to the phase diagram these alloys are formed by the unstable
phase and the phase or by a mixture of the unstable phase and the stable phase [1]. This
depends on the concentration of the stabilizer. The phase is created by the decomposition of the
unstable phase . The mechanical properties of the alloys are influenced by the appearance of
unstable and martensitic phases which depends on the concentration of stabilizing elements and on
the cooling rate during heat treatment. Only high concentrations of -stabilizers (30% or more) create
a stable form of the phase in the alloy at room temperature. However, it is responsible for an increase
of the density and weight of the alloy [8].
At room temperature the strength of the alloy increases with the content of the -phase. The
mechanical properties of -alloys, e.g., strength and fatigue resistance, can be improved by heat
treatment.
Fig. 1. Phase diagram of TiNb alloys [9].
Oxidation is frequently used to improve and/or optimize the surface properties of cell adhesion. Also,
the surface of the alloy samples containing Nb related sites improves cell adhesion and growth.
16
Oxygen creates a thin film of oxides, which at room temperature can be several nanometers thick. By
continuing the process the thickness of oxide layer increases up to micrometer range. There are two
basic methods of the oxidation of metals: an electrochemical (anodic) one in an appropriate
electrolyte, and a thermal one, at high temperature approximately in the range of hundreds of degrees
of Celsius. The chemical reaction in anodic oxidation can be described by the chemical equation (1)
(M - metal ions, O - oxygen ions) [10]:

+ 2 2 (1)
The anodic growth of an oxide layer on Ti (i.e., in electrolyte 1 M (NH 4)2SO4 + 0.5 wt.% NH4F) is
shown in Figs. 2 and 3. In the anodic oxidation of Ti it is necessary to add fluoride ions to obtain a
nanostructured surface (i.e. a surface with a morphology with objects of nanometer size).
Simultaneously with the growth of the oxide layer, Ti dissolves in the basic material of the anode
according to equation (2) [11].
4+ + 4 (2)
The cathodic reaction is described by equation (3), where H2O is decomposed into hydrogen and
hydroxyl anions [11]
42 + 4 22 + 4 (3)
Firstly the interaction of Ti4+, OH- and O2- takes place on the surface in contact with the electrolyte
and later also on the interface of the oxide layer and the metal and an oxide layer is created according
to chemical equation (4); also titanium hydroxide can be created according to (6) [12]:
4+ + 22 2 (4)
+ 2 () 6 3 2 2 3 3 5 2 (5)
4+ + 4 ()4 (6)

17
Fig. 2. Formation of an anodic layer of titanium oxide.
Titanium hydroxide is converted into an oxide according to (7) [12]:
()4 2 + 22 (7)
The whole process of anodic oxidation and creation of the oxide layer is described by equation (8)
[11].
+ 22 2 + 4 + + 4 (8)
Fig. 3 Schematic view of titanium anodization (a) and dissolution of titanium inside pores.
In the case of the formation of the oxide layer, electrons and ions pass through the film, i.e. the electric
current through the oxide necessary for the growth of the film is strongly limited by the thickness of
the film. This electric current is influenced by a decrease of the electric field on the film and
approximately follows an exponential law.
Niobium oxidation and the growth of the Nb oxide in layer are given by equations (9) (11) [13]:

18
+ 2 2 + 2 + (9)
+ 2 2 2 + 2 + (10)
22 + 2 2 2 5 + 2 + (11)
The growth rate of the oxide layer is given by the Faraday law and the rate of the dissolution of the
layer. The Faraday law defines the mass of the TiO2 and Nb2O5 oxides in the layer assuming zero
production of hydrogen in the process. At simultaneous growth and dissolution the thickness of the
layer practically [13] does not depend on the time and the final thickness depends on the oxidation
potential U
= (12)
where k is the constant of the growth of the layer [14]

In the presence of fluoride ions the behaviour of the dependence of the current on the time of oxidation
depends on their content. The dependence is shown in Fig. 4 [14]. In an electrolyte without fluoride
ions we can observe an exponentially decreased current density up to the final equilibrium state with
a certain minimum value of the current density. In an electrolyte with fluoride ions the current density
after a certain minimum value begins to increase again. This is caused by the interaction of fluoride
ions with the formed oxide layer. This increase also signalizes the creation of nanostructures on the
surface of the specimen [14; 15].
Fig. 4. Behaviour of current density in an electrolyte without fluoride ions (dashed line) and with
an addition of fluoride ions (solid line curve).
If the voltage increases, the structure of the oxide changes from an amorphous into a crystalline one.
During this process the conductivity changes from ionic to electronic one which retards the growth
of the film. The film growth is finished by electrical breakdown of the film [16].

19
The thermal oxidation of a -TiNb alloy sample creates on the surface two distinct crystalline oxide
phases: T-Nb2O5 and TiO2 (usually rutile) [3]. No evidence was found of the presence of the TiNb
mixed oxide phase even though the single-crystalline Ti1xNbxO2 with x as large as 0.3 and with even
larger values of x for the nanocrystalline oxide have been reported in literature [16].
The purpose of our work is to compare the surface structure/morphology of TiNb films prepared on
TiNb, Ti and TiAlV substrates using PACVD (cathodic sputtering).
Experiments. Preparation and characterization of samples.
-Ti39Nb alloy samples were prepared by arc-melting 61 wt.% Ti (ingot, 99.55%, Frankstahl,
Austria) with 39 wt.% Nb (ingot, 99.85%, TIC, Brussels, Belgium). The melting proceeded eight
times at 8001000A/ 23V with subsequent solution annealing at 850 C for 30 minutes and water
quenching to achieve the defined homogeneity.
The substrates for the TiNb layer were ground and polished coupons of cpTi ISO 5832-2 and Ti alloy
Ti6Al4V ISO 5832-3 (the basic material was supplied by Beznoska Ltd., Kladno, CR). Using a SiC
cutting wheel the as-prepared ingot was sliced into coupons (diameter either 10.5 mm or 14 mm and
thickness ~1.5 mm). The surfaces of the coupons were ground sequentially with abrasive papers (240,
600, 800, 1000 and 4000 grit) and then polished with a suspension of colloidal SiC (0.05 m,
Colloidal Sillicat, Leco, CR) into a mirror-like sheen, using a Leco machine.
The TiNb layer was prepared by cathodic sputtering (PVD) in a Hauser Flexicoat 850 unit (Hauser,
Netherlands). The time of deposition was 2.5 hrs, the temperature of the substrate 250C, rotation of
the substrate 2 rpm, and the working pressure 2.10-3 mbar (2 Pa). The thickness of the TiNb layer was
measured by Calotest (CSM, Switzerland).
Surface roughness was measured by a Hommel T1000 Basic roughness tester (Jenaoptic, Germany).
For a general evaluation the surface morphology all samples were observed by a JSM7600F scanning
electron microscope (JEOL Ltd, Japan) at several magnifications (usually between 1000 and
50 000x), using SEI detectors and LEI detectors. The SEI detector shows a general overview of the
surface, while the LEI detector shows the irregularities with higher sensitivity.
The samples were oxidized by anodic oxidation in 1M (NH4)2SO4 + 0, 5 wt% NH4 F, the resultant
pH was 4.7. The potentiostatic process was carried out at constant voltages (DC) 10, 20 and 30 V
using a stabilized voltage source SZ 20 110/400 19 I2 KZ C230 (NES Nov Dubnica, SR). From
the beginning of oxidation, the potential was increased to the final value approximately at a rate of
100 mV/s. The time dependence of the oxidizing current was measured and recorded by a UT 804
(TIPA Ltd, CR) digital multimeter and the current density was calculated for all samples.
Results and discussion. The parameters of substrates is in table 1.
Table 1. List of substrates.

Substrate Phases in Composition Substrate Modulus Substrate
material substrate roughness of hardness
Ra [m] elasticity (GPa)
Er[MPa]
TiNb Ti beta Ti + 39wt.%Nb 0.058+/-0, 006 95+/-2.5 3.1+/-0.09
Ti Ti alpha Ti 0.047+/-0.005 135+/-2.1 2.3+/-0.1
TiAlV Ti Ti + 6wt% Al, 143+/-1.3 4.0+/-0.11
0.035+/-0.003
alpha+beta 4wt.%V,

20
The PVD coating was 1.45 m thick.

After depositing the TiNb layer on a Ti no grain boundaries were observed on surface of TiNb/Ti
while on the layer of TiNb on a TiAlV substrate both alpha and beta phases and the grain boundaries
of the substrate could be observed on electron microscope images.
Next we compared the electron microscope images of the structure and surface morphology of the
oxide film on a bulk Ti39Nb alloy and of an oxidic film on the TiNb layer which was sputtered by
means of the PVD process on different Ti substrates (TiNb/Ti) and Ti6Al4V (TiNb/TiAlV).
Table 2. Values of several parameters of TiNb layers on different substrates.

Substrate Modulus of elasticity
Film hardness Substrate grain
Film grain sizeFilm roughness by
Er [MPa] [GPa] size [m] Ra [m]
[m]
TiNb/TiNb 100+/-2.5 3.8+/- 0.14 600 600 0.093+/-0.047
TiNb/Ti 116+/-3.37 4.1+/-0.22 10 67 0.13+/-0.008
TiNb/TiAlV 115+/-3.15 4.1+/-0.19 3 35 0.10+/-0.005
The anodic voltage and time of oxidation was monitored. Different details of the surface morphology
are apparent on images at various magnifications.
At an anodic voltage of 10 V individual pores with a 10 nm size are clearly apparent (Fig. 5a) in the
oxide film on a TiNb/Ti layer. This is due to the presence of fluoride ions in the electrolyte. The oxide
film on TiNb/TiAlV has a similar structure with pores of comparable size (Fig. 5b).
Fig. 5. SEM images of oxide films prepared at anodic voltage 10 V, magn. 50 000x, time 1 hr, a)
TiNb/Ti, b) TiNb/TiAlV.
During anodic oxidation at a constant 20V voltage a porous layer of titanium and niobium oxides [3,
13] which has a similar surface structure as in the previous experiment at a 10V voltage (Fig. 5, 6a)
is apparent on the coating deposited on the Ti substrate. A more clearly apparent porous nanostructure
can be seen on the Ti6Al4V substrate (Fig. 5, 6b).

21
Fig. 6. SEM images of oxide films prepared at an anodic voltage of 20 V, magn. 50 000x, time 1hr,
a) TiNb/Ti, b) TiNb/TiAlV.
In the TiNb/Ti sample at an anodic voltage of 30 V (Fig. 7a) the arrangement and topography of the
oxide layer is different from previous results. The pores are accumulated into characteristic
corrugations which cover the entire surface of the sample. Also the microscope images of the
TiNb/TiAlV samples (Fig. 7b) clearly show the grain boundaries of alpha and beta phases of the
substrate which remained in the layer after deposition.
Fig. 7. SEM images of oxide films prepared at anodic voltage 30 V, magn. 50 000x, time 1 hr, a)
TiNb/Ti, b) TiNb/TiAlV.
Since maximum pore density and their best regularity were observed at an anodic voltage of 20 V,
the time of oxidation was increased to 2 hours in the next set of experiments. On TiNb/Ti pores were
present but their density was relatively low. We observed localized growth of nanotubes (Fig. 8a).
On TiNb/TiAlV the oxide layer is formed by a nanoporous selforganized system of oxide nanotubes
(Fig. 8b, c). The diameter of the nanotubes is within the range 50 100 nm and they are distributed
uniformly over the sample surface.

22
Fig. 8. SEM images of oxide films prepared at anodic voltage 20 V, time 2 hrs, a) TiNb/TiAlV, magn.
30 000x, b) TiNb/TiAlV, magn.100 000x.
We also can compare the electron microscope images of an anodic layer of TiNb/TiNb, oxidized at
an anodic voltage of 20 V for 1 hour, taken at different magnifications. The results are in Figs. 9a-f.
It can be seen that on the TiNb layer on bulk TiNb a porous anodic film was not formed and the
surface of sample remained practically unchanged. This could be explained by the mechanical
treatment of the surface layer during grinding and polishing of the surface of the sample before
oxidation, which limited the growth of the porous oxide film.

23
Fig. 9. SEM images of oxide films prepared at anodic voltage 20 V, time 1hr, a) bulk TiNb,
magn.10 000x, b) bulk TiNb, magn.100 000x, c) TiNb/Ti, magn. 10 000x, d) TiNb/Ti, magn.
100 000x, e) TiNb/TiAlV, magn. 10 000x, f) TiNb/TiAlV, magn. 100 000x.
Besides the surface structure also the dependence was studied of the oxidation current on the anodic
voltage and on the time. The dependences of the current density on time during the oxidation of the
TiNb layer (both on Ti and TiAlV) at anodic voltages 10, 20 and 30 V in the studied electrolyte are
in Figs. 10a, b. The rate of the voltage increase was 100 mV.s-1. We found that the critical passivation
current density ikp on TiNb/Ti and TiNb/TiAlV is 11.9 12.2 mA.cm-2 and 10.2 10.4 mA.cm-2,
respectively. It can be observed that the magnitude of the anodic voltage has no influence on the
critical passivation current density ikp at the given parameters of the process.
The magnitude of the anodic voltage obviously affects the rate of the decrease of the current density;
at higher voltages the decrease is slower. Also at higher anodic voltages the value of the density of
the passivation current increases (Fig. 10a, b). From the diagram of the dependence of the current
density on the time, the value of the critical passivation current density ikp lies within the time intervals
65 75 s and 75 85 s for TiNb/Ti and TiNb/TiAlV respectively. Using these values and the rate of
growth of the anodic voltage we can calculate the passivation voltages 6.5 7.5 V and 7.5 8.5 V
for TiNb/Ti and TiNb/TiAlV respectively.
a b
Fig. 10. The dependence of current density on time during oxidation of a) TiNb/Ti, b) TiNb/TiAlV.
Summary. On anodic oxide films prepared on layers of TiNb on various substrates we found a porous
oxide layer. After 1 hour of growth at anodic voltages of 10, 20 and 30 V the layers were porous
without apparent nanotubes with a various degree of porosity and different directions of the growth

24
of the coating. In TiNb/Ti the porous structure is homogeneous over the entire surface of the substrate.
In the oxide layer on TiNb/TiAlV the phase boundaries in the substrate are visible.
After 2 hours of growth at an anodic voltage of 20 V, the oxide film on TiNb/Ti has a relatively low
density of pores. In spite of this in TiNb/TiAlV a nanostructured surface morphology with a regular
set of nanotubes with diameters in the range 50 100 nm was observed. The boundaries of phase
grains disappeared.
No nanostructural features were found on TiNb/TiNb samples.
Finally, we can state that the sputtered TiNb layer is not influenced by the mechanical treatment of
the substrate and by the potential impurities due to this treatment. Moreover a nanostructured oxide
layer (without or with nanotubes) can grow at suitable conditions of growth on a deposited layer of
TiNb.
Acknowledgment
This study was supported by the Grant Agency of the Czech Republic (grant no. 15-01558S) and by
the Ministry of Education, Youth and Sport of the Czech Republic, Program NPU1, project No.
LO1207. We are grateful to Mr Ivan iman for the English language review.
References
[1] Lutjering G. A J. Williams Titanium. 2nd ed. New York: Springer, 2007. ISBN 978-354-0713-
975.
[2] Ozaki Tomomichi, Hiroaki Matsumoto, Sadao Watanabe a Shuji Hanada. Beta Ti Alloys with
Low Young's Modulus. MATERIALS TRANSACTIONS. 2004, 45(8), 2776-2779. DOI: 10.2320
[3] Oshida, Yoshiki. Bioscience and bioengineering of titanium materials. 2nd ed. Waltham, MA:
Elsevier, 2013. Elsevier insights. ISBN 04-446-2625-5.
[4] Jirka Ivan, Marta Vandrovcov, Otakar Frank, Zdenk Tolde, Jan PLEK, Thomas Luxbacher,
Lucie Bakov a Vladimr Star. On the role of Nb-related sites of an oxidized -TiNb alloy surface
in its interaction with osteoblast-like MG-63 cells. 2013, 33(3), 1636-1645. DOI:
10.1016/j.msec.2012.12.073. ISSN 09284931.
[5] Liu X., P. Chu, C. Ding. Surface modification of titanium, titanium alloys, and related materials
for biomedical applications. Materials Science and Engineering: R: Reports. 2004, 47(3-4), 49-121.
DOI: 10.1016/j.mser.2004.11.001. ISSN 0927796x
[6] Mani A, L Vaidhyanathan, Y Hariharan, M Janawadkar, T Radhakrishnan. Structural and
superconducting properties of Nb-Ti alloy thin films. Bulletin of Materials Science. 1997, 20(4), 503-
507. DOI: 10.1007/BF02744763. ISSN 0250-4707.
[7] Vlcak P, F Cerny, Z Weiss, S Danis, J Sepitka, Z Tolde, V Jech. The Effect of Nitrogen Ion
Implantation on the Surface Properties of Ti6Al4V Alloy Coated by a Carbon Nanolayer. Journal of
Nanomaterials. 2013, 2013, 1-8. DOI: 10.1155/2013/475758. ISSN 1687-4110
[8] Bnisch Matthias, Mariana Calin, Thomas Waitz, Ajit Panigrahi, Michael Zehetbauer, Annett
Gebert, Werner Skrotzki a Jrgen Eckert. Thermal stability and phase transformations of martensitic
TiNb alloys. Science and Technology of Advanced Materials. 2016, 14(5), 055004-. DOI:
10.1088/1468-6996/14/5/055004. ISSN 1468-6996.
[9] Murray Joanne L. The NbTi (Niobium-Titanium) system. Bulletin of Alloy Phase Diagrams.
1981, 2(1), 55-61. DOI: 10.1007/BF02873704. ISSN 0197-0216.
[10] Izman S., M Rafiq, M Anwar, E.M. Nazim, R. Rosliza, A. Shah, M.A. Hass. Surface
Modification Techniques for Biomedical Grade of Titanium Alloys: Oxidation, Carburization and
25
Ion Implantation Processes. Titanium Alloys - Towards Achieving Enhanced Properties for
Diversified Applications. InTech, 2012. DOI: 10.5772/36318. ISBN 978-953-51-0354-7.
[11] Mack, J. Growth of Anodic Self-Organized Titanium Dioxide Nanotube Layers. Der
Technischen Fakultt der Universitt Erlangen-Nrnberg zur Erlangung des Grades, 2008.
[12] Liu Guohua, Kaiying WANG, Nils HOIVIK, Henrik JAKOBSEN. Progress on free-standing
and flow-through TiO2 nanotube membranes. Solar Energy Materials and Solar Cells. 2012, 98, 24-
38. DOI: 10.1016/j.solmat.2011.11.004. ISSN 09270248.
[13] Krasicka-Cydzik, E. Anodic Layer Formation on Titanium and Its Alloys for Biomedical
Applications. Titanium Alloys - Towards Achieving Enhanced Properties for Diversified
Applications. InTech, 2012. DOI: 10.5772/34395. ISBN 978-953-51-0354-7.
[14] Macak J.M., H. Tsuchiya, A. Ghicov, K. Yasuda, R. Hahn, S. Bauer, P. Schmuki. TiO2
nanotubes: Self-organized electrochemical formation, properties and applications. Current Opinion
in Solid State and Materials Science. 2007, 11(1-2), 3-18. DOI: 10.1016/j.cossms.2007.08.004. ISSN
13590286.
[15] Minagar S, Ch. Berndt, J Wang, E Ivanova, C Wen. A review of the application of anodization
for the fabrication of nanotubes on metal implant surfaces. Acta Biomaterialia. 2012, 8(8), 2875-
2888. DOI: 10.1016/j.actbio.2012.04.005. ISSN 17427061.
[16] Zorn, G., A. Lesman a I. Gotman Oxide formation on low modulus Ti45Nb alloy by anodic
versus thermal oxidation. Surface and Coatings Technology. 2006, 201(3-4), 612-618. DOI:
10.1016/j.surfcoat.2005.12.009. ISSN 02578972.
Cite the paper

Tolde Z., Star V. & Kozk, P. (2016). Nanostructure Formation in Anodic Films Prepared on a
Alloy Ti39Nb PVD Layer. Mechanics, Materials Science & Engineering Vol.6, 6.
doi:10.13140/RG.2.1.2756.8883

26
Diagnostics of Argon Injected Hydrogen Peroxide Added High Frequency

Underwater Capillary Discharge
Muhammad Waqar Ahmed1, Sooseok Choi1, Jong-Keun Yang1, Rai Suresh1, Heon Ju Lee1
1 Department of Nuclear, Energy and Chemical Engineering, Jeju National University, 690-756, Republic of Korea
DOI 10.13140/RG.2.2.16147.27684
Keywords: high frequency plasma discharge, hydrogen peroxide, emission spectroscopy, OH radicals.
ABSTRACT. The effects of hydrogen peroxide addition and Argon injection on electrical and spectral characteristics of
underwater capillary discharge were investigated. The flowing water discharge was created in a quartz tube ( = 4mm
outer; = 2mm inner; thickness 1mm) by applying high frequency (25 kHz) alternating current voltage (0-15kV) across
the tungsten electrodes (=0.5mm), in pin-pin electrode configuration, separated by a gap distance of 10 mm. The results
of no hydrogen peroxide addition and no Argon gas injection were compared with addition of hydrogen peroxide and
Argon injection for different values. The emission spectrum was taken to present the increase in concentration of OH
radicals with and without hydrogen peroxide addition under different argon injection rates. The results demonstrated that
addition of hydrogen peroxide do not remarkably affected the conductivity of water, but its addition increased the yield
rate of OH radicals generated by plasma discharge. The addition of Argon generated bubbles and gas channels reduced
the high power consumption required for inducing flowing water long gap discharge. The results showed large
concentration of OH radicals due to hydrogen peroxide addition, less required input power for generating flowing water
discharge by using high frequency input voltage and due to Argon injection.
1. Introduction. The generation of reactive species like OH radicals, ozone, reactive hydrogen and
oxygen through electrical discharge in water is of large interest and has been widely investigated by
many researchers [1-3]. Through various diagnostics phenomena different kinds of reactive species
were detected [4-5]. Among them ozone and OH radicals are of larger interest due to high redox
potential (2.07V and 2.80V respectively) and their high sterilization rate [6]. These reactive species
have wide range of environmental, biological, medical, Nano-technology and industrial applications
[7-12]. OH radicals are widely used for controlling environmental pollution including drinking water
and waste water treatment [13]. High redox potential reactive species are useful in blood treatment
and E.Coli degradation when generated in water and other liquids through electrical discharge [14-
15]. Synthesis of Nano-particles and polymers surface modifications is another useful application of
underwater plasma discharge and these reactive species can act as antibacterial agents [16-17]. The
hydroxyl radicals can be generated by various mechanisms [18] else than electrical discharge in water,
but researchers proved that the electrical discharge method is most effective method where high
intensity of OH radicals can be obtained [19-20]. Therefore in this research electrical discharge in
water was used to induce highly reactive oxidant species especially OH radicals. When plasma
generated then highly intensive shock waves, high temperature, strong electric field generation and
electron impact dissociation can cause water molecule to split into OH, other reactive species,
ionization and excitation process. Under various chemical reactions the splitting and recombination
of generated radicals and ionic species takes place to form OH, ozone and H2O2. Following are some
common chemical reactions that occur in aqua system while inducing some highly reactive oxidant
species [21]:
H2O H+ OH
H+HH2

27

OH +OH H2O2

OH +OH H2O +O
O +OH O2 +H
e-+ H2O2 OH +H
H2O2 + H2O 2OH + H2+ O2
In the table 1 the possible chemical reactions list, that takes place when discharge occurs in liquid is
shown [22].
Table 1. The possible chemical reactions list that takes place when discharge occurs in liquid (Dors
et al. 2005; Chen et al., 2002;2009; Grymonpre et al., 2001; Mok et al., 2008).
Reactants Products Reactants Products
2H2O H2O2+H2 O- + HO2- O2- + OH-
H2O H++eaq+OH O- + H2 H. + OH-
eaq+ OHH2+OH. O- + H2O OH + OH-
eaq +OHOH. 2HO2. O2 + H2O2
eaq+ HO2HO2- HO2. + H2O2 OH + O2 + H2O
eaq+ O2.HO2- + OH. O2- + HO2. HO2- + O2
eaq+ H2O2 OH. + OH- HO2. H+ + O2-
eaq+ HO2- O- + OH- 2O2- H2O2 + O2 + 2OH-
eaq+ O2 O2- O2- + H2O2 OH + O2 + OH-
eaq+ H+ H. O2- + HO2- O- + O2 + OH-
eaq + H2O OH- + H. H+ + O2- HO2.
2eaq H2O+2 OH- H2O2 2OH
2 H. H2 H2O2 + OH- HO2- + H2O
H.+OH H2O HO2- + H2O H2O2 + OH-
H. + HO2 H2O2 HO2- + H+ H2O2
H. + O2- HO2- H+ + OH- H2O
H. + H2O2 H2O +OH H2O H+ + OH-
H. + O2 HO2. O- + O2 O3-
OH- + H. eaq + H2O O- + O3 2O2-

OH+ OH H2O2 H2O2 + O3- O2- + O2 + H2O

OH +O- HO2- HO2- + O3 O2- + O2 + OH-

OH + HO2. O2 + H2O O3- O2 + O-

OH+ O2- O2 + OH- H2 + O3- H. + O2 + OH-

OH+ H2O2 HO2. + H2O O- + H+ OH

OH+ HO2- HO2. + OH- HO2 + OH- O2- + H2O
.
H2O H.+OH

OH+ H2 H. + H2O

OH + OH- O- + H2O
2O- OH- + HO2-
O2- + O- O2 + 2 OH-
O- + H2O2 O2- + H2O
The addition of hydrogen peroxide in water can enhance the reaction rates for generating OH radicals
and other reactive species. In this research the standard value of hydrogen peroxide (0.35ml/L) [23]

28
was added at different amounts starting from (0-0.35) ml/L. This addition enhanced the yield rate of
OH radicals. It is important to measure the intensity of reactive species especially OH radicals.

Several methods exist for the measurement of OH radicals among them the most convenient method
is optical emission spectroscopy (OES) [24]. Beside that other complicated methods like spin-trap
electron-spin resonance (ESR) [25], indirect measurement of OH radicals using chemical probe [26],
laser induce fluorescence (LIF) [27] and OH radicals dissolved in liquid were observed indirectly
using fluorescent properties of hydroxyl-terepethalic acid (HTA) formed in the reaction of
Terepethalic acid (TA) [28]. Among all of them OES is simple and convenient method that was used
in this experiment. The properties of OH radicals and other reactive species observed by several
researchers by different mechanisms. Table 2 represents the properties of reactive species generated
by electrical discharge in water [29].
This research work is useful to present the effect of H2O2 addition in water along with plasma
discharge to enhance the yield of OH radicals. Also the electrical characteristics of H2O2 added water
discharge were presented.
Fig. 1. (Color online) Schematic view of experiment set-up.
Fig. 2. (Color online) Visual view of the capillary discharge.

29
Table 2. Properties of selected species involved in AOP are through electrical discharge (Buxton et
al., 1998; Lide, 2006; Petri et al., 2011).
SPECIES FORMULA STANDARD pH Role
ELECTROCHEMICAL (where
POTENTIAL (v) present)

Hydroxyl Radical OH +2.59 pH < Strong oxidant
11.9
Hydrogen Peroxide H2O2 +1.77 pH<11.6 Strong oxidant
Week reductant
Superoxide anion O2- -0.33 pH<4.8 Week reductant
Per-hydroxyl radical HO2. +1.49 pH<4.8 Strong oxidant
Hydro-peroxide anion HO2- +0.88 pH>11.6 Week oxidant

Week reductant
1
Singlet oxygen O2
Ozone gas O3 +2.07 Strong oxidant
Atmospheric oxygen O2 +1.23 Week oxidant

(normal triplet form)
Solvated electrons e(aq)- -2.77 pH > Strong
7.85 reductant
2. Materials and Methods. Fig. 1 represents the experimental set-up used while Fig. 2 shows the
visual view of the discharge. The inter-electrode gap where plasma generated was kept 10mm, a
liquid flow meter and controller (Dwyer-RM series) was used to control the flow rate of water
(0.1L/min). Hydrogen peroxide (H2O2) was added to the water reservoir that was to be treated at
standard rates starting from 0ml/L to 0.35ml/L. A conductivity meter (OAKTON-CON6) was used
for observing conductivity of water during experiment specially after adding hydrogen peroxide.
Mass flow controller (LINE TECH M3030V) along with display unit was used to control and provide
Argon gas. A Neon transformer (15 kV, 25 kHz) was used to provide required input power for
generating discharge at 10 mm inter-electrode gap in tab water.
A Tektronix digital oscilloscope (DPO 2024) with high voltage and current probes and having data
storage facility was used for recording Volt-Ampere characteristics. An Avantes Avaspec-NIR256
miniature fiber-optic spectrometer was used to record the emission spectrum of hydrogen emitted
lines.
A mixture of water and hydrogen peroxide was taken in one liter water tank (H 2O2 was added for
different amounts), and water was allowed to flow through the quartz tube. The two terminals of
electrodes were connected at the output of the Neon transformer. The discharge was created inside
capillary between two electrodes carrying flowing water and after discharge occurrence the electrical
and spectral data was recorded. The electrical data taken by oscilloscope was evaluated by Matlab
codes to find volt-ampere characteristic curves, electrical power of discharge pulses, frequency of
discharge pulses and time difference between the occurrences of discharge pulses under different
experimental conditions. Argon gas was injected at 0-500sccm injection rates through injection
syringe and bubbles were created to reduce required power for generating discharge in flowing water
long gap discharge. The emission spectrum was recorded to find the intensity of OH radicals and
other reactive species. The Gaussian distribution was applied on OH emission spectrum peaks to
determine the intensity of OH radicals. The results were tabulated and presented graphically as well.

30
Under different experimental conditions, electrical and spectral data was taken simultaneously,
compared and presented.
3. Results and Discussion. Electrical results
Fig. 3 represents typical Volt-Ampere characteristics of non-gas injected discharge for different
amounts of hydrogen peroxide addition. The addition of hydrogen peroxide does not influence
remarkably water conductivity; therefore the required breakdown voltage was almost same at without
argon injection. Fig. 4 represents typical Volt-Ampere characteristics of argon injected discharge for
various amounts of hydrogen peroxide addition.
Fig. 3. (Color online)Typical Volt-Ampere characteristics of non-gas injected discharge for different
amounts of hydrogen peroxide addition (a) 0ml/l H2O2 (b) 0.05 ml/L H2O2 (c) 0.20 ml/L H2O2 (d)
0.35 ml/L H2O2.
Fig. 4. (Color online)Typical Volt-Ampere characteristics of 500 sccm Ar gas injected discharge for
different amounts of hydrogen peroxide addition (a) 0ml/l H2O2 (b) 0.05 ml/L H2O2 (c) 0.20ml/L H2O2
(d) 0.35 ml/L H2O2.
31
The addition of argon gas generated bubbles and gas channels drastically reduced the required
breakdown voltage due to small dielectric constant of gas compared to pure water medium having
high dielectric strength. When no gas was injected, after applying electrical fields across the
electrodes, the joules heating cause evaporation and micro bubbles generation that assist the
discharge occurrence process. Moreover electron impact dissociation was another cause of electrical
breakdown in water medium. In volt-ampere curves the sharp peaks represents the stage when
evaporation, micro bubbles density and electron density due to electron impact dissociation was at
maximum, after discharge occurrence the voltage drops and discharge current raises. Sharpe peaks
represents quick breakdown process. After argon injection, bubbles and gas channels were generated,
that participated mainly in creating low voltage breakdown. Discharge occurred within that bubbles
and channels and inside water or liquid-gas interface. The generation of bubbles and gas channels,
occurrence of discharge in theses gas channels and bubbles and in liquid-water interface was a quick
and random process, so underwater discharge was of pulsating nature. The addition of argon gas
generated bubbles and gas channels that drastically reduced the required breakdown voltage due to
small dielectric constant of gas compared to pure water medium having high dielectric strength. Fig.
5 represents the reduction in breakdown voltage. Due to high dielectric constant of pure water
medium, the required breakdown voltage was larger compared to the gas injected discharge, where
gas channels and gas bubbles created low voltage breakdown. With increase in gas injection rate,
breakdown voltage reduced enormously.
Fig. 6 represents the variation in electrical power of the discharge pulses, under different experimental
conditions.
The addition of hydrogen peroxide had no remarkable effect on the breakdown voltage therefore, the
electrical power of discharge pulses depends upon the medium of discharge i.e. pure water medium
or argon injected medium. In case of argon injection due to rise in bubbles size and number density,
and gas channels, the discharge strength increased and dimensionally more expanded discharge was
obtained. This increased the strength of electrical power of discharge pulses. The electrical power of
pulses becomes higher with increase in gas injection rates.
Fig. 5. (Color online). Variation in breakdown voltage Fig.6. (Color online). Variation in
for different Ar injection rates and various hydrogen electrical power of discharge pulses for
peroxide addition. different Ar injection rates and various
hydrogen peroxide additions.

32
Fig. 7 shows the variation of discharge pulse frequency. Due to argon injection high frequency of
discharge pulses were obtained compared to the pure water discharge.
The increase in gas injection rate can cause high frequency discharge. The time difference between
the occurrences of discharge pulses under different experimental conditions is shown in Fig. 8. After
gas injection quick discharge pulses were obtained compared to the non-gas discharge.
The results presented that without gas injection high break down voltage was needed, while after
argon injection that is non-reactive the chemical characteristics of discharge were not altered, but the
physical characteristics varied. At higher gas injection rates the breakdown voltage reduced, electrical
power of discharge pulses raised, frequency was increased while time difference between occurrences
of discharge pulses reduced. The addition of hydrogen peroxide had no remarkable influence on the
electrical characteristics of the discharge.
Fig. 7. (Color online). Variation in frequency of Fig. 8. (Color online). Average time difference
discharge pulses for different Ar injection rates and between the occurrence of discharge pulses for
various hydrogen peroxide additions. different Ar injection rates and various hydrogen
peroxide additions.
Spectral results.
Fig. 9 (a-d) represents the emission spectrum results of the discharge. The emission spectrum was
obtained after discharge occurrence by setting spectrometer wavelength range 250-1000 nm. The
peaks of OH radicals at 309 nm, H at 656 nm and reactive oxygen at 777 nm and 844 nm
were observed more dominant among required reactive species peaks. The intensity of OH radicals
and other reactive species was too high when H2O2 was added. Fig. 9 (a) represents the emission
spectrum without hydrogen peroxide addition. Without H2O2 addition only the splitting of water
molecule by electrical field, ultra violet (UV) radiations and electron impact dissociation caused the
generation of these reactive species. Fig. 9 (b) represents the emission spectrum at 0.05ml/L hydrogen
peroxide addition. While Fig. 9 (c) for 0.20 ml/L hydrogen peroxide addition and Fig. 9 (d) for

33
0.35ml/L hydrogen peroxide addition. Comparison outcome that the OH radicals, reactive hydrogen
and reactive oxygen were quite high for the case of hydrogen peroxide addition.
Fig. 9. (Color online). Emission Spectrum of OH radicals and other reactive species for different Ar
injection rates and various hydrogen peroxide addition (a) 0ml/l H2O2 (b) 0.05 ml/L H2O2 (c) 0.20
ml/L H2O2 (d) 0.35 ml/L H2O2.
The results also demonstrated that with increase in argon gas injection since the strength of the
discharge, electrical power of discharge pulses and frequency of discharge pulses was high, therefore

34
intensity and concentration of reactive species increased as well. The addition of hydrogen peroxide
along with argon injection generated more reactive species. Fig. 10 represents the concentration of
OH radicals by applying Gaussian distribution function on OH radicals emission peaks at 309nm
[30]:

() = 2 (1)
Increase in argon injection and hydrogen peroxide addition resulted in high concentration of OH
radicals.
Fig. 10. (Color online). Variation in concentration of OH radicals for different Ar injection rates
and various hydrogen peroxide addition.
At larger argon injection rates, since power of discharge pulses and frequency of discharge pulses
was observed increasing therefore, higher dissociation rate of water molecules was obtained, that
resulted in higher concentration of OH radicals.
Summary. Following conclusions have been made from the results:
1. The addition of hydrogen peroxide along with argon injection generated stronger plasma and high
intensity of reactive species especially OH radicals.
2. Addition of hydrogen peroxide effected chemical properties and have no remarkable effect on
electrical characteristics, especially conductivity of water.
3. Argon gas injection generated bubbles and gas channels that reduced the required breakdown
voltage for long gap flowing water discharge.

35
4. The frequency and electrical power of discharge pulses increased while time difference between
the occurrence of discharge pulses and breakdown voltage was reduced at higher argon injection
rates.
Acknowledgements
This study was supported by Plasma Diagnostics Using Fast Thomson Scattering through the National
Research Foundation of Korea (NRF) funded by Ministry of Education, Science and Technology
(2014M1A7A1A03045383) and Priority Research Centers Program through the National Research
Foundation of Korea (NRF) funded by Ministry of Education, Science and Technology (2010-
0020077).
References
[1] Mayank Sahni and Bruce R. Locke , Quantification of Hydroxyl Radicals Produced in Aqueous
Phase Pulsed Electrical Discharge Reactors, I & EC research, 2006. DOI: 10.1021/ie0601504
[2] Petr Lukes, Martin Clupek, Vaclav Babicky, Vaclav Janda and Pavel Sunka, Generation of ozone
by pulsed corona discharge over water surface in hybrid gasliquid electrical discharge reactor, J.
Phys. D: Appl. Phys., 2005. DOI:10.108/0022-3727/38/3/010
[3] Robert J. Wandell, Bruce R. Locke, Hydrogen Peroxide Generation in Low Power Pulsed Water
Spray Plasma Reactors, Ind. Eng. Chem. Res., 2014. DOI: 10.1021/ie402766t.
[4] Mitsuru Tahara, Masaaki Okubo, Detection of Free Radicals Produced by a Pulsed Streamer
Corona Discharge in Solution Using Electron Spin Resonance, Proc. 2012 Joint Electrostatics
Conference. DOI: 10.1016/j.elstat.2014.03.002.
[5] Vt Jirasek, Petr Lukes, Halyna Kozak, Anna Artemenko, Martin Clupek, Jan Cermak, Bohuslav
Rezek, Alexander Kromka , Filamentation of diamond nanoparticles treated in underwater corona
discharge, 2015.DOI: 10.1039/C5RA23292A.
[6] United States Environmental Protection Agency (USEPA) Report No. EPA-815-R-99-014(1999).
[7] S. Li, I. V. Timoshkin, M. Maclean, S. J. MacGregor, M. P. Wilson, M. J. Given, T. Wang and J.
G. Anderson, Fluorescence Detection of Hydroxyl Radicals in Water Produced by Atmospheric
Pulsed Discharges, IEEE Transactions on Dielectrics and electrical insulation, 2015.
DOI:10.1109/TDEI.2015.005147.
[8] Yong Yang, Young I. Cho, Alexander Friedman, Plasma Discharge in Liquid: Water Treatment
and Applications, by CRC Press, January 24, 2012.
[9] Xiujuan J. Dai, Cormac S. Corr, Sri B. Ponraj, Mohammad Maniruzzaman, Arun T. Ambujakshan,
Zhiqiang Chen, Ladge Kviz, Robert Lovett, Gayathri D. Rajmohan, David R. de Celis, Marion L.
Wright, Peter R. Lamb, Yakov E. Krasik, David B. Graves, William G. Graham, Riccardo
dAgostino, Xungai Wang, Efficient and Selectable Production of Reactive Species Using a
Nanosecond Pulsed Discharge in Gas Bubbles in Liquid, Plasma Process. Polym. 2016.
DOI: 10.1002/ppap.201500156
[10] Genki Saito and Tomohiro Akiyama, Nanomaterial Synthesis Using Plasma Generation in
Liquid, Journal of Nanomaterials, 2015. DOI:10.1155/2015/123696.
[11] W F L M Hoeben, E M van Veldhuizen, W R Rutgers and G M W Kroesen, Gas phase corona
discharges for oxidation of phenol in an aqueous solution, Phys. D: Appl. Phys. Nov. 1999. DOI:
10.1088/0022-3727/32/24/103.

36
[12] Joanna Pawat, Dr. Thesis, Electrical discharges in humid environments Generators, effects,
application, Lublin University of Technology, Poland.
[13] Masayuki Sato, Environmental and biotechnological applications of high-voltage pulsed
discharges in water, Plasma Sources Sci. Technol. Oct. 2007.DOI; 10.1088/0963-0252/17/2/024021.
[14] M. Sato, Degradation of organic contaminants in water by plasma, International Journal of
Plasma Environmental Science and Technology Vol. 03, No.1, MARCH 2009.
[15] P. Baroch, T. Takeda, M. Oda, N. Saito and O. Takai1, Degradation of Bacteria Using Pulse
Plasma Discharge in Liquid Medium, 27th international power modulator symposium, 2006. DOI;
10.1109/MODSYM.2006.365289.
[16] Paul Y. Kim, Yoon-Sun Kim, Il Gyo Koo, Jae Chul Jung, Gon Jun Kim, Myeong Yeol Choi,
Zengqi Yu, George J. Collins*,Bacterial Inactivation of Wound Infection in a Human Skin Model
by Liquid-Phase Discharge Plasma, PloS One, 2011. DOI:10.1371/journal.pone.0024104
[17] Vasil I. Parvulescu, Plasma Chemistry and catalysis in Gases and Liquids, Wiley-VCH,
Germany, 2012. DOI: 10.1002/9783527649525.index.
[18] Magnus Ingelman-Sundbergz and Inger Johansso, Mechanisms of Hydroxyl Radical Formation
and Ethanol Oxidation by Ethanol-inducible and Other Forms of Rabbit Liver Microsomal
Cytochromes, 1984.DOI: 10.1124/mol.110.067652
[19] J. Kornev, N. Yavorovsky, S. Preis, M. Khaskelberg, U. Isaev & B.-N. Chen, Generation of
Active Oxidant Species by Pulsed Dielectric Barrier Discharge in Water-Air Mixtures, Ozone:
Science and Engineering, 2007. DOI: 10.1080/01919510600704957.
[20] Pankaj Attri , Yong Hee Kim , Dae Hoon Park , Ji Hoon Park , Young J. Hong , Han Sup Uhm ,
Kyoung-Nam Kim , Alexander Friedman & Eun Ha Choi, Generation mechanism of hydroxyl
radical species and its lifetime Prediction during the plasma-initiated ultraviolet (UV) photolysis,
Scientific Reports, 2015. DOI: 10.1038/srep09332.
[21] Svetlana Gasanova, Dr. Thesis, Aqueous-phase electrical discharges: generation, investigation
and application for Organics removal from water, 2013.
[22] Shigeo Daito, Fumiyoshi Tochikubo and Tsuneo Watanabe, Improvement of NOx Removal
Efficiency Assisted by Aqueous-Phase Reaction in Corona Discharge, Jpn. J. Appl. Phys. 2000.
DOI:10.1143/JJAP.39.4914.
[23] Dip. Ing. Dr. Otto Zajic, Disinfection of Drinking Water with Hydrogen Peroxide / Silver,
Fourth International Water Technology Conference IWTC 99, Alexandria, Egypt, 1999.
[24] Dong Nam Shin, Chul Woung Park, and Jae Won Hahn, Detection of OH (A2S+) and O (1D)
Emission Spectrum Generated in a Pulsed Corona Plasma, Bull. Korean Chem. Soc., 2000.
[25] Weiwei He, Yitong Liu, Wayne G. Wamer, Jun-Jie Yin, Electron spin resonance spectroscopy
for the study of nanomaterial-mediated generation of reactive oxygen species, journal of food and
drug analysis, 2014. DOI:10.1016/j.jfda.2014.01.004.
[26] Michael S. Elovitz1 and Urs von Gunten, Hydroxyl Radical/Ozone Ratios During Ozonation
Processe, 1998. DOI: 10.1080/01919519908547239.
[27] Ryo Ono, and Tetsuji Oda, Measurement of Hydroxyl Radicals in an Atmospheric Pressure
Discharge Plasma by Using Laser-Induced Fluorescence, IEEE Transactions on Industry
Applications, 2002. DOI:10.1109/28.821800.
37
[28] Seiji Kanazawa, Hirokazu Kawano, Satoshi Watanabe, Takashi Furuki, Shuichi Akamine, Ryuta
Ichiki, Toshikazu Ohkubo, Marek Kocik and Jerzy Mizeraczyk, Observation of OH radicals
produced by pulsed discharges on the Surface of a liquid, Plasma Sources Sci. Technol. Vol. 20, No.
03, Jan. 2011. DOI:10.1088/0963-0252/20/3/034010.
[29] Petr Lukes, Martin Clupek, Vaclav Babicky, Vaclav Janda and Pavel Sunka, Generation of
ozone by pulsed corona discharge over water surface in hybrid gasliquid electrical discharge
reactor, J. Phys. D: Appl. Phys. 2004.DOI: 10.1088/0022-3727/38/3/010.
[30] Muhammad Waqar Ahmed, Jong-Keun Yang, Young-Sun Mok and Heon Ju Lee,Underwater
Capillary Discharge with Air and Oxygen Addition, Journal of the Korean Physical Society, 2014.
DOI: 10.3938/jkps.65.1404.
Cite the paper

Ahmed, M. W., Choi, S., Yang, J., Suresh, R., & Lee, H. J. (2016). Diagnostics of Argon Injected
Hydrogen Peroxide Added High Frequency Underwater Capillary Discharge. Mechanics, Materials
Science & Engineering Vol.6, 6. doi:10.13140/RG.2.2.16147.27684

38
Optimizing the Parameters in Heat Treatment for Achieving High Hardness and
Efficient Bending of Thin BS 2014 Aluminium Alloy Sheets
Abirami Priyadarshini B.
1 GTN Engineering India Ltd, Tamil Nadu, India
DOI 10.13140/RG.2.2.10632.42242
Keywords: hardness measurement, aluminium alloys, bending, aging.
ABSTRACT. The present work targets in setting a standard heat treatment procedure for obtaining high hardness values
of the order of 80 HRB in BS 2014 aluminium alloy sheets of 2mm thick commonly used in aerospace industries. A
hardness range of 60HRB to 72HRB is possible in low thickness sheets as stated in the standard BS EN 485-2:2013.
Experiments were performed to achieve higher hardness values by controlling the heat treatment temperatures thereby
understanding the ageing mechanism of the Al-Cu alloy to a wider extent. The validated process sequence in turn resulted
in complications where bending of the sheets resulted in cracking. Further investigation was performed and it was found
that the BS 2014 alloy has to be bent within two hours of solution annealing in order to have an efficient bending. The
results showed that the natural ageing is so rapid in this alloy, which strengthens the material so quickly by the formation
of CuAl2 precipitates, thereby, demanding the bending procedure to be performed before the growth of precipitates
becomes dominant.
Introduction. The research and innovation at the aircraft industry focuses on reducing the weight of
the aircraft for improving the efficiency, safety and performance. It also demands a positive step in
environmental and economic factors thereby resulting in a favorable combination of high corrosion
resistance, fatigue resistance, formability and strength coupled with low density[1]. Aluminium is
one of the most important materials facing these challenges where it finds a wide variety of
applications in the aerospace industry depending on their complexity and performance requirements.
With copper as the main alloying element, the 2xxx series of aluminium alloys are of significant
interest possessing high strength to density ratio and thereby being used for structural applications in
variety of fields such as the aviation and military sectors[2], [3].
Aluminium, being a sheet material, demands a predominant level of bending and forming. Among
the 2xxx series, the BS 2024 is the most popular alloy used in the manufacturing of aircraft skins,
cowls and structures[4]. Currently, the BS 2014 aluminium alloy is gathering attention due to its
ability to achieve higher hardness and therefore it is used mainly for the interface beam assembly in
aircraft structures and casings. These applications require a balance to be struck between the higher
degree of hardness produced with the ability to bend and form the alloy. Work was performed in
identifying the precipitates that are responsible for hardening the 2014 Al alloy where the
precipitation of and due to the presence of copper was of significant importance[5]. A good
combination of mechanical properties can be achieved by controlling the precipitation mechanism
where the elements such as Magnesium and Silicon are also responsible in improving the hardness of
this alloy[6].
In the present work, the BS 2014 alloy was targeted to produce an increased hardness by optimizing
the heat treatment factors thereby having an efficient control over the ageing mechanism. BS EN 485-
2:2013 states a maximum hardness of 72 HRB that could be achieved in a 2014 alloy[7]. However,
this alloy has been studied widely for its ageing process where the precipitates are solely responsible
in hardening the alloy resulting from the copper addition[2], [5]. Sadeler et al. studied the effect of
T4 (solution treated and naturally aged) and T6 (solution treated and artificially aged) tempers where
they concluded that the T6 temper has positive effects on the mechanical properties of this alloy[8].
39
Various failures were reported from the aircraft industries where there were issues in the bending of
this alloy even if the required hardness was achieved. This defect from the application side of
industries demanded a more appropriate methodology in order to successfully bend these alloys
considering the mechanism of hardening. Hence, work was also done in performing a successful 90o
bend without the formation of cracks where an efficient heat treatment cycle was investigated and the
process was optimized.
Experimental work. The BS 2014 aluminium alloy used in this investigation was procured at the T6
temper condition owing to its better properties compared to the T4 temper[8] and was subjected to a
chemical analysis treatment which had the composition as shown in table 1. The alloy plates with the
dimensions of 2mm x 65mm x 300mm were considered for the experiments. Also, the standard BS
EN 485-2:2013 states a hardness value of 72 HBW for a thickness of 1.5-3 mm and hence a thickness
of 2 mm was considered for performing a comparison in the achieved hardness.
Table 1. Chemical analysis of 2014 aluminium alloy.

Elements Specified values[9] (%) Observed values (%)
Cu 3.8-5.0 4.051
Si 0.5-1.2 0.941
Fe 0.70 max 0.151
Mn 0.3-1.2 0.714
Mg 0.2-0.8 0.546
Cr 0.3 max 0.004
Zn 0.2 max 0.034
Ti 0.3 max 0.023
Al Remainder 93.458
Initially seven sample plates were considered and prepared for undergoing the heat treatment trials.
The surface was cleaned to remove any foreign bodies, oxides and impurities if present. The 2014
aluminium sheets that satisfied the standard composition were cut into the required dimensions using
laser-cutting process. The trials that were performed had the following sequence as depicted in table
2. It should be noted that the various trials performed had different process parameters where every
trial sequence followed the standard heat treatment procedure for Aluminium alloys.
Various standards such as the AMS-H-6088 B, MIL-S-10699B, ASTM-B597-1992 and IS: 8860-
1978 were considered in selecting the appropriate temperatures of heat treatment. These standards
provided the code of practice for the heat treatment of aluminium alloys and the required conditions
that are maintained throughout the process. These factors essentially include the salt composition,
heat treatment baths and the procedure of heat treatment.
Furnace annealing was done at certain trials at a temperature of 410oC for two hours. The sample was
then furnace cooled with a maximum cooling rate of 28oC per hour until the specimen reached 260oC
which was then followed by air cooling. This is an important pre-step to solution annealing for the
effective dissolution of precipitates in order to avoid cracking.
Solution annealing was done at 510oC for 35-40 minutes with water as the quenching medium. The
main purpose of solution annealing was to achieve proper homogenization of the alloy to facilitate an
efficient aging mechanism.

40
Table 2. Sequence of trials for the heat treatment process.

Trial number Process sequence
Trial 1 Laser cutting Bending
Trial 2 Laser cutting Solution annealing Aging Bending
Trial 3 Laser cutting Solution annealing Bending within 12 hours of

solution annealing Aging
Trial 4 Laser cutting Solution annealing Bending within 6 hours of solution
annealing Aging
Trial 5 Laser cutting Furnace annealing Solution annealing Bending
within 6 hours of solution annealing Aging
The bending of the alloy sheets was performed using the Yawei bending machine with a capacity of
220 tons for various trials as mentioned in table 2 depending on the time after solution treatment. The
sample under trial 7 (see table 3) that passed the bending test was approved and considered for
studying the aging mechanism to achieve the required hardness.
As the heat treatment procedure for bending is now validated, eight other samples of 2014-T6 were
subjected to the process of laser cutting, furnace annealing, solution annealing, straightening and
bending within 2 hours of solution annealing according to trial 7. These samples were successfully
bent and were subjected to the aging process with a temperature of 175oC. The soak time varied from
2 hours to 18 hours to see the variation in hardness produced depending on the temperature changes
(see table 5). The hardness was measured using a standard Rockwell hardness tester at B scale.
Results and discussion
Bending factors and parameters. The trials performed using different sequences of heat treatment
yielded the following results after bending.
Table 3. Bending results of the trials performed

Trial number Process validation
Trial 1 -Trial 6 Failed due to the formation of cracks
Trial 7 A successful 90o bend performed without the formation of crack or

irregularities.
The sample under the trial 1 methodology failed as expected, as there were no surface modifications
performed. The bending of this sample resulted in the obvious formation of crack thereby leading to
breakage. The sample under trial 2 had a complete heat treatment cycle following the theoretical
reasoning where the solution annealing, quenching and ageing resulted in a significant formation of
the precipitates. This sample also failed due to the formation of cracks, which is a result of the
precipitation of CuAl2 along with various other insoluble compounds. The material has a tendency to

41
naturally age at a rapid rate thereby resulting in the growth of precipitates leading to a significant
improvement in hardness. However, this results in increasing the brittleness of the material leading
to the formation of cracks.
A different methodology was followed where bending of the material was performed within a certain
specific time after solution annealing to assess the rate of growth of the precipitates that affects
bending. In order to achieve this, a time limit has to be deduced for performing the bending before
the precipitates start to age. Trails 3 to 7 were bent within a specified time after solution annealing
with the time available for bending reduced from 12 hours to 2 hours where a successful bend was
performed.
Fig. 1. Failure of the sheets.
Time is a critical parameter where the bending was totally dependent on the rate of growth of
precipitates which in turn increases the hardness and brittleness of the thin sheet. Thus, for an efficient
bending of the Aluminium 2014 alloy, the thin sheet has to be bent within two hours of solution
annealing so that the material can be formed before the rate of growth of precipitates reaches the
critical limit. The failure of the sheets is as depicted in Fig. 1 when undergoing the process from trial
1 to trial 6.
Parameters for high hardness. It was also noted that the aerospace industries require a certain
minimum hardness that has to satisfy the component working conditions. After performing a
successful bend, the target was laid on achieving a high hardness value for the bent sheet and this was
satisfied by setting the proper ageing time, restricting the over ageing process. In order to establish
this target, the hardness values were recorded as shown in table 5.
Table 4. Hardness obtained.
TRAIL NOS TEMP SOAK TIME OBTAINED HARDNESS

1 175C 2.0 Hrs 48 HRB
2 175C 4.0 Hrs 49 HRB
3 175C 6.0 Hrs 59 HRB
4 175C 8.0 Hrs 68 HRB
5 175C 10.0 Hrs 78 HRB
6 175C 12.0 Hrs 67 HRB
7 175C 14.0 Hrs 65 HRB
8 175C 18.0 Hrs 63 HRB

42
It was seen that the hardness value at 175oC for an ageing time of 10 hours yielded high hardness
value of 78 HRB for the heat treatment parameters that was considered throughout this experiment.
Beyond this time, over ageing occurred where the hardness values dropped down. The sample
surfaces were polished with the use of Silicon carbide paper and diamond paste and then etched by
Kellers reagent for ten seconds. A microstructural analysis was performed using an optical
microscope after every ageing cycle so that the growth of the precipitates can be efficiently related to
its hardness as shown in Fig. 3. It can be seen that the growth of precipitates is so rapid where they
reach a maximum hardness at the time of ten hours. The precipitates might act as a stress raiser where
the crack propagation starts to initiate. The microstructures confirmed the rapid growth of
precipitates, which supports the experimental hardness values that are obtained.
Precipitate formation. The evolution of hardness at the performed trials is directly proportional to
the Cu-Al precipitates that are formed. Various research in the past confirms the precipitates to be
CuAl2 phase where during the process of quenching, Cu is contained as a super saturated solid
solution in the Aluminium rich phase at room temperature[8]. During the aging phase, the
combination of copper and aluminium results in the formation of fine crystals of CuAl2 in the solution.
The increase in hardness values are a result of the formation of these crystals owing to the solubility
of copper in aluminium. From the microstructures obtained in Fig. 3, it is evident that the CuAl2 phase
is present by the difference in contrast that is produced. The main elements of the microstructure are
characterized as dark, insoluble precipitates composed of complex compounds such as Fe, Mn, Al,
Si and also the presence of particles of CuAl2 phase which are the white areas in a matrix of solid
solution[8]. It can also be seen that the condition of reduced hardness obtained after the aging time
of 11 hours produced a state of over aging as shown in Fig. 2. Hence, for achieving the maximum
hardness, the region showing a maximum peak was utilized thereby fixing the aging time to 10 hours
at a temperature of 170oC. These parameters yielded hardness values that were higher than the
hardness mentioned in the standard[7]. It has to be noted that aging was performed after the samples
were bent so that the required shape of the component can be progressed to the desired level of
hardness without failure.
80
75
70
Hardness (HRB)
65
60
55
50
45
40
0 2 4 6 8 10 12 14 16 18 20
Aging time (Hours)
Fig. 2. Hardness vs Aging time.

43
a b
c d
Fig. 3. Optical microscope images showing the growth of precipitates at (a) 2h (b) 8h (c) 10h (d)
14h taken at 200x.
Summary. The various samples of 2mm thin sheets of Aluminium 2014 alloy were optimized for
heat treatment and bending parameters, where the following conclusions were drawn.
(1) The bending of aluminium 2014 alloy has to be performed within two hours of solution annealing,
as the degree of natural aging in this alloy is significantly high. A successful bend can be performed
within that time before the rapid growth of precipitates significantly increases the hardness resulting
in cracking of the sheets during bending.
(2) The aging of the specimen after bending yields high hardness values than the standard hardness
mentioned in BS EN 485-2:2013 when the process of aging is carried out for 10 hours at a temperature
of 175oC. The furnace annealing proved to have a positive impact by being a successful pre-process
to solution annealing. Proper control of temperature and environment resulted in a hardness of 78
HRB which is more than the value that was previously achieved.
The improved parameters for achieving high hardness value with successful bending will be highly
desired by the aerospace industries where thin sheets of aluminium 2014 alloy plays a significant
role. The scope of the future work lies in improving the aging conditions to perform a successful bend
and achieve higher hardness values for thinner sheets of the order of 1mm that will significantly
improve the efficiency of weight reduction in an aircraft. Work is also demanded in areas of fracture
mechanics where the mode and mechanics of fracture in this alloy can be analyzed to a greater extent.
Acknowledgement. I take this opportunity to express my gratitude to Mr.K.B. Babu, CEO, GTN
Engineering India Ltd for permitting me to undertake a project at his reputed industry. His constant
support and guidance is highly appreciated. I also thank Mr. K. Vijayabaskar, Chief Operations
officer, GTN Engineering India Ltd for his extended support throughout the course of this project.

44
In addition, I gratefully acknowledge the assistance and contribution of my guide, Mr. Gowtham,
Operations manager, GTN Engineering India Ltd, for his cordial support, valuable information and
guidance, which helped me in completing this task through various stages.
References
[1] A. Davidkov, R. H. Petrov, P. De Smet, B. Schepers, and L. A. I. Kestens, Microstructure
controlled bending response in AA6016 Al alloys, Material Science Enineering. A, vol. 528, no. 22
23, pp. 70687076, 2011, doi: 10.1016/j.msea.2011.05.055
[2] S. Wenner, J. Friis, C. D. Marioara, and R. Holmestad, Precipitation in a mixed Al - Cu - Mg /
Al - Zn - Mg alloy system, Journal of Alloys and Compounds, vol. 684, pp. 195200, 2016, doi:
10.1016/j.jallcom.2016.05.132
[3] I J Polmear, Light alloys: Metallurgy of the light metals. 1995.
[4] Experimental Aircraft Info. [Online]. Available: http://www.experimentalaircraft.
info/articles/aircraft-aluminum.php. [Accessed: 10-Aug-2016].
[5] M. Zeren, Effect of copper and silicon content on mechanical properties in Al Cu Si Mg
alloys, vol. 169, pp. 292298, 2005.
[6] R. Ciach, S. Yu, and J. Kr, Effect of ageing on the evolution of precipitates in AlSiCuMg alloys,
vol. 2344236, pp. 165168, 1997.
[7] BS EN 485-2:2013, Aluminium and aluminium alloys Sheet , strip and plate , Part 2:
Mechanical properties.
[8] R. Sadeler and M. cal, Influence of Relative Slip on Fretting Fatigue Behaviour of 2014
Aluminium Alloy with the Age-Hardened Conditions T4 and T6, vol. 18, no. 2, pp. 273277, 2014.
[9] ASTM B209, Standard Specification for Aluminum and Aluminum-Alloy Sheet and Plate ,
2014.
Cite the paper

Abirami Priyadarshini B. (2016). Optimizing the Parameters in Heat Treatment for Achieving High
Hardness and Efficient Bending of Thin BS 2014 Aluminium Alloy Sheets. Mechanics, Materials
Science & Engineering Vol.6, doi:10.13140/RG.2.2.10632.42242

45
The Effects of Ukam (Cochlospermum Planchonii) Plant Fiber Variation on the

Properties of Polyester Matrix Fiber Reinforced Composite
Ihom, A.P.1, a, Dennis .O. Onah1
1 Department of Mechanical Engineering, University of Uyo, Uyo, PMB 1017 Uyo-Nigeria

a ihomaondona@gmail.com, draondonaphilip@gmail.com
DOI 10.13140/RG.2.2.35903.92320
Keywords: Cochlospermum planchonii fiber, polyester, composite; matrix, reinforcement, properties.
ABSTRACT. The work titled The Effects of Ukam (Cochlospermum Planchonii) Plant Fiber Variation on the Properties
of Polyester Matrix Fiber Reinforced Composite has been undertaken. The work delved into the production of the
composites, this was accomplished by the separate activities of fiber production, mould production and matrix
preparation. The fiber was from cochlospermum planchonii (Ukam) plant and the matrix was from polyester. Samples of
the produced composites were used in preparing standard test specimens, which were subjected to various tests in order
to characterize the composite. In all the properties tested, it was observed that Ukam fiber content had a major role in
determining the properties of the composite. The variation of the fiber weight fraction affected all the tested properties of
the composite. The results showed that to produce a polyester composite with optimized properties using Ukam fiber,
which is biodegradable, the fiber content should be 40%.
Introduction. There are very many situations in engineering where no single material will be suitable
to meet a particular design requirement. However, two materials in combination may possess a
feasible solution to the materials selection problem. The principle of composite materials is not new.
The use of straw in the manufacture of dried mud bricks, and the use of hair and other bers date
back to ancient civilizations [1]. A typical composite material is a system of materials comprising of
two or more materials mixed and bonded together. For example, concrete is made up of cement, sand,
stones and water. If the composition occurs on a microscopic scale (molecular level), the new material
is called an alloy for metals or a polymer for plastics [15]. Types of composites are fiber reinforced
composites, metal matrix composites, polymer matrix composites, and ceramic matrix composites
[16].
Generally, a composite material is composed of reinforcements. These reinforcements are generally
classified into two; synthetic and natural. Synthetic reinforcements include glass, carbon and aramid
fibers. Mass production of glass strands was discovered in 1932 when Games Slayter, a researcher at
Owens-Illinois accidentally directed a jet of compressed air at a stream of molten glass and produced
fibers [16].
Nowadays, natural fibers are an interesting option for the most widely applied fibers in the composite
technology. Examples of Natural fibers are jute, hemp, flax, kenaf, coconut, Ukam, sisal, and banana,
pineapple fibers from the leaf; cotton and kapok from seed; coir and coconut from the fruit; oil palm
and bamboo fibers. The components of natural fibers are cellulose, hemicellulose, lignin, pectin,
waxes and water soluble substances. The cellulose, hemicellulose and lignin are the basic components
of natural fibers, governing the physical properties of the fibers. In order to fully utilize the natural
fibers, understanding their physical and mechanical properties is vital. A unique characteristic of
natural fibers reinforced plastic is dependent on the variations in the characteristics and amount of
these components, as well as difference in its cellular structure. Therefore, to use natural fibers to its
best advantages and most effectively in automotive and industrial application, physical and
mechanical properties of natural fibers composite must be considered [2, 3, 4, 5].

46
Fibers are made to exist in many forms such as; chopped strand mat, chopped strands, woven roving,
surface tissues and continuous strand mat. The matrix holds the reinforcements to form the desired
shape of a composite. In the case of polymer based composites, matrix materials are resins. A suitable
resin for combining fiber glass" with a plastic to produce a composite material was first developed
in 1936 by du Pont [6]. The matrix binds the bres together, protect them against damages and
transmit load from bre to fiber. Examples of Matrix materials are Polyester, Epoxy, Vinyl ester, etc.
Polyester is a term often defined as long-chain polymers chemically composed of at least 85% by
weight of an ester, a dihydric alcohol and a terephthalic acid. It is a category of polymers that contain
the ester functional group in their main chain. Polyester also refers to the various polymers in which
the backbones are formed by the esterification condensation of polyfunctional alcohols and acids
[1, 16, 7, 8 9].
The fabrication and properties of composites are strongly influenced by the proportions and properties
of the matrix and the reinforcement. The impact strength of fiber reinforced composite increases as
the bre volume fraction increases [23]. The strength also improves with increase in bre volume
fractions, bre treatment, bre length, bre orientation and the addition of additives [10, 11, 13].
Rasheed et al [20] found that the tensile strength of the composite increases with the fiber volume
fraction up to 40% and after which it decreases slightly. Experimental analysis of coir-fiber reinforced
polymer composite materials have shown that the mechanical properties of the composite are
dependent on the content or the volume fraction of fibers [14]. Based on the experiments, it was found
that the tensile strength and the youngs modulus decreased with the increasing fiber volume after a
particular value of fiber content. It was also seen that the failure strain increases with the increase in
the fiber content. The fiber length is another parameter affecting the mechanical properties of the
composite. The fiber length also has an impact on the tensile property, flexural property and impact
strength of the composite. Homogeneity is an important characteristic that determines the extent to
which a representative volume of the material may differ in physical and mechanical properties from
the average properties of the material. The amount of reinforcement that can be incorporated in a
given matrix is limited by a number of factors. For example with particulate reinforced metals the
reinforcement content is usually kept to less than 40 vol. % (0.4 volume fraction) because of
processing difficulties and increasing brittleness at higher contents. On the other hand, the processing
methods for fiber reinforced polymers are capable of producing composites with a high proportion of
fibers, and the upper limit of about 70 vol. % (0.7 volume fraction) is set by the need to avoid fiber-
fiber contact which results in fiber damage [12, 16, 17, 18, 19, 21, 22].
Cochlospermum Planchonii known locally as Ukam plants grow in savannah and forest savannah
mosaic in West Africa. The plant is a perennial plant with a woody subterranean rootstock, from
which, in the rainy season, annual leafy shoots growing around 2 metres tall are produced. The height
of the plant depends on the particular habitat and the age. The people of the area where these plants
are found use their fibers as sponge and also to reinforce clay with which they produced intricate
earthen pots and silos [2, 3, 4, 5]. The objective of this research work is to investigate the effect of
Ukam fiber variation on the properties of the composites produced using the fibers.
Materials and Method.
Materials.
The materials used for this work were: polyester resin, Ukam fiber (Cochlospermum Planchonii
fibers), sodium hydroxide, acetic acid, releasing agent, methyl ethyl ketone peroxide, calcium
carbonate, cobalt naphthenate and water.
Equipment.
The equipment used for the study were as follows: rule, digital weighing balace, Moulds, Tensile
Strength Tester, Scanning Electron Microscope, Universal Testing Machine, Flexural Testing
Machine, Compression Testing Machine, Rockwell B scale, and Impact Testing Machine

47
Method.
The work commenced with the production of the composite using polyester as the matrix and
cochlospermum planchonii as the fibers. Cut stems of the plants were soaked inside flowing water
for thirty days. This enhanced the decay and removal of the thin back of the plant leaving behind,
white fibrous stems (see Plate I). The fibers were removed from the fibrous stems with hands (see
Plate II). The density, tensile strength, SEM analysis, and water absorption characteristics of the
produced fibers were all determined. The produced fibers were then used in the development of
polyester composite using various weight fractions of the fiber which were randomly oriented in the
matrix (see table 1). The produced composites were allowed to cure for 24 hours before the
commencement of their processing into standard test specimens which were used for characterization
of the produced composites. Plates III-VIII show some equipment, the developed composites, and
some specimens which were used for the characterization of the produced composites.
Plate I: Cut Stems of Cochlospermum Plate II: Treated and Dried Cochlospermum
Planchonii Fibers Planchonii Fibers
Plate III: Scanning Electron Microscope Plate IV: Developed Samples of

Cochlospermum Planchonii Reinforced
Polyester Composites
Plate V: Test Specimens of Cochlospermum

Plate VI: Universal Strength Testing Machine
Planconii Reinforced Composite for tensile test
(Testometric)

48
Plate VII: Test Specimen of Cochlospermum Plate VIII: Flexural Test Machine
Planconii Fiber Reinforced Polyester
Composite for Flexural Test
Results and Discussion.

Results.
The results of the work are as presented in Fig.s 1-10 and Plates IX-X
Fig. 1. Ultimate tensile strength variation with % reinforcement of cochlospermum planchonii

(Ukam) fiber in polyester composites.
Fig. 2. Extension variation with % reinforcement of cochlospermum planchonii (Ukam) fiber in

polyester composites.

49
Fig. 3. Flexural strength variation with % reinforcement of cochlospermum planchonii (Ukam)

fiber in polyester composites.
Fig. 4. Deflection variation with % reinforcement of cochlospermum planchonii (Ukam) fiber in

Fig. 5. Compressive strength variation with % reinforcement of cochlospermum planchonii (Ukam)


50
Fig. 6. Maximum load variation with % reinforcement of cochlospermum planchonii (Ukam) fiber
in polyester composites.
Fig. 7. Hardness in HRB of the composites with % reinforcement of cochlospermum planchonii

(Ukam) fiber in polyester composites.
Fig. 8. Toughness variation with % reinforcement of cochlospermum planchonii (Ukam) fiber in


51
Fig. 9. Density variation with % reinforcement of cochlospermum planchonii (Ukam) fiber in

Fig. 10. Water absorption capacity with % reinforcement of cochlospermum planchonii (Ukam)
Plate IX: Scanning electron micrograph of 30% fiber content, the clusters in the plate show how the
fibers were arranged.

52
Plate X: Scanning electron micrograph of 40% fiber content. The arrangement of the fibers in the
polyester show higher volume of fiber than in 30% fiber content above.
Discussion.
Figs. 1-6 show the variation of ultimate tensile strength, extension, flexural strength, deflection,
compressive strength, and maximum load properties with % reinforcement of cochlospermum
planchonii (Ukam) fibers in polyester ccomposites. All the properties of the developed composites
show a steady increase as the Ukam fiber content was increased. This is depicted by the curve which
rises steadily, peaking at 40% Ukam fiber content and then falling gradually after 40% Ukam fiber
content. All the six properties of the composite are optimized at 40% reinforcement in the polyester
composite.
Figs. 7-10 show the variation of hardness, toughness, density, and water absorption capacity
properties with % reinforcement of cochlospermum planchonii (Ukam) fibers in polyester composite.
The plot of the hardness against % reinforcement in polyester show the hardness of the composite
decreasing as the fiber reinforcement was increased. The hardness property has an inverse
relationship with % fiber reinforcement and this is depicted by the curve which falls gradually from
left to right. Fig. 8 shows that the toughness of the composites has a direct proportion relationship
with % Ukam fiber content. As the fiber content was increased, the toughness property kept increasing
up to 40% fiber content, not much significant increase was noticed after 40% fiber content. The same
trend is seen in fig. 9. The only difference is that significant reduction in the density property after
40% fiber content can be sighted after 52% Ukam fiber content down. Fig. 10 shows that water
absorption capacity property has a direct proportionality relationship with % fiber content. As the
fiber content is increasing, so is the water absorption capacity increasing. This is depicted by the
continuous rising of the curve from left to right.
Too much water in the composite has degrading effects on the composite which includes swelling
and weakening of the strength property. This may call for the selection of an optimum fiber content
which will optimize other properties and minimize the amount of Ukam fiber in the composite and
from the above results 40% fiber content is the best. The result of the work has shown that the
variation of Ukam fiber content in polyester has a major influence on the tested properties of the
composite. This is in agreement with previous work by several authors [20, 23, 10, 11, 13].
Matthews and Rawlings [12] argued that the fabrication and properties of composites are strongly
influenced by the proportions and properties of the matrix and the reinforcement. Other properties
which may significantly affect the properties of a composite are the shape, size, orientation, and
distribution of the reinforcement and various features of the matrix such as grain size for
polycrystalline matrices. These, together with volume fraction, constitute what is called the
microstructure of the composite. It should be noted that even for properties which are microstructure
dependent, and which do not obey the law of mixtures, the volume fraction still plays a major role in
53
determining properties. The volume fraction is generally regarded as the single most important
parameter influencing the composite properties. Also, it is an easily controllable manufacturing
variable by which the properties of a composite may be altered to set the application [20, 23, 10, 11].
Plates xi-xii show the Scanning Electron Microscope (SEM) micrograph of the produced polyester
composite with 30% and 40% Ukam fiber content. Looking at the two plates it can be seen that the
plate with 40% Ukam fiber has more fiber content than the one with 30% fiber content and the
distribution is more uniform in the plate with 40% fiber content. Homogeneity in the distribution of
the fibers in composite promotes uniform properties. According to these researchers [12, 16, 17, 18,
19, 21, 22], Homogeneity is an important characteristic that determines the extent to which a
representative volume of the material may differ in physical and mechanical properties from the
average properties of the material. Non- uniformity of the system should be avoided as much as
possible because it reduces those properties that are governed by the weakest part of the composite.
The plate also shows the orientation of the fibers. The orientation of the reinforcement within the
matrix affects the isotropy of the system [12, 16]. The microstructure as earlier mentioned contributes
to the overall properties of the composite.
Summary. The work titled The Effects of Ukam (Cochlospermum Planchonii) Plant Fiber Variation
on the Properties of Polyester Matrix Fiber Reinforced Composite has been undertaken and the
following conclusions drawn from the work:
1. A set of polyester composites were produced by varying the reinforcement with cochlospermum
planchonii (Ukam) fiber which is a natural fiber and biodegradable. This makes it environmentally
friendly.
2. The work has succeeded in proving that Ukam fiber content in polyester plays a major role in
determining the properties of the developed polyester composite reinforced with Ukam fibers.
3. The work has established that using Ukam fiber to produce polyester composite, the amount of
Ukam fiber to use in order to optimize the properties of the produced composite is 40% fiber, i.e. a
volume fraction of 60 vol.% matrix (polyester) 40 vol.% reinforcement (Ukam fiber)
References
[1] John, 1972. Introduction to Engineering materials. London: Max Pub., pp 234-250.
[2] Balarami, R. (2013). Mechanical performance of green coconut fiber/HDPE Composites. Int.
Journal of Engineering Research and Applications 3: 1262-1270.
[3] Bascom, W.D. (1987). Fiber sizing. Engineered Materials Handbook Volume 1: Composites.
Metals Park, OH: American Society of Metals, pp 34 35.
[4] Benjamin, C. and Tobias (1990) Fabrication and Performance of Natural Fiber-Reinforced
Composite Material. 35th International SAMPLE Symposium and Exhibition, Anaheim, pp. 970-
978.
[5] Burkill, H.M., (1985). The useful plants of West Tropical Africa. United Kingdom: Families A
D. Royal Botanic Gardens, Kew Richmond, 2nd Edition, Vol. 1, pp. 960.
[6] Ferguson, A.: In Onah, D.O. (2016) Development and Characterisation of Cochlospermum
Planchonii, Fiber Reinforced Polyester Composite, M.Eng Degree Dissertation submitted to the
Department of Mechanical and Aerospace Engineering, University of Uyo, Uyo- Nigeria
[7] Giuseppe, C., Alberta, G. Latteri, and Gianluca, C. (2011). Composites Based on Natural Fiber
Fabrics, Woven Fabric Engineering, Polona Donik Dubrovski (Ed.), ISBN:978-953-307-194-7, pp.
317 342
[8] Hull, D and Clyne, T.W. (1996) An Introduction to Composite Materials (2nd edition)Cambridge:
University Press, p 65.

54
[9] Irawan, A.P., Soemardi, T.P., Widjajalaksmi, K and Reksoprodjo, A.H.S. (2011) Tensile and
flexural strength of ramie fiber reinforced epoxy composites for socket prosthesis application.
International Journal of Mechanical and Materials Engineering, Vol. 6 (1): 46-50.
[10] Ku, H., Wang, H., Pattarachaiyakoop, N. and Trada, M. (2009) A review on the tensile properties
of natural fiber reinforced polymer composites. Journal of Reinforced Plastics and Composites
28:1169-1189.
[11] Kumar, D. (2014) Mechanical characterization of treated bamboo natural fiber composite.
International Journal of Advanced Mechanical Engineering. Vol. 4( 5):551-556.
[12] Matthews, F.L. and Rawlings, R. D. (2005) Composite Materials: Engineering and Science, 5th
Edition London: WoodHead Publishing Limited, pp 1- 300.
[13] Munikenche, T. G., Naidu, A.C.B., Rajput, C. (1999). Some mechanical properties of untreated
jute fabric-reinforced polyester composites. Science Direct Journals 30:227 -284.
[14] Naveen, P. N. E. and Yasaswi, M. (2013) Experimental analysis of coir-fiber reinforced polymer
composite materials. International Journal Of Mechanical Engineering & Robotics Research, 2( 1):
10-18.
[15] Nick, I. and Mark, J. (2004). Low environ-mental impact polymers. Int. Automotive Research
Center, University of Warwick, Vol. 2, No. 30, pp. 99-108.
[16] Onah, D.O. (2016) Development and Characterisation of Cochlospermum Planchonii Fiber
Reinforced Polyester Composite, M.Eng Degree Dissertation submitted to the Department of
Mechanical and Aerospace Engineering, University of Uyo, Uyo- Nigeria.
[17] Onuegbu, T.U., Umoh, E.T. and Okoroh, N.C. (2013) Tensile behaviour and hardness of coconut
fiber-ortho unsaturated polyester composites. Global Journal of Science Frontier Research Chemistry,
Vol.13( 1): 1.
[18] Olusegun, D. S., Agbo, S. and Adekanye, T.A. (2012) Assessing mechanical properties of natural
fiber reinforced composites for engineering application. Journal of Minerals and Materials
Characterization and Engineering 11: 780-784.
[19] Osman, E., Vakhguelt, A., Sbarski, I. and Mutasher, S. (2012) Water absorption behavior and its
effect on the mechanical properties of kenaf natural fiber unsaturated polyester composites. 18th
International Conference on Composite Materials International Conference on Composite Materials.
2pp.
[20] Rasheed, H. M. M.A., Islam, M. A. and Rizvi, F. B. (2006) Effects of process parameters on
tensile strength of jute fiber reinforced thermoplastic composites. Journal of Naval Architecture and
Marine Engineering ( 3) 1: 105 117.
[21] Senthiil, P.V. and Sirshti, A. (2014) Studies on Material and Mechanical Properties of Natural
Fiber Reinforced Composites. The International Journal of Engineering and Science. Volume 3, pp
18-27.
[22] Tuttle, M. (2004) Introduction. In: Structural analysis of Polymeric Composite Materials
University of Washington, USA, ISBN 0-8247-4717-8, pp. 1-40.
[23] Ugoamadi, C.C. (2011) factors that improve the impact responses of Ukam plant fiber reinforced
composite. Nigerian Journal of Technology, Vol. 30( 3) : 111-117.
Cite the paper

Ihom A.P. & Dennis O. Onah. (2016). The Effects of Ukam (Cochlospermum Planchonii) Plant
Fiber Variation on the Properties of Polyester Matrix Fiber Reinforced Composite. Mechanics,
Materials Science & EngineeringVol.6, doi: 10.13140/RG.2.2.35903.923202

55
Effect of Alternating Bending and Texture on Anisotropic Damage and

Mechanical Properties of Stainless Steel Sheets
V.V. Usov1, N.M. Shkatulyak1, E.A. Dragomeretskaya1, E.S. Savchuk1, D.V. Bargan1,
G.V. Daskalytsa1
1 South Ukrainian National Pedagogical University named after K.D. Ushinsky, Odessa, Ukraine
DOI 10.13140/RG.2.2.35491.04640
Keywords: alternating bending, texture, Youngs modulus, anisotropy, damage, stainless steel.
ABSTRACT. Effect of alternating bending and the crystallographic texture on the anisotropy of damage and mechanical
properties of stainless steel sheets X5CrNi18-10 at subsequent uniaxial tensile tests were studied. The symmetric tensor
of damage of the second order D was used for the analysis of anisotropy damage of sheet material. The only one non-zero
component of this tensor D at uniaxial tensile was determined by the defect of the Young's modulus from the mechanical
test data. The value of D was found on relation D 1 E E0 . Here E0 and E are Youngs modules of the undamaged
and tested material, respectively. It was established the anisotropy of the damage and mechanical properties of steel sheets
at uniaxial tensile tests of initial sheet as well of sheets after alternating bending. This anisotropy is caused by the texture
that is formed in sheets of investigated steel as was showed by correlation analysis.
Introduction. Stainless steels are widely used in various fields of engineering: architecture,
construction, transport engineering, medicine, food industry, energy [1]. An important role is played
stainless steel in the petroleum refining [2]. This steel is practically irreplaceable in high-temperature
processes, when the raw material is heated to 600C [2]. In this regard, the operational forecasting of
durability of materials refining industry remains an important problem in relation to the requirements
of increasing the depth and quality of oil processing. In the operating conditions under the influence
of alternating prolonged loading of equipment inevitably arise damage or irregularities of its working
capacity even in the absence of defects in workmanship and compliance in the operation of regulatory
requirements. Over last years has been proposed the calculation model of resource estimation of coil-
pipes furnace of pyrolysis with considering forming quasi-multilayer shell that is formed due the
diffusion of carbon in surface layers of steel pipes 20CrNi23-18 at the furnace operation [3]. Articles
[4-6] are focused on corrosion and protection from it. The above review shows that proposed methods
of predicting damage of structural materials and residual life of process equipment usually are based
on monitoring of mechanical properties, metal thickness, morphology and distribution of structural
components and structural defects in the steel. It is known that final properties of steel and products
depends on many factors such as the chemical composition and its distribution in thickness, metal
structure (average size of grains and sub-grains deviousness their borders) [7], crystallographic
texture [8], operating temperature, duration of thermal action etc. The emergence during the operation
of equipment large number of different defects indicates that is implemented several mechanisms of
damage accumulation in metals. In the same time certain characteristics such as crystallographic
texture, damage, which could be used for monitoring of the structural condition of the steel rarely
taken into account. The impact of above characteristics on corrosion [9] of structural materials
requires a more detailed study in terms of degradation and forecasting of metal state. Not investigated
also effect of alternating bending (AB) on the anisotropy of damage accumulation in the sheet metal
under uniaxial tension. The alternating bending is usually applied before using of roll metal for the
straightening of sheets, reducing residual stresses and imparting to the metal of optimal flat
characteristics. During the straightening of the metal in him arise and accumulate uncontrollable
micro defects, such as micro cracks, micro pores that are found already at tensile on 3-10% [10]. The

56
occurrence and accumulation of micro defects indirectly reflected in changing of material properties,
in particular on Youngs modulus defect, which can be used to measure the accumulation of damage
in the metal [11].
In this paper, we investigate the effect of alternating bending and the crystallographic texture on the
anisotropy of damage and mechanical properties of stainless steel sheets X5CrNi18-10 in the process
of subsequent uniaxial tensile tests.
Experimental Procedure. As initial material for investigation were used sheets of stainless steel
X5CrNi18-10 of 1 mm thickness in delivery conditions after recrystallization annealing. Sheets
measuring 100 100 mm have been subjected to the alternating bending (AB) by means of roller
diameter of 50 mm in the rolling direction (RD). The speed of movement of the metal during bending
was about 150 mm / s, which corresponds to a strain rate of ~ 10-2 s-1. From initial sheets and sheets
after bending on 0,5; 1; 3 and 5 cycles were cut three batches of samples for mechanical test in the
RD, in the diagonal direction (DD is direction, that is deflected from the RD on 45), and transverse
direction (TD), and also samples for study of texture. Testing machine Zwick Z250 / SN5A with
power sensor on 20 kN at room temperature was used for mechanical tests on a tensile of samples cut
in the RD, DD, and TD. Samples for mechanical testing have had total length of 90 mm, the width of
working part was of 12.5 mm. Values of mechanical properties were found by averaging the test
results of at least three specimens in each direction.
The X-ray method [12] with the construction of inverse pole Fig.s (IPF) was used for investigation
of the crystallographic texture. On the diffractometer DRON-3m in the filtered Mo Ka radiation was
performed the theta-2-theta scanning of sample without texture, as well as of samples after
corresponding cycles of the AB. The scanning carried out from two opposed surfaces of sheets, as
well and in the RD. These data were used for the construction of IPF ND and IPF RD, respectively.
Samples were chemically polished to a depth of 0.1 mm for removing distorted surface layer before
texture investigation. Sample without texture was prepared from the fine powder of studied steel after
recrystallization. Composite samples in the form of glued each other strips wide of 3 mm cut
perpendicular to RD were prepared for the texture investigation in the RD.
The microscope Axioplan 2 of the firm KARL ZEISS was used for examine of the metallographic
structure from end surfaces of samples cut in the RD and TD.
A symmetric damage D tensor of the second order [13, 14] was used for the analysis of the anisotropy
of sheet material damage. Only one nonzero component of the tensor D exists for the case of uniaxial
stress. This nonzero component D is determined by the formula [13, 14]:
D 1 E E0 . (1)
where E 0 and E are elastic modules of intact material and the current modulus determined at
uniaxial tensile tests, respectively.
Results and discussion. On fig. 1 are shown mechanical properties and damage after different cycles
number of the AB. On fig. 2 are presented corresponding IPFs. It is seen that IPF of the initial sample
(Fig. 1, a, b) are typical for the rolling texture of FCC metals. Texture undergoes marked changes
after various stages of the AB (Fig. 2, c-l). Fig. 3 shows appropriate microstructure. The presence of
twins is seen in the initial sample (Fig. 3, a, b). The tendency to increase amounts of twins is traced
with increasing number of the AB cycles (Fig. 3, c-l). Therefore, one should expect the development
of twins orientations during the alternating bending, since the role of twinning is amplified at
deformation of materials with low stacking fault energy [15], to which belongs the investigated here
steel.

57
Anisotropy of mechanical properties and damage D take place (fig. 1). Anisotropy coefficient k that
was determined by relation (1) decreases with increasing number cycles of the AB.
k Fmax Fmin / Fmin 100% . (2)
where F is the appropriate property.

The minimum value of k is observed after 5 cycles of the AB (Fig. 1). The character of the tensile
strength anisotropy does not change with increasing number cycles of AB. In all cases, the ultimate
strength in the RD has a higher value than in the TD, and in the DD has intermediate value. There is
probably manifested an effect of the mechanical texture, namely, the preferential elongation of the
grains in the RD. Coefficient anisotropy of the tensile strength initially increases with increasing
number of cycles, taking the value of 5.0 % in the initial sheet; 2.9 % after 0.5 cycle; 6.8% after one
cycle, and then decreases to 4.1% after 5 cycles.
Yield strength 0.2 in RD exceeds its value in the TD in the initial sample. Coefficient of anisotropy
k has made 3.6%. Anisotropy character changed after 0.5 cycle of AB. Yield strength in RD is smaller
than in TD, and in a diagonal direction has intermediate value. Anisotropy ratio had decreased. Its
value was 2.9%. A similar pattern of anisotropy persists after the one AB cycle. At the same time the
anisotropy coefficient grew to 6.4%. Anisotropy character of yield stress is similar to him in the initial
sample, and the anisotropy ratio decreased to 1.6% after 5 AB cycles.
Absolute values of yield strength and tensile strength of the studied steel also are increased with
increasing number of AB cycles, and reach a maximum after 1 cycle of AB. Absolute values of the
strength properties of the investigated steel are decreased with further increase in the number of AB
cycles. Elongation shows an opposite tendency with respect to the tensile strength (Fig.1).
Fig. 1. Dependence of tensile strength, proof strength, uniform elongation and damage D on the
number of AB cycles.
58
Analysis of initial sample IPF (Fig. 1, a, b) showed that its texture consists of two limited axial
components. The first component with the axis <110> parallel to the ND extends from {011} <100>
up to {011} <112>. The second component may be characterized by an axis of <110> inclined toward
ND on approximately 60. It extends from ~ {112} <111> through {135} <211> up to {011} <112>.
Fig. 2. Experimental IPF of the studied steel; (a, b) are the initial state, respectively IPF (ND) and
IPF (RD); (c - l) are IPF (ND) after the alternating bending: (c, d); (e, f); (g, h); (k, l) are after 0.5;
1; 3; and 5 cycles of AB, respectively.

59
The development of these two limited axial components is in the agreement with the Taylor prediction
model on the base of the normal octahedral sliding [16]. In addition, there are the twinned orientations
{113} <211> that were formed probably during the annealing [16].
Fig. 3. Microstructure of steel sheets: (a, b) are corresponded to the initial state; on (c - l) are shown
states after the AB: (c, d), (e, f), (g, h), and (k, l) are shown microstructure after 0.5, 1, 3, and 5 cycles
of AB, respectively. a, c e g k are filmed in the cross section perpendicular to the RD; b d f h l are
filmed in a cross section perpendicular to the TD.
60
Texture is undergoing significant changes after different stages of the AB. The following deformation
model of samples was basis of the texture changes interpretation. Grains of metal in layers on the
convex sheet side are exposed to the action of tensile stresses at bending of the sample in one direction
(0.25 cycles). Meanwhile, on the concave side occur compressive stresses. In the strip are initiated
shear deformations as a result of the action of opposite sign stresses. Direction of acting stresses is
reversed when the strip bends in the opposite direction. Thus, in the metal strip arise alternating shear
deformations, which lead to the formation of the shear texture components during the AB.
In FCC metals are formed following components of shear texture: A - {111} <hkl>; B - {hkl} <110>;
C - {001} <110>. Orientation {hkl} <uvw>, listed here indicate that the plane {hkl} coincide with
the shear plane, and the direction <uvw> coincide with the shear direction [16].
Component B of shear texture formed after 0.5 cycle of the AB in the sample at one side of the sample
[16]. The formation of shear bands in the rotated twin-matrix regions changes the orientations {332}
<113> and {111} <110> near to {011} <100> and {011} <112> positions respectively in metals and
alloys with the low stacking fault energy (SFE) [17]. On the corresponding IPF (Fig. 2, c) pole density
<110> increased to 2.38 while in the initial sample it was 1.81 (Fig. 2, a). On the opposite side of the
sample also take place twins orientations (Fig. 2, c).
Component C of shear texture is formed in the sample after 1 cycle of the AB (Fig. 2, e, f). At the
same time on the opposite side of the same sample (Fig. 6, f) orientations of the initial sample are
observed (Fig. 2, a).
Texture that is similar to the texture of the initial sample (Fig. 1, a) was formed at one side of the
sample after three cycles of the AB (Fig. 2, g). Sufficiently intense component C of shear texture (Fig.
2, h) is present on the opposite side of this same sample.
Texture on the one sample side after five cycles of the AB is characterized by orientations of C shear
texture and by orientations of twins {113} <211> (Fig. 2, k). The area of increased pole density on
the corresponding IPF is greatly expanded in comparison with the other samples probably due to the
twinning [18]. The texture of same sample on the opposite side is characterized by orientations of
twins (Fig. l, 2). In general, scattering of the texture had increased when considering of both surfaces
of the sheet after 5 cycles of the AB (Fig. 2, k, l), as compared with the initial state of the sheet in
Fig. 1, a.
The above described anisotropy of the proof strength corresponds to the texture formed in samples.
In the IPF (RD) of the initial sample (Fig. 1, b) there is a high pole density of <111>. This means that
there is a significant volume fraction of crystals axis <111> of which coincides with the RD. In this
case <112> and <110> crystals axis are oriented along the TD. The crystals that have axes <111>
oriented along the applied stresses are characterized by of high flow stresses in comparison with other
crystal orientations [18].
Number of crystals with axes <111> oriented along the RD is decreases, and in the TD is increases
with increasing of AB cycles number from the 0.5 to 1 inclusive, due to the increasing of shear texture.
Consequently, the proof strength in TD is becoming greater than in the RD.
Increasing of the AB cycles number up to 5 leads not only to the development of shear texture
components but also to the strengthening of the twinning, as its mentioned above. This promotes
again to the formation of texture components similar to initial orientations but with more significant
scattering. Initial character of proof stress anisotropy is restored, but its absolute value is decreased.
Fig. 2 shows that orientations of <110> have the highest values of the pole density on IPF ND.
Significant correlations of averaged through the direction of sheets at uniaxial tensile tests of values
m , proof stress 0.2 , relative uniform elongation l / l uni , and damages D av.
av
of ultimate strength av av
with values of pole density of <110>, averaged on both sides of sheets P110av. take place. The

61
corresponding regression equations and approximations reliability coefficients R 2 are represented

by relations
m 292.6P110av. 884.6 P110av. 12.9; R 0.94

2
av 2 (3)
0av.2 463.2P110av. 2 1362.0P110av. 667.8; R 2 0.81 (4)
l / l uni
av
32.5P110av. 2 99.6P110av. 131.1; R 2 0.66 (5)
Dav. 0.43P110av. 2 1.43P110av. 0.73; R 2 0.61 (6)
Summary. Effect of alternating bending and the crystallographic texture on the anisotropy of damage
and mechanical properties of stainless steel sheets X5CrNi18-10 in the process of subsequent uniaxial
tensile tests was studied.
Texture of stainless steel X5CrNi18-10 of 1 mm thickness in delivery conditions after
recrystallization annealing includes two limited axial components and twinning orientations {113}
<211>. The first component with the axis <110> parallel to the ND extends from {011} <100> up to
{011} <112>. The second component may be characterized by an axis of <110> inclined toward ND
on approximately 600. It extends from ~ {112} <111> through {135} <211> up to {011} <112>.
Various combinations of the original texture of rolling, components of shear texture {001} <110>
and twinned orientations are formed in sheets during the alternating bending.
The twinning role is enhanced at the increasing of number alternating bending cycles that is confirmed
by metallographic data.
Anisotropy of damage and mechanical properties take place in initial sheet as and in sheets after
alternating bending. Anisotropy decreases with increasing of number alternating bending cycles. The
minimal anisotropy was observed after 5 cycles of the alternating bending.
Anisotropy is caused mainly by texture formed in steel sheets. Significant quadratic correlations take
place between values of ultimate strength, proof stress, relative uniform elongation and damage,
averaged through the direction of sheets at uniaxial tensile tests with values of <110> pole density
averaged on both sides of sheets.
References
[1] Most common uses of stainless steel [Online]. Aviable:
https://www.metalsupermarkets.com/most-common-uses-of-stainless-steel/
[2] Role of Stainless Steel in Petroleum Refining (9021). [Online]. Aviable:
https://www.nickelinstitute.org/~/media/Files/TechnicalLiterature/RoleofStainlessSteelinPetroleum
Refining_9021_.ashx
[3] A. Chirkova, N. Makhutov, M. Gadenin, M. Kuzeev, V. Farkhutdinov, A computational and
experimental method for estimating degradation of mechanical characteristics of steels under the
conditions of high-temperature pyrolysis. Inorg Mater, vol. 46, pp. 16881691, 2010,
DOI: 10.1134/S002016851015015X
[4] V. Mertinger, M. Benke, Sz. Szabo, O. Banhidi, B. Bollo, A. Kovacs, Examination of a failure
detected in the convection zone of a cracking furnace. Engineering Failure Analysis, vol. 18, pp.
16751682, 2011, DOI: 10.1016/j.engfailanal.2011.02.003

62
[5] G. Hughes, Materials of crude oil Refining: corrosion Problems and prevention [Online]. Aviable:
http://www.dunand.northwestern.edu/courses/Case%20study/Gareth%20Hughes%20-
%20Materials%20of%20Crude%20Oil%20Refining.pdf
[6] I. Kucora, L. Radovanovi, Pyrolysis furnace tube damaging and inspection. Acta tehnica
corviniensis Bulletin of Engineering, vol. 7, (3), pp. 1924, 2014.
[7] V. Usov, E. Gopkalo, N. Shkatulyak, A. Gopkalo, T. Cherneva, Texture, Microstructure, and
Fractal Features of the Low Cycle Fatigue Failure of the Metal in Pipeline Welded Joints. Russian
Metallurgy (Metally), (9), pp. 759770, 2015, DOI: 10.1134/S0036029515090128
[8] V. Usov, N. Shkatulyak, Fractal nature of the brittle fracture surfaces of metal, Materials
Science, vol. 41, (1), pp. 62-66, 2005, DOI: 10.1007/s11003-005-0132-8
[9] N. Shkatulyak1, O. Tkachuk, A role played by the crystallographic texture in the process of
corrosion of hot-rolled rods made of carbon steel. Materials Science, vol. 48, (2), pp. 153-161, 2012,
DOI: 10.1007/s11003-012-9485-y.
[10] G. Gerstein, A.A. Bruchanov, D.V. Dyachok, F. Nrnberger, The effect of texture in modelling
deformation processes of bcc steel sheets. Materials Letters, pp. 356-359, 2016,
DOI: 10.1016/j.matlet.2015.11.007.
[11] S. Murakami, Continuum damage mechanics: A continuum mechanics approach to the analysis
of damage and fracture, Springer Sciences + Business Media, Dordrecht, Heidelberg, London, New
York, 2012. DOI 10.1007/978-97-007-2666-6_1
[12] V. Randle, O. Engler, Introduction to Texture Analysis: Macrotexture, Microtexture and
Orientation Mapping, CRC PRESS, Boca Raton, London, New York, Washington, D.C., 2000.
[13] K. Rashid, Abu Al-Rub, G. Voyiadjis, On the coupling of anisotropic damage and plasticity
models for ductile materials, International Journal of Solids and Structures, pp. 2611-2643, 2003,
DOI: 10.1016/S0020-7683(03)00109-4
[14] M. Bobyr, O. Khalimon, O. Bondarets, Phenomenological damage models of anisotropic
structural materials, Journal of mechanical engineering NTUU Kyiv Polytechnic Institute, pp. 5-
13, 2013.
[15] E. Tadmor, N. Bernstein, A First-Principles Measure for the Twinnability of FCC Metals, J.
Mech. Phys. Solids, vol. 52, pp. 2507-2519, 2004, DOI: 10.1016/j.jmps.2004.05.002
[16] N. Shkatulyak, Effect of Stacking Fault Energy on the Mechanism of Texture Formation during
Alternating Bending of FCC Metals and Alloys. International Journal of Nonferrous Metallurgy, vol.
2, (2), pp. 35-40, 2013, DOI:10.4236/ijnm.2013.22005.
[17] Y. Vishnyakov, A. Babareko, S. Vladimirov and I. Egiz, Teoriya Obrazovaniya Tekstur v
Metallakh i Splavakh (Theory of Textures Formation in Metals and Alloys), 1979, Nauka, Moscow,
(russian).
[18] Springer Handbook of Metrology and Testing, Editors: H. Czichos, T. Saito, L. Smith, Springer
Science & Business Media, 2011, DOI 10.1007/978-3-642-16641-9
Cite the paper

V.V. Usov, N.M. Shkatulyak, E.A. Dragomeretskaya, E.S. Savchuk,
D.V. Bargan & G.V. Daskalytsa. (2016). Effect of Alternating Bending and Texture on Anisotropic
Damage and Mechanical Properties of Stainless Steel Sheets. Mechanics, Materials Science &
Engineering Vol.6, doi: 10.13140/RG.2.2.35491.04640

63
I I. M ec hanic al Engi neeri ng & Physic s


64
The Influence of Cutting Speed on Concordant and Discordant Tangential

Milling of MDF
Priscila Roel de Deus 1, Manoel Cleber de Sampaio Alves 2, Luciano Rossi Bilesky 1
1 Professor in forestry course, Faculty of Technology of Capo Bonito, SP, Brazil

2 Professor in Mechanical Engineering Course, UNESP, Guaratinguet Campus, Brazil
DOI 10.13140/RG.2.1.2114.3286
Keywords: roughening, panels, wood, MDF.
ABSTRACT. The tangential milling is consistent when the direction of forward movement is equivalent to the movement
of the cutter. But the dissenting milling is when the sense of forward movement is contrary to movement of the cutter.
The way the material is removed differentiates and may cause different results in apereza the surface. For Medium Density
Fiberboard - MDF material and which is composed of pressed lignocellulosic fibers with resin and presence of heat,
concordant and discordant response to milling with diferetntes surfaces presents results. The objective of this study was
to analyze the milling results in consistent direction and discordant through the MDF surface analysis with the average
roughness parameter (Ra), given in units of micrometer (m) The MDF panels were milled tangentially on concordant
and discordant direction with six repetitions in each direction. The tests were carried out with four cutting speed in the
forward speed of 2 m/min and 1 mm machining depths. The results of surface roughness in the cutting speeds in
concordant direction are larger by 50% than in the discordant direction.
Introduction. MDF (Medium Density Fiberboard) is an industrial product manufactured from

lignocellulosic fibers and resin through the joint action of heat and pressure. It is a material used in
the furniture industry, since it presents homogeneity, dimensional stability and mechanical strength
next to medium density solid wood. It also receives various types of coating, maintaining the quality,
besides reacting positively to machining processes.
The growth in demand for industrial wooden products and their derivatives is clear, due to this fact,
the research of technological innovations is necessary. With this technology, the industry is able to
offer state-of-art products while increasing the competitiveness in the market. Machining stands out
among these innovations, once it evolves notably and there are machines that provide the automation
of processes within wood sector, producing higher quality machined workpieces.
The MDF machining in Computer Numerical Control (CNC) centers represents technology that
combines materials, machines and tools, which results in more accurate and with quality finishes
workpieces.
The cutting parameters are numerical quantities related to the movement of the tool and workpiece
during milling, such activities must be suited to each material both tool and workpiece. From these
parameters, it is possible to make use of the milling process as a form of productivity and quality
improvement.
Understanding the machining forces is primordial for the determination of the cutting conditions,
machine and tool lifespan and the workpiece quality [1]. Also cites the importance of machining
because it determines the quality of the workpiece and tool wear [2].
The use of a suitable machining technique for the transformation of wood can minimize or even
correct problems due to its variability [3].
The literature for the most appropriate cutting parameters in order to optimize processes, reduce costs,
and increase utilization of the workpiece, tool and machine. The experiment studied the influence of
65
machining depth (63 mm) and cutting speed (396 m/min) in cutting force and tangential milling with
carbide. The results showed that the depth of cut and cutting speed significantly influence the cutting
strength, tool lifespan, and particularly the costs [4].
In a studied the influence of the cutting speed and feed rate parameters through MDF surface
roughness. The surface roughness decreases as the cutting speed increases. The MDF milling shows
the advantage of using a high cutting speed [5].
Highlighting the importance of high quality surface in machining, as it can influence the cost of the
final product in the industry, particularly for high durability materials. Thus, milling operations are
almost indispensable, consuming much of the processes time and affecting significantly on the quality
of the surface finish and final product costs. The surface roughness is influenced by the cutting speed,
cutting depth, tool and workpiece conditions [6]. The same investigation, the surface roughness
decreases as the number of revolutions increases, along with the reduction of the machining depth
[6].
The high surface quality can be achieved by the proper selection of cutting parameters [7]. The
influence of the cutting forces and their required intensity for wood milling reported [8]. The cutting
parameters that influence the surface quality must be understood as every specific need, mainly
related to wood [9].
In a study the values of MDF artificial finishing through the peripheral milling process with the feed
rate of 2,90; 4,10; 5,80; 8,20; 10,90; 15,15; 21,80 and 30,30 m/min and the section thicknesses of 1,
3 and 5 mm in concordant and discordant direction. The roughness values are lower in consistent
direction [10].
In [11] conducted measuring the feed force in chipboard panels, which is commonly used in the
furniture industry. The surface characteristics are strongly influenced by machining parameters. Feed
rate values near to 2 m/min and cutting speed near to 800 m/min have proved more suitable for
finishing, benefiting more effectively the furniture industry.
The concordant milling occurs when the direction of the forward movement is equivalent to the mill
movement. The discordant milling consists in the direction of forward movement being contrary to
the mill movement [11].
In [9] studied the concordant and discordant milling in CNC machining center with solid carbide tool.
The result of the average roughness - Ra shows statistically significant differences for the two cutting
directions. It is concluded that discordant direction provided the lowest roughness but with high
power consumption.
The objective of this study is to investigate the influence of cutting speed on concordant and
discordant tangential milling of MDF through the average and overall roughness.
Material and Method. Commercial medium density fiberboard MDF by Duratex was used, with
average basic density of 736.22 kg/m3, average moisture of 8.33%, 15 mm thickness and coated plate.
Tangential milling tests were performed on a machining center with Computerized Numerical Control
(CNC) TECH Z1 model by SCM brand. The mill used was a solid carbide cutter top finishing type
with three-helix cutting teeth, HWM- Premium - Upcut Spiral Bit model.
The MDF specimens, dimensions of 300x65x15 mm, were milled tangentially on concordant and
discordant direction with six repetitions in each one. The tests were carried out with four cutting speed
in the feed rate of 2 m/min and 1 mm machining depth.
For the measurement of workpieces average roughness represented by the average roughness
parameter (Ra), a rugosimeter Taylor Hobson 25sultronic model was used including measuring probe
with diamond cone-spherical tip, and 2 m nose radius. The rugosimeter parameters are 2,5 mm cut-
off, 12,5 mm measuring length, robust Gaussian filter and Range (resolution) of 300 m. The
measures emphasized the average roughness parameter (Ra), given in units of micrometer (m).

66
Results and discussion. In the concordant direction, the average roughness values (Ra) of 1.0 mm in
depth were analyzed by Tukey test and result in a coefficient of variation of 16,38%. The feed rate
does not differ significantly with FVa = 1,47; p-value >5%, as well as the relation between cutting
speed and feed rate with FVcxVa = 1,93; p-value >5%. However, among the cutting speeds occur
statistical differences (FVc = 13,34; p-value >5%).
It is shown the results of the average roughness (Ra) according to the machining in concordant
direction with 1 mm machining depth. In Fig. 1 is illustrated the results regarding the average
roughness (Ra).
Average Roughness (Ra)

30
25
Roughness Ra (m)
20
4000 rpm
8000 rpm
15
12000 rpm
16000 rpm
10
a a a a b ab a a b ab a a
5
2 m/min 4 m/min 6 m/min
Feed rate
Fig. 1. Values of average roughness Ra for 1 mm machining depth regarding to cutting speed and
feed rate in concordant tangential milling.
It is noted that the cutting speed 804 m/min (16000 rpm) is related to lower average surface roughness
(Ra), ranging between 12 m and 22 m in concordant direction. The lowest roughness values were
14,93 m for cutting speed of 804 m/min and feed rate of 4 m/min. During Pinus elliottii milling,
observed average surface roughness (Ra) within a range of 1,2 m to 2,8 m [9]. These values are
inferior to those found for panels such as MDF. During a peripheral cylindrical milling with vertical
milling machine (router) and cutting speed of 312 m/min, achieved results close to 25 and 30 m.
These results highlight the satisfactory outcome for MDF surface finishing in CNC milling [10].
During MDF tangential milling and feed rate of 4 m/min, observed the average surface roughness
between 14 and 18 m with cutting speed of 213 m/min [13].
In discordant direction, the average roughness (Ra) values with 1.0 mm depth and tangential milling
were analyzed through Tukey test and result in a coefficient of variation of 16.46%. The feed rate has
significant differences with FVa = 6.94; p-value >5%. The relationship between cutting speed and
feed rate with FVcxVa = 0,72; p-value >5% and cutting speed with FVc = 0,59; p-value >5%, do not
present significant statistical differences. For total roughness (Rt) and 1,0 mm depth, it is observed a
coefficient of variation of 21.10%. There were no statistical differences between feed rates (FVa =
1.23; p-value >5%) and in the relationship of cutting speed and feed rate with FVcxVa = 0,5; p-value
>5%. In the cutting speed, there were no significant statistical differences (FVc = 3,62; p-value >5%).

67
In Fig. 2, it is observed that in all feed rates do not occur statistically significant differences and the
lowest roughness values occur in the feed rate of 2 m/min. It is observed a tendency of lower
roughness values occur in the cutting speed 12000 rpm and 8000 rpm (603 and 201 m/min).
Average Roughness (Ra)

23
21
Roughness Ra (m)
19
17
15 4000 rpm
13 8000 rpm
11
12000 rpm
9
7 a a a a 16000 rpm
a a a a b ab a ab
5
2 m/min 4 m/min 6 m/min
Feed Rate
Fig. 2. Values of average roughness Ra for 1 mm machining depth regarding to cutting speed and
feed rate in discordant tangential milling.
Fig. 2 shows the feed rate of 2 m/min with the lowest surface roughness values. Only with feed rate
of 6 m/min that is observed difference in cutting speed of 201 m/min. The lowest roughness values
were 13 m in Ra for cutting speed of 804 m/min and feed rate of 2 m/min. During peripheral milling
of Eucalyptus sp in discordant direction for feed rate of 3 m/min and cutting speed of 292 m/min,
found Ra values of approximately 2 m for E. Dunni, 1.6 m for E. Uroplhylla and 1.5 for E. Grandis
[14].During discordant milling and feed speed of 5 m/min with cutting speed of 504 m/min showed
an average roughness of 4 m; and with cutting speed of 654 m/min presented average roughness of
approximately 5 m [15]. These studies are related to wood and present lower values in relation to
the MDF.
During discordant tangential CNC milling in MDF with feed rate of 8 m/min, was found that using
cutting speed of 703 m/min, the average roughness was 17.63 m. With the cutting speed of 603
m/min, average roughness was 15,67 m [16]. During tangential milling in MDF, noted that with
feed rate of 3 m/min and cutting speed of 527 m/min, the average roughness was approximately 10
m; and with cutting speed was 904 m/min, the average roughness was approximately 11 m in
discordant direction [5].
Summary. In conclusion, the parameter that most influenced the surface quality was the cutting
speed. All tests demonstrated that the cutting speeds of 603 and 804 m/min, i.e. the higher cutting
speeds used in the experiments, correspond to lower values of roughness.
The dissenting tangential milling corresponds to the lower roughness values, showing up to 50%
lower results than the concordant tangential milling.
References
[1] Rigatti, A. M. Y. Avaliao da fora de usinagem e energia especfica de corte no fresamento com
alta velocidade de corte. 2010. 87f Dissertation (Master in Mechanical Engineering) Faculty of
Engineering, State University Paulista, Ilha Solteira, 2010.

68
[2] Cardoso, F. G. Anlise de foras de fresamento de roscas API. 2012, 96p. Dissertation (Master in
Mechanical Engineering and Materials Technology). Federal Center of Technological Education
Celso Suckow da Fonseca CEFET / RJ. Rio de Janeiro RJ. 2012.
[3] Zamarian, E. H. C.; Alburquerque, C. E.; Matos, J. L. M. Usinagem Da Madeira De Bracatinga
Para Uso Na Indstria Moveleira. Floresta, Curitiba, Pr, V. 42, N. 3, P. 631 - 638, Jul./Set. 2012.
[4] Lima, D.O. Arajo, A.C. Silveira, J.L.L. Influncia da profundidade de corte e do avano na fora
do corte no fresamento de faceamento. CONEM Congresso nacional de Engenharia Mecnica. So
Lus Maranho. 2013.
[5] Davim, J. P. Clemente, V. C. Silva, S. Surface Roughness Aspects In Milling MDF (Medium
Density Fiberboard). Int J Adv Manuf Technol. 40:4955. 2009.
[6] Chen, Chih-Chern; Liu, Nun-Ming; Chiang, Ko-Ta; Chen, Hua-Lun. 2012. Experimental
Investigation Of Tool Vibration And Surface Roughness In The Precision End-Milling Process Using
The Singular Spectrum Analysis. Int J Adv Manuf Technol. 63:797815. 2012.
[7] Kiswanto, G. Zariatina, D.L. Ko, T.J. The effect of spindle speed, feed-rate and machining time
to thesurface roughness and burr formation of Aluminum Alloy 1100 in micro-milling operation.
Journal of Manufacturing Processes. JMP-243; 16p. 2014.
[8] Eyma, F. Mausoone, P.J. Martin, P. Strains and cutting forces involved in the solid wood rotating
cutting process. Journal of Materials Processing Technology 148: 220225. 2004.
[9] Pinheiro, C. Efeitos do teor de umidade da madeira no fresamento de Pinus elliottii. 2014. 122f.
Dissertation (Master in Mechanical Engineering) Faculty of Engineering Guaratinguet Campus,
UNESP - Univ. Estadual Paulista, Guaratinguet, 2014.
[10] Castro, E. M.; Gonalves, M. T. T. Estudo do acabamento superficial em chapas MDF usinadas
em processo de fresamento. MADEIRA: arquitetura e engenharia, ano 3, n.8, 2002.
[11] Valarmathi, T. N.; Palanikumar, K.; Latha, B. Measurement and analysis of thrust force in
drilling of particle board (PB) composite panels. Measurement 46: p 12201230. 2013.
[12] Diniz, A. E.; Marcondes, F. C.; Coppini, N. L. Tecnologia da Usinagem dos Materiais. 8. ed.
So Paulo: Art Liber, 2013. 272 p.
[13] Aguilera, A.; Muoz, H. Rugosidad superficial y potencia de corte en el cepillado de acacia
melanoxylon y sequoia sempervirens. Maderas. Ciencia Y Tecnologa, Concepcin, v. 13, n. 1, p.19-
28, 2011.
[14] Lopes, C.S.D. Nolasco, A.M. Tomazello, M.F., Dias, C.T.S. Avaliao da rugosidade superficial
da madeira de Eucalyptus sp submetida ao fresamento perifrico. Cerne. v. 20 n. 3. p. 471-476. 2014.
[15] Camilo, R. S. Fresamento de Eucalyptus grandis. Work Completion of course (Graduation) -
Industrial Engineering wood, Universidade Estadual Paulista, Campus Experimental Itapeva, Itapeva,
2013. 105 p.
[16] Barros, V. R. Fresamento de madeiras de mdia densidade- MDF. 2013. 76 f. Work Completion
of course (Graduation) - Industrial Engineering wood, Universidade Estadual Paulista, Campus
Experimental Itapeva, Itapeva, 2013.
Cite the paper

Priscila Roel de Deus, Manoel Cleber de Sampaio Alves & Luciano Rossi Bilesky (2016). The
Influence of Cutting Speed on Concordant and Discordant Tangential Milling of MDF. Mechanics,
Materials Science & Engineering Vol.6, doi: 10.13140/RG.2.1.2114.3286

69
Substantiating of Rational Law of Hydrostatic Drive Control Parameters While

Accelerating of Wheeled Tractors with Hydrostatic and Mechanical
Transmission
Taran I.O.1, a, Kozhushko A.P.2
1 Department of Transport Management, National Mining University, Dnipropetrovsk, Ukraine

2 Department of Automobiles and Tractor Industry, National Technical University "Kharkiv Polytechnical Institute",
Kharkiv, Ukraine
a taran_70@mail.ru
DOI 10.13140/RG.2.1.3590.9362
Keywords: wheeled tractor, acceleration, hydrostatic and mechanical transmission, law of variation, power distribution.
ABSTRACT. The paper explains a process to determine rational laws of change in parameters to control hydraulic units
of hydrostatic drive while accelerating wheeled tractors with hydrostatic and mechanical transmissions operating
according input differential and output differentialschemes.
The paper substantiates application of rational laws of change in parameters to control hydromachines by determining
power distribution within hydraulic and mechanical branches of hydrostatic and mechanical transmissions produced
according to input differential and output differential schemes. Decrease in a zone of power circulation within
hydrostatic and mechanical transmissions with output differential has been determined while applying rational laws of
changes in control parameters.
Introduction. Constant progress of technologies in the world tractor building makes home tractor
manufacturers implement innovative technical solutions to improve technical and economic
performance. It results in the necessity to upgrade or modify tractors.
Trying to widen the range of power stream control from a power unit to engines, world tractor
manufacturers continue designing stepped mechanical transmissions with the great number of
transmission mechanisms; however, they neglect application of less number of shafts, gears, and other
mechanical components. Nevertheless, it should be noted that year by year the number of tractors
equipped with stepless transmissions, in particular, with hydrostatic and mechanical transmissions
(HSMT). That can be explained by advantages of HSMT to compare with stepped transmissions from
the viewpoint of smooth motion, increase in ergonomic properties while performing technological
operations, automated control etc.
Statement of the problem. As it is known, according to their design HSMTs are divided into input
differential, output differential schemes and those with varied structure. Input differential and
output differential schemes are the most popular as it depends on simple design and less number of
mechanical components within transmission.
Consideration of wheeled tractor being integral part of machine and tractor system should involve
paying attention to acceleration process while performing technological operation called plowing
as it means increase in propulsion forces which factors into following significant changes in technical
and economic performance: increase in fuel consumption, efficiency decrease as well as effectiveness
of machine and tractor system, increase in working pressure difference within hydrostatic drive
70
(HSD), angle velocities and power parameters of HSMT components. Basing upon above it is
expedient to determine rational law of change in parameters to control hydromachines while
accelerating and substantiate it at the expense of power stream distribution determination within
HSMT operating according to input differential and output differential schemes.
Analysis of the research and publications. Analysis of [1-4] papers has helped develop mathematical
model of wheeled tractor accelerating process while performing technological operation called
plowing. Among other things, paper [1] is applied to determine dynamics of internal combustion
engine operation. Motion equation demonstrating changes in crankshaft acceleration has been given
to do that. The paper also uses mathematical model of transmission taking into consideration changes
in parameters of HSD hydromachines control, volumetric capability of hydromachines, and loss point
in hydromachines. It makes it possible to explain an accelerating process of transmissions
components in terms of various scheme designs. To explain interaction between wheels and ground
in a function of design parameters of tires and physical and mechanical properties of support surface,
mathematical model of single traction wheel dynamics while accelerating shown in [1-4] publications
is used. They explain interaction of wheels and support surface.
Model of -170/240 line was chosen as base wheeled tractor meant for internal combustion
engines with 125 ... 176 kW (170 ... 240 h.p.) motor capacity. [3 4] publications have helped select
HSMT to be analyzed (Fig. 1) on the criterion of peak efficiency and minimum required motor
capacity of internal combustion engine.
b)
Fig. 1 Structural patterns of two-flow HSMT: input differential; b output differential.
According to [5 9] papers, distribution of power passing within mechanical branch and hydraulic
branch of two-flow HSMT is determined using following equations:

71
for HSMT operating with input differential:
N gid M 2 a 2
iingid ; (1)
Nk M 5c 5
N meh M 4 a 4
iinmeh ; (2)
Nk M 5c 5
for HSMT operating with output differential
N gid M 3a 3
iexgid ; (3)
Nk M1a 1
N meh M 4 a 4
iexmeh . (4)
Nd M1a 1
Definition of rational law to control parameters of hydromachines while accelerating.

Calculations are made within MATLAB system with the help of Simulink subsystem to simulate
dynamic processes where generalized mathematical model for wheeled tractor with HSMT
accelerating while performing plowing operation has been developed.
To form rational laws of changes in parameters to control HSD hydromachines introduce generalized
criterion (K) (with the help of partial criteria it characterizes both efficiency and effectivity of MTS
while performing technological operation called plowing, and should be maximum)
n m
K i Ki j Pj , (5)
i 1 j 1
where i , j are weight coefficients;
K i is partial criteria;
Pj is penalty function which decreases value of generalized criterion when varying parameter
is beyond admissible values.
MTS efficiency is estimated on fuel consumption value (K1(e1, e2)); to estimate MTS efficiency while
performing technological operation called plowing, MTS efficiency indices (K2(e1,e2)) and
temporal value while MTS accelerating(K3(e1,e2)) are used:
QP* (e1 , e2 ) (e , e ) t * (e1 , e2 )

K1 (e1 , e2 ) 1 ; K 2 (e1 , e2 ) MTA 1 2 ; K3 (e1 , e2 ) 1 , (6)
QP max max MTA (e1 , e2 ) tmax

72
where QP* (e1 , e2 ) is current value of fuel consumption;
QP max is maximum of fuel consumption;
MTA

(e1 , e2 ) is current value of MTS efficiency;
max MTA (e1 , e2 ) is maximum of MTS efficiency;
t * (e1 , e2 ) is current value of MTS accelerating period;
tmax is maximum of MTS accelerating period being determined while applying linear law of
change in parameters to control HSD hydromachines.
Changes in e1 (t ), e2 (t ) parameters either increase or decrease factors working upon a process of MTS
accelerating; namely: effective pressure difference within HSD ( P ), angle velocity on a shaft of
hydraulic pump ( e1* ), hydraulic motor ( e 2* ) and satellite in planetary gear ( S ).
Bound violation factors into the fact that HSMT is out of service; inaccurate results are obtained.
Accordingly, penalty functions ( Pj ) are introduced to show excess of maximum values while
optimizing.
Selection of values of weight coefficients for partial criteria involves the fact that sum of weight
coefficients i should be equal to 1. Selection of weight coefficients j for penalty functions takes
into account that HSMT is out of order when penalty function is beyond the range of change. Thus,
identification of rational law of changes in parameters to control HSD hydromachines is to apply one
of the methods of optimization theory, i.e. direct search method. The search consists of consequent
stages of research around basic point. If it is successful, the next step if the search according to certain
sample.
While accelerating MTS in the process of plowing operation, generalized criterion characterizing
technical and economic performance in the function of parameters controlling HAD hydromachines
is
Q* (e , e ) * (e , e ) t * (e1 , e2 )
K (e1 ,e2 ) Z1 1 P 1 2 Z 2 MTA 1 2 Z3 1
QP max max tmax (8)
Z P PP ( P ) ZS PS ( S ) Ze1* PN ( e1* ) ZM Pe 2* ( e 2* ).
Optimization process has formed rational laws of change in parameters to control HSD
hydromachines for soil preparation, i.e. crop remains on light, medium-textured, and heavy loams as
it is shown in Fig. 2.

73
b)
Fig. 2 Changes in parameters to control HSD hydromachines (dependences of controlling
parameters e1 , e2 of HSD hydromachines on t time): for input differentialHSMT; b for
input differentialHSMT; is a zone of hydraulic pump control; B is a zone of hydromotor
control; 1 are straight functional dependences of change in parameters to control HSD
hydromachines; 2 is rational law of change in parameters to control HSD hydromachines for soil
preparation in the context of light loams; 3 is rational law of change in parameters to control HSD
hydromachines for soil preparation in the context of medium-textured loams; 4 is rational law of
change in parameters to control HSD hydromachines for soil preparation in the context of heavy
loams.
A process of (1 4) equations calculation has identified power distribution for wheeled tractor with
HSMT as a part of machine and tractor system while performing plowing operation as it is shown
in Fig. 3.

74
a)
b)
Fig. 3 Power distribution in HSMT: for input differentialHSMT; b for output
differentialHSMT; is circulation zone while applying rational law; is circulation zone while
applying straight functional dependence.
Analysis of Fig. 3 demonstrates that in the initial stage of accelerating when excitation forces are
maximal, acceleration process of wheeled tractor with HSMT needs iingid and iingid values be peak
ones; that is, all forces initiated at accelerating stage and reacting against acceleration where smoothed
out by HSD. Moreover, from Fig. 3, b decrease in a zone where power circulation is observed takes
place. It is the result of application of rational law of change in parameters to control HSD
hydromachines.
Summary. It has been determined that application of rational parameters laws of change in
parameters to control HSD hydromachines while accelerating MTS with HSMT according to output
differential and input differential is the utmost: fuel consumption is decreased by 36.2%; MTS
efficiency is increased by 29.7%; accelerating period for MTS is decreased by 79.7%; and working
pressure difference is decreased by 48.7% to compare with the use of linear functional dependence
of change in parameters to control HSD hydromachines.

75
Interrelation between power distribution within hydraulic and mechanical branches of two-flow
HSMT and functional dependences of change in parameters to control HSD hydromachines has been
identified.
Decrease in a zone within which power circulation is observed in input differential HSMT has been
proved owing to application of rational law of change in parameters to control HSD hydromachines.
References
[1] Kozhushko, A.P. (2016) Improving technical and economic indicators of wheeled tractors with
continuously variable transmission by a rational change of regulation hydromachines parameters
during acceleration: the thesis of dissertation for obtaining a scientific degree of Candidate of Science
(Technology) on the specialty 05.22.02 automobiles and tractors / Kozhushko Andriy Pavlovich.
Kharkiv. 24 pp.
[2] Kozhushko, A.P. (2015) Determination of technical and economic parameters wheel tractor Fendt
936 Vario in the performance of technological operations "plowing" //Privolzhskiy nauchnyiy
vestnik. # 10 (50). Pp. 20 25.
[3] Kozhushko, A.P. (2015) Features of work wheeled tractors with hydrostatic mechanical
transmissions // Silskogospodarski mashyny. #31. Pp. 70 82.
[4] Kozhushko, A.P. (2015) Simulation results of work wheel tractor with hydrostatic mechnical
transmissions working on schemes for "planetary gear input" // Advances in Mechanical Engineering
and Transport. 1 (3). Pp. 93 102.
[5] Samorodov, V.B., Taran, I.A. (2012) Analysis of the distribution power flow considering the
efficiency of hydraulic continuously variable two-flow hydrovolumetric-mechanical transmission
with differential output // The bulletin of the National Technical University "KhPI". # 64. Pp. 3
8.
[6] Taran, I.O. (2012) Laws of power transmission on branches of double-split hydrostatic mechanical
transmissions // Naukoviy visnyk NGU. Dnipropetrovsk: SHEI NMU. #2. Pp. 69 75.
[7] Taran, I.O. (2013) System of integral stochastic criteria for transmissions of transport vehicles//
Naukoviy visnyk Khersonskoi derzhavnoi morskoi akademii. Kherson: Kherson state maritime
academy. # 2 (9). Pp. 277 283.
[8] Transmission of mine locomotive: Monograph. Dnipropetrovsk: published by SHEI NMU.
256 pp.
[9] Taran, I.O. (2013) Automated analysis of the distribution of power flow transmission locomotive
// Ugol Ukraine. #12. Pp. 34 38
[10] Sunghyun Ahn, Suchul Kim, Jingyu Choi, Jinwoong Lee, Hyunsoo Kim, Development of an
integrated engine-hydro-mechanical transmission control algorithm for a tractor, Advances in
Mechanical Engineering 7(7), July 2015, doi: 10.1177/1687814015593870
Cite the paper

Taran I.O. & Kozhushko A.P. (2016) Substantiating of Rational Law of Hydrostatic Drive Control
Parameters While Accelerating of Wheeled Tractors with Hydrostatic and Mechanical
Transmission. Mechanics, Materials Science & Engineering Vol.6, doi:
10.13140/RG.2.1.3590.93620

76
Modelling of Fatigue Crack Propagation in Part-Through Cracked Pipes Using

Gamma Function
Pawan Kumar 1,a, Vaneshwar Kumar Sahu2, P.K.Ray2, B.B.Verma2
1 Institute For Frontier Materials, Deakin University, Australia

2 National Institute of Technology, Rourkela, India
DOI 10.13140/RG.2.2.16973.03043
Keywords: fatigue crack propagation, part-through cracked pipes, gamma model.
ABSTRACT. In the present investigation a gamma model has been formulated to estimate the fatigue crack growth in
part-through cracked pipe specimens. The main feature of the model is that the gamma function is correlated with various
physical variables like crack driving parameters and materials properties in non-dimensional form so that the proposed
model can be used for different loading conditions. The validation of model has been done with experimental data in
order to compare its accuracy in predicting fatigue crack growth.
Introduction. The fatigue crack growth Nomenclature

behaviour of surface crack in a pipe in
a semi circumferential crack length;
radial direction is one of the most serious
problems associated with piping systems ai initial crack length (mm);
as it is responsible for detection of leak aj final crack length (mm);;
before break. There are different piping
integrity systems used in aircrafts, A, B, C, D curve fitting constants
offshore oil drilling, and coolant pipes in da/dN crack growth rate;
high pressure nuclear reactors which
encounter fluctuating loading condition. K stress intensity factor (MPa);
Due to this kind of loading condition a new KC fracture toughness (MPa m);
surface crack can generate or an existing
crack can propagate. This leads to damage K stress intensity factor range (MPa m);
in structure and integrity. Many
M specific growth rate;
researchers have studied fatigue crack
growth problems in pipes. Different mij specific growth rate in interval( j-i);
techniques like numerical analysis, finite N number of cycles;
element method, boundary integral have
been used to address fatigue crack growth N j predicted fatigue life using exponential model;
P
in pipes. Jhonson et al. [1] used boundary R load ratio;

integral method for tension loading and
providing a numerical solution to the Ri Internal radius of specimen;
problem. Daond and Cartwright [2] t Thickness of specimen;
applied strain energy release rate method
w width of specimen
in uniform tension as well as pure bending
condition in pipes. Delate et al. [3] reported numerical results for exterior cracks of semi-elliptical
shape using line spring model.
In present research a modified gamma function is used to model fatigue crack growth in part- through
cracked pipe in radial direction.

77
Experimental Procedure. In the present investigation TP316L grade of stainless pipe was used. The
chemical composition and mechanical properties of the material is presented in Tables 1 and 2
respectively. A part-through notch of angle 45o was machined by wire EDM and shown in Fig.1.
Fatigue crack growth test was conducted using a servo-hydraulic dynamic testing machine Instron
8800 on part-through cracked pipe specimens. The tests were conducted in air and at room
temperature under constant amplitude 4-point bend loading condition. The schematic loading diagram
is shown in Fig. 2. Seven specimens were tested in order to formulate the model and the 8th specimen
was tested for validation of the model. Fig. 3 shows the fractured surface of the break opened
specimen after fatigue test.
Table 1. Chemical Composition of TP316L stainless steel.

Element C Mn Si Cr Ni P S Mo N Fe
Weight
0.03 2.00 0.75 16-18 10-14 0.045 0.030 2-3 0.10 balance
(%)
Table 2. Mechanical Properties ofTP316L stainless steel.

Modulus of elasticity Poissons ratio () Yield strength (ys), Ultimate tensile
(E), GPa strength (ut), MPa
MPa
220 0.3 366 611
Fig. 1. Cross sectional view of specimen (All dimensions are in mm).

78
Fig. 2. Four-point bend schematic loading diagram (All dimensions are in mm).
Fig. 3. Fracture surface of specimen.
Formulation of Model. Fatigue crack propagation, a natural physical process of material damage, is
characterised by rate of increase of crack length (a) with number of cycles (N). It requires a discrete
set of crack length vs. number of cycle data generated experimentally. The experimental a-N data is
shown in Fig. 5.

79
5.8
Crack length, a (mm)

4.8
3.8
2.8
1.8
0.8
0.00E+00 2.00E+04 4.00E+04 6.00E+04
No. of cycles, N
Fig. 5. Experimental a-N curve.
Gamma function is defined as the generalization of the factorial function to non-integral values,
introduced by the Swiss mathematician Leonhard Euler in the 18th century. For a positive whole
number n, the factorial (written as n!) is defined by n! = 1 2 3 (n 1) n. To extend the
factorial to any real number n > 0 (whether or not n is a whole number), the gamma function is defined
as [5-7]:

(z) = 0 1 , () > 0 (1)
In our present investigation a modified gamma model has been proposed to predict crack growth in
part-through cracked pipe. Here term t is replaced by number of cycles N. The term z is chosen in
such a way that it becomes non-dimensional and represents the parameters that affect crack growth.
The integral is chosen so that it is non-dimensional and represents crack growth at the end of a fixed
number of loading cycles. Generally fatigue crack growth depends on the initial crack length, material
properties and specimen geometry, loading conditions etc. The non-dimensional parameter is chosen
in such a way so that it includes all these variables and properties. The expression for predicting the
final crack length at the end of N cycle is given by:
0
1
= 0 ( 1)
, (2)

where z has been replaced by [m(a/w)];

w is the specimen thickness;
m is defined as a non-dimensional parameter whose value remains approximately constant
for a given cycle interval.
The value of m includes all the properties which affect crack growth.
Fatigue crack growth behaviour depends upon initial crack length and load history. Therefore, while
using gamma model each previous crack length is taken as initial crack length for the present step
and non-dimensional parameter m is calculated for each step in incremental manner. The
experimental a-N data have been used to determine the parameter m for each step using MATLAB
programming. At first, initial value of m is assumed for a given interval of cycle. The iteration is
continued till the value of m for which LHS and RHS of the equation (2) becomes nearly equal (within
+0.01) is taken as the value of m for given cyclic interval.
80
The RHS of equation (2) was solved with the help of MATLAB programming.
The expression of m is given by:
= 3 + 2 + + , (3)
where A, B, C, and D are curve fitting constants. The non-dimensional number m is correlated with
another parameter l which takes into account two crack driving forces K and Kmax as well as material
parameters Kc, E and YS.
1/4
= [( ) ( )( )] . (4)

The stress intensity factor K is calculated by equation (5) [8]:
2 2
= (3=1 ( ) + ( )) , (5)

where is the bending stress;

is the axis-symmetrical stress which is zero in present case.
The predicted crack length was calculated as:
0

1 = 0 ( 1)
, (6)
where m has been given by equation (3) after putting average value of curve fitting constants (for
seven specimens) and validate it by using eq. (6) for 8th specimen.
Discussion. The predicted a-N curve obtained from proposed gamma model was compared with
experimental test data (Fig. 6). The experimental a-N data of specimen no. 1, 2, 3, 4, 5, 6, and 7 were
used for formulation of model, and its validation has been checked by 8th specimen. The experimental
test data was compared with predicted a-N curve obtained from proposed gamma model (Fig. 6). The
average values of curve fitting constants (for seven different specimens) for gamma model have been
given in Table 3. The predicted and experimental da/dN-K curves for the 8th specimen are presented
(Fig. 7) for comparison. It can be seen that results from predicted gamma model are in good agreement
with experimental data.
Table 3 Values of coefficients for gamma model.

A B C D
23.33 E+07 35.12E+06 -17.65E+05 29.63E+03

81
5.5
crack length, a (mm)

5 a ( experimental)
4.5 a ( predicted)
3.5
3
5.00E+04 7.00E+04 9.00E+04 1.10E+05
No. of cycle, N
Fig. 6. a-N curve (gamma model).
5.5E-05
5E-05 da/dN experimental

da/dN (mm/cycle)
da/dN predicted
4.5E-05
4E-05
3.5E-05
3E-05
17 18 19 20 21
K (Mpa*m^1/2)
Fig. 7. da/dN-K curve (gamma model).
The performance of gamma model is evaluated by comparing the predicted results with experimental
data for part-through cracked pipes under constant amplitude loading condition. There are three
criteria that have been used for comparison of predicted results and experimental data, which are:
1. Percent deviation of predicted result from the experimental data as:

% = 100

2. Prediction ratio which is defined as ratio between experimental data to predicted result as:

=

82
3. Error bands i.e. the scatter of the predicted life on either side of experimental line within certain
error limits.
The percentage deviations and the prediction ratio of exponential model are presented in Table 4 and
Table 5.
Table 4. Model Performances (for crack length).

Test specimen % Dev Prediction ratio
TP316L 1.74 0.99
stainless steel
Table 5. Model performances (for number of cycle).

Test specimen % Dev model) Prediction ratio
TP316L 1.02 1.01
stainless steel
The error band scattered is plotted in order to evaluate performance of gamma model as shown in
Fig. (8-9). It has been observed that the error band scatter of gamma model lies in the range of +0.03%
to -0.03% for experimental number of cycles and +0.03 to -0.03% of experimental crack length.
1.20E+05
1.10E+05
Prpredicted N to a given crack length
N (Predicted)
1.00E+05
9.00E+04
8.00E+04
7.00E+04
6.00E+04
60000 80000 100000 120000
Experimental N to a given crack length
Fig. 8. Error band scatter for number of cycle (gamma model).

83
5.5
Crack length, a (mm) Predicted

Predicted
5
4.5
3.5
3
3 3.5 4 4.5 5 5.5 6
crack length, a (mm) Experimental
Fig. 9. Error band scatter for crack length (gamma model).
Summary
1. The fatigue crack propagation in part-through cracked pipes can be determined effectively using
0
1
= 0 ( 1)
gamma model of the form

2. Specific growth rate ((m) is expressed as = 3 + 2 + + where l is correlated with

various crack driving forces and material properties is an important parameter for gamma model.
3. Using Gamma model it is possible to predict the crack extension corresponding to a given number
of cycles or to predict the number of cycles required for a given crack extension.
References
[1] Johnson, RN. "Fracture of a cracked solid circular cylinder (Investigation of cracks in radial plane
of solid right circular cylinder)[Ph. D. Thesis]." (1972).
[2] Daoud, O. E. K., and D. J. Cartwright. "Strain energy release rates for a straight-fronted edge
crack in a circular bar subject to bending." Engineering Fracture Mechanics,19.4 (1984): 701-707.
[3] Delale, F., and F. Erdogan. "Application of the line-spring model to a cylindrical shell containing
a circumferential or axial part-through crack." Journal of Applied Mechanics 49.1 (1982): 97-102.
[4] Andrews, George E., Richard Askey, and Ranjan Roy. "Special Functions, volume 71 of
Encyclopedia of Mathematics and its Applications." (1999).
[5] Rice, J. A. (1995). Mathematical Statistics and Data Analysis (Second Edition). p. 5253
[6] Abramowitz, Milton, and Irene A. Stegun, eds. Handbook of mathematical functions: with
formulas, graphs, and mathematical tables. No. 55. Courier Corporation, 1964.
[7] J. R. Mohanty, B. B. Verma, and P. K. Ray, Prediction of fatigue crack growth and residual life
using an exponential model: Part I (constant amplitude loading), International. Journal of Fatigue.,
Elsevier, vol. 31, pp. 418-424, 2009, doi: 10.1016/j.ijfatigue.2008.07.015

84
[8] Al Laham, S., and Structural Integrity Branch. Stress intensity factor and limit load handbook.
British Energy Generation Limited, 1998.
Cite the paper

Pawan Kumar, Vaneshwar Kumar Sahu, P.K.Ray & B.B.Verma (2016). Modelling of
Fatigue Crack Propagation in Part-Through Cracked Pipes Using Gamma
Function. Mechanics, Materials Science & Engineering Vol.6, doi:
10.13140/RG.2.2.16973.03043

85
Fundamental Solutions for Micropolar Fluids with Two-Temperature
M. Zakaria1, 2, a
1 Mathematics department, Faculty of Science, Al-Baha University, Al-Baha, P.O. Box 1988, Kingdom of Saudi Arabia
2 Mathematics department, Faculty of Education, El-Shatby Alexandria University, Alexandria, 21526, Egypt
a zakariandm@yahoo.com
DOI 10.13140/RG.2.2.28685.95201
Keywords: micropolar, two-temperature, low-Reynolds-number
ABSTRACT. New fundamental solutions for steady two temperature micropolar fluids are derived
in explicit form for two- and three dimensional steady unbounded Stokes and Oseen flows due to a
point force, a point couple, and time harmonic sources including the two-dimensional micropolar
Stokeslet, the two- and three-dimensional micropolar Stokes couplet, the three-dimensional
micropolar Oseenlet, and the three-dimensional micropolar Oseen couplet. These fundamental
solutions do not exist in Newtonian flow due to the absence of microrotation velocity field. The flow
due to these singularities is useful for understanding and studying microscale flows. As an
application, the drag coefficients for a solid sphere or a circular cylinder that translates in a low-
Reynolds-number micropolar flow are determined and compared with those corresponding to
Newtonian flow.
1. Introduction. In the theory of micropolar NOMENCLATURE

fluids [1], rigid particles contained in a small
del operator;
volume element can rotate about the centroid of
the volume element. An independent micro- V velocity vector of the fluid;
rotation vector describes the rotation. Micropolar
fluids can support body couples and exhibit P pressure;
microrotational effects. The theory of micropolar viscosity;
fluids has shown promise for predicting fluid
behaviour at microscale. Papautsky et al. [2] r coupling viscosity coefficient or vortex
found that a numerical model for water flow in viscosity;
microchannels based on the theory of micropolar F constant vector;
fluids gave better predictions of experimental
results than those obtained using the Navier xi coordinates system, i=1,2n;
Stokes equation. Micropolar fluids can model U free stream;
anisotropic fluids, liquid crystals with rigid
molecules, magnetic fluids, clouds with dust, Ir micro-inertia;
muddy fluids, and some biological fluids [3]. In cr,cm two angular viscosities;
view of their potential application in microscale
fluid mechanics and non-Newtonian fluid microrotation vector;
mechanics, it is worth exploring new
q heat flux vector;
fundamental solutions.

86
Srinivas and Kothandapani [4] studied the o relaxation time;

influence of heat and mass transfer on MHD
k thermal conductivity;
peristaltic flow through a porous space with
compliant walls. Chen [5] performed a magneto- CE specific heat at constant pressure;
hydrodynamic mixed convection of a power-law
fluid past a stretching surface in the presence of density of the fluid;
thermal radiation and internal heat T dynamical temperature of the fluid;
generation/absorption. Many authors have
extended the above model to the flow of To reference temperature chosen;
micropolar fluid past an infinite horizontal Q strength of the applied heat source per unit
moving plate, in the presence of a magnetic mass;
under different physical situations (see for
instance [610]). the conductive temperature;
The physical mechanisms of heat, mass, and a a > 0 two-temperature parameter

momentum transport in small-scale units may
differ significantly from those in micro-scale equipment [11, 12]. Fundamental and applied
investigations of micro-scale phenomena in fluid mechanics are motivated by developments in the
areas of biological molecular machinery, atherogenesis, microcirculation, and microfluidics. At
scales larger than a micron, the fluid can be treated as a continuum, and the flow is governed by the
NavierStokes equation. The continuum model assumes that the properties of the material vary
continuously throughout the flow domain. In Newtonian continuum mechanics, the fluid is modeled
as a dense aggregate of particles, possessing mass, and translational velocity. However, the field
equation, such as the NavierStokes equation, does not account for the rotational effects of the fluid
micro-constituents.
In the theory of micropolar fluids [13], rigid particles contained in a small volume element can rotate
about the centroid of the volume element. The rotation is described by an independent micro-rotation
vector. Micropolar fluids can support body couples and exhibit microrotational effects. The theory of
micropolar fluids has shown promise for predicting fluid behaviour at microscale. Papautsky et al.
[11] found that a numerical model for water
2. The mathematical model. Consider a point force in an unbounded, quiescent, incompressible
micropolar fluid. Without loss of generality, the point force is placed at the origin, and the free-stream
velocity U is taken to be (U, 0, 0). Based on the Oseen approximation, the governing equations
reduce to [11]
The equations of motion have the form
V o, (1)
V
U p r V 2 r F ( x), (2)
x1

I rU 2 r V 2 cr cm , (3)
x1

87
The equation of energy is given by:

q Q ( x) ToU , (4)
x1
The entropy may be written in terms of temperature as follows
CE
T To , (5)
To
The generalized Fouriers law including the current density effect is given by [12]-[14]
q k , (6)
a 2 T . (7)
By eliminating between (4) and (5) and using (6) we get the equation of heat conduction for the
linear theory as follows
T
k 2 C EU Q ( x) . (8)
x1
The pressure, p, translational velocity, V, and microrotation velocity, , are required to decay as
|x| and temperature T T in an unbounded flow, as follows
p 0, | V | 0, | | 0, | T | T as | x | .
3. The formulation of the problem in the Fourier transform domain

The Fourier transform f of a function f x in the n-dimensional complex Fourier is defined as:
n
f ( ) f ( x) 2

2 f ( x)e i x d x,
n
where is the transformed variable of x, , x = 1x1 + + nxn

i is the imaginary unit, i= 1 . The divergence of (2) yields
88
2 p F ( x), (9)
which states that p is harmonic everywhere except at the pole. To solve (9) for p, we take the Fourier
transform, finding

n

p ( i ) F ,
2
( 2 )
2

Taking the inverse Fourier transform, we find
1 Fx
F ln r n 2,
2 2 r
2

p , (10)
F 1 F x n 3
4 r 4 r 3

Stokes and Oseen flows due to a point force have the same pressure field, regardless of whether the
fluid is Newtonian or micropolar. From (3), we have
I
r U .
cr
V 2 (11)
2r 2r
Taking the curl of (2) gives
r V 2r F ( x) U V . (12)
Substituting (11) in (12), we derive a partial differential vector equation containing only one
unknown, ,
4 2
a0 2 a1 2 a a3 a4 F ( x) (13)
x1
2
x1
2
x1


89
4 r I 1 2U 2 I r 4 r U
where ao , a1 U r , a2 , a3 ,
cr r cr r cr r cr r
2 r
a4 .
cr r
To solve partial differential equations of higher order, such as (13), we may factorize the higher-order
partial differential operator into products of lower order [4]. This method was used by Olmstead and
Majumdar [5]. Formally, it is proposed that

L 2 A1 B1 2 A2 B2
x1 x1
where L is a fourth-order partial differential operator;

A1, A2, B1 and B2 are constants.
While the method of factorization is attractive, a certain relationship between the parameters must
exist for L to admit the desired factorization. To factorize the differential operator in (16), the
following must be true:
2
L 4 a0 2 a1 2 a2 2 a3
x1 x x1
(14)
2 2
4 B1 B2 2 A1 A2 A1 A2 2 A1B2 A2 B1 B1B2 .
x1 x1 x1
Consequently, it is required that
B1 B2 ao , A1 A2 a1, A1 A2 a2 , A1B2 A2 B1 a3 , B1B2 0.
We have five equations and only four unknowns. To expedite the solution, the value of B1 is taken to
be zero since B1B2 = 0. Therefore,
B2 ao ,
Then, from A1B2 + B1A2 = a3,
a3 U
A1 .
ao

90
Consequently,
a2 U I r
A2 .
A1 cr r
However, A1 + A2 = a1, or
U U I r I 1
U r ,
cr r cr r
which gives
cr
Ir . (15)

Hence, the partial differential operator in (14) can be factorized as follows:
2
4 a0 2 a1 2 a2 2 a3
x1 x x1
2 U 2 U I r
ao
x1 r x1
This allows (13) to be rewritten as
2 2
2no 2mo ao a4 F ( x) (16)
x1 x1
where 2no = U/ and 2mo = U/( + r ). The above factorization is valid under the physical
constraint of the parameters given by (14). To solve (15) for , it is convenient to take the Fourier
transform.

n
2i1no 2 2 imo1 ao ia4 2 2 F ,
2
which gives

91
n
ia4 2 2 F

2

2i1n 2 2 im1 ao . (17)
The inverse Fourier transform gives
n
1
a4 F
2 2

2
2

,
2i1n 2 im1 ao
which is the micropolar Oseenlet of
x t e nt K o ns e mt K o o s
e o 1 dt n 2,
2 x1 2U ,
F
(18)
cr e n (t s ) e mt 1 s
e o x1 t

dt , n 3
x1 4sU
n
where o 4 2 U cr , o m2 ao2 , s t 2 x 2j , and K o ( ) e cosh d , is the
j 2 o
modified Bessel function of the second kind. Because is expressed as the curl of the product of a
scalar function and the constant vector F, the divergence of is zero. Hence, the assumption made
earlier about the divergence of being zero is satisfied.
As U 0, Eq. (17) produces the micropolar Stokeslet.

4 F n r K o ao r n 2,

(19)
ao r
F 1 e n 3.
8 r

Equation (19) gives the microrotation velocity in the presence of a point force. The curl of (3) gives
the curl of the curl of V as
I rU
V 2
cr
,
2 r 2 r x1
which can be written as

92
I rU
,
c
2 V 2 r 2
2 r 2 r x1
using vector identities (1) and the assumption that the divergence of is zero. Taking the Fourier
transform, we find
I U
2 V 2 r 2 i r 1 ,
c
2 r 2 r
Substituting (14) and (16) in the above equation leads to
2
n

V 2 2 a4 i i F

2 2
2

i 2 no1 i 2mo1 ao
2

,
cr

2 r i 2mo1 ao
2 2 2

The inverse Fourier transform of this expression yields u in the form

n
2
2

i 2 no1 i 2mo1 ao2
V a4 i i 2 F1
2 2 2

.

n
cr 2 2

2 2

2 r i 2mo1 ao
2

We find the translational velocity u is given by the micropolar Oseenlet of V

F

1 eo x1 t e not K o ( no s ) e o x1 t e mot K o ( o s ) n s
dt , n 2 ,

x1 2 U

V (20)

1 eo x1 t e no ( t s ) eo x1 t e mot o s 1
dt , n 3.
F
4 s U

x1

In the limit r 0, the translational velocity and microrotation velocity fields decouple. Then, mo
no, o no, and the expression (19) of V simplifies to

93
e no t K o (no s) n s
F dt , n 2,
x1 2 U
V (21)
e on ( t s )
1
F dt , n 3.
x1 4 s U
We see that the Newtonian Oseenlet is recovered. In the limit U 0, the micropolar Oseenlet of V
in (19) becomes the micropolar Stokeslet of V,
r 2n r cr
F n r K a r , n 2,
8 8 2
o o

V (22)
r cr 1 e ao r

F 2 , n 3.

8 16 r
Finally, By eliminating between (7) and (8) for T, we obtain it is convenient to take the Fourier
transform.
2

k
2
1
T
Q

1 a 2 ( x), (23)
x1 aCEU a x1 a CEU
It is convenient to take the Fourier transform.

n

Q(2 ) 2 a 2 1
T . (24)
2 k 1
ia C EU
ia CEU a

n
T
2
2
1 ai i 1 1
Q ,
ia C EU

k 1

2

ia C U a
E
which is the dynamical temperature of the fluid T

94
e o t K o ( o s )

a 1 Q
2
dt , n 2,
x1 2 aCEU
T (25)

e o s o

t
a 2
1 Q dt , n 3,
x1 4 s aC EU
a 2 o2 1
where o k 2aCEU , and o .
a2
Now, by eliminating T between (7) and (8) we get the equation of heat conduction for the linear
theory as follows
2 k 1 Q
2 ( x), (26)
x1 aCEU a x1 a CEU
Taking the Fourier transform, we find.
n

Q(2 ) 2
. (27)
k 1
ia C EU 2
ia CEU a

n

2

2 1 1 ,
Q
ia C EU 1

k
2
ia C EU a

which is the conductive temperature of the fluid ,
e o t K o ( o s )
Q dt , n 2,
x1 2 aC EU
(28)

e o s o
t
Q dt , n 3,
x 1 4 s a C EU
Finally, we find the translational velocity u is given by the micropolar Oseenlet of V

The solution of for a micropolar fluid is much more complicated than that for a Newtonian fluid.
95
4. Drag on a translating solid sphere in a micropolar viscous flow

Consider the flow produced by a solid sphere of radius R translating with velocity U in an ambient
micropolar fluid of infinite expanse. The flow due to the sphere may be obtained in terms of a point
force and a potential dipole, both placed at the center of the sphere, as in the case of Stokes flow [15,
16]. Hence, the velocity is given by

r cr 1 e r
V F
r B 4 r O( Re ), (25)
8 16
2

where B is the vectorial strength of the potential dipole;

U 2R
Re is the Reynolds number, assumed to be small.

Requiring the boundary condition V = U at r = R to be satisfied on the surface of the sphere, yields
two algebraic equations for the coefficients F and B,

F B U 1 O( Re ) ,
8 R r 4 R 2
3
F B O 1 O( Re ) .
8 R r
3
4 R 5
whose solution is
F 6 R r U 1 O( Re ) ,
B R3 r U 1 O( Re )
The drag comes exclusively from the point force. The dimensionless drag coefficient is
2F 24 r
CD 1 O( Re ),
U 2 R 2
Re
Putting r = 0, we recover the result for the classical viscous flow
2F 24
CD .
U 2 R 2
Re

96
Summary. New fundamental solutions for micropolar fluids with two temperature have been derived
in explicit form. The problem of two- and three-dimensional, steady, unbounded Stokes and Oseen
flows of a micropolar fluid due to a point force and a point couple has been considered. The new
fundamental solutions for Stokes and Oseen flows are the two-dimensional micropolar Stokeslet,
given by (17), (20), (24) and (27) , the three-dimensional micropolar Oseenlet, given by (18) and (19).
These fundamental solutions are possible due to the existence of microrotation velocity fields in
micropolar fluids. The fundamental solutions can generate further fundamental solutions by
successive differentiation with respect to the singular point [15,16].
These fundamental solutions for micropolar fluids can be used as the basic building blocks to
construct new solutions of microscale flow problems by employing the boundary-integral method or
the singularity method. It was demonstrated that these fundamental solutions can be used to calculate
the drag coefficients for a translating solid sphere and circular cylinder, respectively, in a micropolar
fluid at low Reynolds numbers. The drag coefficients in a micropolar fluid are greater than those in a
Newtonian fluid by the factor ( + r)/.
References
[1] I. Papautsky, J. Brazzle, T. Ameel, A. B. Frazier, Laminar fluid behavior in microchannels using
micropolar fluid theory. Sensors Actuators A Physical (1999) 73(1-2):101108, DOI 10.1016/S0924-
4247(98)00261-1
[2] J. J. Shu , Microscale heat transfer in a free jet against a plane surface. Superlattices Microstruct
(2004) 35: 645656, DOI 10.1016/j.spmi.2003.12.005
[3] A. C. Eringen, Microcontinuum field theories II: fluent Media. Springer-Verlag, New York, Inc
(2001).
[4] S. Srinivas, M. Kothandapani: The influence of heat and mass transfer on MHD peristaltic flow
through a porous space with compliant walls, App. Math. Comp. 213 (2009) 197208, DOI
10.1016/j.amc.2009.02.054
[5] Chien-Hsin: Magneto-hydrodynamic mixed convection of a power-law fluid past a stretching
surface in the presence of thermal radiation and internal heat generation/absorption, Int. J. Non-Linear
Mech. 44 (2009) 596 603, DOI 10.1016/j.ijnonlinmec.2009.02.004
[6] S. Srinivas, M. Kothandapani: The influence of heat and mass transfer on MHD peristaltic flow
through a porous space with compliant walls, Appl. Math. Comp.213 (2009) 197208, DOI
10.1016/j.amc.2009.02.054
[7] R. C. Chaudhary, Abhay Kumar Jha: Effects of chemical reactions on MHD micropolar fluid flow
past a vertical plate in slip-flow regime, Appl. Math. Mech. -Engl. Ed., 2008, 29(9):11791194, DOI
10.1007/s10483-008-0907-x
[8] Youn J. Kim: Heat and Mass Transfer in MHD Micropolar Flow Over a Vertical Moving Porous
Plate in a Porous Medium, Transport in Porous Media 56: 1737, 2004, DOI
10.1023/B:TIPM.0000018420.72016.9d
[9] A. Ishak , R. Nazar , I. Pop: MHD boundary-layer flow of a micropolar fluid past a wedge with
variable wall temperature, Acta Mech 196, 7586 (2008), 10.1007/s00707-007-0499-8
[10] A. Ishak, R. Nazar, I. Pop: Mixed convection stagnation point flow of a micropolar fluid towards
a stretching sheet, Meccanica (2008) 43: 411418, DOI 10.1007/s11012-007-9103-5
[11] Papautsky I, Brazzle J, Ameel T, Frazier AB: Laminar fluid behavior in microchannels using
micropolar fluid theory. Sensors Actuators A Physical 73(12):101108 (1999)

97
[12] Shu J-J: Microscale heat transfer in a free jet against a plane surface. Superlattices Microstruct
35(36):645656 (2004)
[13] Eringen AC: Microcontinuum field theories II: fluent Media. Springer- Verlag, New York, Inc
(2001)
[14] Zwillinger D: Handbook of differential equations. Academic Press (1998)
[15] Pozrikidis C (1992) Boundary integral and singularity methods for linearized viscous flow.
Cambridge University Press
[16] Kohr M, Pop I (2004) Viscous incompressible flow for low Reynolds numbers. WIT Press
Cite the paper

M. Zakaria (2016). Fundamental Solutions for Micropolar Fluids with Two-
Temperature. Mechanics, Materials Science & Engineering Vol.6, doi:
10.13140/RG.2.2.28685.95201

98
Calibration of COD Gauge and Determination of Crack Profile for Prediction of

Through the Thickness Fatigue Crack Growth in Pipes Using Exponential
Function
Pawan Kumar1, a, Hemendra Patel2, P.K.Ray2, B.B.Verma2
1 Institute for Frontier Materials Deakin University, Australia

2 National Institute of Technology, Rourkela
DOI 10.13140/RG.2.2.23243.18724
Keywords: fatigue crack propagation, Crack opening displacement calibration, crack profile, exponential function
ABSTRACT. In present investigation the calibration of COD gauge and study of crack profile for part-through cracked
pipes subjected to four-point bending has been done. The results show that crack profile is semi-elliptical in nature for
lower crack depth and is flattened with the increase in crack depth. The linear relationship is obtained between crack
depth and COD gauge. The COD calibration curve is used to study fatigue crack propagation by exponential function.
The material of the pipes under investigation was TP316L grade stainless steel. The specimens were subjected to four-
point bend fatigue load in air and at room temperature. The predicted results were compared with experimental crack
growth data. It has been observed that the results obtained using exponential function is in good agreement with
experimental data.
Introduction. In industries pipe installations are used to transport pressurized fluids. Therefore, it is
possible that these pipes experience stresses developed by the pressurized fluid. They may also
experience seismic vibration as well as fluctuating bending stresses. It is possible that these stresses
may promote extension of an existing crack or initiate a new fatigue crack from a highly stressed
region [1-6]. In several industries the pipe installations carry hazardous fluids. Therefore, monitoring
of these crack propagation in pipes is important in terms of safety and stability [7-8]. The study of
fatigue crack growth requires determination of crack length/depth and number of cycles. The number
of cycles can be obtained from data acquisition system, integrated with the fatigue testing machine.
For crack growth measurement various techniques are available like potential drop method,
compliance method etc. To use compliance method the relation between COD gauge deflection and
crack depth must be known. For some standard specimens like compact tension (CT), single edge
notched (SEN) and others, the relationship between dimensionless compliance and normalized crack
length are known. The relation between dimensionless compliance and normalized crack length are
available for standard specimen given by ASTM standard data book; and this relationship can be used
for the standard specimen and geometry for which they were developed. But in case of pipes there is
no such a relation is available in the software supplied with the machine. In present investigation the
calibration of cod gauge for straight notched pipe subjected to four point bending has been done.
Different techniques like finite element method, numerical analysis, boundary integral have been used
to address fatigue crack growth in pipes. Athanassiadis et al. [9] reported numerical solution to a near
circular crack front problem. Nezu et al. [10] applied finite element method with experimental results
and studied circular shape of crack front. There are also finite element simulation software like
CASCA and FRANC2D used to study fatigue crack growth in pipes [11]. There are methods in which
it is proposed to convert 3D problems into 2D problems like spring model used by Rice and Levi [12]
and conformal transformation methods by Wall Brink et al. [13]. These models are able to analyze
partial circumferential crack as well as complex circumferential cracks in pipes. Mohanty et al. [14-

99
17] developed an exponential model for prediction of fatigue crack growth in SENT specimen under
constant amplitude loading and variable amplitude loading. Pawan Kumar et al. recently developed
a fatigue crack propagation model for pipes using gamma function [18]. In present work exponential
function is used instead of gamma function to estimate the fatigue crack propagation life in pipes.
Experimental procedure
The material under investigation was TP316L stainless steel. The specimens were part-through
cracked pipes having notch angle 45o. The notches were prepared by wire-EDM process. The fatigue
crack growth tests were conducted in servo-hydraulic dynamic testing machine (Instron 8800) under
load control mode. A four-point bend fixture as shown in Fig. 1 was fabricated for conducting fatigue
crack growth tests. The Instron da/dN software is not calibrated for COD output and crack extension
for pipe geometry. Therefore before conducting the test, COD gauge was calibrated using multiple
specimens. The notch-geometry of the material is presented in Table 1.
Test Condition
Pipe test have been carried out at room temperature and air environment under load control mode
using sinusoidal waveform loading. The constant amplitude method with stress ratios of 0.1 with
frequency 4 Hz has been followed. The load range applied during the fatigue crack initiation and
growth test was of the order of 40.5 KN, which is below the yield strength of the piping material
which corresponds given notch dimensions. This is to ensure that the crack growth is under gross
elastic conditions.
Fig. 1. Four-point bend fixture and specimen.
Table 1. Specimen and notch dimension of pipe.

Specimen Outer Inner Inner Crack Crack Length of Angle
parameters radius radius radius depth length (L) the (2)
(R0) (Ri) (Ri) specimen
Dimension 30 21 9 2.28 23 505 45o
(mm)

100
Calibration of cod gauge

Pipes with straight notches were used for calibrating COD gauge. Multiple specimens were used for
this purpose. The COD calibration curve (COD vs. measured crack length along the pipe thickness)
is shown in Fig. 2. The crack length was measured with the help of a travelling microscope.
Crack length,a (mm)

5
4
3
2
1
0
0 10 20 30
Del. COD (mm)
Fig. 2. Calibration of COD gauge.
Determination of crack profile

With the help of optical travelling microscope crack profile are measured. The crack profiles of all
the fractured pipes are shown in fig 3. From the crack profile it is clear that the crack propagates along
thickness direction first, than the crack propagates in circumferential direction. It is also clear that the
crack front profile is semi-elliptical in nature for lower crack depth, but the crack front shape is
flattened as the crack depth increases. After initial crack propagation, there is crack growth in the
circumferential direction as well. This reduces the SIF at the main crack front. This is the probable
cause of flattening of the main crack front after the crack has grown some distance in the through-
thickness direction. The SEM image of fractured surface is shown in fig. 4 and no beach mark is
observed.
Fig. 3. Crack profile.

101
Fig. 4. SEM image of fractured surface shows no beach mark.
Formulation and validation of model

Fatigue crack propagation, is characterised by rate of increase of crack length (a) with number of
cycles (N). It requires a discrete set of crack length vs. number of cycle data generated experimentally.
Fig. 5 shows experimental a-N data.
5.8
Crack length, a (mm)
4.8
3.8
2.8
1.8
0.8
0 20000 40000 60000
No. of cycles, N
Fig. 5. Experimental a-N curve.
Finally the validation has been done with experimental data in order to compare its accuracy in
predicting fatigue life in part-through cracked pipes.
Formulation of model
This model is based on the exponential growth of fatigue crack with number of loading cycles. The
modified exponential equation is given as [15-16]
= ( ) (1)
And,

( )

= ( (2)
)
Here, Nj and Ni represent number of cycles in jth step and ith step respectively;
102
aj and ai are the crack lengths in jth step;

ith step respectively;
mij is specific growth rate in the interval (i-j).
The specific growth rate m is calculated for each step from experimental result of fatigue test (a-N
data) using equation (2).
The exponent mij (known as specific growth rate) of the proposed exponential model has been
correlated with various physical variables like crack driving parameters, crack resisting parameter,
and material properties in non-dimensional forms. The specific growth rate is correlated with a
parameter l, which takes into account two crack driving forces K and Kmax as well as material
parameters KC, E, ys and is represented by equation:
ys 1/4
= [( ) ( )( )] (3)
C C
The different m and l values are fitted by a polynomial equation.

The predicted m values are calculated for seven specimens by a polynomial fit as follows:
= 3 + 2 + + (4)
where A, B, C, and D are curve fitting constants whose average value for seven specimens have been
presented in the Table 3.
The stress intensity factor K has been calculated by equation [19]:
2
= (3=1 (
)+ ( 2

)) (5)
Here is bending stress;

is axis-symmetrical stress which is zero in present case.
Validation of model
The predicted number of cycles or fatigue life is given by:

( )

= + (6)

The predicted values of specific growth rate (mij) of the tested specimen have been calculated by
putting the average values of the curve fitting constants (for specimen no. 1, 2, 3, 4, 5, 6, 7) in equation
(4). For validation of proposed exponential model; fatigue life is calculated (for specimen no. 8) by
using the equation (6) .

103
Discussion. An attempt has been made to develop a fatigue crack propagation model for part-through
cracked pipe using exponential function. The specific growth rate (m) which relates crack growth to
material properties is an important parameter for exponential model. The experimental a-N data of
seven specimens were used for formulation of model, and its validation was checked for 8th specimen.
Table 2 shows the average value of curve fitting constants. These constants have been used to predict
fatigue life of a through wall cracked pipe specimen. A comparative study of a-N curve is made for
proposed exponential model and experimental data (Fig. 6).The da/dN K curves are also compared
(Fig. 7). It is found that the predicted results are conservative in nature.
Table 2. Value of coefficients for exponential model.

Material A B C D
TP316L -359.484 +52.708 -2.578 0.0421
8
a ( experimental)
crack length, a (mm)
7 a ( predicted)
3
50000 70000 90000 110000 130000
No. of cycles, N
Fig. 6. a-N curves (experimental and predicted).
0.0001
9E-05
8E-05 da/dN ( experimental)

da/dN (mm/cycle)
7E-05 da/dN (predicted)

6E-05
5E-05
4E-05
3E-05
2E-05
17 18 19 20 21
K (MPa*m^1/2)
Fig. 7. da/dN-K curves (experimental and predicted).

104
Three different criteria have been followed to evaluate performance of exponential model by
comparing the predicted results with experimental data for part-through cracked pipes under constant
amplitude loading condition. These criteria are Percent deviation, Prediction ratio and Error bands In
order to predict fatigue crack propagation in part-through cracked specimen, seven specimens were
used; the validity of proposed exponential model is checked for specimen no. 8. The percentage
deviations and the prediction ratio of exponential model are presented in Table 3 and Table 4.
Table 3. Model Performances (for crack length).

Test specimen % Dev Prediction ratio
TP316L 5.80 0.94
stainless steel
Table 4. Model performances (for number of cycle).

Test specimen % Dev model) Prediction ratio
TP316L 3.66 1.038
stainless steel
Performance of exponential model is evaluated by error band scatter, which is shown in Figs. 8 & 9.
The error band lie within +0.0% to -0.09% of experimental number of cycles and + 0.0% to+0.06%
of experimental crack length for exponential model.
Fig. 8. Error band scatter for number of cycle (exponential model).
Fig. 9. Error band scatter for crack length (exponential model).

105
Summary. The crack front profile is nearly semi elliptical in nature for lower crack depth, but the
crack front shape is flattened as the crack depth increases. The calibration curve of COD gauge is
found to be straight line, which shows linear relationship between COD gauge and crack depth of
pipe specimens. Fatigue crack propagation in part-through cracked pipes can be determined by using
exponential function of the form = ( ). Exponential function can be effectively used
to predict the fatigue life of part-through cracked pipe.
References
[1] Beden S M, Abdullah S, Ariffin A K, Review of fatigue crack propagation models for metallic
components, European Journal of Scientific Research 28.3 (2009) 364-397.
[2] Wang G S, Blom A F, A strip model for fatigue crack growth predictions under general load
conditions, Engineering Fracture Mechanics 40.3 (1991) 507-533, DOI: 10.1016/0013-
7944(91)90148-T
[3] Rice J R, Mechanics of crack tip deformation and extension by fatigue, fatigue crack propagation,
ASTM, ASTM STP (1966) 415.
[4] Paris P C, Erdogan F, A critical analysis of crack propagation laws, Journal of Fluids
Engineering 85.4 (1963) 528-533, DOI: 10.1115/1.3656901
[5] Paris P C, Gomez M P, Anderson W E, A Rational Analytical Theory of Fatigue, The Trend in
Engineering, U. of Washington, Seattle, Wa 13.1 (1961).
[6] Walker E K, The effect of stress ratio during crack propagation and fatigue for 2024-T3 and 7076-
T6 aluminum. In: Effect of environment and complex load history on fatigue life, ASTM STP 462.
Philadelphia: American Society for Testing and Materials, (1970) 114.
[7] Shibata K, Results of reliability test program on light water reactor piping, Nuclear engineering
and design, 153.1 (1994) 71-86.
[8] Yeon-Sik Y, Ando K, Circumferential fatigue crack growth and crack opening behavior in pipe
subjected to bending moment, SMIRT-15, Seoul, Korea 15.5 (1999) 343-350.
[9] Athanassiadis A, Boissenot J M, Brevet P, Francois D, Raharinaivo A, Linear elastic fracture
mechanics computations of cracked cylindrical tensioned bodies, International Journal of
Fracture 17.6 (1981) 553-566.
[10] Kikuo N, Machida S, Nakamura H, SIF of surface cracks and fatigue crack propagation
behaviour in a cylindrical bar, Japan Congress on Materials Research, 25 th, Tokyo, Japan (1982).
[11] Sharan A, Prediction of fatigue crack propagation in circumferentially cracked pipe specimen
using casca and Franc2D, Diss. National Institute of Technology Rourkela, (2012).
[12] Rice J R, and Nouri L, The part-through surface crack in an elastic plate, Journal of Applied
Mechanics 39.1 (1972): 185-194.
[13] Wallbrink C D, Peng D and Jones R, Assessment of partly circumferential cracks in pipes,
International Journal of Fracture (2005): 167-181
[14] Mohanty J R, Verma B B, and Ray P K, Prediction of fatigue crack growth and residual life
using an exponential model: Part II (mode-I overload induced retardation), International Journal of
Fatigue 31.3 (2009): 425-432, DOI: 10.1016/j.ijfatigue.2008.07.018
[15] Mohanty J R, Verma B B, and Ray P K, Evaluation of overload-induced fatigue crack growth
retardation parameters using an exponential model, Engineering Fracture Mechanics 75.13 (2008):
3941-3951.
[16] Mohanty J R, Verma B B, and Ray P K, Prediction of fatigue life with interspersed mode-I and
mixed-mode (I and II) overloads by an exponential model: extensions and improvements, Engineering
Fracture Mechanics 76.3 (2009): 454-468.
106
[17] Mohanty J R, Verma B B, and Ray P K, Determination of fatigue crack growth rate from
experimental data: a new approach, International Journal of Microstructure and Materials
Properties 5.1 (2010): 79-87.
[18] Pawan Kumar, Vaneshwar Kumar Sahu, P.K.Ray and B.B.Verma , Modelling of Fatigue Crack
Propagation in Part-Through Cracked Pipes Using Gamma Function, Mechanics, Materials Science
& Engineering, Vol. 6 (2016), DOI: 10.13140/RG.2.2.16973.03043
Al Laham S, Structural Integrity Branch. Stress intensity factor and limit load handbook. British
Energy Generation Limited, (1998).
Cite the paper

Pawan Kumar, Hemendra Patel, P.K.Ray & B.B. Verma (2016). Calibration of COD Gauge and
Determination of Crack Profile for Prediction of Through the Thickness Fatigue Crack Growth in
Pipes Using Exponential Function. Mechanics, Materials Science & Engineering Vol.6, doi:
10.13140/RG.2.2.23243.18724

107
Numerical Solution of Nonlinear Fredholm Integro-Differential Equations using

Leibnitz-Haar Wavelet Collocation Method
S. C. Shiralashetti1, a, R. A. Mundewadi1
1 P. G. Department of Studies in Mathematics, Karnatak University, Dharwad-580003, India

a shiralashettisc@gmail.com
DOI 10.13140/RG.2.2.31444.19848
Keywords: Leibnitz-Haar wavelet collocation method, operational matrix, nonlinear Fredholm integro-differential
equations.
ABSTRACT. In this work, we present a Leibnitz-Haar wavelet collocation method for solving nonlinear Fredholm
integro-differential equation of the second kind. Haar wavelet and its Operational matrix are utilized to convert the
differential equations into a system of algebraic equations, solving these equations using MATLAB to compute the
required Haar coefficients. The numerical results obtained by the present method have been compared with those obtained
by [3, 4] of the illustrative examples, which shows the efficiency of the method.
1. Introduction. In recent years, there has been a growing interest in the integro-differential equations
(IDEs) which are a combination of differential and Fredholm-Volterra integral equations. IDEs play
an important role in many branches of linear and nonlinear functional analysis and their applications
in the theory of engineering, mechanics, physics, chemistry, astronomy, biology, economics, potential
theory and electrostatics. The mentioned integro-differential equations are usually difficult to solve
analytically, so a numerical method is required. There are several numerical methods for
approximating the solution of nonlinear Fredholm integro-differential equations are known and many
different basic functions have been used [1-4].
Wavelets theory is a relatively new and an emerging tool in applied mathematical research area. It
has been applied in a wide range of engineering disciplines; particularly, signal analysis for waveform
representation and segmentations, time-frequency analysis and fast algorithms for easy
implementation. Wavelets permit the accurate representation of a variety of functions and operators.
Moreover, wavelets establish a connection with fast numerical algorithms [5, 6]. Since from 1991 the
various types of wavelet method have been applied for the numerical solution of different kinds of
integral equations, a detailed survey on these papers can be found in [7]. The solutions are often quite
complicated and the advantages of the wavelet method get lost. Therefore, any kind of simplification
is welcome. One possibility for it is to make use of the Haar wavelets, which are mathematically the
simplest wavelets. Haar wavelet methods are applied for different type of problems in [8-14]. Siraj-
ul-Islam et al. [15], V. Mishra et al. [13] and Lepik [16] and Tamme [17] have applied the Haar
wavelet method for solving nonlinear Fredholm integro-differential equations. In the present work, a
Leibnitz-Haar wavelet collocation method for solving nonlinear Fredholm integro-differential
equations of the second kind is proposed.
The article is organized as follows: In Section 2, the basic formulation of Haar wavelets and its
operational matrix is given. Section 3 is devoted to the method of solution. In section 4, we report our
numerical results and demonstrated the accuracy of the proposed scheme. Conclusion is discussed in
section 5.
2. Properties of Haar Wavelets.
2.1. Haar wavelets
108
The scaling function h1 ( x) for the family of the Haar wavelet is defined as
1 for x 0, 1
h1 ( x) (1)
0 otherwise
The Haar Wavelet family for x [0,1) is defined as,
1 for x [ , ),

hi ( x) 1 for x [ , ), (2)
0 elsewhere,

k k 0.5 k 1
where , , ,
m m m
where m 2l , l 0,1,..., J , J is the level of resolution;
k 0,1,..., m 1 is the translation parameter.
Maximum level of resolution is J . The index i in (2) is calculated using i m k 1. In case of
J 1
minimal values m 1, k 0 then i 2 . The maximal value of i is N 2 .
j 0.5
Let us define the collocation points x j , j 1, 2,..., N , Haar coefficient matrix
N
H i, j hi ( x j ) which has the dimension N N . For instance, J 3 N 16 , then we have
1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

1 1 1 1 1 1 1 1 -1 -1 -1 -1 -1 -1 -1 -1
1 1 1 1 -1 -1 -1 -1 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 1 1 1 1 -1 -1 -1 -1
1 1 -1 -1 0 0 0 0 0 0 0 0 0 0 0 0

0 0 0 0 1 1 -1 -1 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 1 1 -1 -1 0 0 0 0

0 0 0 0 0 0 0 0 0 0 0 0 1 1 -1 -1
H 16,16
1 -1 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 1 -1 0 0 0 0 0 0 0 0 0 0 0 0

0 0 0 0 1 -1 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 1 -1 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 1 -1 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 1 -1 0 0 0 0

0 0 0 0 0 0 0 0 0 0 0 0 1 -1 0 0
0 -1
0 0 0 0 0 0 0 0 0 0 0 0 0 1
Any function f(x) which is square integrable in the interval (0, 1) can be expressed as an infinite sum
of Haar wavelets as

109

f ( x) ai hi ( x) (3)
i 1
The above series terminates at finite terms if f(x) is piecewise constant or can be approximated as
piecewise constant during each subinterval. Given a function f(x) L2(R) a multi-resolution analysis
(MRA) of L2(R) produces a sequence of subspaces V j ,V j 1 ,... such that the projections of f(x) onto these
spaces give finer and finer approximations of the function f(x) as j .
2.2. Operational Matrix of Haar Wavelet
The operational matrix P which is an N square matrix is defined by
x
P1,i ( x) hi (t ) dt (4)
0
often, we need the integrals
x x x x
1
Pr ,i ( x) ... hi (t ) dt r
( x t ) r 1 hi (t ) dt (5)
AA A
(r 1)! A
r times
r 1, 2,..., n and i 1, 2,..., N.

For r 1, corresponds to the function P1,i ( x) , with the help of (2) these integrals can be calculated
analytically; we get
[, )
1, ()={ [, ) (6)
0
1
( )2 [, )
2
1 1
2 ( )2 [, )
2, ()= 42 (7)
1
[, 1)
42
{ 0
In general, the operational matrix of integration of r th order is given as

1
( ) [, )
!
1
{( ) 2( ) } [, )
, ()= ! (8)
1
{( ) 2( ) + ( ) } [, 1)
!
{ 0
110
For instance, =3 N = 16, then we have
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31

1 3 5 7 9 11 13 15 15 13 11 9 7 5 3 1
1 3 5 7 7 5 3 1 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 1 3 5 7 7 5 3 1
1 3 3 1 0 0 0 0 0 0 0 0 0 0 0 0

0 0 0 0 1 3 3 1 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0 0 1 3 3 1 0 0 0 0

1 0 0 0 0 0 0 0 0 0 0 0 0 1 3 3 1
P1,i (16,16)
32 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0

0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0
0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0
0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0

0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0
and
0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1
1 9 25 49 81 121 169 225 289 361 441 529 625 729 841 961

1 9 25 49 81 121 169 225 287 343 391 431 463 487 503 511
1 9 25 49 79 103 119 127 128 128 128 128 128 128 128 128

0 0 0 0 0 0 0 0 1 9 25 49 79 103 119 127
1 9 23 31 32 32 32 32 32 32 32 32 32 32 32 32

0 0 0 0 1 9 23 31 32 32 32 32 32 32 32 32
0 0 0 0 0 0 0 0 1 9 23 31 32 32 32 32

1 0 0 0 0 0 0 0 0 0 0 0 0 1 9 23 31
P2,i (16,16)
2048 1 7 8 8 8 8 8 8 8 8 8 8 8 8 8 8
0 0 1 7 8 8 8 8 8 8 8 8 8 8 8 8

0 0 0 0 1 7 8 8 8 8 8 8 8 8 8 8
0 0 0 0 0 0 1 7 8 8 8 8 8 8 8 8

0 0 0 0 0 0 0 0 1 7 8 8 8 8 8 8
0 0 0 0 0 0 0 0 0 0 1 7 8 8 8 8

0 0 0 0 0 0 0 0 0 0 0 0 1 7 8 8
7
0 0 0 0 0 0 0 0 0 0 0 0 0 0 1
3. Method of Solution
In this section, we present a Leibnitz-Haar wavelet collocation method (LHWCM) for solving
nonlinear Fredholm integro-differential equations of the second kind,
1
u '( x) f ( x) K ( x, t , u (t ))dt , (9)
0
where K(x, t, u(t)) is a nonlinear function defined on [0, 1][0, 1] are the known function K(x, t, u(t))
is called the kernel of the integral equation and f(x) is also a known function while the unknown
function u(x) represents the solution of the integral equation.

111
Leibnitz rule: The conversion of the integral equation into an equivalent differential equation. The
conversion is achieved by using the well-known Leibnitz rule [17] for differentiation of integrals.
h( x)
Let, F ( x)
g ( x)
K ( x, t ) u (t ) dt (10)
Then differentiation of the integral in (10) exists and is given by
K ( x, t )
h( x)
dF dh( x) dg ( x)
F '( x) K ( x, h( x)) (u (h( x))) K ( x, g ( x)) (u ( g ( x))) u (t ) dt (11)
dx dx dx g ( x)
x
For Fredholm, If g(x) =0 and h(x) =1 where 0 & 1 are fixed constants, then the Leibnitz rule (11)
reduces to
K ( x, t )
1
dF
F '( x) u (t ) dt . (12)
dx 0 x
A numerical computation procedure is as follows:

Step 1: Differentiating (9) thrice w.r.t x, using Leibnitz rule (11) we get,
u ''( x) f '( x) F '( x) (13)

u '''( x) f ''( x) F ''( x) (14)
uiv ( x) f '''( x) F '''( x) (15)
subject to initial conditions, u(0) , u '(0) , u "(0) , u '''(0) (16)

Step 2: Applying Haar wavelet collocation method,
Let us assume that,
N
u iv ( x) ai hi ( x) (17)
i 1
Step 3: By integrating (17) four times and using (16), we get,
N
u '''( x) ai p1,i ( x) (18)
i 1

112
N
u ''( x) x ai p2,i ( x) (19)
i 1
x2 N
u '( x) x ai p3,i ( x) (20)
2 i 1
x2 x3 N
u ( x) x ai p4,i ( x) (21)
2 6 i 1
Step 4: Substituting (17) (21) in the differential equation (15), which reduces to the nonlinear
system of N equations with N unknowns and then Newtons method can used to find the Haar
coefficients ai , i 1, 2,..., N . Substituting Haar coefficients in (21) to obtain the required solution of
equation (9).
4. Illustrative Examples
In this section we consider the some of the examples to demonstrate the capability of the method in
section 3 and error function is presented to verify the accuracy and efficiency of the following
numerical results:
n
Error function Emax ue ( xi ) ua ( xi ) u ( x ) u ( xi )
2
max e i a
i 1
where ue and ua are the exact and approximate solution respectively.

Example 4.1. Let us first consider the Nonlinear Fredholm Integro-differential equation [3],
1
5 1 2
u '( x) x ( x 2 t )(u (t ))2 dt , 0 x 1, (22)
4 3 0
with initial conditions u(0) 0, u '(0) 1, u ''(0) 0, u '''(0) 0. Which has the exact solution u( x) x .
We applied the Haar wavelet technique presented in section 3 and solved (22) as follows.
Successively differentiating (22) w.r.to x and using Leibnitz rule (11) which reduces to the differential
equation.
Let us first consider the given
5 1 2
f ( x) x
4 3
differentiating w.r.to x

113
2
f '( x) x ,
3
again differentiating twice w.r.to x
2
f ''( x)
3,
f '''( x) 0 . (23)
Next, consider
1
F ( x) ( x 2 t )(u (t )) 2 dt
0
differentiating w.r.to x using Leibnitz rule (11),
1
F '( x) 2 x (u (t )) 2 dt
0
again differentiating twice w.r.to x using Leibnitz rule (11),
1
F ''( x) 2(u (t )) 2 dt
0
F '''( x) 0 . (24)
Substituting (23) and (24) in (15), we get the differential equation
u iv ( x) 0 (25)
assume that,
N
u iv ( x) ai hi ( x) (26)
i 1
integrating (26) twice, we get

114
N
u '''( x) u '''(0) ai p1,i ( x) (27)
i 1
N
u '''( x) ai p1,i ( x) (28)
i 1
N
u ''( x) u ''(0) ai p2,i ( x) (29)
i 1
N
u ''( x) ai p2,i ( x) (30)
i 1
again integrating (30) twice, we get
N
u '( x) u '(0) ai p3,i ( x) (31)
i 1
N
u '( x) ai p3,i ( x) 1 (32)
i 1
N
u ( x) u (0) ai p4,i ( x) x (33)
i 1
N
u ( x) ai p4,i ( x) x (34)
i 1
Substituting (26), (28), (30), (32) and (34) in the differential equation (25), we get the system of N
equations with N unknowns
a h ( x) 0
i 1
i i (35)
solving (35) using Newtons Method to obtain Haar wavelet coefficients s for any N values the
coefficients are zero. Substituting these coefficients in (34) and obtained the required LHWCM
solutions, which gives the exact solutions is presented in fig 1. This justifies the efficiency of the
LHWCM.
Example 4.2. Next, consider the Nonlinear Fredholm Integro-differential equation [3],
1
1 x
u '( x) 1 x xt exp((u (t ))2 )dt , 0 x 1, (36)
2 2e 0
with initial conditions u(0) 0, u '(0) 1, u ''(0) 0. Which has the exact solution u( x) x .
Differentiating (36) twice w.r.t x and Using Leibnitz rule (11), its equivalent differential equation,

115
1
1 1
u ''( x) t exp((u (t )) 2 )dt
2 2e 0
u '''( x) 0 (37)
Assume that,
N
u '''( x) ai hi ( x) (38)
i 1
Integrating (38) thrice, we get
N
u ''( x) ai p1,i ( x) (39)
i 1
N
u '( x) ai p2,i ( x) 1 (40)
i 1
N
u ( x) ai p3,i ( x) x (41)
i 1
Substituting (38) - (41) in the differential equation (37), we get the system of N equations with N
unknowns
a h ( x) 0
i 1
i i (42)
solving (42) using Newtons Method to obtain Haar wavelet coefficients s for any N values the
LHWCM.
Example 4.3. Now, consider the Nonlinear Fredholm Integro-differential equation [4],
1
1
u '( x) 2 x ( log(4)) t arctan(u (t )) dt , 0 x 1 (43)
8 0
with initial conditions u(0) 0, u '(0) 0. Which has the exact solution u( x) x 2 .
Differentiating (43) w.r.t x and Using Leibnitz rule (11), its equivalent differential equation,
u ''( x) 2 (44)
assume that,
116
N
u ''( x) ai hi ( x) (45)
i 1
Integrating (45) twice, we get
N
u '( x) ai p1,i ( x) (46)
i 1
N
u ( x) ai p2,i ( x) (47)
i 1
Substituting (45) - (47) in the differential equation (44), we get the system of N equations with N
unknowns
a h ( x) 2 0
i 1
i i (48)
Solving (48) using Newtons Method to obtain Haar wavelet coefficients s for any N values the
LHWCM.
1
LHWCM
0.9
EXACT
0.8
0.7
Numerical Solution
0.6
0.5
0.4
0.3
0.2
0.1
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
x
Fig. 1. Comparison of LHWCM with exact solution for N = 64 of example 1.

117
1
LHWCM
0.9
EXACT
0.8
0.7
Numerical Solution
0.6
0.5
0.4
0.3
0.2
0.1
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
x

1
LHWCM
0.9 EXACT
0.8
0.7
Numerical Solution
0.6
0.5
0.4
0.3
0.2
0.1
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
x
Summary. The aim of this work is to apply the Leibnitz-Haar wavelet collocation method for solving
nonlinear Fredholm integro-differential equations of the second kind. Nonlinear integro-differential
equations are usually difficult to solve analytically. In many cases, it is required to obtain the
approximate solutions, for this purpose the presented method is proposed, which gives the exact ones.
Our present method avoids the tedious work, it minimizes the computational calculus and supplies
quantitatively reliable results. Using Leibnitz rule, converts integral equations into differential
equations with initial conditions. The Haar wavelet function and its operational matrix were employed
to solve the resultant differential equations. The results obtained by the proposed method have been
compared with the method [3, 4]. The illustrative examples have been included to justify the
efficiency and which confirms plausibility of new technique.
Acknowledgement
The authors thank for the financial support of UGCs UPE Fellowship vide sanction letter D. O. No.
F. 14-2/2008(NS/PE), dated-19/06/2012 and F. No. 14-2/2012(NS/PE), dated 22/01/2013.
118
References
[1] Y. Ordokhani, S. Davaei, Application of the Bernstein Polynomials for Solving the Nonlinear
Fredholm Integro-Differential Equations, J. Appl. Math. Bio. 1(2) (2011) 13-31.
[2] O. A. Arqub, M. Al-Smadi, N. Shawagfeh , Solving Fredholm integro-differential equations using
reproducing kernel Hilbert space method, Appl. Math. Comp. 219 (2013) 89388948.
[3] A. Shahsavaran, A. Shahsavaran, Application of lagrange interpolation for Nonlinear integro
differential equations, Appl. Math. Sci. 6 (2012) 887 892.
[4] F. Mirzaee, E. Hadadiyan, A collocation method to the solution of Nonlinear fredholm-
hammerstein integral and integro-differential equations, J. Hyper. 2 (1) (2013) 72-86.
[5] C. K. Chui, Wavelets: A Mathematical Tool for Signal Analysis, SIAM. Philadelphia. PA. 1997.
[6] G. Beylkin, R. Coifman, V. Rokhlin, Fast wavelet transforms and numerical algorithms I,
Commun. Pure Appl. Math. 44 (1991) 141183.
[7] . Lepik, E. Tamme, Application of the Haar wavelets for solution of linear integral Equations,
Ant. TurkDynam. Sys. Appl. Proce. (2005) 395407.
[8] N. M. Bujurke, S. C. Shiralashetti, C. S. Salimath, Numerical solution of stiff systems from non-
linear dynamics using single term haar wavelet series, Inter. Jour. Nonlin. Dynam. 51 (2008) 595-
605.
[9] N. M. Bujurke, S. C. Shiralashetti, C. S. Salimath, Computation of eigenvalues and solutions of
regular Sturm-Liouville problems using Haar wavelets, J. Comp. Appl. Math. 219 (2008) 90-101.
[10] N. M. Bujurke, S. C. Shiralashetti, C. S. Salimath, An Application of Single Term Haar Wavelet
Series in the Solution of non-linear oscillator Equations, J. Comp. Appl. Math. 227 (2010) 234-244.
[11] N. M. Bujurke, C. S. Salimath, R. B. Kudenatti, S. C. Shiralashetti, A Fast Wavelet- Multigrid
method to solve elliptic partial differential equations, Appl. Math. Comp. 185 (2007) 667-680.
[12] Y. Mahmoudi, Wavelet Galerkin method for numerical solution of nonlinear integral equation,
Appl. Math. Comp. 167(2) (2005) 11191129.
[13] V. Mishra, H. Kaur, R. C. Mittal, Haar wavelet algorithm for solving certain differential, integral
and integro-differential equations, Int. J. of Appl. Math. Mech. 8 (6) (2012) 69-82.
[14] S. Islam, I. Aziz, B. Sarler, The numerical solution of second order boundary value problems by
collocation method with the Haar wavelets, Math. comp. Model. 52 (2010) 1577-1590.
[15] S. Islam, I. Aziz, M. Fayyaz, A new approach for numerical solution of integro-differential
equations via Haar wavelets, Int. J. Comp. Math, 90 (9) (2013) 1971-1989.
[16] . Lepik, Haar wavelet method for nonlinear integro-differential equations, Appl. Math. Comp
176 (2006) 324-333.
[17] A. M. Wazwaz, Linear and Nonlinear Integral Equations Methods and Applications, Springer,
2011.
Cite the paper

C. Shiralashetti & R. A. Mundewadi (2016). Numerical Solution of Nonlinear Fredholm Integro-
Differential Equations using Leibnitz-Haar Wavelet Collocation Method. Mechanics, Materials
Science & Engineering Vol.6, doi: 10.13140/RG.2.2.31444.19848

119
An Equivalent Beam Model for the Dynamic Analysis to a Feeding Crane of a

Tall Chimney. Application in a Coal Power Plant
Viorel-Mihai Nani1, 2, a, Ioan Cires3, b
1 University Politehnica Timisoara, Research Institute for Renewable Energy, G. Muzicescu Street, no 138, Timisoara
300774, Romania
2 University Ioan Slavici Timisoara, Faculty of Engineering, Paunescu Podeanu Street, no 144, Timisoara, 300568
Romania
3 SC PRO ATLAS ING SRL Timisoara, Linitei Street, no 52, First Room, Timisoara, Romania 300288
a viorel.nani@upt.ro, viorelnani@yahoo.com
b proatlasing@yahoo.com
DOI 10.13140/RG.2.2.33544.62720
Keywords: feed crane, latticed boom, equivalent beam, balancing motion, strain gauge, conservation of energy.
ABSTRACT. The paper presents a dynamic analysis for a special crane, which serves a coal power
plant. The steel cables for the lifting mechanisms of crane are long and flexible. For this reason, when
is feeding the tall chimney, its can appear dangerous dynamic effects due to the suspended load. This
load can perform oscillations or vibration movements. As a result, the suspended load position is
sometimes difficult to control. Through experimental researches, using a special fitting with strain
gauges and accelerometers assembled along the cranes arm as a beam, we have obtained relevant
information. Using the initial design data, we were able to develop an optimal nonlinear dynamic
model. This one was the experimental support for other simulations in extremely dangerous
situations, like: the accidental fall of the suspended load from the crane hook or a mechanical strong
shock due to the collision between the suspended load and the tall chimney wall or the power plant
wall, under the strong wind conditions, for example.
Introduction. A crane is a type of machine, equipped in the main with a hoist rope, wire ropes or
chains and pulleys, which can be used both to lift the lower materials but also to move them
horizontally. It is mainly used for lifting heavy loads and transporting them to other places. Generally,
by their construction, the cranes are strong mechanical structures, which must allow loads handling,
regardless of the external environmental conditions. A crane model is shown in Fig. 1. Graziano F.
and Michel G. [1] studied more applications for the cranes under loads moving, Maczynski A. and
Wojciech S. [2] have stabilized the load's position to offshore cranes and Zhou Y. and Chen S. [3]
have investigated the cables breakage, but very important is that the cranes should provide the
elimination of injury risk, even if this one results from abnormal predictable situations. The cranes
and their lifting accessories are subject to random dynamic loads, whose emergence, size and
direction of movement are very difficult to control. According to Cioara T.Gh. et al [4] and Gabbal
R.D. and Simin E. [5], speed, intensity and the wind direction or the malfunction of lifting loads
systems (as vibratory shock load), represent causes, which may endanger the strength crane structure.
The study of percussive systems movements with a linear or nonlinear elastic characteristic was the
subject of the dynamic models with more freedom degrees, which were developed by Awrejcewicz
[6] and Kwon D.K. et al [7].
Getter D.J. et al [8] showed that the wind maybe causes certain dynamic and complex loads relative
120
to some structures located in free air conditions, as: buildings, industrial installations,
communications antennas and many others. These structures must to be designed so that to withstand
at wind loads corresponding to the maximum intensity of these areas, as a strong gale (mean speed
22-25 m/s) or a storm (30-35 m/s), e.g. For the design, control and verification of the cranes working
in such conditions, the usual methods for the vibrations study are no longer applicable.
Being equivalence with a mechanical structure having several degrees of freedom, every crane can
be modeled by associating with a function of unilateral connections which was formulated by
Paraskevopoulos E. and Natsiavas S. [9]. The function of unilateral connections is the analytical form
for representation the degrees of freedom and allows the study all possible cases of movements for
the mechanical structures requested to variable loads. Mainly, the function of unilateral connections
allows the analytical transposition of strikes (percussions), so that to be applied the general methods
of analytical mechanics, like Lagrange equations or the conservation of energy, e.g. In this way,
studying the dynamic behavior of crane in the strong wind conditions or under vibrational shock loads
of the load lifting system, Harris C.M. and Piersol A.G. [10] and Silva C.W. [11] have imposed the
need for determination of own frequencies to eliminate the resonance frequencies and to ensure the
stability in operation.
Fig. 1. A feeding crane model used to serving a coal power plant.
Modelling of the testing plant.

The modelling and investigation of the feed crane was conducted in normal operating conditions. An
overview of the crane that feeds the tall chimney of a coal power plant is shown in Fig. 2.
121
Fig. 2. Overview of a crane, serving the tall chimney of a coal power plant.
Into detailed shape, a bottom view of the loading crane is illustrated in Fig. 3.
Fig. 3. Bottom view of crane, loaded with a load P.
For a correct application of the unilateral connections function, we have attached to the mathematical
model a coordinate system conventional established, 0XYZ. From constructively point of view, the
crane is composed of a pivoting latticed boom 1 which is located at approx. 111.5 m above the ground,
on the coal power plant platform serving a tall chimney (see Fig. 2 and 3). The pivoting latticed boom
1 can be considered as a special structure because the suspended load 5 is lifted from ground to the
supply platform situated about 120 m, without to be guided. For local manipulations of low loads, is
used another supplementary pivoting lattice boom 2. The lifting of load 5, it is achieved with the help
of two pulley tackle 3 (upper sheave) and 4 (lower sheave).

122
The load space is limited by the power plant wall and body of the tall chimney. In a possible
oscillation movement of suspended load during lifting, it may come in contact with the walls of
neighboring constructions. For this reason, Lukasz D. [12] showed that the position of the suspended
load should be kept permanent under control.
In view to get information on modal components tensioned in the working time of crane, we have
used two sensors - see Fig. 4 -. A strain gauge T1 it was applied on one of the four longerons of the
pivoting latticed boom 1, in the middle distance L/2. This one is placed in a Wheatstone bridge circuit
(the strain gauge itself is one of four resistances), and it measures elastic deformations of the pivoting
jib in a critical section Su. We used the DY1x type as strain gauge, with the 2 parallel measuring grids
for measurements on bending beams.
Fig. 4. Schematic diagram of the crane, serving the tall chimney of a coal power plant.
To the same distance on longeron we placed an accelerometer Ac having its sensitivity axis to normal
on longitudinal axis of the lattice boom. Like accelerometer we used the ADXL103 model. ADXL103
is high precision, low power, dual axis, with signal conditioned of voltage outputs, in a monolithic
structure. The measuring range started from the nil frequency, so that the accelerometer was able to
measure the dynamic component of static or quasi-static inclination. Both signals, from strain gauge
and the accelerometer, they were amplified, modulated, converted and then wireless transmitted to a
receiver, which was connected to a computer.
The constructive modelling.
According to the equations of the rotating motion of a composite beam, Georgiadis F. et al [13]
demonstrated that for a discrete approximation of dynamic model, the pivoting latticed boom 1 can
be considered as an equivalent elastic bending beam. This one - see Fig. 5 - it hinged under the angle
0 of the pivoting position due to the pulley tackle 3. From the dynamic study of a special crane,
Cioara T.Gh. et al [4] showed that pulley tackle have an equivalent stiffness kt.

123
Fig. 5. The scheme of the equivalent beam model of the feeding crane.
Lifting the load 5 is performed by another pulley tackle 4, having an equivalent stiffness kp. According
to observed experimental data by Buckham B. et al [14] and Crellin E. et al [15], the instantaneous
position of any section Su, along the equivalent beam at the pivoting angle + 0, can be expressed
in a reference system XOZ, by coordinates:
xu u cos ( 0 ) f (u ) q(t ) sin ( 0 )

(1)
zu u sin ( 0 ) f (u ) q(t ) cos ( 0 )
where u coordinate of the section Su in undeformed status;

f(u) the arrow elastic deformation of the equivalent beam requested to bending according to
first natural mode of the vibration motion, q(t);
0 the initial geometric position of the equivalent beam;
the angular variation of the equivalent beam position under dynamic loads
The shape of the first vibration structure mode, where the stiffness of the tall chimney and the coal
power plant wall are bigger that the crane elements, it can be approximated by a static distribution.
In case where the load P has a uniform distribution along the beam of length L = 42.7 m, the elastic
arrow can be calculated after Bruno D. et al [16] with:
R (1 2 2 3 )
f st
24 , (2)
with the notations

124
u p L4
; R cos 0
L EI (3)
where E a constant (Young's modulus);

I the inertial moment into a cross section of equivalent beam
For the equivalent beam section, inertial moment is:
2
= 4 (2) ; = 4 (2 2 ) (4)
The mathematical modelling.

Based on the fundamentals of structural dynamic established from Craig R. and Kurdila A. [17], the
mathematical modelling of crane was made by analyzing the energy balance in critical sections.
Therefore:
Kinetic energy
Using the interface stresses and fracture energies by Bruno D. et al [16], kinetic energy of the
equivalent beam has the integral form:
1L
Ek (x
u y u ) du
2 2
(5)
20
where = p/g (g = 9.81 m/s2) is mass per unit length of the equivalent beam.
Taking into account a modal distribution along the length L of equivalent beam and the decomposition
of governing the equations of nonlinear system formulated by Awrejcewicz J. et al [18], the kinetic
energy expression (5) becomes:
1 1
Ek J 2 S q q 2 Sq q (6)
2 2
Where
L L L
J u 2 du ; S q (f(u)2 ) du ; S q f(u) u du (7)
0 0 0
and these values can be calculated from the design data.

The second kinetic energy of dynamic system which was studied by Cires I. and Nani V.M. [19], is
a load considered as a point mass in the gravity center Gs, having the coordinates:

125
xs L cos ( w0 w) sin
z s L sin ( w0 w) cos (8)
so that the kinetic energy of load becomes:
1
= 2 (2 + 2 ) (9)
which, by substitution (8) into (9), leads to final form:
1 1 1
Ek ms ( L ) 2 ms ( w ) 2 ( w0 ) 2 ms L w cos ( 0 )
2 2 2 (10)
ms l w0 sin ( 0 ) ms w0 w sin 2 )
Strain energy
The strain energy of the dynamic system under the equivalent beam form it consists of three
components:
a) The binding energy of the equivalent beam 1 under its own weight
Using the computational dynamics of an elastic string pendulum attached to a rigid body, which was
formulated by Taeyoung L. et al [20], the binding energy of the equivalent beam under its own weight,
has the form:
1
= 2 (11)
2
Where
2
2 (())
= 0 [ ] (12)
2
is the equivalent stiffness of the equivalent beam 1.

b) The strain energy of beam due to stretching of the hoist ropes in pulley tackles 3
According to Koh C. et al [21] who studied the low-tension cables dynamics, the kt elastic stiffness
of the hoist ropes in the pulley tackle 3 is:

= (13)

where Ept and Ipt are Youngs modulus and the inertial moment of a single strand;
nc number of stranded wire

126
The strain energy due to stretching of the hoist ropes in pulley tackle 3 is after Buckham B. et al [14]
and Koh C. et al [21]:
1
3 = [() ()0 ]2 (14)
2
where: (AB)t - instantaneous distance at time t between two points, A and B; (AB)0 - is same distance
having the system unloaded corresponding to angular position 0 of the equivalent beam
From the geometric conditions:
( AB) 0 ( L cos 0 ) 2 ( L sin 0 H ) 2 (15)
the instantaneous position can be considered as a small variation of the parameter ( < 50, sin ,
cos 1), which is added to 0, resulting:
( AB)t ( AB) 0 R (16)
where:
L H cos 0
R (17)
( L cos 0 ) 2 ( L sin 0 H ) 2
Finally, from (14), we obtained
1
3 = 2 2 (18)
2
c) The strain energy of beam due to stretching of the hoist ropes in pulley tackle 4
This energy is resulting from the load lifting motion variation. The elastic kp stiffness of the hoist
ropes in the pulley tackle 4 is according to Buckham B. et al [14] and Koh C. et al [21]:
E pt I pt
k p nc (19)
w0
where: Ept and Ipt are Youngs modulus and the inertial moment of a single strand; nc number of
stranded wire; w0 - initial position of load 5
Thus, like section b), the strain energy due to stretching o the hoist ropes in the pulley tackle 4 is

127
1
5 = 2 (20)
2
Potential energy
Because we studied the movements in a vertical plane, for the energetic balancing of mechanical
ensemble, we must take into account from the potential energy. After the applications of the beams
under moving loads described in Graziano F. and Michel G. [1], the potential energy for the beam
deformation, it has the form:
L L
E p b g mb sin ( 0 ) g q cos ( 0 ) F ; F f (u ) du (21)
2 0
and for any given load, we can calculate:
= = [ ( + 0 ) ( + 0 )(1 )] (22)
The calculation formulas of all energies developed above were used to build a system of differential
equations governing the feeding crane movements, which are defined by the column vector developed
by Georgiadis F. et al [13]:
{()} = {() () () ()} (23)
and using Lagrange's relationship:

( ) + + = {0} (24)
{} {} {} {}
we obtained the general equation of free vibrations undamped for the entire mechanical structure:
[]{} + []{} = {0} (25)
In assumption that the tall chimney stiffness and the coal power plant wall stiffness are too bigger
compared to the crane elements, then [M] and [K] are:

128
J ms L2 S q 0 ms L w0 sin 0

S q 0 0 0
[M ] (26a)
0 0 ms 0
ms L w0 sin 0 0 0 ms
2 L
kt R gmb sin 0 gms L cos 0 0 0 0
2

[K ] 0 kb 0 0 (26b)
0 0 kb 0

0 0 0 ms gw0
where [M] is equivalent mass;

[K] is equivalent stiffness of the crane;
{} is a random conventional variable and represents the function of unilateral connections
Simulation and experimental results.
Experimental simulation was performed under actual conditions operating of the feeding crane. It has
been placed into a dangerous area. When the tall chimney of the coal power plant is feeding can
appear more rocking situations of load during the load lifting. The load can touch such the power
plant walls or the tall chimney construction. In this way, the danger of an accident is imminent.
At various heights, we intentionally simulated few oscillations of the lifting load, in a plane parallel
to the walls of adjacent buildings. The amplitude of oscillation it was high enough to enter into the
dangerous area operating.
Experimentally, it was raised a load of 6000 kg. The load was subjected to forced oscillations in 5
different areas on the lifting height: 5, 30, 60, 90 and 110 m above the ground. In each area, the two
sensors (strain gauge and the accelerometer) have provided on-line information regarding to the
vibrational amplitude variation and stresses induced into the pivoting latticed boom 1 of the feeding
crane, namely in Su critical section. The relative position of the crane boom compared to the plane
XOZ it was determined using a MTS360-232 clinometer.
Results were considered relevant to a loading height of 5 m above the ground. To this height, the
oscillation motion was sufficient to determine energies, frequency and vibration amplitude which led
to structural changes in the critical section.

129
Fig. 6. The time variation of stresses and the angle position =230-720.
In Fig. 6 are presented the diagrams of the two signals. In the first phase, it is observed a slow form
of tilt to the angular position = 230 to 700 during of 600 s, without that the load ms to be hanged. In
these conditions, close to a static functioning, the stresses T into hoist ropes of the pulley tackle 4
from the pivoting latticed boom 1, are:
L L cos 0
T g (27)
2 sin ( 0 )
The two components of the tension T are: the normal tension Tn, which is perpendicular to the beam
axis, and also the axial tension N:
Tn T sin ( 0 ) ; N T cos ( 0 ) (28)
The bending moment in the middle section of the beam, at L/2 is:
L L2
M i Tn g cos 0 (29)
2 4
and the axial force in the same section has the form:
L
N m N g sin 0 (30)
2

130
Strain , at the location where sensors were positioned on the longeron, can be calculated using
formula developed by Crocker [22]:
1 M i h Nm

E 2 I 4 A
which is in accordance with experimental researches, the maximum compression strain being attained
at -80 strain (Pa), relative to position 0 of the beam.
The dynamic effect was more intense at the test end, when the rocking movement of the beam it was
stopped to angular position 0 300 (detail A of Fig. 6). At that time, we recorded a transient dynamic
strain by magnitude 40 strain (graph a), Fig. 7). This one contain a modal component frequency at
f = 0.12378 Hz (graph b), Fig. 7), which was confirm in Nastac S. and Leopa A [23].
Fig. 7. Time history a), and its spectrum b), for strain during a transient break in a particular
position of the pivoting latticed boom.
In detail B of Fig. 6 and in the next chart of Fig. 8 are presented the diagrams of time history for
dynamic strain and its spectrum, which were recorded during lifting the load having the mass of ms =
6 000 kg.
The value of transient dynamic strain is approximately 60 strain (graph a), Fig. 8). From the time
history diagrams and the spectrums strain, results two peaks, one which corresponds to frequency f=
0.04503 Hz (graph b), Fig. 8), and the other having same frequency of 0.12378 Hz as in spectrum b)
(graph b), Fig. 7). Measured value 0.04503 Hz it corresponds to the loads of a pendulum hinged by a
long cable w0 = 110-120 m, resulting from
1 g
f 0.045 Hz
2 w0

131
Fig. 8. Time history a), and its spectrum b) of a strain during lifting the load.
The second measured value of frequency 0.12378 Hz it corresponds to a rocking denoted of the
vibration motion; this frequency component belong to both situations, when the rocking movement
of the beam is stopped at angular position 0 300 during lifting the load, having a mass ms = 6 000
kg.
Discussions.
The simulation experiment confirmed the mathematical model presented at point 3 (see relationships
24 and 25), based on the function of unilateral connections and conservation of energy applied on the
equivalent beam. Results obtained have provided sufficient reliable data for adopting some
constructive solutions to limit and avoid the mechanical stresses close to critical values.
In extremely dangerous situations, automatically crane it stops and it is locks lifting the load,
eliminating the human operator intervention. If the dynamic structure of the crane not it stabilizes,
then all automatically the load is lowered urgently on the ground.
For this reason, in such industrial applications, is sometimes necessary the adoption of a special
construction for the feeding crane safety.
Summary. From the experimental research made in normal operating conditions of the feeding crane,
the following conclusions can be drawn:
Dynamic effect is more intensive at the end of operation, when the rocking motion of the beam is
stopped at angular position 0 300 and during lifting the load having a mass ms = 6 000 kg.
During the transient dynamic period, can appear a variable strain having the magnitude 40- 80
strain, which is sometimes dangerous for the mechanical structure of crane.
From graph time, results two peaks of low frequency:
- the frequency f=0.04503 Hz correspond to the oscillating load, where the load is hinged by a long
cable; in this case, the crane operator should avoid the starting/stopping with shocks;
- the frequency f=0.12378 Hz correspond to the pendulum motion, so the crane operator should avoid
the crane's working in strong winds.
An actual and important objective for designers is to design a new pivoting jib crane as a lattice beam
in a lighter structure. From the experimental simulation data, we found that there is the possibility to
adopt a flexible constructive structure for the same nominal load lifted.
This paper presents only a portion of experimental undertaken researches, which can continues in the
future. The results obtained are useful for designer to optimizing the crane conception in a light
structure, flexible and resistant to variable and random loads.
132
This objective refers to improving the performances of crane, in particular to the operational
reliability at high speeds by operating.
Acknowledgments: The authors acknowledge the contribution of Gh. Silas and T.Gh. Cioara for
their help in system theoretical development.
Funding: The study was funded from private funds according to Research Contract no 120/2012-
2013 entitled Optimal design of a pivoting beam, between University Politehnica Timisoara and
ROMINEX SA Timisoara.
References
[1] Graziano F., Michel G., Applications of influence lines for the ultimate capacity of beams under
moving loads, Engineering Structures, 103, 125-133, (2015), DOI: 10.1016/j.engstruct.2015.09.003
[2] Maczynski A., Wojciech S., Stabilization of loads position in offshore cranes, Journal of Offshore
Mechanics and Arctic Engineering 134(2), 1 10, (2012), DOI: 10.1115/1.4004956
[3] Zhou Y., Chen S., Numerical investigation of cable breakage events on long-span cable-stayed
bridges under stochastic traffic and wind, Engineering Structures, 105, 299-315, (2015), DOI:
10.1016/j.engstruct.2015.07.009
[4] Cioara T. Gh., Cires I., Nicolae I., Cristea D., Tirlea A., Timar L., Dynamic study of a special
crane serving a power plant tall chimney, IMAC XXVI:A Conference and Exposition on Structural
Dynamics, Rosen Shingle Creek Resort and Golf Club Orlando, Florida, USA, February 4-7, (2008)
[5] Gabbal R.D., Simiu E., Aerodynamic damping in the along-wind response of tall buildings,
Journal of Structural Engineering, 136 (1): 117-9, (2010), DOI: 10.1061/(ASCE)0733-
9445(2010)136:1(117)
[6] Awrejcewicz J., Modeling, Simulation and Control of Nonlinear Engineering Dynamical Systems,
Springer Science Business Media B.V., (2008)
[7] Kwon D.K., Kareem A., Stansel R., Bruce R.E., Wind load factors for dynamically sensitive
structures with uncertainties, Engineering Structures, 103, 53-62, (2015), DOI:
10.1016/j.engstruct.2015.08.031
[8] Getter D.J., Davidson M.T., Consolazio G.R., Patev R.C., Determination of hurricane-induced
barge impact loads on floodwalls using dynamic finite element analysis, Engineering Structures, 104,
95-106, (2015), DOI: 10.1016/j.engstruct.2015.09.021
[9] Paraskevopoulos E., Natsiavas S., Weak formulation and first order form of the equations of
motion for a class of constrained mechanical systems, International Journal o Non-Linear Mechanics,
77, 208-222, (2015), DOI: 10.1016/j.ijnonlinmec.2015.07.007
[10] Harris C.M., Piersol A.G., Shock and Vibration Handbook, McGrower Hill Book Co, (2002)
[11] Silva C.W., Vibration and Shock Handbook, Taylor&Francis Group, LLC, (2005)
[12] Lukasz D., Application of dynamic optimization to the trajectory of a cable-suspended load,
Nonlinear Dynamic, Publish online (Jan 14, 2016), DOI: 10.1007/s11071-015-2593-0
[13] Georgiadis F., Latovski J., Warminski J., Equations of motion of rotating composite beam with
a nonconstant rotation speed and an arbitrary preset angle, Meccanica, 49, 1833-1858, (2014), DOI:
10.1007/s11012-014-9926-9
[14] Buckham B., Driscoll F., Nahon M., Development of a finite element cable model for use in low-
tension dynamics simulation, Journal of Applied Mechanics, 71, 476485, (2004), DOI:
10.1115/1.1755691

133
[15] Crellin E., Janssens F., Poelaert D., Steiner W., Troger H., On balance and variational
formulations of the equations of motion of a body deploying along a cable, Journal of Applied
Mechanics, 64, 369374, (1997), DOI: 10.1115/1.2787316
[16] Bruno D., Greco F., Lo Feudo S., Blasi P.N., Multi-layer modeling of edge debonding in
strengthened beams using interface stresses and fracture energies, Engineering Structures, 109, 26-
42, (2016), DOI: 10.1016/j.engstruct.2015.11.013
[17] Craig R., Kurdila A., Fundamentals of structural dynamics, John Wiley&Sons Inc., (2006)
[18] Awrejcewicz J., Starosta R., Sypniewska-Kaminska, G., Decomposition of governing equations
in the analysis of resonant response of a nonlinear and non-ideal vibrating system, Nonlinear
Dynamics, 82, 299309, (2015), DOI: 10.1007/s11071-015-2158-2
[19] Cires I., Nani V.M., Stability control of a huge excavator for surface excavation, Applied
Mathematical Modelling, 40, 388397, (2016), DOI: 10.1016/j.apm.2015.04.056
[20] Taeyoung L., Melvin L., McClamroch N.H., Computational dynamics of a 3D elastic string
pendulum attached to a rigid body and an inertially fixed reel mechanism, Nonlinear Dynamics,
64, 97115, (2011), DOI: 10.1007/s11071-010-9849-5
[21] Koh C., Zhang Y., Quek S., Low-tension cable dynamics. Numerical and experimental studies,
Journal of Engineering Mechanics, 125(3), 347354, (1999), DOI: 10.1061/(ASCE)0733-
9399(1999)125:3(347)
[22] Crocker M., Handbook of Noise and Vibration Control, John Wiley&Sons Inc., (2007)
[23] Nastac S., Leopa A., Structural Optimization of Vibration Isolation Devices for High
Performances, International Journal of Systems Applications, Engineering&Development, Issue 2,
Volume 2, 66-74, (2008)
Cite the paper

Viorel-Mihai Nani & Ioan Cires (2016). An Equivalent Beam Model for the Dynamic Analysis to a
Feeding Crane of a Tall Chimney. Application in a Coal Power Plant. Mechanics, Materials Science
& Engineering Vol.6, doi: 10.13140/RG.2.2.33544.62720

134
Determination of Bond Capacity in Reinforced Concrete Beam and Its Influence

on the Flexural Strength
Mohammad Rashidi1, Hana Takhtfiroozeh2
1 Department of Civil Engineering, Sharif University of Technology, Tehran, Iran

2 Department of Civil Engineering, Building and Housing Research Centre, Tehran, Iran
DOI 10.13140/RG.2.2.18300.95361
Keywords: flexural strength, bond capacity, tensile bars, reinforced concrete beam, compressive strength
ABSTRACT. This paper presents results of an experimental investigation of actual performance of the reinforced
concrete beam in bond under flexure, when reinforced with tension steel is going to consider. In this experiment four
specimens of beam and a bar in the middle of the width of the beam has been used and 2.5 cm of concrete cover has been
considered from the center of the bar. In addition, transverse bars have been used to reassure lack of shear yield at the
two ends of the beam. Flexural bar has been put in the middle of the beam symmetrically and the length of the flexural
bar in each of the samples shall be: 15, 20, 30 and 40 cm. Three cylindrical samples were made in order to determine f'c
and were examined at 28 days and the compressive strength of concrete used in this study was about 35 MPa. The beam
samples were examined after 28 days via two-point loading system. Based on the results, increasing the length of bar
causes increase of flexural strength. The presence of longitudinal rebar resulted in the ultimate momentum to be more
than the crack momentum of the cross-section in parts which have broken at the point of longitudinal bar cut.
Introduction. Concrete is of a lot of use in constructions due to availability, appropriate compressive

strength and ease of implementation; although, its weakness in traction has resulted in not being able
to use this material solely in construction. In order to eliminate the weak traction of concrete, usually
bar is used in the tensile area of the concrete. The goal of this experiment is to determine the bond
strength between steel reinforcing bars and concrete. The main parameters that influence this bond
strength are well documented in the technical literature. Important among these parameters include
development/splice length, diameter of the reinforcing bar, and concrete compressive strength [1, 2,
3, 4].
The type of cracking leading to failure has been investigated using deformed bars in tension by
injecting ink around the bars [5, 6]. The bond strength of rebars in concrete decreases as the
embedment length increases, and decreases with increasing the bar diameter [7]. The previous
investigations proved that the bond strength of rebars in concrete is influenced by the development
length rather than the bar diameter [8]. The ultimate bond strength seems to be a function of c f 'c
when other parameters are constant, since the bond strength is related to the tensile strength of
concrete. Studies on understanding the nature of bond, modes of failure and factors influencing the
failure, bar spacing and beam width, end anchorage, flexural bond and anchorage bond with high
strength ribbed bars have been reported [9]. The slip of deformed bars is due to (i) splitting of concrete
by wedge action, and (ii) crushing of concrete in front of the ribs [9].
Nilson [10] used slope of steel strain curve to evaluate the bond stress at a given load in reinforcing
bar, and a new test method was adopted to study the local slip, secondary cracking and strain
distribution in concrete [11]. A bond stress-slip model has been proposed to predict the load end slip
and anchorage length of bars extended from adjoining beams in to exterior columns under large
nonlinear actions [12]. Effect of bar diameter, confinement and strength of concrete on the bond
behaviour of bar hooks in exterior beam-column joints has been reported [13]. The bond strength
decreases as the bar diameter increases. The post-peak bond-slip response was not influenced by the
bar diameter [14], while confinement has direct influence on the local bond stress [15]. A new bond
135
stress-slip response has been simulated recently by Abrishami and Mitchel [16]. However, consistent
bond stress-slip response was obtained on short embedment length [17]. A mathematical model for
bond stress-slip response of a reinforcing bar due to cyclic load has been reported [19]. Other models
to predict the tensile strength of concrete from the pullout load has been reported [20]. Confinement
by ordinary steel reinforcement has improved the bond strength with significant ductility [21]. Several
studies on bond in normal strength concrete (NSC) have been reported [22]. In high strength concrete
(HSC), increasing the development length does not seem to increase the bond strength of deformed
bars when the concrete cover is relatively small. A minimum confinement reinforcement needs to be
provided over the splice length in RC members when HSC is used [23]. An expression has been
proposed to estimate the extra confinement reinforcement [24]. Also more general information on the
local bond can be seen in CEB-FIP Report [25].
This paper studies bond capacity in reinforced concrete beam and its influence on the flexural
strength. Firstly it introduces materials and test methods. Then it presents the comparison of the
results of the experiment with the existing theories.
Materials and methods. In this experiment four specimens of beam and a bar in the middle of the
width of the beam has been used and 2.5 cm of concrete cover has been considered from the center
of the bar. Also, transverse bars have been used to reassure lack of shear yield at the two ends of the
beam. Flexural bar has been put in the middle of the beam symmetrically and the length of the flexural
bar in each of the samples shall be: 15, 20, 30 and 40 cm. Three cylindrical specimens were made in
order to determine f 'c and were examined at 28 days and the compressive strength of concrete used
in this study was about 35 MPa. The beam samples were examined after 28 days via two-point loading
system.
The considered mix for the samples has been shown in table 1 below. According to the instructions,
coarse aggregates have been sieved via a 2-cm sieve. Also, the samples considered in construction
are three cylindrical samples in 3015 cm dimensions and four beams samples in 601010 cm
dimensions.
Due to the fact that the goal of this experiment is to determine the capacity of sliding bar from within
the beam; therefore, bars with different lengths in each bar have been applied. Longitudinal bars are
of 8mm and transverse bars are of 6mm. The longitudinal bars cover for all samples is 2.5 cm and
for observing this space, spacer has been used. The existing spacers in the laboratory were of more
height; therefore, in order to convert this height to 2.5 cm, we cut them. All the beams have the same
shear bar and their design was conducted as over design. Shear bars were placed 5 cm from the bar
up to 20 cm with the distance of 5 cm between according to Fig.s 1 to 4.
Table 1. The considered mix for the samples.

Part Weight Ratio (kg/m3)
Cement 500
Sand 800
Gravel 800
Water 220
Total 2320
With regard to the fact, that the goal of this experiment was determination of the bond strength
between steel reinforcing bars and concrete, 4 produced beam samples during the length of the main
bar are different and the flexural bar shall be placed symmetrically from the middle of the beam in a
manner, that the length of the flexural bar in each of the samples is: 15, 20, 30, 40 cm.

136
After reinforcement of samples according to Fig.s 1 to 4, the stages of concreting and curing of
concrete shall be conducted and then the samples shall be examined after 28 days of curing.
Dimensions of cylindrical samples and beam samples are also shown in table 2 and 3 respectively.
Fig.1. Samples No. 1, longitudinal bar of 40 cm.
Table 2. Dimensions of Cylindrical Samples.

Sample No. The Average Diameter (Cm) The Average Height (Cm)
1 15.2 30.4
2 15.2 30.3
3 15.2 30.6
Table 3. Dimensions of the Beam Samples.

Sample No. Length (Cm) Width (Cm) Height (Cm)
1 60.20 9.95 10.10
2 60.30 10.25 10.15
3 60.20 10.1 10.02
4 60.25 9.95 10.25

137
It should be noted that the compressive strength test of the samples shall be conducted after capping-
the goal of which is to create a flat surface on the sample.
All the beams which were experimented on were 60 centimetres long they were placed on a 55-
centimetre- wide support and were loaded and tested. Two concentrated symmetrical loads which
were 25 centimetres away from each other were used for loading purposes. The weight of the rods
which are placed on the beam was 37.8 kg. The used bars in this experiment are of type A2 and the
current strength of 300 mpa. The loading model of the beams can be seen in Fig. 5.
Fig. 5. The loading model of the beam.
With regard to the suggested relationship in the regulations, the amount of modulus of elasticity of
concrete is:
E 500 f ' c (1)
Table 4. The Result Modulus of Elasticity of Concrete for the Samples

Sample No. Compressive force Stress Mpa Ec
KN
1 706.0 39.95 31603
2 730.0 41.30 32132
3 511.6 28.15 26530
Average 649.2 34.46 29351
Discussion of test results. In the flexural load of the reinforced beam, at the beginning of loading
due to the lowness in the amount of tensile and compressive stress in concrete, the part operates in an
elastic and linear manner. The linear behavior continues until when the stress in the last warp of the
tensile area of the cross-section reaches the concrete tensile strength of r. This stage of the behavior
of the bar is known as the elastic stage.
In order to calculate the crack momentum of the concrete cross-sections (meaning the least of flexural
momentum which causes the fraction of the cross-section), an approximate but simple method, which
is based on the distribution of linear stress and applying module of rupture of concrete, is used. Until
the time when the most tensile stress in one flexural cross- section does now exceed the tensile
strength of the concrete, the cross- section will remain in the elastic mode. In this mode, the cross-

138
section will remain uncracked and distribution of stress is linear. Therefore, in order to determine the
stress, it is possible to use the classic relations of material strength.
Another matter which is discussed in relation to the elastic stage is the calculation of crack
momentum. A simple and practical method which is applied for this calculation, is the use of the
tensile equation and limiting the tensile stress of concrete to the module of rupture, r. Therefore, the
order of the relation of determining crack momentum of a tensile cross- section is according to
equation 2:
fr I
M cr (2)
y'
In which r is the moment of inertia of the converter cross- section in relation to the neutral axis and
y is the distance of the furthest tensile warp from the neutral axis.
It is worth mentioning that in the regulations, for the ease of calculation, a simpler relation is
suggested instead of the above relation:
r Ig
M cr (3)
yt
In which Ig is the moment of inertia of the whole cross- section in relation to the central axis of the
cross- section without taking steel into account and yt is the distance of the furthest tensile warp from
the central axis of this cross- section. According to the regulations, the module of rupture for concretes
with normal weight is kg/ cm2:
r 2 f 'c
(4)
The results of the experiment for different samples of beam are as follows:
As can be seen in Fig. 6, the crack has begun precisely from under the load in Sample number 1 in a
flexural manner and by increasing the load, the crack progressed and ended at the point of applying
the load and the beam failed completely.
Fig. 6. Failure of beam No. 1

139
For sample number 2 according to Fig. 7, the flexural crack was established at the point of cutting the
longitudinal bar and developed through increasing the load and caused the beam to break.
Based on Fig.s 8 and 9 for sample number 3 and 4 respectively, the flexural crack was established at
the point of cutting the longitudinal bar and developed through increasing the load and caused the
beam to break.
Fig. 9. Failure of beam No. 4.

140
With regard to the existing methods in the discussion of traction of the parts of the reinforced concrete,
in order to calculate crack momentum of the cross- section and the ultimate momentum of the cross-
section, the following equations can be applied. While the required equation for calculation the
ultimate momentum of the cross- section, with regard to the ultimate compressive force which was
tolerated by the cross- section is mentioned below
Crack momentum:
0.63 2
= (5)
6
The ultimate momentum of the cross- section via the Whitney rectangle method:

= ( 0.6 ) (6)

The ultimate momentum on the cross- section:

= 2 15 (7)
The created momentum in the x distance from the base to the concentrated load:

= 2 (8)
Considering the above- mentioned equations and the results of the experiment, the below table can
be established and it is possible to compare the results of the experiment with the applied theories in
the concrete lesson and conduct the required analysis.
Table 5. Comparison of the Results of the Experiment with the Existing Theories.
Sample Compressive Crack Ultimate Momentum Maximum of Created Created Momentum
No. force (KN) Momentum of the Cross- Section Momentum at the Cross- at the Rupture of the
(t.m.) Section (t.m.) Cross- Section (t.m.)
1 26.0 0.065 1.52 0.1950 0.1950

2 12.4 0.065 1.54 0.0930 0.0775
3 11.8 0.062 1.50 0.0885 0.0885
4 10.8 0.064 1.55 0.0810 0.0810
In beams number 3 and 4 the crack was at the place of bar cut and because in this beams the length
of the tensile bar was less than the distance between the two point forces, the momentum which
caused the beam to break is the maximum momentum forced on the beam which was almost 40%
more than the crack momentum of the cross- section. In beam number 2, the tolerated momentum

141
was 5% more than beam number 3 and 15% more than beam number 4 which is in accordance with
the existing theories and in beam number 2 the momentum is less than the tolerated maximum
momentum at the place of the crack which indicates the fact that the length of the applied bar was
shorter that what could prevent the beam from breaking.
The results show that increasing the length of the bar results in increase of tolerable momentum by
the cross- section. Even in beams number 3 and 4, where the crack was between the two forced loads
and occurred at the bar cut, the tolerated momentum in beam number 3 was almost 10% more than
beam number 4; whereas, according to the existing methods, the tolerated momentum should be equal
at the two cross- sections. While the tolerated momentum in beam number 4 was 8% more than the
experimented samples in the flexural experiment of the simple concrete samples, which carries the
point that the presence of longitudinal bar influenced the increase in the capacity of the freight of the
cross- section.
Through comparing the tolerated momentum by the cross- section and the crack momentum and the
ultimate momentum which resulted from the theory, we can reach the conclusion that the momentum
which caused the crack in the cross- sections without longitudinal bar (breaking at the longitudinal
bar cut) is more than the crack momentum; whereas, it should be equal to the crack momentum.
Although this increase in strength can be due to the safety factors used in the equations and applying
these factors is because of problems which exist in performance, such as less strength of concrete
compared to the calculated amount. But in this experiment, due to thoroughness in performance and
application of compressive strength which resulted from the experiment, the existing error is
insignificant and has caused the tolerated momentum to be more than the crack momentum. In beam
number 1 the crack was at the point where the bar was longitudinal but the tolerated momentum was
far less than the ultimate momentum calculated by the Whitney rectangle method and is in no
accordance with the above theory.
Summary. The purpose of this study was to make an effort to determinate bond capacity in reinforced
concrete beam and its influence on the flexural strength. The result gained from this study are as
follows:
In beams that the length of the tensile bar was less than the distance between the two point forces,
the crack took place at bar cut place and because in this beams, the momentum which caused the
beam to break is the maximum momentum forced on the beam which was almost 40% more than the
crack momentum of the cross- section.
In beam number 2 (the flexural bar of 30cm), the tolerated momentum was 5% more than beam
number 3 (the flexural bar of 20cm) and 15% more than beam number 4 (the flexural bar of 15cm)
which is in accordance with the existing theories and in beam number 2 the momentum is less than
the tolerated maximum momentum at the place of the crack which indicates the fact that the length
of the applied bar was shorter that what could prevent the beam from breaking.
Increasing the length of the bar results in increase of tolerable momentum by the cross- section.
The momentum which caused the crack in the cross-sections without longitudinal bar (breaking at
the longitudinal bar cut) is more than the crack momentum; whereas, it should be equal to the crack
momentum. Although this increase in strength can be due to the safety factors used in the equations
and applying these factors is because of problems, which exist in performance, such as less strength
of concrete compared to the calculated amount.
References
[1] Darwin, D., Zuo, J., Tholen, M.L., and Idun, E.K., Develpomnet length criteria for conventional
and high relative rib area reinforcing bars, ACI Structural Journal, No. 3, 93, 347-359, 1993.
[2] Orangun, C.O., and Breen, J. E., Strength of anchored bars: A re-evaluation of test data on
development length and splices, Research Report No. 154-3F, Center for Highway Research,
University of texas at Austin, Austin, Tex., 78, 1975.
142
[3] Orangun, C. O., and Breen, J. E., Reevaluation of test data on development length and splices,
ACI Journal, Proceedings, No. 3, 74, 114-122, 1977.
[4] Zuo, J., and Darwin, D., Splice strength of conventional and high relative rib area bars and high
strength concrete, ACI Structural Journal, No. 4, 97, 630-641, 2000.
[5] Rehm G, Uber die grundlagen des verbudzwischen stahl undbeton, Heft 138, Deutscher
Ausschuss fur Stahlbeton, Berlin, 1961.
[6] Goto Y., Cracks formed in concrete around deformed bars in concrete. ACI Journal 68(2) 244-
251, 1971.
[7] Mathey RG and W Watstein D, Investigation of bond in beam and pull out specimens with high
yield strength deformed bars. ACI Journal T. No.57-50 1071-1089, 1961.
[8] Ferguson PM, Robert I and Thompson JN, Development length of high strength reinforcing bars
in bond. ACI Journal T. No.59-17 887-922, 1962.
[9] Lutz LA and Gergely P, Mechanics of bond and slip of deformed bars in concrete. ACI Materials
Journal T. No. 64-62 711-721, 1967.
[10] Nilson AH, Internal measurement of bond slips. ACI Journal 69(7) 439-441, 1972.
[11] Jiang DH, Shah SP and Andonian AT. Study of the transfer of tensile forces by bond. ACI
Journal T. No.81-24 251-258, 1984.
[12] Ueda T, Lin I and Hawkins NM, Beam bar anchorage in exterior column-beam connections. ACI
Structural Journal T. No. 83-41 412-422, 1986.
[13] Soroushian P, Pull out behavior of hooked bars in exterior beam-column connections. ACI
Structural Journal 85 269-276, 1988.
[14] Soroushian P and Choi KB, Local bond of deformed bars with different diameters in confined
concrete. ACI Structural Journal 86(02) 217-222, 1989.
[15] Soroushian P, Choi KB, Park GH and Aslani F, Bond of deformed bars to concrete: effects of
confinement and strength of concrete. ACI Materials Journal 88(3) 227-232, 1991.
[16] Abrishami HH and Mitchel D, Simulation of uniform bond stress. ACI Materials Journal T. No.
89-M18 89(2) 161-168, 1992.
[17] Malvar LJ, Bond of reinforcement under controlled confinement. ACI Materials Journal 89(6)
593-601, 1992.
[18] Yankelevsky DZ, Adin MA and Farhey DN, Mathematical mode0l for bond slip behavior under
cyclic loading. ACI Structural Journal 89(6) 692-698, 1992.
[19] Bortolotti , Strength of concrete subjected to pull out load. ASCE Materials Journal 15(5) 491-
495, 2003.
[20] Harajli MH, Hamad BS and Rteil AA, Effect of confinement on bond strength between steel
bars and concrete. ACI Structural Journal 101(5) 595-603, 2004. DOI: 10.14359/13381
[21] Somayaji S and Shah SP, Bond stress versus slip relationship and cracking response of tension
members. ACI Journal 78(3) 217225, 1981.
[22] Azizinamini A, Stark M, Roller JJ and Ghosk SK, Bond performance of reinforcing bars
embedded in HSC. ACI Structural Journal 90(5) 554561, 1993.
[23] Azizinamini A, Pavel R, Hatfield E and Ghosh SK, Behavior of spliced reinforcing bars
embedded in HSC. ACI Structural Journal 96(5) 826835, 1999a.

143
[24] Azizinamini A, Darwin D, Eligehausen R, Pavel R and Ghosh SK, Proposed modification to
ACI 318-95 tension development and lap splice for high strength concrete. ACI Structural Journal
96(6) 922926, 1999b.
CEB-FIP Report, Bond of reinforcement in concrete: state of the art report. FIB Bulletin-10,
Switzerland, 2000.
Cite the paper

Mohammad Rashidi & Hana Takhtfiroozeh (2016). Determination of Bond Capacity in Reinforced
Concrete Beam and Its Influence on the Flexural Strength. Mechanics, Materials Science &
Engineering Vol.6, doi: 10.13140/RG.2.2.18300.95361

144
Prediction of Rubber Element Useful Life under the Long-Term Cyclic Loads
Dyrda V.I.1, Loginova A.A.2, Shevchenko V.G.3
1 M.S. Polyakov Institute of Geotechnical Mechanics, NAS of Ukraine, Professor, Doctor of Technical Sciences (D.
Sc.)
2 National Mining University, Doctoral Student
3 M.S. Polyakov Institute of Geotechnical Mechanics, NAS of Ukraine, Senior Researcher, Doctor of Technical
Sciences (D.Sc.)
DOI 10.13140/RG.2.2.25883.46884
Keywords: rubber element useful life, failure of vibroinsulators, cyclic loads.
ABSTRACT. Problems associated with the change of physical and mechanical properties and structure of resilient rubber
elements of the VR type under long-term cyclic loads are considered integrally.
A general algorithm was developed for predicting useful life for the resilient rubber elements, which is based on:
interrelated equations of equilibrium and simultaneousness of deformations for determining deflected mode of the
vibroinsulators; equations of local useful life; equations of heat conductivity for determining temperature field in the
rubber mass; criterion equation of destruction, which connects parameters of the system destruction with hours of the
system service till its failure.
The algorithm for predicting useful life for the elements of the VR type takes into account changes of the element physical
and mechanical properties.
The resilient rubber elements of the VR type [1]

are considered, general view of which is shown
on the fig. 1. Mainly, in the process of
exploitation, the VR vibroinsulators experience
cyclic compressive deformation [2, 6-7].
Algorithm for predicting useful life of the VR
elements. A procedure for predicting useful life
assumes a necessity to solve interrelated
equations of equilibrium and simultaneousness of
deformations for determining deflected mode of
the vibroinsulators; equations of local useful life;
equations of heat conductivity for determining
temperature field in the rubber mass; criterion
equation of fracture, which connects parameters Fig. 1. is Vibration insulator of the VR type.
of the system fracture with hours of the system
service till its failure.
Lets consider these equations in more details:
equations of equilibrium
1
2 u grad divu 0 (1)
1 2
145
where is the Laplace operator;

2
u is a displacement vector;
is the Poisson's ratio.
The boundary conditions are as follows:
u r 0; u z 0 in the lower boundary of the rubber mass;
u r 0; u z FA0 sin t in the upper boundary of the rubber mass;
where ur, uz are the radial and axial displacements, accordingly;
equation of stationary heat conductivity
k div gradT D 0 , (2)
where k is a heat conductivity;

D is a cycle average dissipative function expressed as:

D
2 2
2G z r 2 rz
2 2 3K 2G (3)
2
2 3
z r
where z, , r, rz are components of deformation tensor calculated by displacements ur, uz in the

formulas of elasticity theory:
Gq 2G1
G ; 3K
2 1 2
where G is a dynamic modulus of elasticity;

is a the energy dissipation factor.
The boundary conditions in the assumed convective heat exchange with the environment on the
vibroinsulator surface are as follows:
k grad T n 1 (T T0 ) on the lateral surface;
k grad T n 2 (T T0 ) on the supporting surfaces; (4)

T T0 in initial moment of time
where T0 is ambient temperature.

This scheme of calculation is based on the energy fracture criterion, which is justified in [1, 3].

146
Change of rubber properties in the process of long-term cyclic loading.

Such changes can be caused by time and environment influence: heat, oils, acids, solar radiation.
Sometimes, exactly they become the key reason of the system failure, as the system parameters can
exceed the tolerable values.
The fig. 2 and fig. 3 show experimental time dependences between dynamic modulus of elasticity
and dissipation factor.
As it is stated in the [4], the dynamic modulus of elasticity is changed by the exponential law; and
functional dependence E(t) can be expressed as:
Ed (t ) Ed1 Ed1 Ed 2 1 exp( k e t ) (6)
where Ed1 is an initial value of the dynamic modulus of elasticity;

Ed2 is the modulus final value.
In the considered vibroinsulator: Ed1 = 47,8 MPa; Ed2 = 82 MPa, velocity constant k = 1,110-4 h-1
[3].
Fig. 2. Time dependence of dynamic module of compression.
Functional dependence (t) is practically linear [4]
(t ) k t (7)
where is an initial value of coefficient of power adsorption ;

k is a velocity constant.
In the considered vibroinsulator: 0 = 0,31; k = 0,08310-8 -1 [3].
147
Prediction of the element useful life with taking

into account change-in-time of the rubber
mechanical properties. Analytical expressions are
of the form [1,3]:
U p dt ijij dt q dt
t* t*
(8)
0 0
t*
U
0
p dt U *p
U *p
Fig. 3. is Time dependence of the dissipation N* , (9)
factor. 0,5 E * 2 1 T f x, y, z
2
where t* N * is hours till vibroinsulator failure (destruction of central area of the rubber);

N * is number of cycles till the vibroinsulator failure;
E * is an absolute value of the complex modulus of elasticity;
is relative deformation of the vibroinsulator;
U *p is a maximum (critical) value of energy density, which destructs the rubber;
is an energy dissipation factor;
T is a coefficient, which shows which part of the energy dissipating in the rubber is used for
heat buildup; f x, y, z is a function, which characterizes distribution of the stress field and
deformation field in the loaded vibroinsulator.
In the case under the consideration, the VR vibroinsulator loading is characterized by stationary
temperature field caused by dissipative self-heating, and parameter T , in the first approaching, can
be assumed as independent from the loading conditions and temperature of external environment; this
parameter can be also assumed as permanent by rubber volume [1,3].
With these assumptions, it is possible to write down the criterion equation (9) for the central area of
the vibroinsulator in more simplified form:
U *p
U p
N* N , (10)
0,5 E * 2 p 0,5 E 2 p
where p 1 T is a coefficient, which characterizes those part of the energy, which is directly
used for destructing the rubber structure, for averagely filled rubber of the A-1 grade (soot of 220
grade, raw rubber of the SKI-3 grade) = 0,6 [3].
Or, if to take into account:

148
U *p
p (11)
U g*
we can get:
U g*
N* (12)
0,5 E * 2
where U g* is a critical (tolerable) value of the energy density, which dissipates in the vibroinsulator
under the loads.
If parameters E * and of the rubber depend on time of the vibroinsulator loading, the expression
(12) can be rewritten in the following way
U g*
N* (13)
0,5 E * (t ) 2 (t )
Or
2 t*
E * (t ) (t )dt U
*
. (14)
2 2
g
0
If to take into account the evolutional equations (6) and (7) for the dynamic modulus of elasticity
Ed(t) and energy dissipation factor (t), the expression (14) will be of the form:
E gk k E k ( E gk E g )
E gk k t * t *2 exp( k E t*)(k E t * 1) 1
2 k E2
k E gk E g
(15)
4
exp( k E t*) 1 U g*
k E2 2
As values of the last two members of the equation (15) are too small, we can ignore them and get the
following equation:
E d 2 k E *2 4
E d 2 k t * t 2 U g* (16)
2
Experimental data and analysis of the equation (16) show that changing of the energy dissipation
factor is the key aspect impacting on the vibroinsulator useful life.

149
p 2 Ed 2 ( N * )
U *p
2
0 N * k N *2 (17)
Summary. Comparison of the calculation data with experimental data, which have been received in
process of long-term exploitation of the RV rubber vibroinsulators, shows their satisfactory matching.
References
[1] Dyrda V.I. (1988) The strength and the destruction of elastomeric structures in extreme
conditions, Kiev, 239 p.
[2] Loginova A.A., Dyrda V.I. and Shevchenko V.G. (2015) Study parameters anti-vibration mounts
under cyclic loading. Geo-techncal Mechancs, Dnipropetrovs'k, Vol. 126, Pp. 249-259.
[3] Bulat A.F., Dyrda V.I., Zviagilskiy E.L. and Kobets A.S. (2012) Applied mechanics of elastic-
hereditary environments, Vol. 2. Metody calculation elastomeric parts, Kiev, 616 p.
[4] Loginova A.A., Dyrda V.I. and Shevchenko V.G. (2015) Calculation of vibration isolation
systems of mining machines in view of the aging, Geo-techncal Mechancs, Dnipropetrovs'k,
Vol. 125, Pp. 249-259.
[5] Massimo Viscardi, Maurizio Arena (2016), Experimental Characterization of Innovative
Viscoelastic Foams, Mechanics, Materials Science & Engineering Journal, Vol.4, Magnolithe GmbH,
Austria , DOI: 10.13140/RG.2.1.5150.6325
[6] A. Touache, S. Thibaud, J. Chambert, P. Picart (2016), Characterization and Thermo Elasto
Viscoplastic Modelling of Cunip Copper Alloy in Blanking Process, Mechanics, Materials Science &
Engineering Journal, Vol.3, Magnolithe GmbH, Austria , DOI: 10.13140/RG.2.1.3289.0645
[7] Qian Li, Jian-cai Zhao, Bo Zhao (2009), Fatigue life prediction of a rubber mount based on test
of material properties and finite element analysis, Engineering Failure Analysis, Volume 16, Issue 7,
DOI: 10.1016/j.engfailanal.2009.03.008
Cite the paper

Dyrda V.I., Loginova A.A. & Shevchenko V.G (2016). Prediction of Rubber Element Useful Life
under the Long-Term Cyclic Loads. Mechanics, Materials Science & Engineering Vol.6, doi:
10.13140/RG.2.2.25883.46884

150
Calculation of Strength and Stiffness of Sports Equipment for Games in a

Radial Basketball
V. P. Ovchinnikov1, A. A. Nesmeyanov2, A. N. Chuiko3
1 Russian State Pedagogical University, A. I. Herzen, Saint-Petersburg, Russia

2 President of the Federation of Piterbasket, Saint-Petersburg, Russia
3 Kharkiv State University of Food Technology and Trade, Kharkiv, Ukraine
DOI 10.13140/RG.2.2.18653.20966
Keywords: radial basketball, stand to play basketball in the radial, stiffness, strength, resistance, stressstrain state, solid
modelling.
ABSTRACT. Discusses the main problems of strength of Sports Equipment for Games in a Radial Basketball. Based on
structural analysis for stiffness, strength and stability of the proposed scheme two-piece installation that fixes all
shortcomings noted by the developers. Formulated proposals for the modernization of sports equipment. Only after such
studies, one can speak about the ways of its modernization. The main bearing element of the structure, defining the key
performance indicators, is a stand. An analysis was conducted of its stiffness and strength.
Introduction. Radial basketball sports ball game, the presentation of which took place in December
2002 in St. Petersburg. For the first, time the rules of the game published in 2002. Playing on the
Playground, made in the form of a circle 18 meters in diameter with three concentric circles bounding
the zone for 3 seconds (R-3 m), two-point (e-6 m) and three-pointers (R-9 m)[1]. In the centre of the
play area Desk with attached shields with baskets in the form of an equilateral triangle 9 (Fig.1).
Fig. 1. The circuit court for radial basketball.
Device for playing basketball in the radial consists of a strut Assembly mounted on the base, made in
the form of a circle. It fixes 3 of the shield with a basketball basket with the possibility of installation
on the same or on different levels. The base of the strut is provided with a ball bearing fixed on its
circumference, in the centre of the base console is installed, on which are strung hollow containers
151
with caps and strut, which includes a clutch shiftable along it and fixation with metal retainers (Fig.2).
The proposed utility model relates to sports equipment and can be used during sports games in a radial
basketball [2].
Fig. 2. Diagram of the shield with rings to play in a radial basketball.
The terms "load", "force", "force" are frequently used, even among experts far from the calculations
on the stiffness and strength. Hence, the need for systemic presentation of these issues, especially the
notion of "force" and "displacement" in mechanics and concepts "voltage" and "deformation" in the
strength of materials and theory of elasticity are the main, primary concepts. Certainly the concept of
"power", according to which "Value, which is a quantitative measure of the mechanical interaction
of material bodies, is called force in mechanics" [1]. Strength is the magnitude of the vector. Its effect
on the body is determined by:1) the numerical value or modulus of the force; 2) direction of force; 3)
point of application of force. In resistance of materials, for ease of analysis, the concept of inner
power (the power factor). Distinguish between longitudinal force Nz, the transverse forces Qx and Qy,
the torque Mz, the bending moments Mx and My. The index when strength factors correspond to the
coordinate axes with respect to which the relevant factor. The numerical value of inner strength is
from the equilibrium condition, i.e. its value is equal to the sum of all external forces located on one
side of the considered cross-section. Further, to simplify, as well as in elasticity theory, we assume
that the equilibrium condition is satisfied, and the inner power factor is expressed as the external
force.
Currently, when calculating the strength and stiffness that meet modern scientific and technical level,
the popularity and widespread CAD/CAE (Computer Aided Designer/Computer Aided Engineering)
system [2, 3]. Particularly fruitful was the use of specialized programs to assess stressstrain state
(SSS) of technical systems based on this method, mechanicalmathematical modelling as finite
element method (FEM). FEA international standard for solving problems of solid mechanics by
means of numerical algorithms. Suffice it to say that no bridge, no plane, etc. is not certified by
international organizations if they are designed without the use of this method. In this study, we
applied a widely used technique in the software package Solid Works/COSMOS Works integrated
program that includes the module solid modelling CAD and a module of finite element analysis CAE
[4]. The main feature and advantage of this software is its orientation to the design of complex systems
with a virtually unlimited number of items and their calculation on strength and rigidity, including
under dynamic loads.

152
The results of the study. The aim of our study was to analyse the design for rigidity, strength and
stability of the installation. Only after such studies, one can speak about the ways of its modernization.
The main bearing element of the structure, defining the key performance indicators, is a stand.
The calculation of the strength and stiffness of cylindrical model. Fig. 3 shows the horizontal
displacement of the end of the bar. To the right in Fig. 3 shows a histogram of the displacements of
all points of the model. Module sensing results can be received and recorded in the Protocol analyse
the result at any point in the model [5].Two points on the intersection of the pipe with the bar these
movements (table. in fig. 3) is equal to UX=58, 3 mm and UX=59,16 mm.
Fig. 3. The displacement field of the upper end of the stand.
In the same way it is possible to bring the voltage at any point in the system. The fig. 4 shows a field
of von Mizes stress Mo the lower end of the strut, and Fig. 5 normal stress SY in the same area. A
comparison of these stress fields confirms the assumption expressed above that in this problem the
stresses SY are the major components in von Mizes stresses, SM, and further we will analyze only
the stress SY.
Fig. 4. A field of von Mizes stress SM at the lower end of the stand.

153
Fig. 5. Field normal stress SY at the lower end of the stand.
For completeness, in Fig. 6 shows the stress field SY at the upper end of the stand.
Fig. 6. The stress field SY at the upper end of the stand.
Analysis of the stress field shows:

1) The Results obtained using FEM, fixed voltage, taking into account their concentration. The
program differential tension on the tensile (+) and compressive (sign).
2) Results obtained using the finite element method and the results of the analytical solutions match
very close.
3) Operating voltage in this problem is significantly below the allowable limit, i.e. the problem of
strength for this structure is not decisive.
The calculations show that the results of analytical solution and finite element analysis are the same,
which actually is a test solution to move on to more complex tasks.
Calculation for strength and rigidity two-piece stand.
Alternatively, stand design for play in the radial hoops with chains, consider a model in which the
rack is made two-piece: the upper cylindrical part of length l=1500 mm and radius R=50 mm and a
conical bottom part length l=2000 mm and base radius R=250 mm. Such constructive scheme follows
the scheme with the chains, but visually looks "graceful". In Fig. 7 shows the total displacement field
on the deformed model. In Fig. 8 shows the summary of travels with the results of sensing at the point

154
of intersection with the cross member and at its end. Here, we present fields of total displacements
UR, knowing that at the point of intersection with a cross these displacements UR and UX differ
slightly. The obtained value of UR=19,98 mm is very close to the obtained above analytical way, the
value =17,67 mm and smaller than obtained in the cylindrical model (fig. 3) 3 times.
Fig. 7. The summary of movement
Fig. 8. The summary of the movements with the results of the sensing the point of intersection with
the cross member and at its end.
Thus, with relatively simple constructive solution is obtained the desired result reducing
displacement of the end of the bar 3 times. Complete this section of the research, the analysis of stress
values. In Fig. 9 shows a field of normal stress SY at the lower end of the strut, and Fig. 10 at the
upper end of the bar. Note that at the upper end of the counter voltage, with respect to the cylindrical
model has not changed, and at the bottom decreased almost an order of magnitude, due to the
increased moment resistance due to the increase of the radius of the base.

155
Fig. 9. Field normal stress SY at the lower end of the stand.
Fig. 10. Field normal stress SY at the upper end of the stand.
It is natural to check how affects the change, such as displacement, due to the changes of pipe wall
thickness. In Fig. 11 shows the displacement field for the model, in which the thickness of the upper
cylindrical part is increased to 6 mm.
Fig. 11. The displacement field for the model thickness of cylindrical part is increased to 6 mm.

156
The obtained value of UR=13,76 mm is almost one and a half times less than that obtained earlier
(fig. 8) the value UR=19,98 mm. Thus again it is shown that by using different design solutions to
result in reduced displacement of the end of the bar. A preliminary analysis of stand design for play
in the radial basketball shows that its stability is provided by a large weight. Therefore, the structural
weight reduction will inevitably lead to the decline of sustainability. In the table of basic design
parameters indicated that the balances have size 15103 see In this case, the volume of the
counterweight V=450 cm3 and density =7,8510-3 kg/cm3 the weight of one bar is equal to G=3,53
kg. Weight of the bars 18 G=63.5 kg, and the weight of the bars 30 G=106 kg. The Declared weight
of the counterweight 200 kg is not obtained. At the same time the weight of 200 kg can be distributed
rationally and stability of the installation will be provided constructively.
Summary. 1. Developed a methodology for estimating the basic parameters of the setup for the game
in a radial basketball, by solid modelling and subsequent finite element analysis.
2. The proposed two-piece design scheme stands for the radial of basketball, which resolves nearly
all shortcomings noted by the developers of the installation.
3. According to the experiment, operating experience and the above calculations, you should specify
the main parameters of the installation: the horizontal movement of the upper end of the strut and the
allowable weight "hangs" on the ring of the player. This will be the original data. Then all the
installation parameters can be recalculated.
4. Base design of the installation must be specified after the adoption of the concept design and
reception of the main carrier element.
5. When designing shields and rings can be used by existing development in the classic basketball.
6. Having a great weight, the design has some tolerance. Any improvements aimed at reducing weight
will reduce the stability margin and to a possible injury.
References
[1] Nesmeyanov A. A., Makeev B. L., Dolgov, I. B., Danilova G. V., Efimov A. Yu., Nesmeyanov
N. A. Ovchinnikov V. P. Stand for peterbaznica: the patent for invention RUS 2517543 23.10.2012.
[2] Nesmeyanov A. A., Nesmeyanov D. A., P. A. Nesmeyanov, Nesmeyanov N. A. Kazemov A.A.,
Korablev S. V., Ovchinnikov P. V., Cherkesov L. Z. Device for playing basketball in the radial
(Piterbasket) in the period of preschool education and primary school: useful model patent RUS
83932 10.03.2009.
[3] S. M. Targ, a Short course of theoretical mechanics: Textbook. For technical colleges. 10th ed.
Rev. and extra M.: Higher. Wk., 1986. 416 p
[4] Pavlov S. I. System of high performance computing in 2010-2011: overview of achievements and
analysis of the market. Part I. // CAD/CAM/CAE Observer, 2011, vol. 5, pp. 74 84.
[5] Jenkins B. (B. Jenkins) the Creation of opportunities for computer modelling of physical processes
and engineering // CAD/CAM/CAE Observer, 2010, 1, 44 48.
[6] Lyamovskii A.A. Solid Works/COSMOS Works / 2011, M.: DMK Press, - 432 p.
[7] Chuiko A. M., Lewandowski R.A., Ugrin M., Belikov A. B. the Terms fixation and stabilization
from the standpoint of biomechanical analysis. A young scientist. 2013, no. 9.
Cite the paper

V. P. Ovchinnikov, A. A. Nesmeyanov & A. N. Chuiko (2016). Calculation of Strength and
Stiffness of Sports Equipment for Games in a Radial Basketball. Mechanics, Materials
Science & Engineering Vol.6, doi: 10.13140/RG.2.2.18653.20966

157
Development of Force Monitoring Transducers Using Novel Micro-

Electromechanical Sensor (MEMS)
Dimitar Chakarov1, Vladimir Stavrov2, Detelina Ignatova1, Assen Shulev1, Mihail Tsveov1,
Rumen Krastev1, Ivo Vuchkov1
1 Institute of Mechanics, BAS, Sofia, Bulgaria

2 AMG Technology Ltd., Botevgrad, Bulgaria
DOI 10.13140/RG.2.2.20337.48487
Keywords: mechanical, transducer, force, monitoring, MEMS, piezoresistive, sensor, experimental, data.
ABSTRACT. MEMS piezoresistive sensors are a favourable and attractive option for strain detection due to a number
of key advantages such as high sensitivity, low noise, good scaling characteristics, low cost and their ability to have the
detection electronics circuit farther away from the sensor or on the same sensing board. This paper represents the results
obtained at characterization of novel transducers to be employed into force monitoring systems. Each transducer
comprises a coherently designed novel mechanical transducer and a positional MEMS sensor with very high accuracy.
The exploited positional MEMS microsensor and the mechanical transducer are presented in this paper. The particular
MEMS sensor provides a voltage output signal having sensitivity in the range of 240 V/m at 1V DC voltage supply.
The range of operation of the mechanical transducer is optimized to fit the 500 m travel range of the microsensor. A
finite element model is constructed to simulate the system structure using the commercial FE package. Two prototypes
of force transducers are described and manner of used silicon MEMS sensor attachment is demonstrated. An experimental
set-up and experimentally measured load curve are presented in the paper. Diagrams force/voltage for two prototypes at
different supply voltage 1V and 2V are revealed.
Introduction. A load cell is a transducer that converts load acting on it into an analog electrical
signal. Typically, this conversion is achieved by strain gauges which are bonded into the load cell
beam and wired into a Wheatstone bridge configuration. Strain gauge load cells dominate the
weighing industry [1].
High-performance strain sensing systems, consisting of sensors and interface electronics, are highly
desirable for advanced industrial applications, such as point-stress and torque sensing, and strain
mapping. Conventional strain sensors made from metal foils suffer from limited sensitivity, large
temperature dependence and high power consumption. Further, the metal-foil strain gauges offer
flexibility and a potential for use in this format, but they suffer low gauge factor (GF) and limited
scalability to large areas due to lack of strategies for multiplexed addressing [2]. Therefore, they are
inadequate for high performance and low power consumption applications [3] and hence other strain
sensing methods, based on the Micro Electro Mechanical Systems (MEMS) technology, have been
proposed [4, 5].
New advances in the field of Micro Electro Mechanical Systems (MEMS) have broadened
considerably the applications of these devices. MEMS technology has also enabled the
miniaturization of the devices, and a typical MEMS sensor is at least one order of magnitude smaller
compared to a conventional metal-foil strain sensor that is used to measure the same quantity.
Consequently, MEMS devices can be batch-fabricated, which offers a high potential for cost
reduction. Moreover, proper design can solve problems related to power consumption, while
providing improved performance characteristics, such as accuracy, sensitivity and resolution. Finite

158
Element Analysis (FEA) provides a reliable tool to carry out the required parametric studies in order
to optimize the sensor performance [6].
Several physical sensing principles have been explored in MEMS strain sensors including the
modulation of optical, capacitive, piezoelectric, and piezoresistive properties or frequency shift [7,
8].
More particularly, MEMS piezoresistive strain sensors are more favourable and attractive due to a
number of key advantages such as high sensitivity [1], low noise, better scaling characteristics, low
cost and their ability to have the detection electronics circuit farther away from the sensor or on the
same sensing board. Moreover, they have high potential for monolithic integration with low-power
CMOS electronics. Furthermore, piezoresistive strain sensors need less complicated conditioning
circuits [9].
MEMS load sensors capable of both steady-state and dynamic measurements are generally designed
as compliant structures. The device geometry and operating voltages can be optimized for maximum
force resolution and range, subject to a number of manufacturing and electromechanical constraints
[10].
In present paper, two force measuring systems including mechanical transducer and a new silicon
MEMS position sensor with sidewall piezoresistors [11] has been studied. Thus, the performance of
the entire force monitoring systems, such as high class electronic scales, can be strongly improved by
replacing the currently employed force transducers.
MEMS position sensor for detection of 500m range displacement.
This approach is based on elaboration of contact MEMS device for displacement detection in the
range of 500 m [12]. The envisaged position microsensor comprises of an anchored (1) and a
moveable (2) part. Both parts are connected with a monolithic flexure (3), shown in Fig. 1 (). The
monolithic flexure (3) comprises two pairs of differential springs and two detecting cantilevers (4),
which are also attached to point C of the springs.
52 51
data
0.12
linear fit
U = 0.00024 D - 0.002
4 0.1
0.08
1 3 2
U [V]
0.06
0.04
4
0.02
53 54
0
0 50 100 150 200 250 300 350 400 450 500 550
D [um]
()
(b)
Fig. 1. (a): Optical micrograph of a positional microsensor with a single anchored (1) and a single
actuated (2) part and a flexure (3) comprising two cantilevers (4) oriented in X direction; four
sidewall piezoresistors (5154), sensitive in Y direction are built-in at the fixed ends of cantilevers;
(b): Plot of the sensor signal showing 240V/m V sensitivity & 500m travel range.
The cantilevers are oriented in X direction and the move of part (2) in Y direction is transduced to a
bending of cantilevers (4) by differential springs. In the sidewalls of the fixed end of the both
cantilevers (4) four piezoresistors are embedded (51 - 54). In more details, each cantilever possesses

159
a pair of two piezoresistors, 51 -52 and 53 - 54 respectively, which are electrically connected in two
voltage dividers. Both voltage dividers are connected in a full bridge configuration, to amplify each
other, when actuated part (2) moves in Y (horizontal) direction. This particular sensor has
demonstrated a displacement sensitivity of 240 V/m at 1V DC voltage supply of the bridge as
plotted in Fig. 1(b), and the travel range is limited to approx. 650 m.
Since differential springs displayed in Fig. 1(a), are mechanically instable in compression mode, this
particular flexure (3) can be used in tensile mode, only. Additionally, the devices with sidewall
embedded piezoresistors exhibit very low noise and extremely low (i.e., non-detected, at all)
temperature dependence [13]. By means of a modification of the flexure layout the sensitivity and the
travel range can be tuned to meet optimization criteria [14].
As far, the detecting cantilevers (4) with sidewall piezoresistors ensure sensor signal having above
1,000,000 of intervals in the full scale range, there is a room to achieve a ppm (part per million)
resolution of the force transducers, if optimized mechanical transducers are developed.
Since the silicon flexures are extremely fragile, auxiliary mechanical parts having package features
for fixing and protecting the both MEMS parts and providing a relative displacement in the range of
from 50m to 1.5mm, have been developed. They could be made of different materials and the
mechanical properties could be tuned to measure in desired force range. Based on experimentally
measured results, a method of force monitoring with ppm-accuracy, independently on ambient
conditions, has been proposed [14]. Thus, the performance of the entire force monitoring systems,
such as high class electronic scales, can be strongly improved by replacing the currently employed
force transducers.
Development of a mechanical transducers for force monitoring using MEMS sensor.
The goal of present study is to develop a new high performing mechanical transducers applicable in
force monitoring systems. To monitor the forces within specified limits it is necessary to develop a
flexible transducer mechanism, which transforms the force-load to a displacement of the MEMS
sensor, and the stiffness of the transducer determines the range of the measured forces. In order to
develop the targeted high performing force monitoring systems, the design approach exploiting
flexure mechanisms [15] has been proposed. Respectively, a flexible transducer mechanism, which
transforms the applied load to an elastic strain to be detected by the position microsensor, has been
created. There were developed two types mechanical transducers.
A. Mechanical transducer type "O-ring", as illustrated in Fig.2 (a). Tensile load is applied to one
side of the "O-ring" and a support reaction occurs at the opposite side. The MEMS position sensor is
placed and fixed in the middle of the ring along the axis of the applied force, thus it monitors the
displacement directly. The constructed 3D CAD model of the mechanical transducer is shown in Fig.
2(b). Admissible deformations of MEMS sensor are determined - 0.5 mm, and the upper limit of the
measured force is specified: -1000 N.
To meet the specified range of monitored forces, it is necessary to provide a relevant stiffness of the
mechanical transducer. Commercial CAD system exploiting finite element modelling (FEM) has
been used for caring out a simulation of a static load. Computer simulations were conducted,
assuming that the load has been attached at the upper end of the transmission mechanism and the
lower end is immobilized. Load with a static force of 1000 N was simulated, using a model with
varying thickness of the transducer plate. After a series of experiments, plate with thickness of 11
mm has been selected to achieve a suitable stiffness. Steel alloy with Youngs modulus of E = 210
GPa and Yield strength of = 0.620 GPa has been chosen as a raw material. The screen plot with
calculated results for effective displacements is shown in Fig. 3 (a). At so selected stiffness of the
transducer, a load of 1000 N generates a displacement of 0.300 mm, which is to be measured by the
MEMS position sensor. The screen plot with effective stress is shown in Fig. 3 (b).

160
() (b)
Fig. 2. Mechanical transducer as an "O-ring" type: (a) kinematic scheme; (b) CAD model.
() (b)
Fig. 3. Simulations of mechanical transducer mechanism: (a) screen plot with effective
displacements, (a) screen plot with effective stress.
A prototype of the mechanical transducer has been manufactured with the help of wire electro-
discharge machining. Photos of both sides of the force transducer prototype are shown in Fig 4. Both
parts of the piezoresistive MEMS positional sensor are firmly bonded to chip-carriers which are
further fixed by screws to both loaded sides of the "O-ring", as shown in Fig.4. (a). The maximum
travel range of the transducer is constrained to 0.300 mm, by cutting into the housing a gap with same
clearance - the gap G in Fig. 4 (b), thus, limiting the monitored force-load to 1000N. This constrain
prevents mechanical overload and damage to the MEMS position sensor, as well as keeps the tensile
and bending stresses in the transducer bellow yielding stress with a safety factor of 1.2.
B. Mechanical transducer type double symmetric parallelogram mechanism has been created.
To meet the specified range of monitored forces, it is necessary to achieve the relevant stiffness of
mechanical transducer. Since, the admissible displacement of the position microsensor is 0.5 mm and
the upper limit of the measured force has been specified to 100 N, the low-stiffness mechanical
transducer mechanism, as illustrated by structure scheme in Fig. 5 (a) and by 3D CAD model shown
in Fig. 5 (b), has been designed.
The transducer mechanism is made of a solid plate titanium alloy and it was processed to obtain the
elastic joints of the mechanism. The elastic joints are double-notched elastic beam type and they
possess a number of advantages compared to contact ones, as they are free from backlash, friction,
and hysteresis. This geometry allows the desired low stiffness in one directions of joint bending and
high stiffness in the remaining non-motional direction to be simultaneously achieved. The position

161
microsensor is attached at the middle of the mechanism. In this way there is transmission ratio
between the displacements along the two axes of the mechanical transducer.
() (b)
Fig. 4. Photo of a prototype of the mechanical transducer (a) front side with mounted MEMS
position sensor, (b) rear side.
n

l
h
() (b)
Fig. 5. Mechanical transducer mechanism: (a) kinematic scheme; (b) CAD model.
The height of the device is denoted by H, and the width of the device in the sensor area is denoted by
N (Fig. 5a). Each symmetric branch of the transmission is considered as a rectangle with two sides n
and h. According to this geometry transmission ratio k of symmetric parallelogram mechanism is
determined as:
n N h
k (1)
h H n

162
Commercial CAD system exploiting finite element modeling (FEM) has been used for caring out an
experiment of a static load. The constructed 3D CAD model of the mechanical transducer shown in
Fig. 5(b) has been involved for computer simulations. The titanium alloy (Ti-8Al-1Mo-1V) with
Youngs modulus of E = 120 GPa and Yield strength of = 0.910 GPa has been chosen as a raw
material.
The screen with calculated results for effective displacements is shown in Fig. 6. The screen with
effective stress is not shown here, but normal stress in the mostly-loaded areas did not exceed the
allowable stress.. Computer simulations were conducted, when the load has been attached at the upper
end of the transmission mechanism and the lower end has been rigidly immobilized. Load with a
static force of 100 N was simulated, using a model with varying thickness of the titanium alloy plate.
The displacements H of the force application point, the deflection N between the attachment points
of the position microsensor, and calculated transmission ratio k are reported in Table 1.
Table 1. Calculated displacements and transmission ratio for mechanical transducer at load of
100N.
Plate
9 [mm] 10 [mm] 11 [mm] 12 [mm] 13 [mm]
thickness
N [mm] 1.138 0.879 0.707 0.598 0.498
H [mm] 0.695 0.537 0.432 0.365 0.304
k 1.637 1.637 1.6365 1.638 1.638
The plate thickness of t = 11 mm has been selected for prototyping of the force transducer, for
which additional simulations during load changes were carried out. A load respectively of 90N,
70N, 50N and 30N is applied. The calculated displacements H , N and transmission ratio k are
shown in Table 2.
Table 2. Calculated displacements and transmission ratio for different loads.

Load 90 [N] 70[N] 50[N] 30[N]
N [mm] 0.636 0.494 0.353 0.212
H [mm] 0.389 0.302 0.216 0.130
k 1.635 1.636 1.634 1.631
As a result of the experiment it has been concluded that the transmission ratio is maintained constant.
The range of operation of the force transducer depends on the width of the gap that limits the
transducer displacement noted by G in Fig.4(b). A gap of 0.500mm has been selected for which the
displayed force transducer will work in the range of 70N. The upper limit of the measured force
specified as 70 N provides load margin which avoid position microsensor damaging.

163
Fig. 6. Screens with effective displacements.
A prototype of the mechanical transducer has been manufactured with the help of wire electro-
discharge machining. A photo of the force transducer prototype is shown on Fig 7. It is enabled with
piezoresistive position microsensor, shown in the zoomed image, having a travel range of 650m
limited by the width of the gap G of 500m, also shown in additional zoomed image.
Fig. 7. Photo of the force transducer prototype having travel range of 500m limited by the width of
the gap G.
Experimental set-up and experimental data.

The mechanical transducer prototypes are tested for load measurements by a precise loading test
machine TIRAtest 2300. The system exploits a load cell with a measuring range of 10kN, a digital
multi-meter PeakTech 3415 connected to a computer and the prototype of force transducer, connected
on both sides with loading machine traverses.
A. Mechanical transducer "O-ring" type.
The MEMS sensor is supplied with a stabilized DC voltage supply one test has been carried out at
1V and other test - at 2V. The output voltage of the sensor is recorded using a digital multi-meter

164
Protek D470 connected to the computer. Fig. 8 shows the experimental set-up used for load
monitoring.
Fig. 8. Photo of the experimental set-up for mechanical transducer "O-ring" type.
The testing machine loads the prototype at a constant speed by measuring both: the loading force and
the output voltage of the position sensor. To obtain the force/voltage ratio, both registered signals are
time synchronized.
Measurements are made of two identical prototypes marked as P1 and P2, at power supply of 1V and
2V and loading/unloading from 0 to 1000 N and vice versa. There are three trials made to each
prototype under loading and unloading at a speed of mobile traverse of 0.48 mm/min. The obtained
force/voltage diagrams of these experiment are shown in Fig. 9. The resulting diagrams are linear,
which can be expressed by F = aU + b, where F is loading force and U is output voltage.
1000
900
800
700
600
500
F, N
400
300 1V, P1
2V, P1
200
2V, P2
100 1V, P2
0
0.000 0.050 0.100 0.150 0.200 0.250
U, V
Fig. 9: Diagrams force/voltage for two prototypes P1 and P2 at supply voltage of 1V and 2V.
The slope a of each diagram depends on the supply voltage. Both transducers have similar slopes at
the same supply voltage, but each transducer has a different offset b. This offset depends on the sensor
preload. The average values of coefficients a and offset voltage Uo=-b/a, at a given supply for each
prototype are as follows U=1V: a1= 21767 N/V, U01=0,0660 V, a2=22047N/V, U02=0,0315 V; U=2V:
a1=11027N/V, U01= 0,1318 V, a2=11226N/V, U02=0,0624 V. The charts show that the unloading
curve does not tally with loading chart but the hysteresis loop is fairly small. Hysteresis observed can
165
be due to imperfections of the measuring system, i.e. miss-synchronization between the two
measurements channels when switching load/unload measurements, etc.
B. Mechanical transducer type double symmetric parallelogram mechanism.
In this experiment the MEMS sensor is supplied with a stabilized DC voltage supply of 1V and in a
similar manner the output voltage of the sensor is recorded using a digital multi-metre Protek D470
connected to the computer. Fig. 10 a) shows the experimental set-up used. There are four trials made
under loading from 0 till 70 N and unloading at a speed of mobile traverse of 0.48 mm/min. The
obtained force/voltage diagram of one trial is shown in Fig.10 b).
70.0
60.0
50.0
40.0
F, N
30.0
20.0
10.0
0.0
0.0200 0.0400 0.0600 0.0800 0.1000
U, V
(a) ( b)
Fig. 10. (a) Experimental set-up and (b) Diagrams force/voltage for mechanical transducer type B
at supply voltage of 1V.
The resulting diagram is linear and the hysteresis get is fairly small. The average values of slope a
and offset voltage Uo=-b/a, at a given supply voltage of 1V have the values: a= 1119 N/V and U0=
0,0271V.
Development of a control unit for prototypes of mechanical transducers with original MEMS
sensor.
This control unit is computerized system, designed so that it is compatible with the original MEMS
sensors. It includes high-precision amplifier, that cover the functional characteristics of all
transducers. It includes also user display, setup keyboard, a channel for communication with host
computer for real time data transfer. Control unit can be used like smart transmitter. The overall look
of control unit for transducer prototypes is shown in Fig.11 (a). Presented experimental setup has
been used for calibration of the control system. The prototypes were loaded with constant speed and
both: loading force and measured force were recorded using smart transmitter mode. The resulting
diagrams after calibration are strictly linear. The relationship - loading force / measured force for
transducer "O-ring" type is shown on Fig. 11 (b). It can be expressed by equality: Fm = 1,0012F +
0,0085.

166
Fm = 1,0012F + 0,0085
F x10[N]
100
80
60
40
20
0
Fmx10[N]
0.0 50.0 100.0
(a) (b)
Fig. 11. (a) Photo of the control unit;(b) Relationship- loading force / measured force for
transducer "O-ring" type.
Summary. This paper represents the results obtained at characterization of novel transducers to be
employed into force monitoring systems. Each transducer comprises a coherently designed
mechanical transducer and a MEMS positional sensor with very high accuracy.
The MEMS positional micro sensor and the design of two type mechanical transducers are presented
in the paper. The range of operation of the mechanical transducer is optimized to fit the 500m travel
range of the positional micro sensor. Respectively, the flexures stiffness corresponds to achieve the
maximum displacement at the upper limit of the measured load. A finite element model is constructed
to simulate the system structure using a commercial FE package. The force transducers range of
operation is limited by the width G of a gap, which also, avoids damages of the mechanical transducer
and MEMS positional sensor. Prototypes of two transducers are described and manner of usage of
the silicon MEMS position sensor attachment is demonstrated. An experimental set-up for measuring
the load curves are reported in the paper. Diagrams of force vs. sensor output voltage of the prototypes
at different supply voltage 1V and 2V are demonstrated and discussed.
As a result of the experiment it has been concluded that the force/voltage ratio is constant.
Piezoresistive MEMS position sensors can be successfully used for strain detection at force loading
of the mechanical transducer. Respectively, other than force values like: 3D strain, acceleration,
torque, temperature and other environmental parameters, as well as their combinations can be
accurately monitored, when suitable transducers are designed.
Acknowledgments. Authors gratefully acknowledge the financial supports of this work by grant 6IF-
02-13/15.12.2012 of the Bulgarian National Innovation Fund.
References
[1] Kumar, Sh., K P Venkatesh, S. S. Baskar, S. P. Madhavi. System integration design in MEMSA
case study of micromachined load cell. Sadhana, Vol. 34, 2009, No. 4, pp. 663675.
[2] Won, S. M., Hoon-Sik Kim, N. Lu, Dae-Gon Kim, Cesar Del Solar, T. Duenas, A. Ameen, J. A.
Rogers. Piezoresistive Strain Sensors and Multiplexed Arrays Using Assemblies of Single-
Crystalline Silicon Nanoribbons on Plastic Substrates. - IEEE Transactions on electron devices, Vol.
58, No. 11, 2011,pp. 4074- 4078.
[3] Nagy, M.; C. Apanius; J. A. Siekkinen. A user friendly, high-sensitivity strain gauge. - Sensors,
Vol. 18, 2001, pp. 20-27.

167
[4] Hrovat, M., D. Belavic, Z. Samardzija, J. Holc. An investigation of thick-film resistor, fired at
different temperatures, for strain sensors. - International Spring Seminar on Electronics Technology,
2001, pp. 32-36.
[5] Mohammed A., W. Moussa, E. Lou. Mechanical Strain Measurements Using Semiconductor
Piezo-resistive Material.The 4th IEEE International Conference on MEMS, Nano and Smart Systems,
and The 6th IEEE International Workshop on System-on-Chip for Real-Time Applications 2006,
pp.5-6.
[6] Mohammed, A., W. A. Moussa, E. Lou. High-Performance Piezoresistive MEMS Strain Sensor
with Low Thermal Sensitivity. - Sensors, Vol. 11, 2011, pp. 1819-1846; DOI: 10.3390/s110201819].
[7] Cao, L., T. Kim, S. Mantell, D. Polla. Simulation and fabrication of piezoresistive membrane type
MEMS strain sensors. - Sensors and Actuators A: Physical, Vol. 80, 2000, pp. 273-279.
[8] Han, B., J. Ou. Embedded piezoresistive cement-based stress/strain sensor. - Sensors and
Actuators A: Physical, Vol. 138, 2007, pp. 294-298.
[9] Fraden, J. Handbook of modern sensor: physics, designs, and applications. 2nd ed. AIP Press-
Springer: New York, 1996.
[10] Torrents, A, K. Azgin, S. W. Godfrey, E. S. Topalli, T. Akin, L. Valdevit. MEMS resonant load
cells for micro-mechanical test frames: feasibility study and optimal design. - J. Micromech.
Microeng., Vol. 20, No. 12, 2010, pp. 1-17. DOI: 10.1088/0960-1317/20/12/125004.
[11] Stavrov, V., Tomerov, E., Stavreva, G., Hardalov, C., Shulev, A., Lateral Displacement MEMS
Sensor, Proc. Eurosensors XXIV, Linz, Austria, 2010, pp. 649-652
[12] Stavrov, V., Todorov, V., Shulev, A., Hardalov. C., MEMS Sensors for mm-Range
Displacement Measurements with Sub-nm-Resolution, Proc. of SPIE Conf. Microtechn, Grenoble,
France, 2013, v. 8763 87632G-1-6A.
[13] Todorov, V., Stavreva, G., Stavrov, V., Contact mode MEMS position sensors with
piezoresistive detection Proc. XXVIII EUROSENSORS 2014, Brescia, Italy.
[14] Stavrov V., Shulev A., Chakarov D., Stavreva G., Force monitoring transducers with more than
100,000 scale intervals, Proc. of SPIE Conf. Microtechn, Barcelona, Spain, 2015, v. 9517 95171Q-
1-6.
[15] Pham, H., Chen, I., Stiffness modeling of flexure parallel mechanism, Precision. Engineering
29, 2005, pp. 467478.
Cite the paper

Dimitar Chakarov, Vladimir Stavrov, Detelina Ignatova, Assen Shulev, Mihail Tsveov, Rumen
Krastev & Ivo Vuchkov (2016). Development of Force Monitoring Transducers Using Novel
Micro-Electromechanical Sensor (MEMS). Mechanics, Materials Science & Engineering
Vol.6, doi: 10.13140/RG.2.2.20337.48487

168
Analytical Simulation of Dynamical Process in One-Dimension Task
Kravets V.V.1, Kravets T.V.2, Fedoriachenko S.A.1, Loginova A.A.1
1 National Mining University, Dnipropetrovsk, Ukraine

2 National University of Railway Transport, Dnipropetrovsk, Ukraine
DOI 10.13140/RG.2.2.20337.34347
Keywords: kinematics forced vibration, mathematical model, analytical solution, dynamic design.
ABSTRACT. We consider a one-dimensional dynamical system, characterized by the kinetic energy of the translational
motion, the potential elastic energy and dissipative function. The system is subjected to external kinematic effects of a
harmonic oscillation. It constitutes a mathematical model of the dynamic process. It is proposed to form an ordered
analytical representation of a dynamic process, characterized by conservatism regarding the index of the root of the
characteristic equation. The structure of the analytical solutions is determined by three components caused by the initial
phase of the system state, kinematic influence of the initial time and the time-varying harmonic influence. The dynamic
process is the superposition of the transition (the first two components) and establish a process corresponding to each of
the roots. The qualitative analysis of the dynamic process provides, depending on the distribution of the roots of the
characteristic equation including resonance and beat. Analytically solved parametric synthesis (dynamic design)
providing the desired distribution of the roots in the complex plane, i.e. the required quality of the dynamic process.
Introduction. The vibrations play an important role in the technics and are the subject of numerous
works, generalized in the fundamental work [1]. The main tool for the study of oscillations in
multidimensional nonlinear dynamical systems are physical and mathematical experiment. Particular
scientific interest presents the individual analytical methods for solving the problem of non-linearity,
which include the method of phase plane, a small parameter, harmonic balance, successive
approximation [2, 3]. The problem of multi-dimensional linear problems is solved by classical
mathematical methods using Laplace transform, residue theorem [4,5]. In this paper, a new form of
analytic representation of dynamic processes, which used in [6] is applied to the problem of vibration
isolation of kinematic external influence. The dynamical scheme of the vibroinsulation task while
kinematical influence is provided on the fig. 1.
Fig. 1. The dynamical scheme of the kinematical influence.
Where mass;
dumping coefficient;
169
rigidity;
, geometric parameters in natural configuration;
() dynamical process;
() kinematical influence.
External kinematic effects rely specified in the form of harmonic oscillations:
() = 0
where frequency of forced vibrations;

0 amplitude of forced oscillations.
Required to find an analytical representation of a dynamic process, depending on the set and varying
system parameters for harmonic kinematic exposure. Mathematical modelling.
A mathematical model of the problem is given in [6] and is as follows:

() + () + () = () + ()

Matrix model in normal form. We introduce the variables:
1 () = ()
{ , .. 2 () = 1 ()
2 () = ()
Where the corresponding coefficients:

11 = ; 12 = ;
21 = 1; 22 = 0;
In addition, force function while external kinematical effect:

1 () = () + ();

2 () = 0.
Then the original differential equation of motion takes the following matrix notation in normal form:
The analytical solution.
A mathematical model corresponds to the following analytical record of the dynamic process for any
kinematic effects () during given initial conditions 0 , 0 and different existing roots 1 , 2 of
characteristic equation [2].

170

1 2 0 1 1 1 1
() = | |+ (0)(1) ()(1)
1 2 1 0 1 2 1 1 2 1
1 1
2 2
0 1 1 1
+ | 1 |+ (0)(1) ()(1)
2 1 1 0 2 1 2 2 1 2
1 1
12
Here the roots of the characteristic equation:| 11 | = 0.
21 22
associated with the dynamic parameters of the system in the form:

1 + 2 = ; 1 2 = .
Due to this, harmonic kinematic effects:
() = 0 , () = 0 ,
power function and its derivatives take the form of:
() = (1 + 2 )0 + 1 2 0 ;
() = (1 + 2 )0 2 + 1 2 0 ;
() = (1 + 2 )0 3 1 2 0 2 ;
() = (1 + 2 )0 4 1 2 0 3 ;
()(4) = (1 + 2 )0 5 + 1 2 0 4 ;
()(5) = (1 + 2 )0 6 + 1 2 0 5 ;
And so forth.
Respectively at initial time moment ( = 0), well get:
() = (1 + 2 )0 ;
() = 1 2 0 ;
() = (1 + 2 )0 3 ;
() = 1 2 0 3;
()(4) = (1 + 2 )0 5;
()(5) = 1 2 0 5 ;
Etc.
171
Where follows:

1 (1)
1 2 4 6
(0) = ( + ) [1 + +]+
1 1 1 2 0
12 14 16
1
1 2 4 6
+ [1 + +]
12 1 2 0 12 14 16
The resulting alternating series converges provided:
2
( ) <1
1
in addition, its sum finds in accordance with [4]:
2 4 6 12
1 + +
12 14 16 12 + 2
Where follows:

1 (1) 12
(0) = 0
1 12 + 2
1
Similarly, we get:

1 (1) 22
(0) = 0 2
2 2 + 2
1
Etc.

1 (1) 12 2 (1 + 2 ) + 12 2
() = 0 2 + 0
1 1 + 2 12 + 2
1

1 (1) 22 2 (1 + 2 ) + 22 1
() = 0 + 0
2 22 + 2 22 + 2
1
Dynamic process is determined by three components corresponding to each of the two roots of the
characteristic equation:

172
() = [(0) ( , ) + (0) ( , , ) + ( , , )]
=1
Where (0) ( , ) transient dynamic process due to perturbations of the initial phase of the system
status:
2
1 2 0 2 1 0
(0) ( , ) = | |+ | |
1 2 1 0 2 1 1 0
=1
(0) ( , , ) unsteady dynamic process caused by harmonic external kinematic disturbance at the
initial time
2
1 12 2 22
(0) ( , , ) = 0 2
1 2 1 + 2 2 1 0 22 + 2
=1
( , , ) stationary dynamic process caused by harmonic external kinematic exposure at the

current time.
2
0
( , , ) = { 3 (1 + 2 ) + [ 2 (12 + 22 + 1 2 ) + 12 22 ]}
(12 + 2 )(22 + 2 )
=1
The stability of the dynamic process.

Stability conditions for a dynamic process determined by the method of Lyapunov [2-3]: 1 < 1,
2 < 1; and taking into account the region of convergence obtained for the harmonic effects of a
power series [4]:
2 2
( ) < 1, ( ) < 1.
1 2
Analytical modeling.
In the case of real and different roots 1 and 2 , satisfying the conditions of stability, transient time
dynamic process tends asymptotically to zero at:
lim (0) ( , ) = 0 lim (0) ( , ) = 0

Fixed dynamic process should be presented in the form of:

173
( , , ) = ( + )
=1
where amplitude and -phase forced harmonic oscillations are known formulas:

= 2 + 2 , =
3 ( + )
1 2 2 (21 +22 +1 2 )+1 2
where = 0 (2 +2 )(2 + 2 ), = 0 (21 + 2 )(22 + 2 )
1 2
Then appears a possible formulation of the problem of finding the optimal distribution of the roots of
the characteristic equation, providing extreme value of the amplitude of forced harmonic oscillations
and subsequent parametric synthesis of a dynamic system for optimal distribution of the roots, using
variable parameters , c.
The occasion of the imaginary roots 1,2 <1 corresponds to a dynamic system stability boundary and
the region of convergence of a power series with the harmonic action:
2
( ) <1

The components of the dynamic process of the following form is used:
2

(0) (, ) = 0 + 0

=1
2

(0) (, , ) = 0
2 2
=1
2
2
(, , ) = 0 2
2
=1
Dynamic process is a superposition of his own harmonic oscillations with a frequency of and forced
harmonic oscillations with a frequency :
() = ( + ) + ( + ).
2
where = 0; = 0 2 2; = 2 + 2 ; = ,
0
here = 0 ; = 0 2 2.


174
Then analytical modeling of the dynamic process is conveniently carried out by vector (phase)
diagrams [7], introduced by rotating vectors corresponding to forced vibrations:
and natural oscillations:

=
where , unit vectors defined as:
= +
= ( + ) + ( + )
Vector resultant of the dynamic process is defined as the vector sum of:
= +
where the resulting vector unit; unit vector:
= ( + ) + ( + )
where , frequency and phase of the resulting dynamic process.

The phase state of a dynamic system is located on the resulting vector using the scalar product of the
form:
() =
By this method, it is possible to analytically model the dynamic process in a wide range of natural
frequencies, including the heartbeat mode (), the resonance mode ( = ).
Summary. For analytical modeling of the dynamic process in the problem of vibration isolation uses
a new form of analytical solutions of inhomogeneous systems of linear differential equations, wherein
the ordering and recording relatively conservative index characteristic equation root. When a
harmonic external kinematic effects of established conditions for the stability of a dynamic process
linking the external oscillation frequency and magnitude of the characteristic equation roots. Analysis
of stable oscillatory dynamic process proposed to carry out the method of vector diagrams. Tasks
dynamic design system analytically solvable by the distribution of the roots.
References
[1] Lobas, L.G., Lobas, Lyudm.G. Theoretical mechanics. Kiev: DETUT, 2009 p.407. (in Russian)

175
[2] de Oliveira, L.R. & de Melo, G.P. J Braz. Soc. Mech. Sci. Eng. (2016) 38: 59. doi:10.1007/s40430-
015-0413-6
[3] Ovchinnikov P.P. Visha matematika [Higher mathematics], part 2, Kyiv, Technika Publ., 2000,
p.797 (in Ukrainian).
[4] Andrianov, I.V., Danishevskyy, V.V. & Kalamkarov, A.L. Nonlinear Dyn (2013) 72: 37.
doi:10.1007/s11071-012-0688-4
[5] Ervin, E.K. & Wickert, J.A. Nonlinear Dyn (2007) 50: 701. doi:10.1007/s11071-006-9180-3
[6] Kravets Victor V., Bass Konstantin M., Kravets Tamila V. & Tokar Lyudmila A.
(2016). Analytical Modeling of Transient Process In Terms of One-Dimensional Problem of
Dynamics With Kinematic Action. Mechanics, Materials Science & Engineering, Vol 2.
doi:10.13140/RG.2.1.4017.0005
Cite the paper

Kravets Victor V., Kravets Tamila V., Fedoriachenko Serhii A. & Loginova Anastasia A.
(2016). Analytical Simulation of Dynamical Process in One-Dimension Task. Mechanics, Materials
Science & Engineering, Vol 6. doi:10.13140/RG.2.2.20337.34347

176
VII. Environmental Safety


177
The Impact of Vehicular Emissions on Air Quality in Uyo, Nigeria
Aondona Paul Ihom1, a, Ogbonnaya Ekwe Agwu1, b, John Akpan John1, c
1 Department of Mechanical Engineering, University of Uyo, Uyo, Nigeria

a paulihom@yahoo.co.uk
b o.agwu4@yahoo.com
c mailjohnjohn001@gmail.com
DOI 10.13140/RG.2.1.1813.7845
Keywords: air quality, pollution, vehicular emission, roads, health implications.
ABSTRACT. Roadways, especially road intersections, contribute in no small way to the degradation of air quality in
modern cities. This is largely due to toxic emissions from the ever-increasing number of vehicles plying these roads. For
rapidly growing cities like Uyo, Nigeria, periodic and quantitative analysis of vehicular emissions may provide knowledge
needed to stave off disastrous air pollution. Consequently, this study characterised vehicular emissions in four different
locations in Uyo metropolis. Particular locations of the study were: Ekpri Nsukara Junction by Nwaniba Road (Station
1), Uyo City Centre (Station 2), Ikot Ekpene Road by Udi Street (Station 3) and Edet Akpan Avenue by Oron Road
(Station 4). Attair 5X Multigas Detector was used to identify and measure the air pollutant concentrations in the four
stations of study from July to September 2015. The average concentration of CO obtained in stations 1, 2, 3 and 4 were
8.5 ppm, 3.58 ppm, 11.08 ppm and 3.50 ppm respectively. The highest average concentration of CO was obtained in
station 3. Also, the mean concentration of NOx and SOx was less than 0.01 ppm in all four stations. These and the other
pollutants measured, H2S, NH3, CO2 and SPM, were found to be well within the habitable range of pollutant concentration
as stipulated by the World Health Organization and other relevant bodies.
1. Introduction. In December 2015, a red alert, signifying very unhealthy air conditions, was
triggered in Beijing, China. As part of the emergency response plan, the government reduced the
number of cars on the road by half whilst consistently monitoring the air quality [1]. Three years
earlier, [2] recommended reduction in vehicular emissions as a means of tackling poor air quality in
China was made. Therefore, the very high levels of air pollution in places like Beijing, are partly
attributable to emissions from the large number of vehicles plying the roads. Not just in Beijing,
vehicular emissions are a big problem in most cities of the world today. This is because these
emissions lower air quality with resultant health implications on animal and human life [3]. In the
south-south Nigeria city of Uyo, vehicular traffic has rapidly increased over the last five years.
Whereas the number of vehicles in Uyo is nowhere near those in Beijing, it is instructive to carry out
a study of local air quality with a view to assessing the pollution levels, as it would amount to fixing
the car whilst the engine is yet running.
Several papers have been published corroborating the fact that roadways are one of the most important
sites for the emanation of dangerous pollutants emitted by vehicles ([2], [5][8]). Significant
reduction in the levels of vehicular emissions and hence air pollution are recorded when vehicle speed
is reduced. [9], [10]. The impact of vehicular emissions on air quality in the Indian city of Calcutta
was assessed by [11]. Vehicular emission samples collected in the city were reported to contain
suspended particulate matter (SPM), NOx, SO2, CO and lead (Pb) with CO at a concentration of
around 7000 microgram/m3 (g/m3) as the leading pollutant [12]. The work also evaluated the effects
of traffic and vehicle characteristics on vehicle emissions near road intersections. They noted that
vehicular emissions depend a great deal on engine loading. Oxides of nitrogen (NO x) were found to
increase with increasing engine loading. Similarly, [13], observed low CO emissions with the increase
of engine capacity. [14] carried out a study very much like present work but in selected heavy traffic
178
areas in Jos, Nigeria. Of the pollutants considered, CO was found to be present in unhealthy levels.
[15] sought to correlate fuel quality improvement with air quality. The study lasted for 10 years
tracing the trends in fuel quality improvements in Bangalore city of India and the resultant effect on
air quality in the city. The paper reported that particulate matter and sulphur dioxide concentrations
decreased as a consequence of the incremental fuel quality norms implemented during the study
period. This occurred despite the near 50% increase in traffic loads.
The effect of outdoor air pollution on human health is destructive. Increase in pulmonary diseases,
lower respiratory infections, lung and urinary tract cancer have all been attributed to breathing
contaminated air [16].
Vehicular emissions are due to the complete or incomplete combustion of hydrocarbon fuel in vehicle
engines. The combustion of hydrocarbons yields different results depending on the nature of
impurities and the extent of combustion. Regardless of fuel composition and purity, the combustion
reaction conforms to the general equation:
Fuel + Oxidiser Products of Combustion + Energy
The oxidiser is commonly the oxygen part of air. Where there is just enough quantity of oxygen to
complete the reaction, the process is said to involve a stoichiometric amount of oxygen. Otherwise,
there may be excess or inadequate amount of oxygen for the combustion process. Often, there is
excess oxygen and the reaction is limited by the amount of fuel available. On the other hand, with
insufficient supply of oxygen, combustion is terminated by the inadequacy of the oxidiser. The
products of combustion are different in both cases.
Complete combustion occurs where there is at least the stoichiometric amount of oxygen required for
the process. The products of complete combustion of hydrocarbon fuels are carbon dioxide and water
[4].
Incomplete combustion is the result of inadequate supply of the oxidizer (oxygen). Carbon monoxide
and carbon are produced instead of carbon dioxide. The products of combustion also include, among
others, oxides of nitrogen and oxides of sulphur.
Consequently, the constituents of vehicular emissions are many and varied, some more dangerous
than others. These contribute in no small way to the reduction of air quality in large and growing
cities of the world. Little wonder that in 2014, the World Health Organisation (WHO) reported several
cases of death related to air pollution globally [3].
Such reports are often based on data obtained from the most advanced countries of the world. The
extent of damage done in less affluent and developing countries are largely not considered. This void
needs periodic completion especially as rural-urban migration is high in such cities. The main
objective of this study then, is to determine the levels of concentration of the different air pollutants
resulting from vehicular emissions in Uyo, Nigeria and compare them to safe standards so that well-
informed and appropriate action or attention is given as quickly as possible before very dangerous
levels are reached. Four key high traffic areas in Uyo metropolis were identified and the research
work was confined to these four stations.
2. Materials and Method.
Materials and Equipment. Equipment for detecting and characterising pollutants in vehicular
emissions have become commonplace even if expensive. The Attair 5X Multigas detector, a portable
device owned by the Research and Development Laboratory of the Ministry of Science and
Technology, Uyo, was used in detecting the amounts of NH3, H2S, NOx, SOx, CO and CO2 in four
high traffic areas of the city. The study areas were: Ekpri Nsukara Junction by Nwaniba Road, Uyo
Town Centre, Ikot-Ekpene Road by Udi Street and Edet Akpan Avenue by Oron Road.

179
Method. The catalytic sensor of the Multigas detector when turned on and exposed to the
environment is capable of detecting and displaying readings of the gaseous pollutant concentration in
the surroundings. Readings were taken in the monitoring stations over a period of three months (July
September, 2015). Twice during every month of study, the air quality index parameters were
measured during periods of peak vehicular activity in each station.
The amount of suspended particulate matter in these study areas were determined using a less
sophisticated process: In the petri dish, filter paper was dried in an oven at 105 C for an hour, allowed
to cool in a desiccator for half an hour before weighing and the result recorded as W1.
The filter paper in the petri dish was placed uncovered at a strategic position at a point of interest for
a period of 2 hours. At the expiration of the period, it was covered and taken to the laboratory. The
set-up was dried in the oven at the same temperature (105oC) for 15minutes and then removed from
the oven and allowed to cool in the desiccator for 30mins before weighing and the result recorded as
W2. Using the formula below, the concentration of suspended particulate matter was calculated.
(2 1 )106 (1)
= g/m3

where SPM refers to the concentration of suspended particulate matter in g/m3;

W1 and W2 are respectively, the initial and final weight of filter paper in grams;
V is volume of petri dish in m3.
3. Results and Discussion.
Results. The results of the study are presented below:
Average Concentration of NOx and SOx in the

monitored stations over 3 months
0.03
0.025
Concentration (ppm)
0.02
0.015
0.01
0.005
0
Station 1 Station 2 Station 3 Station 4 WHO/NAAQS
2010
NOx SOx
Fig. 1. Average Concentration of NOx and SOx in the monitored stations.

180
Average concentration of CO, H2S and NH3 in the

monitored stations over 3 months
30
25
Concentration (ppm)
20
15
10
0
2010
CO Hydrogen Sulphide Ammonia
Fig. 2. Average Concentration of CO, H2S and NH3 in the monitored stations.
Average concentration of CO2 in the

monitored stations for the period of study
600
Concentration (ppm)
500
400
300
200
100
0
2010
Fig. 3. Average Concentration of CO2 in the monitored stations.

181
Average concentration of SPM in the

monitored stations for the period of study
200
180
Concentration (g/m3) 160
140
120
100
80
60
40
20
0
2010
Fig. 4. Average Concentration of SPM in the monitored stations.
Discussion. Seven different air quality index parameters were examined across the selected four
stations. In all charts and tables, the amounts of NOX, SOX, CO, CO2, H2S, NH3 were measured in
part per million (ppm) whereas the values of suspended particulate matter (SPM) was rendered in
micrograms per cubic metre (g/m3).
From Fig. 1, NOx and SOx are found to have similar concentrations across all four stations studied.
For both pollutants, the highest average concentrations occur in stations 1 and 3. The top NOx
concentration was 0.020 ppm measured in stations 1 and 3. This is 20% lower than the value (0.025
ppm) considered inhabitable by the National Ambient Air Quality Standards (NAAQS). The peak
concentration of SOx across the stations (0.01 ppm) is similar to the average values (Fig. 1) and falls
well within acceptable levels as further illustrated in Fig. 1.
Fig. 2 displays the average concentrations of three more pollutants: CO, H2S and NH3. H2S and NH3
are found in small amounts in stations 1 and 3, but are virtually non-existent in the other two stations.
The highest concentration of CO (18 ppm) occurred in station 3. This single peak value is a little
worrisome as the NAAQS benchmark is 20 ppm. However, further readings over the course of three
months presented an average CO concentration of about 11 ppm a lot less disturbing Fig.. The
presence of NH3 and H2S may be as a result of the waste bins containing biodegradables close to
where the readings were taken. Nevertheless, the levels of all three pollutants recorded were found to
be well below dangerous values. The highest average concentrations occur in stations 1 and 3.
Compared to the National Ambient Air Quality Standards (NAAQS), these peak concentrations are
well within acceptable levels as further illustrated in Fig. 1.
Fig. 2 displays the average concentrations of three more pollutants: CO, H2S and NH3. H2S and NH3
are found in small amounts in stations 1 and 3 but are virtually non-existent in the other two stations.
The presence of NH3 and H2S may be as a result of the waste bins containing biodegradables close to
where the readings were taken. Nevertheless, the levels of all three pollutants recorded were found to
be well below dangerous values.
The concentration range of CO2 is between 276 and 384 ppm as shown in Fig. 3. CO2 is largely
implicated in global warming which is why it was evaluated. Compared to the NAAQS, the highest
value of 384 ppm observed in station 1 on day 3 is 36 % less than the acceptable limit of 600 ppm
(WHO and NAAQS, 2010).

182
The results for suspended particulate matter were scattered over the duration of the study. This was
partly due to the method of measuring this index, a procedure that did not take into account the
prevailing wind direction. The average values as shown in Fig. 4 as well as the peak value recorded
were all within a very safe range compared to the NAAQS.
Summary. One of the major sources of air pollution in growing cities like Uyo, Nigeria is vehicular
emissions. Understanding and evaluating the nature and concentration of vehicular emissions is
therefore important in predicting city air quality. This work determined, using the Multi-gas detector,
the different types and concentration of each pollutant in four separate study areas in Uyo over a
period of three months. The air pollution index parameters considered were: oxides of nitrogen
(NOX), oxides of sulphur (SOX), carbon monoxide (CO), carbon dioxide (CO2), hydrogen sulphide
(H2S), ammonia (NH3) and solid suspended particulate matter (SPM). The study was carried out
across the four areas, which are the busiest road intersections in Uyo. Across the four locations,
stations 1 and 3 consistently present significantly higher levels of pollutant concentration than stations
2 and 4. However, it appears there may not be worrying concern of immediate nature concerning air
pollution in the city as emission levels are found to be below the hazardous range set by the World
Health Organisation and other relevant bodies.
Acknowledgement. The authors wish to acknowledge with thanks the contributions of the staff of
Ministry of Science and Technology Uyo Akwa Ibom State who was assigned to us during the course
of this study. We appreciate you for painstakingly ensuring that all the needed measurements were
taken and at the right time.
References
[1] The Guardian, (2015). Beijing's smog 'red alert' enters third day as toxic haze shrouds city.
Available at; http://www.theguardian.com/world/2015/dec/21/beijings-smog-red-alert-enters-third-
day-as-toxic-haze-shrouds-city (Accessed January 18, 2016).
[2] Wang, S. and Hao, J. (2012). Air Quality Management in China: Issues, Challenges and Options.
Journal of Environmental Sciences, 24(1): 2 13.
[3] Ihom, P. (2014). Environmental Pollution Prevention and Control: The Current Perspective (A
review). Journal of Multidisciplinary Engineering Science and Technology, 1(5): 93-99.
[4] Ashley, S. (1979). Thermodynamic Analysis of Combustion Engines. 2nd ed., New York: Wiley,
p. 85.
[5] Skiba, Y. N and Davydova-Belitskaya V. (2003). On the Estimation of Impact of Vehicular
Emissions. Ecological Modelling, (166), 169 184. DOI: 10.1016/S0304-3800(03)00133-9
[6] Clifford, M. J., Clarke, R. and Raffat, S. B. (1996). Local Aspects of Vehicular Pollution.
Atmospheric Environment, 31 (2): 271 276.
[7] Clarke, A. G., Chan, J. M., Pipitsangchan, S. and Azadi-Bougar, G. A. (1996). Vehicular
Particulate Emissions and Roadside Air Pollution. The Science of the Total Environment, 189(190):
417 422.
[8] Mustafa, S., Mohammed, A., Vougias, S. (1993). Analysis of Pollutant Emissions and
Concentrations at Urban Intersections. In: Institute of Transportation Engineers, Compendium of
Technical Papers, 2, pp. 3-5. New Scientist (1999). No. 2173, February 13, 1999.
[9] Gonclaves, M., Jimenez-Guerrero, P., Lopez, E. and Baldasano, J. (2008). Air Quality Models
Sensitivity to On-Road Traffic Speed Representation: Effects on air Quality of 80 km/hr Speed Limit
in the Barcelona Metropolitan Area. Atmospheric Environment, (42), 8389 8402.
[10] Dijkema, M., Van der Zee, S., Brunekreef, B. and Van-Strien, R. (2008). Air Quality Effects of
an Urban Highway Speed Limit Reduction. Atmospheric Environment, (42), 9098 9105.

183
[11] Ghose, M. K., Pual, R., and Banerjee, S. K. (2004). Assessment of the Impacts of Vehicular
Emissions on Urban Air Quality and its Management in Indian Context. Environmental Science &
Policy, (7), 345-351.
[12] Pandian, S., Gokhale, S. and Ghoshal, A. K. (2009). Evaluating Effects of Traffic and Vehicle
Characteristics on Vehicular Emissions Near Traffic Intersections. Transportation Research Part D,
(14): 180-196.
[13] Gokhale, S. and Khare, M. (2005). A Hybrid Model for Predicting Carbon monoxide from
Vehicular Exhausts in Urban Environments. Atmospheric Environment, (39), 4025 4040.
[14] Ola, S. A, Salami, S. J., and Ihom, A. P. (2013). The levels of Toxic Gases; Carbon-monoxide,
Hydrogen Sulphide and Particulate Matter to index Pollution in Jos Metropolis, Nigeria. Journal of
Atmospheric Pollution, 1 (1): 8-11.
[15] Sabapathy, A. (2008). Air Quality Outcomes of Fuel Quality and Vehicular Technology
Improvements in Bangalose City, India. Transportation Research Part D, (13), 449 454.
[16] WHO, (2014). Ambient (Outdoor) Air Quality and Health. Available at
http://www.who.int/mediacentre/factsheets/fs313/en/ (Accessed January 18, 2016).
Cite the paper

Aondona Paul Ihom, Ogbonnaya Ekwe Agwu & John Akpan John (2016). The Impact of Vehicular
Emissions on Air Quality in Uyo, Nigeria. Mechanics, Materials Science & Engineering Vol.6, doi:
10.13140/RG.2.1.1813.7845

184
Utilization of Point Clouds Characteristics in Interpretation and Evaluation

Geophysical Resistivity Surveying of Unstable Running Block
Marcel Brejcha1, Petr Zbral2, Hana Stakov2, Pavel ernota2
1 Data System s.r.o., Dr. Vrbenskho 1, 415 01 Teplice, Czech Republic

2 Technical Univerzity of Ostrava, Faculty of Mining and Geology, Institute of Geodesy and Mine Surveying, 17,
listopadu 15/2172, 708 33 Ostrava-Poruba, Czech Republic
DOI 10.13140/RG.2.1.1577.2401
Keywords: 3D model, point clouds, active rock collapse, point cloud, electrical resistivity tomography.
ABSTRACT. Close to human residences the places often abound where anthropogenic activity and external factors cause
their changes. The changes can often influence their inhabitants life thanks to incipient dangerous places. The project of
successful design of measures to ensure stability of unstable running blocks depends on chosen approaches and primary
resource preparation. Utilization of modern technologies in their taking and processing is required nowadays. The paper
describes the taking and processing of data for project of solution Stabilization of unstable running block in a municipal
settled part with efficient utilization of unusual method of processing of geophysical resistivity method.
1. Introduction. In the paper described way of mapping and interpretation of geophysical survey is
the new approach example of resource preparation for project processing of active rock collapse and
its stabilization in the sandstone massif, which outcrops delimite the Jizera river valley. In last ten
years Mlad Boleslav the city contends with the demonstration of rock collapse in above mentioned
locality. Many active measures were done including breaks of rocky blocks and installation of
protective solid safety nets. Specification of requiring resources from mapping and geophysical
survey was provided in the case of rocky collapse solution in abandoned workings in Rotov (Fig.
1).
2. Definition of technical requirements for surveying activity. Active rock collapse problems are
based particularly on geomorphological pertinence and the characteristics of locality.
Geomorphology of the region and locality is the result of tectonic development and resulting
weathering and its source. Natural processes in the locality are stressed by anthropogenic activity,
historically long-term settled area. Along the river Jizera there is the washtub-shaped valley
counterbored to calcific sandstones, which make bank cliffs, usually in two levels, in the surrounding
of the soluted locality with strong profile on the left side a cut-bank of the river stream.

185
Fig. 1. Area Rozatov.
2.1 Geological connections and description of the area. Locality Roatov is a part of the left bank,
about 7 km long rocky salient, which starts about 2 km northerly and ends in the south of the historical
part of Mlad Boleslav the Old Town, a hump of Mlad Boleslav castle. Natural morphology of the
most substantial part rocky stage, is in many places anthropogenically modelled mining of thick-
bedded sandstones (south of locality Radou and Roatov) and the integration of historical and
modern building on the upper plateau of the stages or in their foothills, usually with the cleaning of
fallen cambering materials in pediment. It causes the highlighting and uncovering of the whole profile
naturally made, almost vertical, and up to 25m high slope (absolute height of the upper edge of the
slope over the horizontal part of pediment).
Locality Roatov is a part of the left bank, about 7 km long rocky salient, which starts about 2 km
northerly and ends in the south of the historical part of Mlad Boleslav the Old Town, a hump of
Mlad Boleslav castle. Natural morphology of the most substantial part rocky stage, is in many
places anthropogenically modelled mining of thick-bedded sandstones (south of locality Radou
and Roatov) and the integration of historical and modern building on the upper plateau of the stages
or in their foothills, usually with the cleaning of fallen cambering materials in pediment. It causes the
highlighting and uncovering of the whole profile naturally made, almost vertical, and up to 25m high
slope (absolute height of the upper edge of the slope over the horizontal part of pediment).
The important road is founded on the lower and younger level of the rock-cut terrace Ptck street,
and the old and new-build constructions along it very often reach the river flats of Jizera (particularly
gardens and meadows).
The dividing of the slope structures and their forms of erosions and cambering has come from the
geomorphological classification.
In connection with the past mining of thick-bedded sandstones in this locality the natural conditions
are strongly anthropogenically changed. Pediment is leveled and maintained, area of accumulation in
the foothill of the quarry face is missing. The origin statement is observable compared with the
continuation of the older stage to north, along the Ptck street.

186
The upper konvex part over the rocky stage is the result of natural processes and anthropogenic
activity. The direct margin over the edge of the face is made of weathering cover from petrean loam.
Its basement complex is represented by slab-disintegrated incoherent sandstones with the
transformation to less weathered thick-bedded sandstones. The phenomenon, which is typical for the
soluted quarry face, is the breaking of triangular blocks with different bulk on the cross of the joints
and opened bedding joints. On the quarry face there are observed frequent breaks with cascade
character, i.e. after the fall of a small block the stability of upper-laying block becomes weaker and
after its fall the block in the upper level releases again, etc.
A few places with potential danger of rocky collapse are identified in the solved quarry face along
the joint systems in the direction of NNW SSE. The total capacity of rock, which can be touched
by this danger, is more than over 100 m3.
2.2 Geodetic surveying and its interpretation
Based on the facts the basic requirements for geodetic surveying realized in the locality have been set
by these criterions:
Detailed 3D model particularly of vertical parts of the rocky massif face;
Surveying of visible bassets of massif;
Possibility of specific identification a evaluation the joint system;
Link to binding reference systems;
Precision of surveying of detailed points with code 3;
Possibility of interpretation of the electric resistivity tomography results;
Economic efficiency (declining of investors costs);
Possibility of realization of subsequent project activities in common CAD program systems.
3 Mapping of solved locality. Locality mapping has been done in these phases:
1. Building and stabilizing of survey points no. 4001 to 4007 by the method GNSS surveying in RTK
mode. Surveying network has been completed with points no. 5001 to 5005 localized directly in the
quarry face (chosen important, unequivocally identified and colorfully different apical formation of
rocky massif). Points no. 4002, 4004 a 4007 were colorfully signed for easy unequivocal
identification during later processing of photogrammetric surveying. After reciprocal surveying of
lengths and directions all the network has been leveled by the method of least squares.
2. Photogrammetrical data capture UAV (by pilotless aircraft) with parameters needed for 3D
modelling with high-resolution (Fig. 2 and Fig. 3). Photogrammetric work were realized in two
phases: taking surveying pictures by the vertically oriented camera (DJI_0001 DJI0043 (Fig. 2) and
by squarely on vertical face of rock massif oriented camera (DJI_0052 DJI_0059 (Fig. 3)).

187
Fig. 2. Point cloud and cameras position.
Fig. 3. Camera location and image overlap.
Proccessing of photogrammetric surveying including final issues for subsequent processing in

Bentley Microstation and AutoCAD was provided by AGISOFT PhotoScan Professional software.
The basic requirement for 3D processing was the final precision of surveying represented by the
standard error of image correlation realized by control points with relation to binding reference
systems S-JTSK and Bpv (Tab. 1).
From the table it is evident, that in case of convenient decomposition of control points in the vertical
part of the quarry face, the results with required conditions can be achieved, even in big amount of
projections and difficult terrain settings. Further deployment of UAV technology in quarry
enviroment can be found in [1], [2] and [3].

188
Table 1. Control Points
In SW Agisoft PhotScan the point clouds were exported in las, dxf and jpeg georeferenced ortophoto
map, for subsequent processing. Administration of heavy data load has been proceed by [4]. The
drawing of wire model was added with geophysical control points surveyed by the polar method with
electric resistivity tomography and with the longitudinal profile axis were constructed from them
(Fig. 4). For subsequent project documentation, the borderline map of plots of land was constructed
by the data resource INSPIRE UZK (Fig. 4). Detailed methodics is described in [5].
Evaluation of joint system in the locality was made by the measuring of direction and inclination
from the space model by the authorial methodology, which allows the measuring the direction and
inclination from the image reconstruction to the cloud of oriented 3D points also in physically
unavailable parts of the joint or rocky salients, as in Rotov locality. The issue of surveying was in
Bentley Microstation provided the joint system drawing in wire model (Fig. 5) and then the rose
diagram of direction and inclination of the joints in the locality (Fig. 6).

189
Fig. 4. ERT profiles.
Fig. 5. Joint system drawing.

190
Fig. 6. Rose diagram of inclination of the joints direction.
4. Setting of the geophysical method Electrical Resistivity Tomography. During the realization
of geomorphological analysis of solved unstable rocky block the geophysical method Electical
Resistivity Tomography (ERT) was used. The base of surveying by ERT is founded on the calculation
of decomposition of resistivity under the earth. The initial preliminary parameter is the measured
electrical potential caused by the passing of direct current between the pair of electrodes. The
disposition of electrodes and other configuration is influenced by local lithological structure and
geological characteristics of solved formation. ERT primary results capture is followed by processing
of survey points by two-dimensional tomographical inversion with their subsequent modification by
the statistic methods. The result is the two-dimensional model of resistivity decomposition under the
earth in the axis of measured profile (Fig. 7). Detailed ERT method description is listed in [6].
Fig. 7. Two-dimensional interpretation of surveying results by ERT of solved rock block.

191
Utilization of ERT for identification of subareal structures supposes preliminary knowledge of the
solved locality. The important atribute of succesful utilization of this method is the creation of
comparison-reference model from the data captured on the base of surveying of the structural
elements in the rock face, from the boreholes and probes. That is why the first ERT surveyed profile
was done close to the rock face.
4.1 ERT results used together with data procured by UAV technology. Spatial objects, which are
represented by point clouds, can be analysed simply with high precision. It was achieved because
new technologies use instruments for processing huge point clouds with high users comfort. At
processing of primary data procured by image correlation, the characteristics of point clouds have
been used to get detailed data about surface qualities of the solved rock massif. For interpretation and
surveying of the formations like joints, cracks and other structures there have been used Carlson Point
Cloud 2016 system, which has a lot of functions available for point cloud analyses. That is why it
was important to find how to use ERT results effectively.
4.2 Transformation of resistivity values surveyed by ERT to point cloud structure. ERT
surveying was realized by specialized company, which during the work acted upon the geodetically
established profiles. Then voxelisation of surveyed values was provided and distribution of electrical
resistivity in the rock massif to the form of grids with measurement 0.2 m (Fig.8). Subsequently their
export to data files in ASCII format was done. This text file contained spatial coordinates of individual
exported points from grid structured expressed by S-JTSK system and relevant electrical resistivity
(Fig. 9).
Fig. 8. Surveyed data in ASCII format.
Fig. 9. Interpretation of electrical resistivity progress in the rock massif in longitudinal profiles.

192
Data structure describing point clouds offers, besides the information about spatial position of
individual points, information about other parameters, for example values R, G, B, describing real
colour of particular points, or intensity of laser ray reflexion [7]. The parameter of reflexion intensity
was used in additional processing of surveyed values by ERT method. Electrical resistivity values in
every point were set to the point cloud as substitution for values of laser reflexion intensity.
Sequentially, after retrieval to programme system Carlson Point Cloud 2016, structure borderlines
were made in the form of vectors. These profiles represented by the spatially localised points were
processed as the point clouds. This way of display was used to create three profiles, surveyed by ERT
method with represented intensity of laser ray reflexion in colour hypsometry. Their interpretation in
Autodesk ReCap system is in Fig. 10 and Fig. 11.
Fig. 10. Display of measured electrical resistivity as a substitution for ray reflexion intensity in
Autodesk ReCap 360.
Such prepared data were added to the point cloud taken by image correlation method from the UAV
technology resources (Fig. 11). This way created spatial model has allowed quality base for detailed
analyses of the condition of the solved unstable rock massif.
Fig. 11. Data combination of rock block surface and measured results ERT in Autodesk ReCap 360.
Summary. The application of described process of mapping by the photogrammetric method added
by surveying of control points of geotechnical research has, compared with earlier research workings
193
in solved areas, unequivocally better basis for a project documentation. Compared with the wire
model, or digital model of terrain, made from data by polar method surveying of detailed points, the
point cloud taken by photogrammetry offers more complex information about the progress of
geological failures and joint system.
CAD software systems for processing of point clouds guarantee the direct measurability of other
important geological information including bedding, direction and inclination. Combined with the
possibility of interpretation of geotechnical research results by electrical resistivity tomography into
the homogenous point cloud together with the digital terrain model, this technique offers the most
complex resources for the structure evaluation of the rock mass, risks of rock collapse and definition
and proposals of available arrangements.
Unequivocal benefit for an investor is the time effectivity of this mapping method. Compared with
earlier used polar mapping method and subsequent difficult processing of results, this method can
save up to 40 % on time, especially in the phase of detailed terrain mapping. The integration of
geotechnical research results allows the complex and effective evaluation of the locality and precise
spatial orientation of problem places. The benefit of this method is illustrated by the fact, that its
utilization is planned in the preparation of arrangements against active rock collapse in other three
localities in the Central Bohemian Region.
References
[1] Gasinec, J.; Gasincova, S.; Trembeczka, E. Robust Orthogonal Fitting of Plane. Inynieria
Mineralna, 2014, 15.1: 713.
[2] Pukanska, K.; Labant, S.; Barto, K.; Gainek, J.; Zuzik, J.: Determination of deformation of
high-capacity tank using terrestrial laser scanning. Acta Montanistica Slovaca, 2014, 19.1: 4146.
[3] Salvini, R., Riccucci, S., Gull, D., Giovannini, R., Vanneschi, C., & Francioni, M. (2015).
Geological application of uav photogrammetry and terrestrial laser scanning in marble quarrying
(Apuan alps, Italy). In Engineering Geology for Society and Territory - Volume 5: Urban Geology,
Sustainable Planning and Landscape Exploitation (pp. 979-983). Department of Environment, Earth
and Physical Sciences and Centre of Geotechnologies CGT, University of Siena, Via Vetri Vecchi
34, San Giovanni Valdarno, Italy. http://doi.org/10.1007/978-3-319-09048-1_188
[4] Bartonk, D., Bure, J.;Opatilov, I.: Workflow for Analysis of Enormous Amounts of
Geographical Data. Advanced Science Letters. 2015, 21(12), 3680-3683. DOI:
10.1166/asl.2015.6540. ISSN 19366612. Dostupn tak z:
http://openurl.ingenta.com/content/xref?genre=article
[5] Polek, J., Souek, P. (2012). Implementing INSPIRE for the Czech.Geoinformatics FCE CTU,
8, 9-16.
[6] Daily, W., Ramirez, A., Binley, A., & LeBrecque, D. (2004/05/01). Electrical resistance
tomography. The Leading Edge, 23(5), 438-442. http://doi.org/10.1190/1.1729225
[7] Pacina, J., Brejcha, M. (2014). Digital terrain models. st nad Labem: J.E. Univerzity in v st
nad Labem, Faculty of environment, 2014. ISBN 978-80-7414-815-6.
Cite the paper

Marcel Brejcha, Petr Zbral, Hana Stakov & Pavel ernota (2016). Utilization of Point Clouds
Characteristics in Interpretation and Evaluation Geophysical Resistivity Surveying of Unstable
Running Block. Mechanics, Materials Science & Engineering Vol.6, doi:
10.13140/RG.2.1.1577.2401

194
Atmosphere Re-Entry Simulation Using Direct Simulation Monte Carlo

(DSMC) Method
Francesco Pellicani1,a
1 Department of Civil and Industrial Engineering , Faculty of Engineering, Universit di Pisa, Pisa, Italy / Institute of
Mechanical Engineering, Faculty of the Science and Technique of Engineering, Ecole Polytechnique Fdrale de
Lausanne, Lausanne, Switzerland
a francescopellicani17@gmail.com
DOI 10.13140/RG.2.2.31445.83684
Keywords: space, re-entry, Monte Carlo, simulation, thermal protection system.
ABSTRACT. Hypersonic re-entry vehicles aerothermodynamic investigations provide fundamental information to other
important disciplines like materials and structures, assisting the development of thermal protection systems (TPS)
efficient and with a low weight. In the transitional flow regime, where thermal and chemical equilibrium is almost absent,
a new numerical method for such studies has been introduced, the direct simulation Monte Carlo (DSMC) numerical
technique. The acceptance and applicability of the DSMC method have increased significantly in the 50 years since its
invention thanks to the increase in computer speed and to the parallel computing. Anyway, further verification and
validation efforts are needed to lead to its greater acceptance. In this study, the Monte Carlo simulator OpenFOAM and
Sparta have been studied and benchmarked against numerical and theoretical data for inert and chemically reactive flows
and the same will be done against experimental data in the near future. The results show the validity of the data found
with the DSMC. The best setting of the fundamental parameters used by a DSMC simulator are presented for each
software and they are compared with the guidelines deriving from the theory behind the Monte Carlo method. In
particular, the number of particles per cell was found to be the most relevant parameter to achieve valid and optimized
results. It is shown how a simulation with a mean value of one particle per cell gives sufficiently good results with very
low computational resources. This achievement aims to reconsider the correct investigation method in the transitional
regime where both the direct simulation Monte Carlo (DSMC) and the computational fluid-dynamics (CFD) can work,
but with a different computational effort.
Introduction. When an atmosphere has to be penetrated, whether it be the Earth's or that of another
planet, the conditions encountered are always extreme because of the heat, pressure and chemical
activity which are encountered. It is evident that spacecrafts have to be protected during atmosphere
entry. This is achieved by installing a TPS (Thermal Protection System) on the vehicle. Since the
1950s, estimation of the heating environment experienced by atmospheric entry vehicles was
achieved using analytical formula that rely on theoretical and empirical correlations. It is clear that
such a simplified hypothesis induces large error margins and consequently a higher safety factor has
to be maintained when designing the TPS. That is why there is the need to improve this field of space
engineering to build a model as closest as possible to what happens in reality in order to obtain exact
previsions of what a thermal shield will encounter during its lifetime. This is done passing from the
use of analytical formulas to numerical simulations, which now are the main tool of investigation in
this field. Space vehicles entering the atmosphere undergo not only different velocity regimes,
hypersonic, supersonic and subsonic, but also different flow regimes, free molecular flow, transition,
and continuum. Each of these flow regimes must be considered during the vehicle
aerothermodynamic design. At the highest altitudes, the interaction of the vehicle with the
atmospheric air is characterized by free molecular flow. In this regime, the air molecules collide and
interact with the vehicle's surface. However, collisions of reflected particles from the surface with
freestream particles are not likely to occur. As the vehicle enters deeper into the Earth's atmosphere,
the mean free path decreases and collisions between particles reflected from the vehicle's surface and
the incoming freestream particles can no longer be ignored. As a result, the flow in this condition
195
defines the transition flow regime, i.e., transition between the free molecular flow regime and the
continuum flow regime. In the transition flow regime, the contribution of aerodynamic forces and
heat flux to the vehicle surface start to increase rapidly with decreasing altitude, causing large changes
in the aerodynamic characteristics of the vehicle when compared with those observed in the free
molecular flow. At such altitudes, strong shock waves are formed in front of the vehicle and new flow
features such as thermodynamic and chemical nonequilibrium become important for the correct
prediction of heating rates and pressure loads acting on the vehicle's surface. As the vehicle continues
to enter into the atmosphere, it finally reaches a dense atmosphere characterized by the continuum
flow regime. In this regime, the flow around the vehicle is examined by means of a macroscopic
model that considers the air as a continuum and the description of the flow is made in terms of spatial
and temporal variations of macroscopic properties, such as velocity, pressure, density and
temperature. The purpose of this research is to provide a valid method which allows the calculation
of the conditions encountered by a spacecraft entering the atmosphere without inertness in the
transitional regime. This kind of regime is borderline for the Navier-Stockes equations applicability.
In pursuit of this goal, flows are investigated by employing the direct simulation Monte Carlo
(DSMC) method instead of the classic Computational Fluid Dynamics (CFD). The use of this kind
of method in the study of hypersonic spacecrafts atmosphere entry at high altitude has been recently
implemented in some software, so it is quite a new technique used to deal with these kinds of
phenomena. The direct simulation Monte Carlo method (DSMC) was almost exclusively developed
by G. A. Bird [1] between 1960 and 1980 and has become one of the most important numerical
techniques for solving rarefied gas flows in the transition regime. The first DSMC solvers were
developed years later initially by Bird himself and then by other researchers. Only recently, after
extensive development, the software is able to provide realistic results. However the diffusion of this
method is still low. In addition, there is not a massive validation of the DSMC technique in the re-
entry study, which guarantees the production of realistic simulations each time it will be used, even
if some results are produced in this way [2].
Therefore the preliminary target of this study is to find the best setting to be used for the DSMC to
have accurate simulations, but at the same time efficient in terms of time, power and resources
consumption. In particular, two types of software are taken into consideration, OpenFOAM and
Sparta. The subject of the study is the Hayabusa capsule, a probe launched by the Japan Aerospace
Exploration Agency (JAXA). The choice of Hayabusa is dictated by the collection of some
aerodynamic data made at point H3 of its re-entry trajectory. This point, at an altitude of 78,8 km
with respect to the Earth's surface, is entirely in the transitional regime so it provides some
experimental data to be compared with the values obtained from the DSMC. In this way, it is possible
also to obtain the second target of this study, that is to validate the program and guarantee the
production of correct results, considering the absence of experience in this field of application.
DSMC method. The DSMC method has its basis on physical concepts of rarefied gases and on the
physical assumptions that form the basis for the derivation of the Boltzmann equation [3]. However,
the DSMC method is not derived directly from the Boltzmann equation. As both, the DSMC method
and the Boltzmann equation are based on classical kinetic theory, then the DSMC method is subject
to the same restrictions of the Boltzmann equation, i.e., restrictions related to diluted gases and the
assumption of molecular chaos. The DSMC method models the flow as a collection of particles or
molecules. Each particle is classified with a position, velocity and internal energy [4]. The state of
the particle is stored and modified with the time as the particles move, collide and interact with the
surface in the simulated physical domain. The assumption of dilute gas (where the mean molecular
diameter is much smaller than the mean molecular space in the gas) allows the molecular motion to
be decoupled from the molecular collisions. The particles movement is modeled deterministically,
while collisions are treated statistically. Since it is impossible to simulate the real number of particles
in the computational domain, a small number of representative particles are used and each one
represents a large number of real particles (nEquivalentParticles). Simulations can contain from
thousands to millions of DSMC particles simulators in rarefied flow problems. A computational grid,

196
representing the physical space to be investigated, is necessary in order to use this method. Each cell
provides a convenient reference for the sampling of the macroscopic gas properties and for the choice
of the potential collision pairs. The DSMC algorithm can be briefly divided into four individual main
steps [5]: 1) move particles over the time step. 2) apply boundary conditions such as introducing new
particles at inflow boundaries and removing particles at outflow boundaries. 3) organize particles into
cells and perform collisions. 4) sample average particle information.
The fundamental parameters in a DSMC simulation are the cell size, the equivalent number of
particles and the time step. The linear dimensions of the cells should be small in comparison with the
length of the macroscopic flow gradients normal to the streamwise directions. In order to accurately
model collisions by using a statistical approach, the cell size should be of the order or smaller than
the local mean free path in the direction of primary gradients [1] [6-7]. This is because in certain
regions, such as in the vicinity of the surfaces, the cell size must be small enough to adequately
capture the steep macroscopic gradients and the flow field physics near the wall. The mean free path
for the Earth's atmosphere at the H3 point according to the U.S. Standard Atmosphere is 3.762e-3 m.
An additional requirement of the DSMC method is related to the minimum number of simulated
particles in the cells. As mentioned earlier, the DSMC method uses a cell-based system for the
sampling of the macroscopic properties and for the selection of collision partners. As the collision
rate is a function of the number of particles in the cells, it is desirable that each cell has the largest
possible number of particles. However, the possible number of collision partners is a function of the
number of particles in each cell. In this scenario, the greater the number of particles, the greater is the
number of possible collision pairs. As a result, it is necessary to determine the optimum number of
particles in each cell; enough to promote statistical accuracy while maintaining realistic
computational expenditure. Thus, it is desirable that each cell has a minimum number around 20 to
30 particles [1]. Another requirement of the DSMC method is the setting of an appropriate time step.
The trajectories of the particles in physical space are calculated under the assumption of the
decoupling between the particle motion and the intermolecular collisions. The time step should be
chosen to be sufficiently small in comparison with the local mean collision time to allow the
uncoupling between the movement and collisions of a set of particles. In addition, if the time step is
too large, particles can cross many cells in one time step and consequently the results may be
inaccurate. On the other hand, too small a time step will result in inefficient computation [8-9]. The
local mean collision time for the problem analyzed is 3.161e-7 s. Considering the data reported
previously, the theoretical initial parameters for the simulation considered are: 1) cell size: 0.001 m.
2) equivalent particles per cell: 20. 3) time-step: 1e-7 s. These parameters are the ones that mainly
rule the simulations. The success of the calculation and also the accuracy of the results depend on
them [10]. In order to examine how these parameters change the results and which are the best ones,
a sensitivity study is performed varying the cell size, the number of particles per cell and the time-
step.
Sensitivity study and simulation optimization. The principal parameters in the sensitivity study are
changed in a schematic way so that it is possible to obtain such a law for variations of the parameters.
The data of each simulation are compared with the mean value of all the simulations to establish the
most accurate [2]. This analysis is also important to understand what is the most efficient way to do
these simulations, in order to find the best way to achieve accurate results, but also an acceptable
computational time, considering that this calculation is very long and resource consuming. From this
preliminary study, efforts have been made to find the correct final time for the simulations, thus the
minimum time for which the variations in the results are not significant. This is another thing to take
into account to establish the most efficient way for the calculation. This study uses simulations
without reactions to obtain results more quickly.
In the sensitivity analysis only some data given directly from the software are considered and they
are taken from the stagnation line. The pressure, overall temperature and Mach number data for the
sensitivity analysis are chosen to be analyzed. In particular the significant data considered are as
follow: (a) the position where the Mach number is equal to 1 which should give the exact position of

197
the shock (Position(x) Ma=1). Indeed, in the conditions analyzed, it is evident the shock is diffused,
there is not a precise discontinuity point, because of the rarefaction of the gas; (b) the part of the
pressure slope where the gradient is higher than one (Shock Layer p). This is a feature of the shock
in a rarefied gas. In fact in a dense fluid, the increase of the pressure in the shock should be vertical,
so it happens in a single point (discontinuity), as anticipated; (c) the maximum temperature (max T)
and the part of the temperature slope where the temperature is higher than 95% of the maximum
temperature reached along the streamline (Shock Layer T). These give an indication about the
accuracy of the simulation, comparing the absolute value reached by the temperature with similar
data deriving from literature, and about the thickness of the shock respectively. For each simulations
the time required by the super computer to complete the calculations and the computational resources,
in terms of RAM Gb, used to evaluate the most efficient simulation are recorded. For each series of
simulations the variations of only one of the principal parameters are considered while the others are
maintained constant at the reference value, the value proposed by Bird. As an example case only the
sensitivity analysis of the number of particles per cell factor for the Sparta software is reported. The
other factors are studied in a similar way. Also the sensitivity analysis of the other software analyzed,
OpenFOAM, is omitted in this article because it is less interesting. In fact OpenFOAM reveals a
certain solidity of the code considering that the variation of the principal parameters, at least in the
range analyzed, does not produce appreciable differences in the results. Also the computational
resources are quite similar for the entire set of simulations and the end time analysis provide the same
result of the Sparta one.
The number of particles suggested by Bird is 20/30 per cell. Starting from this number as the reference
value, a correct sensitivity analysis should have a simulation with both a higher and a lower number
of particles, considering the same factor in both cases. However, a problem arose with Sparta to run
a simulation with a high number of particles, because of some problems linked to the subdivision of
the domain for launching the calculation in a cluster. For this reason, the standard number of particles
per cell was drastically reduced. Besides, the same increasing factor was not used for each case. The
particle factor is analyzed using a reference value of 1 particle per cell. Then the other cases
investigated have a higher number of particles in two cases, respectively of a factor of 10 and 50
compared to the reference value. Instead, one has a lower number of particles by a factor of ten as
reported in Table 1. The values considered related to each case are reported in the following Table 2.
In case III p S, as can be seen, there are no results because the simulation was not able to run due to
the problem explained previously.
Table 1. Parameter chosen for the Sparta sensitivity analysis for the particle factor.
Simulation Particles per Cell nEquivalentParticles Factor
IpS 1 1e16 Ref.
II p S 10 1e15 10
III p S 50 5e14 50
IV p S 0.1 1e17 1/10
Table 2. Values obtained in the Sparta sensitivity analysis for the particle factor.
Simulation Position(x) Ma=1 max T, (K) Shock Layer T Shock Layer p
(m) (m) (m)
IpS 3.550e-2 7.632e4 1.000e-2 5.500e-2
II p S 3.550e-2 7.329e4 2.000e-2 4.000e-2
III p S / / / /
IV p S 2.650e-2 1.046e5 2.000e-3 3.500e-2
The sensitivity analysis provides a complete picture about how the main parameters change the
results. The number of particles per cell is the most sensitive element for the Sparta simulations. The

198
higher the number of particles per cell, the better the results are. That is not so visible in the absolute
numbers reported in Table 3 (where "abs" is for "absolute" and "Diff." for "difference"), but it is clear
from the quality of the curves (see Fig. 1 and 2). In fact, the data from I p S and II p S are quite similar
in the absolute value, but the graphs of the II p S simulation are smoother and more homogeneous
with respect to the I p S ones. The difference is much more evident also in the IV p S. However, if an
attempt is made to increase the number of particles per cell again, a limit will be encountered due to
the lack of computational power for a single computer. However, considering the results and the
quality of the curves, it is possible to say that a number of particles per cell equal to 10 is enough to
obtain excellent results. Besides, if the main interest is only in the absolute values of the results and
an interpolation method is used to obtain graphs from them, also a simulation with 1 particle per cell
produces acceptable results. An in depth examination of the other factors reveals that the time step
factor does not make a big difference to the absolute results. The cell size, like the time step, does not
significantly change the results analyzed. However, the absolute value of the pressure at the capsule
surface is very different for the three simulations considered for the sensitivity analysis of the cell
size factor. The one which produces correct results, or at least, aligned with the value of the other
simulations, is 0.005 m. To sum up, it is possible to conclude that the best setting is when the highest
number of particles per cell is present, but 10 particles per cell is already more than enough. Instead,
it is impossible to derive a proper law of how the results vary with the time step and, considering that
the quality of the results vary very little, it is possible to affirm a best time step does not exist among
those considered. From this sensitivity study the correct value of the cell size is 0.005 m, that is 5
times bigger then the one deriving from Bird's study. According to these final considerations, the best
simulation is the one with 10 particles per cell and a cell size of 0.005 m, where the time step is
irrelevant in the range analyzed.
Table 3. Comparison among the values analyzed in the Sparta sensitivity analysis for the particle
factor.
Simulation Difference Position(x) Ma=1 max T Shock Layer Shock Layer
(m) T p
IpS abs Diff. 5.000e-4 -4.194e3 7.000e-3 -1.800e-3
% Diff. 0.211 5.503 70.020 21.211
II p S abs Diff. 5.000e-4 -1.155e3 -7.000e-3 -3.000e-3
% Diff. 0.211 1.584 15.003 4.292
IV p S abs Diff. -8.500e-3 -3.251e4 1.500e-3 2.000e-3
% Diff. 3.721 31.112 750.653 3.081
Fig. 1. Mach number comparison among the simulations considered in the Sparta sensitivity
analysis for the particle factor.

199
Fig. 2. Overall temperature comparison among the simulations considered in the Sparta sensitivity
analysis of the particle factor.
The computational time and also the resources vary considerably with the number of particles per
cell. It varies from 1h to infinite in the simulations analyzed. The computational resources used for
the other parameters sensitivity analysis are almost equal. From the computational time and resources
analysis it is possible to draw the following conclusions. If excellent results are the main objective,
time will not be important, and the number of particles per cell used will be equal to 10. However, if
the main aim is to discover the most efficient simulation, the choice will be the one with a number of
particles per cell equal to 1, because the absolute results of this simulation are very close to the one
with 10 particles per cell, even if there are a lot of fluctuations. However this aspect could be correct
with an interpolation of the data.
The last part of the sensitivity analysis is about establishing the minimum end time for the simulations
to have steady results. As a preliminary value an end time of 0.005 s has been used. For this study the
end time will be decreased and the same parameters of the previous study will be checked. The aim
is to discover the point from which the variations in the results are sensitive, so higher than the 5%
with respect to the 0.005 s results. The conclusion which come out from this study is that the minimum
end time for such a simulation is 0.001 s, which means about 5 times the time which the flow takes
to cross the characteristic length of the problem.
Validation. In the simulation without reactions it is possible to make a comparison with the
theoretical data obtained using the perfect gas approximation. Considering all the properties of a
perfect gas, the one concerning the volume is not properly respected while the others are all matching
with the case studied. In fact, even if the density considered is very low, it becomes higher in front of
the capsule because of the collisions of the particles with the surface. As a consequence, the pressure
is quite high in this area. Therefore, theoretical results which do not match perfectly with simulation
data can be expected because some hypothesis are not respected, even if not such a big difference is
expected in the case of correct simulations. The results obtained from the shock layer relations, using
as upstream values the ones present at the point considered, H3, are the following visible in Table 4
under the heading "Theoretical". The comparison with the simulation data is shown in the same Table
4. As can be seen, the data from both simulations do not perfectly match the theory ones, as expected.
However they are in the same order of magnitude and the difference is not significant. Moreover, the
theoretical pressure is referred to the value at the shock, but the simulation datum considered is the
value of the pressure just before the capsule surface. In such rarefied conditions, it is difficult to
evaluate the end of the shock to establish what pressure value to take into account, because the shock
layer is wider with respect to the one in the continuous regime. In fact, the increasing part of the
pressure slope is not vertical as in dense fluids. Nevertheless it is possible to see from Fig. 5 that the
pressure slope continues to increase until it reaches the surface of the capsule, where certainly the
discontinuity zone constituted by the shock layer is already finished. Therefore, the pressure values

200
taken into account deriving from the DSMC are overestimated. This means that the pressure value
matches the theoretical data better. It is possible to conclude that the results obtained by the
simulations in the case of absence of reactions can be trusted and the results match what is expected.
Table 4. Pressure and overall temperature values after the shock in the theoretical case and in the
Sparta and OpenFOAM simulation.
Data Theoretical OpenFOAM Sparta
Pressure (Pa) 2.165e3 2.440e3 2.484e3
Overall T (K) 6.807e4 6.613e4 7.329e4
Another source of comparison is found in a simulation done with a CFD software which performs
simulations using Navier-Stockes equations, Eilmer3. In fact, the case analyzed is in a limbo between
the continuum regime and the free molecular regime. In particular, H3 is in the regime called slip
regime, where the fluid is slightly rarefied. Anyway, when the fluid arrives in the zones near the
capsule, it starts to become more and more dense because of the obstacle represented by the capsule
which stops the motion of the particles and makes them concentrate there. In fact, the density grows
approaching the surface and the mean free path decreases. As a consequence, the Knudeus number in
the proximity of the surface, found using as a characteristic length of the problem the radius of the
circular part of the Hayabusa capsule, which is about 0.18 m, shows that the problem belongs
completely to the continuum regime. Therefore the Eilmer3 software, which uses the Navier-Stockes
equations, works in a proper regime. Eilmer3 gives reliable results, in fact it is already widely used
and tested in fluid dynamic simulations. From Fig. 3 to 5 the comparison between the data of the two
software is shown. It is possible to observe that the Sparta curves are very similar to the Eilmer3 ones
in shape, even if they are less refined. However it is important to remember that here the Sparta
simulations are run with a number of particles per cell equal to one, which is not the best number
discovered in the sensitivity analysis. It is possible to notice that the shock in the Sparta simulations
is wider with respect to the Eilmer3 one and this difference is of about 2 cm. The difference in the
width of the shock layer is probably due to some incorrect results obtained from the Sparta software
because the best simulation setting is not used. Nevertheless the difference can be also caused by
Eilmer3 and in particular by its mesh. In fact the results from a CFD simulation are very dependent
on the quality of the mesh. In particular they cannot describe correctly the strong variations in the
physical parameters present in the shock layer if a very refined mesh is not present there. Therefore
a CFD mesh must be built recursively, trying, each time, to refine more the zone where the gradient
of the thermodynamic parameters are stronger, according to the results from the previous simulation.
This iteration work is not done in the present study for reasons of time, but it could curtail the distance
between the width of the shock layer obtained from the two simulations. However the absolute value
of the pressure and temperatures considered are very close in the Sparta and Eilmer3 simulations.
This confirms that the results produced by the DSMC are reliable.

201
Fig. 3. Translation Temperature Comparison between Sparta and Eilmer3.
Fig. 4. Vibration Temperature Comparison between Sparta and Eilmer3 Simulation.
Conclusion. The aim of studying and finding the best setting of both the OpenFOAM and Sparta
DSMC solver, is achieved and shown. Now the software are more easily accessible for anyone
interested in using them. Validation and verification studies of the new DSMC codes have been
undertaken for both inert and chemically-reacting, hypersonic rarefied flows. They have been
assessed against other numerical and analytical solutions for equilibrium conditions. The results for
inert flows showed close agreement for temperatures and pressure with analytical counterparts. The
simulations with chemically-reacting flows demonstrated excellent agreement compared with the
results from an alternative code, Eilmer3, except for the greater thickness of the shock layer with
respect to the term of comparison. The inclusion of chemical reactions in the dsmcFoam calculations
resulted in an alteration of the flow structure with a reduced shock stand-off distance, a significant
reduction in the overall temperature in the shock layer, and a substantial decrease in the predicted
convective heat flux to the vehicle surface when compared with the inert gas case, as expected,
because of the activation of endothermic dissociation reactions.

202
Fig. 5. Pressure comparison between Sparta and Eilmer3 simulation.
Finally, the results presented in this research clearly show a new tool of investigation in the field of
fluid-dynamics is available and reliable, that is the direct simulation Monte Carlo method. It provides
an alternative to the classic CFD in the analysis of slightly rarefied fluids, with extremely low
resources consumption, but at the same time producing acceptable results. In fact, even if the
computational resources used for a single DSMC can be comparable to the ones of CFD, the mesh
creation is simpler with respect to the latter and an iteration in the simulations to model the mesh
zones with higher thermodynamic gradients is not necessary. In addition, the DSMC is the best
method to provide results in the high rarefied flow.
Future work. The last step to officially validate the DSMC solver is the comparison with the
experimental data. Considering that the data collected by the Hayabusa capsule at the point analyzed
are radiative spectra, a further study is necessary to extract them from the data obtained from the
DSMC.
In the near future the research contained in this thesis could be the catalyst for further investigations
starting from numerical trials of the methodology shown. The most useful for the re-entry analysis is
the following. It consists in the implementation, inside the DSMC solver, of surface chemistry
analysis, outgassing and surface ablation from which the direct evaluation of convective and radiate
heating is possible. Another possible way to obtain the same result is to couple already existing
software, used to simulate surface chemistry, outgassing and ablation with Sparta or OpenFOAM
DSMC solver which provide them all with the necessary starting data for the work.
Summary. The knowledge of the conditions encountered during an atmospheric re-entry is crucial
to build a reliable Thermal Protection System (TPS). In the transition regime, where the Navier-
Stockes equations are no longer valid, but also in every other regime, a new numerical method can
be used, the Direct Simulation Monte Carlo Method (DSMC). This new technique is the subject of
this study which is structured as follows:
1) The DSMC and its theory are presented.
2) A sensitivity analysis is conducted on the principal parameters of a DSMC that are the number of
particles per cell, the time step and the cell size. This analysis determines how the parameters setting
changes the simulation results and what the best setting is in terms of realistic results and
computational resources consumption.
3) A validation process is made through the comparison of the data deriving from the DSMC with
the theoretical data and the data coming from another fluid-dynamic simulation made using the
software Eilmer3.

203
References
[1] Bird, G.A. (1994). Molecular gas dynamics and the direct simulation of gas flows. Clarendon
Press.
[2] Palharini, R. C. (2014). Atmospheric Reentry Modelling Using an Open-Source DSMC Code.
University of Strathclyde PhD thesis.
[3] Cercignani, C. (2000). Rarefied gas dynamics: from basic concepts to actual calculations.
Cambridge University Press.
[4] Scanlon, T. J. Roohi, E. White, C. Darbandi, M. and Reese, J. M. (2010). An open source, parallel,
DSMC code for rarefied gas flows in arbitrary geometries. Computer and Fluids, 39:20782089, DOI:
10.1016/j.compfluid.2010.07.014
[5] Boyd, I. D. (2009). Direct Simulation Monte Carlo for Atmospheric Entry. Part 2. Code
Development and Application Results. Hypersonic Entry and Cruise Vehicles. Von Karman Institute
for Fluid Dynamics.
[6] Alexander, F. J. Garcia, A. L. and Alder, B. J. (1998). Cell size dependence of transport
coefficients in stochastic particle algorithms. Physics of Fluids, 10(6):15401542, DOI:
10.1063/1.869674
[7] Alexander, F. J. Garcia, A. L. and Alder. B. J. (2000). Erratum: Cell size dependence of transport
coefficients in stochastic particle algorithms. Physics of Fluids, 12(3):731, DOI: 10.1063/1.869674
[8] Garcia, A. G. and Wagner, W. A. (2000). Time step truncation error in direct simulation Monte
Carlo. Physics of Fluids, 12(10):26212633.
[9] Hadjiconstantinou, N. G. (2000). Analysis of discretization in the direct simulation Monte Carlo.
Physics of Fluids, 12(10):26342638.
[10] Rieffel, M. A. (1999). A method for estimating the computational resquirement of DSMC
simulations. Journal of Computational Physics, 149:95113, DOI: 10.1006/jcph.1998.6140
Cite the paper

Francesco Pellicani (2016). Atmosphere Re-Entry Simulation Using Direct Simulation Monte Carlo
(DSMC) Method. Mechanics, Materials Science & Engineering Vol.6, doi:
10.13140/RG.2.2.31445.83684

204
VII. Information Technologies


205
Comparison of Modeling and Simulation Results Management Microclimate of

the Greenhouse by Fuzzy Logic Between a Wetland and Arid Region
Didi Faouzi 1, N. Bibi-Triki2, B. Draoui3, A. Abne 4
1 Faculty of Science and Technology, Department of Physics, University of Abu-Bakr Belkad, PB 119, Tlemcen,
Algeria
2 Materials and Renewable Energy Research Unit M.E.R.U University of Abu-Bakr Belkad, PB 119, Tlemcen, Algeria
3 Energy Laboratory in Drylands University of Bechar, BP 417, 08000 Bechar Algeria
4 Euro-Mediterranean Institute of Environment and Renewable Energies (123ER) University of Valenciennes, France
DOI 10.13140/RG.2.2.28996.42880
Keywords: modeling, fuzzy logic controller, optimization, simulation, greenhouse, microclimate.
ABSTRACT. Currently the climate computer offers many benefits and solves problems related to the regulation,
monitoring and controls. Greenhouse growers remain vigilant and attentive, facing this technological development. They
ensure competitiveness and optimize their investments / production cost which continues to grow.
The application of artificial intelligence in the industry known for considerable growth, which is not the case in the field
of agricultural greenhouses, where enforcement remains timid. It is from this fact, we undertake research work in this
area and conduct a simulation based on meteorological data through MATLAB Simulink to finally analyze the thermal
behavior -greenhouse microclimate energy.
In this paper, we present comparison of modelling and simulation management of the greenhouse microclimate by fuzzy
logic between a wetland (Dar El Beida Algeria) and the other arid (Biskra Algeria).
I. Introduction. Agricultural greenhouse originally designed as a simple enclosure limited by a

transparent wall, as is the case for conventional tunnel greenhouses and largely answered chapel in
several countries including those of the Mediterranean basin. They amplify certain characteristics of
the surrounding environment, thus involving variations of internal energy and significant heat loss
due to the low inertia [1] of the clamp system.
The first objective is to improve the thermal capacity of the greenhouse (greenhouse).
This is, to characterize the behavior of the complex system that is the greenhouse with its various
compartments [2] (ground, culture, cover, indoor and outdoor environment). To develop non-
stationary mathematical models usable for simulation, optimization [3] and the establishment of laws
and control of simple and effective regulation.
These models must reproduce the essential properties of the mechanisms and interactions between
different compartments. They must be both specific enough to obey the dynamic and real behavior
of the greenhouse system, and small to be easily adaptable to the phases of the simulation.
Good modulation instructions depending on the requirements of the plants to grow under shelter and
outdoor climatic conditions, result in a more rational and efficient use of inputs and equip the best
production performance.
The greenhouse climate is modified by artificial [4] actuators, thus providing the best conditions in
the immediate environment of energy costs and it requires a controller, which minimizes the power
consumption while keeping the state variables as close as possible optimal [5] harvest.
Many facilities have been designed to regulate and monitor climate variables in an agricultural
greenhouse [6], such as: temperature, humidity, CO2 concentration, irrigation, the ventilation [7], etc.
206
The possibilities offered by greenhouse climate computers have solved the problems relating to the
regulation and respect of climate instructions required by protected cultivation.
In this paper, or using fuzzy logic [8-9], which is a powerful way to optimize and facilitate the global
management of modern greenhouse, while providing through simulation interesting and encouraging
which results in an optimization of favorable state variable values for the growth and development of
protected cultivation.
II. State Equation
II.1 Energy balance of the greenhouse. The analytical energy balance equation of the greenhouse:
Stored energy change = Gain from internal sources+ Gain from the sun - Losses due to
conduction through the cover - Losses due to long wave radiation - Unrealized losses
(evaporation) - Losses due to the exchange of air .
STORAGE

dTin
air VGH CP,GH =

+ +..
dt

, +,
[ ( )] . . .

, +, +,

, (1 )( ) 08 , ( ) _

+

1
[ + () ] ( ) (1)
, , +,
+

( ( [ , ]) )

where , , , heat transfer coefficient inside and outside by convection (W/m2.k);

indicates the report saturated with the relative humidity in the sub-model of combustion
(Kg steam / kg air);
heaters is the heat provided by the heating system (W).
II.2 The mass transfer in the greenhouse. The mass balance for moisture in the greenhouse can be
written as following eq. (2) :

207

= ( ) ( ) +

1

+
[ ( )] +

( ( [, ]) ) + ( ) (2)

where the speed of air infiltration (m/s);

the total volume of agricultural greenhouse (m3);
, indoor and outdoor humidity (KJ / kg);
ventilation rate (m3 air / s).
And for the humidity balance:
Rates of change in absolute humidity = Infiltration + Ventilation * (humidity difference with the
outside) + Misting + Cooling + AND - Condensation.
The status of humidity function is eq (3):
= ( ) + ( , ) ( ) +

(3)

The amount of heat provided by evapotranspiration (W).
III. Fuzzy controller modeling

Fuzzy logic is widely used in the machine control. The term "fuzzy" refers to the fact that the logic
can deal with concepts that can not be expressed as the "true" or "false" but rather as "partially true"
[10]. While alternative approaches such as genetic algorithms and neural networks can perform just
as well as fuzzy logic in many cases, fuzzy logic has the advantage that the solution can be cast in
terms that human operators can understand, so that their experience can be used in the design of the
control device. This makes it easier to mechanize the tasks have already been performed successfully
by man (https://en.wikipedia.org/wiki/Fuzzy_control_system).
III.1. Fuzzy inference method Mamdani. Fuzzy inference Mamdani type, as defined for Toolbox
fuzzy logic, expects the output membership functions to be fuzzy sets. After the aggregation process,
there is a fuzzy set for each output variable to defuzzification. It is possible, and in some cases much
more efficient to use a single peak as output membership function, rather than a distributed fuzzy set.
This is sometimes known as singleton output membership function, and we can think like a fuzzy set
of pre defuzzification. It improves the efficiency of defuzzification because it greatly simplifies the
calculation required by the more general method Mamdani that has the center of gravity of a two-
dimensional function [9]
To calculate the output of the SIF in view of inputs, six steps should be followed :
The determination of a set of fuzzy rules.
Fuzzification inputs using the input membership functions.

208
By combining Fuzzificaion entries according to the fuzzy rules to establish a resistance to the
rule.
Find the consequence of rule by combining the resistance to the rule and the output
membership function.
By combining the consequences to get a distribution outlet.
Defuzzification the output distribution.
III. 2. Fuzzy sets. The input variables in a fuzzy control system are generally mapped by sets of
membership functions similar to it, called "fuzzy set". The process of converting a crisp input value
to a fuzzy value is called "fuzzy logic". A control system may also have different types of switch, or
"ON-OFF", inputs and analog inputs and during switching inputs will always be a truth-value of 1 or
0, but the system can handle as simplified fuzzy functions happen to be one value or another. Given
"mappings" of input variables membership functions and truth-values, the microcontroller then makes
decisions for action based on a set of "rules".
2.1 Membership functions
Fig.1 Representation rules of membership.
2.2 Rules of decisions

If
(Ti is TVCOLD) then (FOG1FAN1 is OFF)(FOG2FAN2 is OFF)(FOG3FAN3 is OFF)(NV is
OFF)(Heater1 is ON)(Heater2 is ON)(Heater3 is ON) (1)
If (Ti is TCOLD) then (FOG1FAN1 is OFF)(FOG2FAN2 is OFF)(FOG3FAN3 is OFF)(NV is
OFF)(Heater1 is ON)(Heater2 is ON)(Heater3 is OFF) (1)
If (Ti is TCOOL) then (FOG1FAN1 is OFF)(FOG2FAN2 is OFF)(FOG3FAN3 is OFF)(NV is
OFF)(Heater1 is ON)(Heater2 is OFF)(Heater3 is OFF) (1)
If (Ti is TSH) then (FOG1FAN1 is OFF)(FOG2FAN2 is OFF)(FOG3FAN3 is OFF)(NV is
ON)(Heater1 is OFF)(Heater2 is OFF)(Heater3 is OFF) (1)
If(Ti is TH) then (FOG1FAN1 is ON)(FOG2FAN2 is OFF)(FOG3FAN3 is OFF)(NV is
OFF)(Heater1 is OFF)(Heater2 is OFF)(Heater3 is OFF) (1)
If (Ti is TVH) then (FOG1FAN1 is ON)(FOG2FAN2 is ON)(FOG3FAN3 is OFF)(NV is

209
If(Ti is TEH) then (FOG1FAN1 is ON)(FOG2FAN2 is ON)(FOG3FAN3 is ON)(NV is

IV. Simulation and model validation.
Our model is based on the greenhouse GUESS model that is set for a multi greenhouse chapel, which
each module is 8.5 m wide, 34 m deep and ridge height of 4.5 m. Infiltration rate is 1.1 air changes
per hour, and a U value of 5.76 W / m2.K was used. The model of the plant was set for Douglas
seedling plants were started at 0.57 g dry weight, and harvested 1.67 g dry weight; a new growing
season was recorded at harvest.
A set of hourly data for 2015 (1 January to 31 December) weather station of Dar El Beida Algeria
and Biskra Algeria [6], was used to validate our model as a CSV file that consists of four columns
(global solar radiation, temperature, humidity and wind speed).
The model of the greenhouse was coded using the full version of Windows MATLAB R2012b
(8.0.0.783), 64bit (win64) with Simulink. The simulation was performed on a Toshiba laptop. The
laptop is equipped with a hard drive 700 GB and 5 GB of RAM. Simulink model of the parties were
made in "Accelerator" mode that has first generated a compact representation of Code C of the
diagram, then compiled and executed.
IV.1 Greenhouse Climate Model

210
Fig.2 SIMULINK representation of the greenhouse climate model.
VI.2. Fuzzy logic controller simulation model of the greenhouse

211
Fig. 3. SIMULINK representation of the fuzzy logic controller model.
Discussions on above Fig.s (2-3)

While a complete list of equations may show the relationships between quantities, it provides no
indication of how these equations are to be solved numerically on the computer, let alone how they
are to be expressed and organized as part of the overall model software. Esoteric mathematical
equations must be translated into computer code, which upon compilation and execution translates

212
raw input data into meaningful output. Nothing is said about the different pre and post processing
steps which must taken to go from raw input data to meaningful output graphs.
In a block diagram, each machine or block is described by three sets of variables: The inputs, the state
variables that describe the condition of the machine and the output which depend directly upon the
state. At each time step, the machine or block can be called upon perform to following commands:
Initialize/reset outputs and states
Calculate state derivatives
Integrate state derivatives to calculate future state
Calculate outputs based upon current state
V. Results
The simulation results clearly visualize the actual thermo-energy behavior of agricultural greenhouse,
applying the model of artificial intelligence, namely the application of fuzzy logic in arid and wetland
region (http://www.wunderground.com/cgibin/findweather/getForecast?qery).
Results Simulation for the wetland region (Dar El Beida):
4
x 10
7 Indoor Temperature Distribution
4
freq.
0
10 12 14 16 18 20 22 24 26 28 30
Temp. (C)
Fig. 5. Histogram of the indoor distribution.

213
Temperature
40
30
Temp. (C
20
10
0
0 50 100 150 200 250 300 350 400
Day
Relative Humidity % of 100

120
100
80
60
40
20
outdoor indoor
0
0 50 100 150 200 250 300 350 400
Day
Fig. 6. The evolution of humidity and temperature.
Results of the arid region simulation (Biskra):
4
9 x 10 Indoor Temperature Distribution
8
freq .
5
1
0
5 10 15 20 25 30
Temp. (C)
Fig. 7. Histogram shows the distribution of indoor temperature.

214
Temperatures
30
25
20
Temp. (C
15
10
-5
0 50 100 150 200 250 300 350 400
Day

100
80
60
40
20
outdoor indoor
0
0 50 100 150 200 250 300 350 400
Day
Fig. 8. The evolution of humidity and temperature (interior/exterior)
Discussions on above Fig.s (5 - 8):

It is found in the wetland region (Dar El Beida) that most of the internal temperature values are in the
range 14 C to 22 C for autumn winter period and in the range 20 C to 26 C for the spring
summer period in a large variation the temperature during the winter period is autumn due the heat
loss at night , the compensation is insufficient by heating and expensive for this improved thermal
insulation of the cover wall is necessary.
The improvement of the thermal isolation of the cover may be carried out in practice by the addition
of an air bubble plastic layer assembled to the face interior of wall..
During the period spring summer the temperature is within the desired range.
The relative humidity is almost in the interval desired during all the year except at the few days of
half of the summer because of the important vaporization used for the compensation of the
temperature .
But Conversely in the arid region It is found that most of the internal temperature values are in the
range 15 C to 25 C for the autumn winter period, and in the range 20 C to 28 C for the spring
summer period in a large variation the temperature during the winter autumn period is due to heat
loss during the night, clearing heating is insufficient and expensive for this improved thermal
insulation of the covering wall is necessary.
The improved thermal insulation of the cover may be carried out in practice by the addition of an
plastic air bubble layer mounted to the inside wall face.
During the period spring summer the temperature is almost within the desired range except for half
of the summer where the temperature is a little increase.
The use of cooling systems and spray is necessary to lower the temperature in the interval longed for.
However, this solution is insufficient and expensive, for this purpose we should improve the
characteristics of the coverage of the agricultural greenhouse for example thermal insulation or
blanket double wall, which demonstrates improved efficiency of heating and cooling etc.
The relative humidity generally stays close to the optimum for all the year except in summer when
the humidity drops below threshold due to significant vaporization used for temperature
compensation, to resolve this problem adding a screen on the roof of the greenhouse and improving
irrigation can compensate the lack of relative humidity in the arid region.

215
Summary. However, our objective is achieved to the extent that it has been shown through modeling
and control by the use of fuzzy logic, this area is very difficult because it is a multi-control variable,
which the greenhouse is a biophysical system where parameters are highly correlated as shown by
the results. This technique of fuzzy logic that has been adapted to the greenhouse to a promising
future for the climate control and management of the greenhouse. For greenhouse growers, it is a
preferred approach for structuring and knowledge aggregation and as a means of identification of
gaps in the understanding of mechanisms and interactions that occur in the system - greenhouse.
Fuzzy logic is a branch of artificial intelligence, which must point out its advantages and
disadvantages. Its use has led to quite satisfactory results of the control and regulation perspective.
We remain optimistic in the near future, as to the operation of artificial intelligence, including the use
of fuzzy logic, which indicates:
For the control and regulation of the greenhouse microclimate.
By the conservation of energy.
For the efficiency of energy use in the greenhouses operation.
For improved productivity of crops under greenhouses.
In a significant reduction of human intervention.
Acknowledgement
This research was supported/partially supported by [N. Bibi-Triki, B. Draoui, A. Abne]. I thank our
colleagues who provided insight and expertise that greatly assisted the research and we thank
anonymous reviewers for their so-called insights.
References
[1] Bendimerad, S., T. Mahdjoub, N. Bibi-Triki, M.Z. Bessenouci and B. Draoui et al., 2014.
Simulation and Interpretation of the BIBI Ratio CB (.), as a Function of Thermal Parameters of the
Low Inertia Polyethylene Wall of Greenhouses. Physics Procedia, 55: 157-164. DOI:
10.1016/j.phpro.2014.07.023
[2] Bibi-Triki, N., S. Bendimemerad, A. Chermitti, T. Mahdjoub and B. Draoui et al., 2011.
Modeling, characterization and analysis of the dynamic behavior of heat transfers through
polyethylene and glass walls of greenhouses. Physics Procedia, 21: 67-74. DOI:
10.1016/j.phpro.2011.10.011
[3] Faouzi Didi , N. Bibi Triki and A. Chermitti, 2016. Optimizing the greenhouse micro-climate
management by the introduction of artificial intelligence using fuzzy logic. Int. J. Computer Eng.
Technology, 7: 78-92 , Volume 7, Issue 3, May-June 2016, pp. 7892, Article ID: IJCET_07_03_007.
[4] El Aoud, M.M. and M. Maher, 2014. Intelligent control for a greenhouse climate. Int. J. Advances
Eng. Technology, 7: 1191-1205. http://www.e-ijaet.org/media/8I22-IJAET0722618_v7_iss4_1191-
1205.pdf
[5] Abdelhafid Hasni, B., T. Draoui, Boulard, R. Taibi and A. Hezzab, 2008. Evolutionary algorithms
in the optimization of greenhouse climate model parameters. Int. Rev. Comput. Software.
[6] Draoui, B., F. Bounaama, T. Boulard and N. Bibi-Triki, 2013. In-situ modelisation of a
greenhouse climate including sensible heat, water vapour and CO2 balances. EPS Web Conferences,
45: 01023-01023. DOI: 10.1051/epjconf/20134501023
[7] Hasni, A., B. Draoui, T. Boulard, R. Taibi and B. Dennai, 2009. A particle swarm optimization
of natural ventilation parameters in a greenhouse with continuous roof vents. Sensor Transducers
J., 102: 84-93.

216
[8] Bouaama, F., K. Lammari and B. Draoui, 2008. Greenhouse air temperature control using fuzzy
PID+I and Neuron fuzzy hybrid system controller. Proceedings of the International Review of
Automatic Control (IRE.A.CO).
[9] Dhamakale, S.D. and S.B. Patil, 2011. Fuzzy logic approach with microcontroller for climate
controlling in green house. Int. J. Emerg. Technol., 2: 17-19.
[10] Gurbaoui, M., A. Ed-Dahhak, Y. Elafou, A. Lachhab and L. Belkoura et al., 2013.
Implementation of direct fuzzy controller in greenhouse based on labview. Int. J. Electr. Electron.
Eng. Stud., 1: 1-13.
Cite the paper

Didi Faouzi, N. Bibi-Triki, B. Draoui & A. Abne (2016). Comparison of Modeling and Simulation
Results Management Microclimate of the Greenhouse by Fuzzy Logic Between a Wetland and Arid
Region. Mechanics, Materials Science & Engineering Vol.6, doi: 10.13140/RG.2.2.28996.42880

217
IX. Economics & Management


218
The Role of Education in Formation of Knowledge Economy
Tetiana Chumachenko1, Olena Hladun1
1 - State Higher Educational Institution National Mining University, Dnipropetrovsk, Ukraine
DOI 10.13140/RG.2.1.4242.7125
Keywords: knowledge economy, knowledge, education system, innovative economy, competence, professional qualities,
creativity.
ABSTRACT. The article describes conceptual basis of education system for knowledge economy. Using analytical
method, the theoretical aspects of the role of education in formation of innovative economy were studied. It sets out the
tasks education system facing based on the knowledge of the new format. It determines key skills required for preparation
of highly skilled specialists for labour market professional qualities and competence, the basis of effective management
and entrepreneurial skills.
Introduction Modern trends in world economic development stipulate necessity of strengthening an

innovative component and a systematic approach to training specialists on the knowledge of new
format, corresponding to the modern requirements and capable to provide strong economic growth.
For this reason, it is important to improve the efficiency of markets and the level of education [1],
forming a system of educational services for knowledge economy.
Analysis of the global education market development showed that education is undergoing a major
transformation under the direct and indirect exposure of the global trends [2]. The term knowledge
economy is increasingly being used not only in relation to developed countries. Although there are
different interpretations of the definition of knowledge economy [3.4], the researchers agree on one
thing without knowledge, their accumulation, development is impossible. Knowledge economy
includes mechanism of production knowledge and technology, concentrated primarily in universities
in form of basic and applied science, research and development, as well as effective protection of
intellectual property system. At the same time, this knowledge is not regarded as a finished product,
but as a process, improving and undergoing evolutionary changes. It is impossible to implement this
knowledge in economy at once without taking into account the level of economic development in
general, and without developed communications system, including formation of a systematic
approach to knowledge transfer - technology transfer. These provisions define the contemporary
trends in the education market, and attitude of the governments to education.
The purpose of the study is to define the conceptual basis of the educational system of for the
knowledge economy, based on the knowledge of new format, which is formed as an innovative
system where competitive advantages are created through investment in human capital by training
qualified specialists for high-tech economy and possess management skills and creative thinking,
having developed entrepreneurial skills.
Today, competition is shifting towards creation and development of knowledge. The company's
future is determined by the ability to create and accumulate knowledge. The nature of knowledge
required in contemporary labour market has changed. If earlier knowledge should be more formal
and materialized in the form of clear instructions, standards and technologies, today the speed of
creating and updating of knowledge has sharply increased, and their volume increased significantly.
The business related to intellectual work: software development, development of science and
technology, are developed actively. In these areas, the ideas are valued above all else. Many countries
are already beginning to realize that the future prosperity of their economies depends on the

219
innovation flow, and the ability to think creatively is becoming more important than formal education.
Creativity - today is not a luxury, but a means of survival. Companies entice each other's employees
who are able to think outside the box or create inside their structures the conditions in form of courses,
seminars and trainings to enhance the creative potential of their employees. The involvement in the
process of higher education institutions can become a part of marketing strategy of universities and
considered as a part of commercialization of higher education institutions through the development
of special education programs. Success depends on how and how quickly educational institutions are
able to adapt to the labour market realities, to prepare specialists of new level, who are able to think
strategically innovation. Universities should not just give a set of specific knowledge through their
educational programs, but to teach students to formulate their idea, to bring this idea to practical
implementation, covering thus the whole complex of relations: from accumulation of knowledge to
production and consumption, thereby contributing to economic development. It puts forward the
relevant requirements to the whole education system.
The impact of technology on economy was studied by many economists, who argued that the
technology is an important determinant of society, as well as each step is a method of production; it
is obvious that with each new stage the humanity rose to a new stage of development [5]. Namely,
the method of production is considered to be a factor determining the institutions of human society,
and not vice versa, and new technologies and new knowledge is the source of economic development
is [6].
Francis Bacon was the first who put forward the idea that in order to improve the living conditions of
any society must it is necessary to develop a science [7].
Analysing the work of economists, the famous theoretician of economics Erik S. Reinert, showed that
Schumpeter and Marx, being supporters of various concepts of economic development, argued that
the capital is fruitless without investment opportunities, and only new technologies and innovations
can provide them. The synergy effect has great importance, because the development of processing
industry enables a country to modernize its agriculture [8], and technological progress, is the primary
source of growth and transformation of society [9].
At the same time, it is possible to see clearly a correlation between scientific discoveries and
innovations, between the development of theory and practice. According to Eric Reinert [10], the
term innovation and attitude of society to it has radically changed during the recent years. To create
and introduce innovations is the pleasant obligation of humanity. However, this process is not
possible without accumulation of new knowledge, and how much wisdom the humanity has
accumulated, it continues year after year to expand the endless boundaries of knowledge [11]. Carlos
Moedas, Commissioner for Research, Science and Innovations of EU, speaking at the World
Economic Forum in Davos said: Most politicians in the world do not realize that there would be no
growth, no jobs and no development if there is no science [12].
Today innovations are the basis of competitive advantages of national economies, which are formed
due to the introduction in the results of scientific and research activities production aimed not only at
optimizing production processes, but also on the formation of non-economic - environmental, social
standards of economic activities of enterprises and their implementation in economy [13].
Thus, in the bases of economic growth as a joint synergy product, along with a purely economic
factor, new knowledge are lying. It is through knowledge, transmitted through innovations and used
in production process, it is possible to reduce significantly the costs that contribute to the growing
impact that, in fact, is a source of economic growth.
Among the basic rules of economic development, two of them directly related to scientific activities:
recognition of importance of training / education and promotion of valuable knowledge. The attitude
to science and education depends on the industry development, since the production process is
considered as a multiplier, which requires knowledge, mechanization, technology, division of labour,
increasing returns, and at the same time it creates them itself [14].

220
As it was rightly noted by American economist James Bright, the only one process that combines
science, technology, economics, entrepreneurship and management is innovation. An innovative
economy is the basis of formation of the knowledge economy. In the works of G. Becker [15]
P. Druker [16], F. Makhlup [17] the definition of the term knowledge economy as a new type of
economy is provided for the first time. Not only economists, but also philosophers and sociologists
work on the development of the ideology of the knowledge economy. However, American economist
F. Makhlup for the first time equated knowledge to the sector of economy, the development of which
determines the development of economy as a whole, the, having introduced the term knowledge
industry and regarding knowledge as the process of transferring them.
However, the invention and innovation, as well as accumulated knowledge lying in the basis of the
modern education could never be recreated on free markets without government interference.
The objectives of the state, tending to development of higher education, are understood as the labour
market needs changes with the development of economy. University graduates more easily adapt to
society than those who only finished school, they actively participate in social activities, commit less
crime, better train their children and rarely get sick because they adhere to a healthy lifestyle. These
are the additional benefits that even more important for the state than the additional income from
higher education for every individual throughout his life.
However, in the transition to mass higher education, the entire educational system has a risk to
develop faster and cheaper forms of education, which will be much less useful for students and
society. Mass leads to reduction of the quality of education, levelling the role of universities in
forming of society, ignoring what has been considered for a long time as the most important goals of
education: strengthening of moral qualities of students and their preparation for life as active,
informed citizens.
Today there is a necessity of reforming the classical model of education. But in order the process start
actively, it is necessary first of all to focus on the question, what is the purpose of education in a
historical and contemporary perspective, to identify correctly the disadvantages of the existing
university education models, and what prevents more personalized, direct and free approach to
education?
The main mission of higher education remains unchangeable - to prepare highly qualified specialists
able to implement their knowledge and competence, creative approach to any process and able to
work on the final result.
In terms of marketing the conceptual model, the sphere of market relations in the system of higher
education is presented by relationship between universities engaged in basic and further training of
young specialists, the labour market, which is the consumer of young professionals and young
professionals themselves as a specific item. University, entering the market of educational products
and services with its educational programs, at the same time produces specialists of various levels
and profiles. Quality of training programs determines the demand for graduates of certain schools
from the labour market.
However, university by offering to all students of the same course in the same faculty the same
educational program, releases different specialists as a result. They differ in degree of assimilation of
the said program, in quality of knowledge, in personal orientation on various aspects of t profession,
etc. Therefore, the university is not the manufacturer of graduates, but educational programs for the
labour market, in the form in which they are mastered by its graduates, that is, entering the labour
market with the results of its educational activities, mediated by the knowledge, professionalism and
skills of graduates. Graduates offer their labour force to enterprises, those, in turn, assess the skills of
this labour force in form of starting salaries and other conditions of employment.
University is interested not only in the fact that its educational programs meet consistent requirements
of the labour market as much as possible, but also that the graduates assimilate this program as fully
as possible. The labour market, in turn, defines the basic standards of the quality of education in form
221
of changes in demand for these or other specialists, clarifying of knowledge and skills, which the
applicants for a certain job must have, and assesses the qualifications of this labor force in form of
salary. On the other hand, the prospect of employment is an important motive that contributes to the
choice of educational products by the main consumer - the graduates of the secondary schools. [18]
The protracted economic crisis in Ukraine showed that employers increasingly need creative, flexible
and adaptable to changes workers. Can the Ukrainian higher educational system, even in light of the
recent legislative changes in the field of educational services, meet the requirements of the labour
market? Probably not, because the existing education system no longer corresponds to the real needs
of economy. In addition, the climate of motivational to knowledge is deteriorated in Ukraine. The
interest of students to the process of education itself reduces and educational programs almost do not
provide personal development. The same trend is observed in relation to scientific research.
Solving these problems is possible through increasing the creative activity of students, the
development of programs to reveal their creativity, develop the potential of functional knowledge and
to teach students not only to think creatively, but also to realize their ideas through the baggage of
theoretical knowledge. Thus, this knowledge is converted into competence, and the presence of a
variety of educational programs, the variability of their use for training throughout life, makes it
possible to increase the human capital of the state.
The attitude of the state to formation of higher education system varies depending on development of
economic processes. Economic globalization forces the governments to invest heavily in training of
new work forces, especially in developing countries. Governments of the countries, where there is a
serious economic downturn, vice versa, begin to reduce funding in higher education, making it more
and more elitist. For someone who is looking for an opportunity to get higher education, it means that
he would bear all costs and risks himself.
The potential students still adhere to the stereotype that if to study hard, enrol to university and get a
diploma, it is possible find a quiet job with good earnings and be in easy circumstances until the end
of life. This explains the fact that 2/3 of secondary school graduates each year tend to enrol in higher
education institutions in Ukraine. Now the situation has changed. Although a degree of higher
education still pays off, the analysis of general trends in the salary market showed that the is no longer
guarantee that education can provide a high-paying job. Most often, work and salary are not
equivalent of received education. The number of unemployed university graduates is steadily growing
in Ukraine. Thus, according to the State Statistics Service, the unemployment among young people
under 25 years makes 23% more than 13% of university graduates remain unemployed, at least 20%
do not work in their specialty. [19] There is a general depreciation of traditional academic education,
so-called inflation of diplomas. The situation is partly rescued by unification of educational programs
of universities in accordance with international standards. Recognition of the national educational
programs opens the borders of the labour market for university graduates.
Mass higher education has led to that in the recent years the level of professionalism of graduates has
dropped to 15%. In traditional system of higher education, students study a very narrow set of
compulsory subjects, because it was believed that the knowledge of these subjects were prospective
in terms of employment, and our politicians even now believe that in future it will be useful for
economy. However, according to businesspersons, university graduates do not have propensity to
innovations, cannot work as a team and do not know how to communicate effectively even with each
other. Today, the professionalism of university graduates is determined not only by academic
knowledge, but is achieved through joining them with practical skills, participation in self-
implemented projects, in a word, what is primarily required by employers.
In order to meet the requirements of modern times, educational system should be integrated into the
complex of education-research-innovation, and the function of universities should be modernized
and adjusted accounting for emergence of new circumstances and needs that require the flexibility of
education system.

222
According to Ken Robinson, the human development cannot be linear [20], and the main purpose of
education is to teach creativity, using non-standard approaches in the process of acquiring knowledge.
The main factor hindering the development of personal qualities is obsession with standardized tests
and, due to financing, the need to teach for tests. The existing educational system, supported by the
development of interactive technologies, unfortunately, teaches us to think alone, whereas the
cooperation of enthusiastic people together, namely, leads to growth and progress.
Higher education institutions, giving professional knowledge, unfortunately, do not teach the culture
of collective relations. The number of bachelors are not so important as how well students develop
cognitive skills such as critical thinking and ability to solve a problem.
Recently, the approach of school graduates to selection of universities has changed. Along with
increasing of popularity of higher education [21], they are more focused on selection of training
programs, basing primarily on the interest to profession. Being guided by the algorithm selection of
a certain specialty - the choice of the university, the applicants, choosing an educational institution,
have given the dominant role to the quality of educational services. It was confirmed by the research
carried out among the students of the Higher Education Institution National Mining University
[22].
The absolute majority of students (90%) consciously treated to a choice of profession, choosing
namely profession, but not institution, therewith 36.5% of them were guided by the interest in their
future profession, and 21.6% believed that the profession would give them the opportunity of good
earnings in future. Only 19% of respondents chose university. The vast majority of students during
the process of education formed a positive opinion about the chosen specialty, which has either
improved after enrolment (40.2%), or the good attitude has not changed (34%).
Slightly more than a half of the respondents intend to work in the specialty after graduation, and 39%
at the time of the survey were undecided on this issue. Only 10% of students after graduation do not
plan to tie their future work with the chosen specialty.
The studies have confirmed that the disadvantage of education system existing in Ukrainian is the
lack of a full-fledged production practices. 35.1% of students consider themselves well prepared
theoretically, but suffer from the lack of practical skills. The students of the fifth year of study of
engineering, computer and economic specialties of the University in assessing of the knowledge
quality noted the importance of the following factors: the educational programs offered by the
institution, including their content and providing of training, the impact of training of the teaching
staff in the skills of graduates and conducting production practices.
The evaluation of each criteria was determined as the quotient from dividing the perception rating on
expectation rating. The quality of education was evaluated on a scale from 0 to 1, according to the
methodology [23]. According to students, the quality educational services of the university is quite
high and lies in the ranges from 0,7 to 0,86 (see. Fig. 1).
Content of education process 0,799 Provision of education process 0,859

Conducting of production practices 0,830 Professional and pedagogical skills 0,70
Fig. 1. Comprehensive assessment of quality of educational services

223
The students of economic specialties mostly suffer from the lack of the practical skills (see. Fig. 2).
Fig. 2. The results of the assessment of educational services quality by the students of different
specialties
Highly appreciated quality of education is supported by the results of the annual research carried out
by the International Chair of UNESCO [24]. According to the rating indicators, the National Mining
University is surely among the TOP-10 of educational institutions of Ukraine. Two-thirds of the
students surveyed have noticed a large number of unnecessary, from their point of view, things that
prevent them to focus on the major disciplines. However, in terms of university education, it is
impossible to prepare a versatile personality, capable to non-standard solutions, having moved to the
dry teaching and learning focusing on several academic disciplines, displacing creative and
humanitarian disciplines from the university. It is also impossible to imagine a qualitative education
without science. The accumulation of knowledge is mostly caused by the need for research. Checking
of their results leads to development of innovation and production, and as a result of the University
improves educational programs, preparing qualified specialists for economy.
The analysis of the major rankings of university activities has shown that the importance of scientific
criteria in them is not less than 20%. By increasing the level of competitiveness of the countries,
education and training of the workforce through the regular access to new knowledge and
technologies may be crucial [25].
Thus, the main tasks facing the education system in Ukraine nowadays are not only administration,
but also the content of educational process, which aims to improve the quality of education. The
creation of infrastructure and facilities that can provide accelerated implementation of the acquired
knowledge in professional activity is also very important. Taking into account the experience of many
foreign universities, it is necessary to expand the training of specialists in the field of innovation
management - the organizers, who have the skills of finding prospective scientific and technical ideas
and practical implementation of innovation, the specialists who are able not only to acquire new
knowledge and technology, but also to implement them.
University graduates must meet not only of the labour market requirements, but also the social
demands of society - to be creative, flexible, possess the skills of critical thinking, to understand their
goals and goals of their society that are able to form a holistic understanding of the world as a system.
The use of another resource of development - cooperation with high-tech companies is strategically
important for universities, improving the educational component, extending the possibility of
obtaining practical skills of students, and not only in the professional sphere. This will give an

224
opportunity to combine education, science and the economy, forming the basis for the knowledge
economy.
The need to perform these tasks is caused by the fact that our national education system is the part of
a global educational space. Without updating the content and application of innovative technologies
in education it is not possible to prepare professionals who meet the requirements for professional
activity in the market conditions. The main scientific and methodical task of universities is to provide
mechanisms for formation of professional competencies in students. The structure of professional
competence must include the skills such as teamwork, ability to acquire new knowledge,
knowledge and willingness to use innovative ideas, studying throughout life and others.
Basing on the fact that the knowledge economy is a new type of economy, which development basis
are the knowledge that produce innovations, it is necessary to reform the education system that will
allow to prepare the specialists, capable to generate new knowledge and technologies. In this type of
economy, science and knowledge are the capital investments for all participants of educational
process - universities with their staff and scientific potential, students, the quality of education of
which provides high-level knowledge and allows meeting the new requirements of the labor market
and employers interested in professional staff. However, the demand on knowledge should be formed
not only by innovative companies, but also, by the state [26]. Failure to recognize this fact can have
serious consequences.
References
[1] V. Simonenko Not ready to breakthrough // Weekly journal 2000, Vol. 8(No. 595).
[2] The shape of things to come: higher education global trends and emerging opportunities to 2020.
[Online]. Available: www.britishcouncil.org/higher-education.
[3] O.V. Starovojt. Economy of knowledge in the strategy of innovational development of science /
.V. Starovoit. [Online]. Available: http://osvitata.com/osvita-ta-ekonomika/ekonomika-znan-u-
strategi-innovatsiynogo-rozvitku-osviti.html.
[4] L.. Fedulova. Economy of knowledge: tutorial / L.. Fedulova; Institution of economy and
forecasting of the National Academy of Sciences of Ukraine. Kiev, 2009. 600 p.
[5] Erik Reinert. Karl Bcher and the Geographical Dimensions of Techno-Economic Change // Karl
Bcher Theory History Anthropology Non-Market Economies / Jurgen Backhaus (ed.).
Marburg, 2000. P. 177222.
[6] UNCTAD, United Nations Conference on Trade and Development (2006). The Least Developed
Countries Report 2006. Developing Productive Capacities, Geneva. URL:
http://www.unctad.org/en/docs/ldc2006_en.pdf.
[7] F. Bekon. Essays: in 2 Vol. Moscow: Mysl, 1978. Vol. 2. p. 78.
[8] E. Reinert. How reach countries became rich and why poor countries remain poor. Moscow:
Editorial House of the State University Higher School of Economy, 2011, p.51.
[9] Johan Akerman. Politik och Ekonomi i Atomalderns Varld. Stockholm, 1954. P.2627.
[10] Erik Reinert, Arno Mong Daastol. Exploring the Genesis of Economic Innovations: The
Religious Gestalt-Switch and the Duty to Invent as Preconditions for Economic Growth // European
Journal of Law and Economics. 1997. Vol.4. No. 2/3. P.233283.
[11] Koyre Alexandre . From the Closed World to the Infinite Universe. Baltimore, 1957.
[12] Results of economic forum in Davos 2016 [Online]. Available:
http://hyser.com.ua/economics/mezhdunarodnyj-forum-v-davose-podvedenie-itogov.-57015
[13] T.N. Chumachenko. The role of science in innovational development of Ukraine. .N.
Chumachenko // Innovations in business establishment and management: materials of the V

225
International Science Conference of lecturers, staff and postgraduates: Digest of articles. Moscow,
15-17 of October, 2014.- Moscow: RUDN, 2014, p.112-118.
[14] E. Reinert. How reach countries became rich and why poor countries remain poor. Moscow:
Editorial House of the State University Higher School of Economy, 2011, p. 63.
[15] G.S. Bekker. Human behavior. Economic crusade. Selected papers on economic theory:
[translated from English] / G.S. Bekker; cons., scientific afterwards editorial R.S. Kapeliushnikov ;
forewards M.I. Levin. Moscow: GUVSHE, 2003. 672 p.
[16] Piter F. Drucker. Gap era: the reference points for our changing society / F.P. Drucker.
Moscow: Williams, 2007. 336 p.
[17] F. Machlup. Production and dissemination of knowledge in the United States / F. Machlup.
Moscow: Progress, 1966. 462 p.
[18] Social monitoring results Educational process in the National Mining University by students
eyes / L.. Kolisnyk, M.V. Mosyondz. Dnipro: State Higher Educational Institution NMU,
2015. 35 p.
[19] Higher education into digital era: crisis and opportunities. Richard Trovatten 19th of July, 2013
[Online]. Available: http://theoryandpractice.ru/projects/richard [20]. Available:
http://www.ukrstat.gov.ua
[21] Ken Robinson. Vocation. How important to find a vocation to change everything M.: Mann,
Ivanov and Ferber, 2009. ISBN 978-5-91657-123-3.
[22] T. Chumachenko, K. Frolov, M.Shuvalova, Marketing researches of educational process./ T.
N.Chumachenko// Majesty of Marketing: Materials of the International conference for the students
and junior research staff. Dnipropetrovsk, SHEI National Mining University, December 2013.
p. 50-52.
[23] L.G. Milyaieva. Marketing research on the market of educational services of country towns //
Marketing in Russia and overseas - 2005.- No 5., p. 6
[24] 200 of the best higher educational institutions of Ukraine [Online]. Available: http://
kpi.ua/web_unesco#sthash.1oiKf6Cz.dpuf.
[25] The Global Competitiveness Report 2015-2016 [Online]. Available:
http://reports.weforum.org/global-competitiveness-report-2015-2016
[26] S. Osipov. Closing speech on scientific session of the General Meeting of Russian Academy of
Sciences // Bulletin of Russian Academy of Sciences. 2003. Vol. 73. No 5. p. 461
Cite the paper

Tetiana Chumachenko & Olena Hladun (2016). The Role of Education in Formation of Knowledge
Economy. Mechanics, Materials Science & Engineering Vol.6, doi: 10.13140/RG.2.1.4242.7125

226
Selection of the Reconstruction Options for Industrial Power Supply System

under Uncertainty Conditions on the Basis of the Game Theory Criteria
Alina Iuldasheva1,a, Aleksei Malafeev2,b
1 PhD Student of Department of Industrial Electric Power Supply, Nosov Magnitogorsk State Technical University,
Magnitogorsk, Russian Federation
2 Candidate of Engineering Sciences of Department of Industrial Electric Power Supply, Nosov Magnitogorsk State
Technical University, Magnitogorsk, Russian Federation
a alinayuldasheva1@gmail.com
b malapheev_av@mail.ru
DOI 10.13140/RG.2.2.34252.41609
Keywords: production risks, game theory, decision criteria, reliability assesment, uncertainty, damage.
ABSTRACT. Research objective: The reliable power supply at a reasonable cost is a fundamental for the development of
any country. Special attention should be paid to the power supply system of industrial enterprises. In the designing, the
operation and the mode planning of this systems it is required to account not only the power supply reliability, but also the
risks associated with operation interruptions. The task of risk assessment is complicated because of such characteristic
feature of industrial power supply system as the uncertainty of information of possible emergency modes, operational
loads, etc.
Methods. The combination of two methods: the sequential network reduction and the Newton's method is proposed for
the calculation of equivalent reliability indices of complex systems. On the basis of reliability calculation the damage
from power supply interruption is determined. The game theory criteria are proposed to use for the decision making in
case of uncertainty. The Wald, Minimin, Hurwicz, Bayes, Hodge-Lehmann, Savage, Laplace, Multiplication, Germeier-
Hurwitz criteria are calculated and analyzed.
Scientific novelty and practical significance. Proposed algorithm for reliability evaluation allows to determine the
probability of no-failure, failure intensity and recovery time. The algorithm can be used to evaluate the reliability of an
existing distribution system and to provide useful planning information regarding improvements to existing systems and
the design of new distribution systems. This algorithm within the PC KATRAN is implemented in the exploitation at
the Iron and Steel Works in Russia. Application of game theory criteria allows toselect the optimal strategy for the power
supply system development and to compare the different variants of normal and repair maintenance schemes of network
in uncertainty conditions.
Introduction.In terms of modern market economy, the financial impact of unreliable power supply
is of great importance. Particular attention should be paid to the reliability of power supply systems
of the energy-intensive industries such as Iron and steel works. Power supply system of a large Iron
and steel work has a number of features: the high level of redundancy, chosen on the design stage;
the significant transformer power that considers development of production; the combination of
explicit and implicit redundancy at all voltage levels; insufficient statistical information on certain
elements outages in 35-220 kV networks. So the accounting of reliability of power supply systems is
nessesary in both the design and the operation of power supply systems of industrial enterprises.
The operation of power supply system of large industrial enterprises with their own power plants and
meshed distribution networks of 110-220 kV, is accompanied by operational risks caused by the
technical condition of electric power grid and substation equipment, the work of relay protection, the
mode management solutions for grid and stations, the investment and energy saving policy. If the
risks associated with equipment failures can be assessed by methods of reliability theory, the risks

227
associated with the decision-making of operational and administrative technical personnel should be
assessed taking into account the specific psychological aspects.
In recent years, the economic crisis at the Iron and steel works has led to an extreme tightening of
energy-saving policy, and therefore the solutions for energy efficiency are often made without taking
into account the reliability of power plants. Reason for that is the relatively low frequency of outages
of any particular consumer. The volume of statistical information on emergency outages is extremely
insufficient to determine the outage probability and the damage. Therefore, the approach allowing to
account the uncertainty should be used for quantitative risk assessment.
1. Review of the literature related to the risk evaluation.With the rapid increase of energy demand,
correct risk evaluation of power supply systems is of immediate interest. Power systems behave
probabilistically because of random nature of load variations and element outages so the risk
assessment in real time is challenging. An effective risk assessment model should provide quantitative
risk indices to represent system reliability [1]. Usually, only failure statistics are used in power system
risk assessment; but the overall system risk is also related to components operation conditions.
Significant works have been dedicated to probabilistic risk evaluation of power supply system and
substation configurations. Commonly used framework for power system risk assessment was
reviewed in [1-3], where the method, use and economic cost were considered in detail. But in this
traditional methodology failure risks of elements, such as circuit breakers and transformers, were not
studied. Generally, the elements risk assessment in substations is made independently [46]. As a
result, there is a lack of a mechanism to transform element operation conditions into failure risks in
the traditional framework.
The risk assessment model of a combinative system of a transmission network and substations was
presented in [4]. Proposed method allows to evaluate system risks considering both transmission
networks and substations by assessing new load limitations at load points for every failure state. As
an improvement, substations are no longer observed as a transmission node and substation
configurations and individual elements, such as breakers and transformers, are linked to system risks
by analysing the statistical data of substation elements. However, the component failure data are still
based on historical statistics and the effect of online element operation conditions cannot be integrated
in risk evaluations. A multi-objective risk assessment framework was presented in [7] and
probabilistic indices for assessing real-time power system security levels were derived. But the
operation risks of elements still were not considered. Failure probability model, which can
demonstrate the influence of surroundings on failure probabilities, based upon the Evidential
Reasoning (ER) theory was developed in [8] for overhead lines. Nevertheless element outage rates
were set as a fixed value, which were not connected to operating conditions of elements. Contingency
identification method of components was presented in [9] and based on the ER theory and the
functional group decomposition principle. In that work, element conditions, such as operating
conditions and monitoring data of power transformers were not considered, and elements were just
observed as part of transmission lines. The ER algorithm [10] is developed for combining evidence
with a firm mathematical foundation, which can be employed to aggregate diagnosis information and
deal with uncertainties. Proposed in [11] method employs ER for component risk assessment and the
Monte Carlo (MC) simulation for system state selections and considers not only historical failure
statistics of transmission systems but also operation failure risks of system components. The ER
approach is used to evaluate element conditions and connect such conditions to failure rates using up-
to-date element operation data (online and offline data).
Different approaches for risk management in renewable energy projects are presented in [12]. In this
work two ways of risks evaluation are proposed: qualitative and quantitative. Qualitative approaches
deal with the evaluation of single risk issues, while quantitative approaches deal with the evaluation
of all risk combined. In qualitative evaluations information is relatively descriptive and mainly
based on expertise, so the results is presented in descriptive (risk register) or graphical (risk mapping)
formats. The risks were identified through a Delphi process and assessed in terms of probability,

228
impact and affected parameter (CAPEX, OPEX, revenues, etc.). The analysis of risks in power supply
systems with renewable energy sources is presented out in [13]. The operational risk of consumers
power supply (ORCS) is used to account the effect of the random nature of weather conditions on the
electricity generation. Proposed method of risk calculation is based on the economic theory of
portfolio analysis. The ORCS determines the probability of consumers required power limitations
due to the random nature of weather changes. The ORCS calculation is required when choosing the
optimal combination of renewable energy sources for the local power grid.
In the paper [14] risk evaluation method is proposed for power grid renovation project in power
market. It presents the risk variables affecting performance of power supply company in power grid
investment activity, and builds the probability distributing functions according to the variables'
physical characteristic, which changes the method fixing power sale quantity, power sale/purchase
price, power supply reliability and loss rate in traditional power grid renovation project technology
and economics evaluation. The method builds risk evaluation model with increment principle and
quantifies power grid investment risk.
In [15-18] authors have developed risk-based measures for various types of security assessment and
various components of the power system. These measures of risk consider only a predefined set of
contingencies, but do take into account the probability of these events, the uncertainty affecting the
future load and other system parameters. Paper [19] states that power system and risk-based approach
to security assessment provides considerably more information to base operating decisions, then the
traditional N-1 security criterion. Authors argues that risk should be evaluated in terms of expected
outage costs to the consumers and the risk calculation should factor in the real probabilities of outages
leading to load interruptions. This paper illustrates how to compare the cost and benefit of relaxing
operating limits with the adaptive deterministic security boundaries application.
In addition to the N-1 criterion, probabilistic risk indices have been developed and used for power
system planning [1, 20, 21]. However, the this risk indices used in selecting planning alternatives do
not include long-term voltage instability risk. In current planning practice, the deterministic long-
term voltage stability analysis [22] for planning alternatives is performed only for N-1 contingencies
without considering probabilities of occurrence of contingencies. Some probabilistic voltage stability
risk indices have been presented in the past years: system-wide risk indices [15, 23, 24] and local risk
indices [25]. The system-wide risk index functions are used to judge whether or not the voltage
instability risk of a system in an objective year meets the requirement in planning, while the local risk
functions are used to identify weak location, where a strengthening is needed to increase system
voltage stability. However these risk indices cannot be used for the planning purpose, because they
do not consider various possible pre-contingency states and have to be recalculated once load level
changes. The paper [26] analyses the long-term voltage stability for the power system planning. The
combination of system-wide and local risk index functions with load level changes are proposed in
[26] to evaluate voltage instability risk for planning alternatives during a whole planning period. The
presented risk index functions are calculated by integrating a quadratic optimisation model into one
single Monte Carlo simulation process. The optimisation model can find the maximum load level for
voltage stability and the Monte Carlo simulation does not need to be repeated during the whole
planning period for a given planning alternative.
A lot of works is dedicated to risk assesment, however non of them could allow to evaluate risks of
industrial power supply system with accounting of all it's characteristic features. Thus, in conditions
of uncertianty the task of development the method for risk assesment for the complex industrial power
supply system is very important today.
2. The methodology for reliability evaluation of industrial enterprise power supply system. The
review of reliability evaluation methods for the power supply system had shown that their application
to the complex power supply system of large industrial enterprise is difficult. The existing methods
suggest different criteria for reliability evaluation and individual detailed analysis of each scheme.
Such methods as table-logical and logic-probabilistic inapplicable for this task because of the extreme

229
complexity of table of expected logical connections or resulting fault tree. Thus, the development of
method for reliability evaluation of large industrial enterprises and its application in the task of
reliability analysis for the power supply systems is of immediate interest.
The the method of sequential network reduction [21] was proposed for equivalent reliability indices
calculation for the meshed network. According to it the block diagram, which represents an analog
of real elements connections of power supply scheme: transformers (T), circuit breakers (CB),
overhead lines (PL), generators (G) and cables, is composed. Possibility of power flow direction
accounting on the network elements is implemented in the algorithm; thus the part of scheme which
is not involved to the electricity transmission to particular consumer will be excluded from the
equivalent reliability indices calculation.
Approach based on the sequential network reduction method [27] for calculation of power supply
systems modes is proposed to determine the reliability indices. Block diagram representing an analog
of real elements connections of power supply scheme (transformers (T), circuit breakers (CB),
overhead lines (PL), generators (G)) is composed on the basis of the power supply scheme. Each
element of the block diagram is represented as a multi-beam star, which form is determined by the
number of element connections. The simplification algorithm is based on the sequential elimination
of elements with the replacement of the n-beam star (fig. 1) by the n-gon (fig. 2) with diagonals
polygon; this operation reduces the number of elements at the each stage of transformation by one.
Fig. 1.Fragment of scheme before excluding node 0.
Fig. 2. Fragment of scheme after excluding node 0.
For the excluded element a set of equations, linking the probability of no-failure of the star p1, p2, p3,
p4 and the sides and diagonals of the polygon p12, p13, p14, p23, p24, p34, is composed. The set of
equations for the considered example has following form:

230
p1 p2 p12 p14 p24 p13 p23 p14 p24 p12 p13 p23 p12 0;
p p p p p p p p p p p p p 0;
2 3 23 12 13 24 34 12 13 23 24 34 23
p3 p4 p34 p24 p23 p13 p14 p24 p23 p34 p13 p14 p34 0;

p1 p4 p14 p13 p34 p12 p24 p13 p34 p14 p12 p24 p14 0;
(1)
p1 p3 p13 p12 p23 p14 p34 p12 p23 p13 p14 p34 p13 0;

p2 p4 p24 p23 p34 p12 p14 p23 p34 p24 p12 p14 p24 0.
The Newton's method [28] was chosen for solving set of equations (1) as the most efficient numerical
iterative method for finding roots of systems of nonlinear equations. Obtained values of the
probability of no-failure combined with existing ones in the scheme according to the rules of series-
parallel reduction[29]: for series connection of 2 elements: pekv =p1p2; for parallel connection:
pekv = p1+p2p1p2.
Before the reliability indices evaluation the steady-state mode calculation is carried out. The results
of mode calculation are used for the consideration of power flow direction. This procedure allows to
exclude from the scheme for reliability indices calculation the part of scheme which is not participate
in electricity transmission to the selected consumer. On the basis of the developed calculation
algorithm in the framework of the program complex (PC) KATRAN [30] the block Reliability was
created. It allows to calculate probability of no-failure pekv the failure flow parameter ekv and the
recovery time TRekv. The calculation algorithm in more detail is described in [31], [32].
3. Application of the reliability evaluation methodology. According to the modernization project
of industrial enterprise the reconstruction of production workshop is planned, that will result to the
increment of load. To meet the new power needs of workshop there is a project of construction of the
power plant which will provide an extra total capacity of 37 MW. The fragment of the power supply
system scheme of workshop is presented on Fig. 3. For the approbation of proposed algorithm the
calculation of the power supply reliability indices of the workshop in different operating conditions
is carried out.
The calculation results are presented in Table 1.
Table 1. Results of calculation of reliability indexes.

Probability of Failure intensity, Restoration
Type of accident
nofailure, pekv ekv, (1/h) time,TRekv, (h)
Normal operating mode 0.9976 0.047 0.0511
I Short circuit on PL "Ss-85 Ss-62",
planned maintenance of PL "Ss-60 Ss- 0.99294 0.071 0.0994
62"
II Planned maintenance on PL "Ss-85
Ss-62", short circuit on PL "Ss-60 Ss- 0.99189 0.075 0.1081
62"
III Short circuit on PL "Power Plant G-
2", planned maintenance on PL "Ss-60 0.99437 0.059 0.0954
G-2"

231
Fig. 3. The fragment of the power supply system scheme of production workshop.
Results had shown that the considered fragment has a high reliability in normal operating mode, but
in some modes, for example when the emergency (short circuit) happens in the process of repair mode
in close areas the recovery time increased by 2 times what leads to the significant economic and
technological damages. In order to reduce the possible damage caused by power supply interruption
the measure for reliability improvement is proposed installation of redundancy feeders. Fig.s 4, 5,
6 and Table 2 show the proposed redundancy options at voltage of 110 kV.
Fig. 4. Redundancy option A1.

232
Table 2. Characteristics of the proposed redundancy options.

K,
Strategy Redundancy option L, km
(mln.RUB)
A1 PL "Ss-62-PowerPlant" 2.8 2.76
A2 HVL branch line PL "PowerPlant -G-25W"
0.1 0.06
Ss-62
A3 PL "Ss-62 Ss-30" 3.6 2.10
4. Damage from power supply interruption. In modern industrial enterprises the equipment of the
first category of the power supply reliability is dominate, as a consequence in tasks of mode planning
the damage control is important. So in planning of industrial power supply system modes it is

233
proposed to make decision not only on the basis of the equivalent reliability indices assessment, but
also taking into account the expected damage from unreliability.
To assess the effects of the most serious outages the VaR-method (Value at Risk) is used [7], the
value of the membership function (confidence level) = 0.02. Damage is represented as a unilateral
fuzzy number with a boundary in the form of the Cauchy curve. The value of the technological
damage DTECH for level:
1
DTECH DB ( D AV DB ) 1 , (2)

where DAV average damage;

DB boundary damage.
This approach is similar to the popular delta-normal method, which is based on the use of normal
distribution fractile and volatility of risk factors, which is acts as its coefficient of variation [8]. The
value of could also be determined by the experts method.
In case of sufficient statistical information about outages in power supply system for particular
enterprise the average damage DAV could be determined on the basis of calculated values of recovery
time:
DAV D0 PTR , (3)
where D0 damage, depending on the type of production, RUB/kWh (for the enterprises of Iron and
steel industry D0=18.3 RUB/kWh);
TR recovery time, h;
P consumer`s load limitiation, kW.
The boundary damage in this case can be calculated approximately on the basis of the coefficient of
variation CV of outage time resulting from processing information about emergency events in the
power supply system:
DB DAV (1 u0,95CV ) , (4)
where u0,95 the quantile of the normal distribution relevant to the confidence probability of 0,95
( u0,95 = 1,67).
The characteristic feature of the large industrial enterprises is the installation of power plants on their
territory. In this regard in case of stopping the power plant equipment, additionally to the
technological damage there will occur the damage caused by underproduction of electric power DSt
by the enterprise power plants, due to the need to purchase electricity at a higher price:
DSt (C g C p )PSt TR , (5)

234
where (Cg Cp) the difference between the cost of electricity generated Cg by enterprises power
plants and purchased electricity Cp, (RUB/kWh);
Pst underproduction of power by local power plant during TR , kW.
For considered redundancy options (Table 2, Fig. 4, 5, 6) damages for different types of possible
accidents are calculated. Type of units installed at the power plant is taken into account for damage
calculation. There are two gas reciprocating units installed according to the reconstruction project.
For example, a steam-turbine plant can stop only in case of auxiliary services supply interruption or
in case of loss of stability. But when the the gas reciprocating units are installed the short circuit in
network can lead to their shoutdown by relay protection and that will result to technological damage
and the damage caused by underproduction of electricity.
The results of damage calculation are presented in Table 3.
Table 3. Damage calculation.

Type of Workshop The damage caused by power supply interruption,
acciden R, h (mln.RUB)
t load value
A1 A2 A3
Initial 1 0.82 0.82
load P 8 6.53 6.53
DTECH
DTECH
1 0.98 0.98
I 1.2
8 7.83 7.83
1 1.14 1.14
No damage
1.4
8 9.14 9.14
Initial 1 0.89 0.82
DTECH+ DSt (G-2)
load P 8 7.10 6.53

DTECH
1 1.06 0.98
II 1.2
8 8.44 7.83
1 1.22 1.14
1.4
8 9.78 9.14
Type of Workshop The damage caused by power supply interruption,
acciden R, h (mln.RUB)
t load value
A1 A2 A3
Initial 1 0.05 0.05 0.05
load P 8 0.4 0.4 0.4
DSt (G-2)
DSt (G-2)
DSt (G-2)
1 0.05 0.05 0.05

III 1.2
8 0.4 0.4 0.4
1 0.05 0.05 0.05
1.4
8 0.4 0.4 0.4
5. The optimal strategy selection in uncertainty conditions. The task of the optimal strategy
selection in mode planning for power supply systems can interfered to game with nature. There are
two types of basic tasks in the games with nature: 1) the problem of decision-making in risk
conditions, when the probabilities with which nature takes every possible state are known; 2) the

235
problem of decision-making under conditions of uncertainty, when it is not possible to get the
information about the probabilities of possible nature state.
The study of games with nature, as well as strategic should begin with composing of a payoff matrix,
which is essentially the most time consuming step in the decision making process.
There are several criteria for the optimal strategy selection in theory of games with nature.
1. The Wald criterion (maximin) is a pessimistic approach. The strategy is chosen accordingly to the
condition max min aij
and coincides with the lower price of the game. This criterion appeals to the
i j
cautious player who looks for ensurance that in the event of an unfavourable outcome, there is at least
a known minimum payoff. This approach may be justified because the minimum payoffs may have a
higher probability of occurrence or the lowest payoff may lead to an extremely unfavourable outcome.
Thus, the measure of efficiency Wi of strategy Ai according to the Wald criterion is minimum gain of
player A: Wi min aij . Price of the game according to the Wald criterion: W max Wi .
1 j n 1i m
2. The criterion of Minimum is an pessimistic and it is selected from the condition of min min aij .
i j
3. The Hurwitz criterion adheres to the intermediate position, taking into account the possibility of
the worst as well as the best behavior of nature. It recommends a strategy defined by the formulas
below.
- for positive-flow payoffs (profits, revenues):
H ( Ai ) A(row max) (1 A)(row min) . (6)
- for negative-flow payoffs (costs, losses):
H ( Ai ) A(row min) (1 A)(row max) . (7)
where A the optimistic coefficient (ranges from 0 to 1). The value of A depends on the player's
responsibility: the higher it is, the closer A to the 1. A cautious player will set A = 1, which reduces
the Hurwicz criterion to the Wald criterion. An adventurous player will set A = 0, so the Hurwicz
criterion may be replaced by maximax criterion.
The optimal strategy will have the maximum value Max(H(Ai)) for positive-flow payoffs, and
minimum value Min(H(Ai)) for negative-flow payoffs.
4. The Bayes criterion. At the primary stage of calculation the measure of efficiency for the each
n
strategy Bi is determined as: B( Ai ) Q j a ij where Q1, ..., Qn - distribution of probabilities of nature
j 1
states. The optimal strategy will have the maximum value Max(B(Ai)) for profits, and minimum value
Min(B(Ai)) for losses.
5. The Hodge-Lehmann criterion is based on the Wald and the Bayes criterion. The efficiency
indicator for each strategy HL(Ai):

236
HL( Ai ) (1 q)Wi qBi , (8)
where q quantitative measure of the player confidence degree to a given distribution of probabilities
qi = p (Pj).
Price of the game on the criterion of the Hodge-Lehmann: Max(HL(Ai)) for profits, Min(HL(Ai)) for
losses.
6. According to the Savage criterion (minimax) the strategy that does not allow excessively high
losses is optimal. The regret matrix is used. It elements reflects the player losses in case when for
each nature state the best strategy will not be chosen. Decision rule is defined as:
1. Transform the payoff matrix X ={Xij} into an regret matrix R ={Rij}.
- for positive-flow payoffs (profits, income):
Rij (column j max) X ij . (9)
- for negative-flow payoffs (costs) where Rij is the payoff (reward) for row i and column j of
the payoff matrix R:
Rij X ij (column j min) . (10)
2. The efficiency indicator for each strategy is determined as the maximum from regret matrix
Max(R(Ai)).
3. The optimal is the strategy with minimum efficiency indicator.
7. The Laplace criterion is stated that to none of the possible nature states Sj, j = 1, ..., n, can not be
given the preference. All of the nature states are considered as of equal probability. This principle is
called the principle of Laplace "insufficient reason". Therefore, if there are n outcomes, the
probability of each is 1/n. The strategy price is determined as:
1 n
L( Ai ) a ij . (11)
n j 1
Strategy with the best L(Ai) is optimal. Best means max for positive-flow payoffs (profits,
revenues) and min for negative-flow payoffs (costs).
8. The Multiplication criterion. The measure of efficiency Pi of strategy:
n
P( Ai ) Qi aij . (12)
j 1
Price of the game: Max(P(Ai)) for profits, Min(P(Ai)) for losses. For the multiplication criterion the
positivity of all the probabilities of nature state and of all player wins is essential.

237
9. The Germeier-Hurwicz criterion as well as the Wald criterion is a criterion highest pessimism of
player, but in contrast to the Wald criterion player makes decision with highest possible
circumspection, and takes into account the probabilities of the nature states Q. The measure of
efficiency:
GH ( Ai ) Min(Q j aij ) (1 A) Max(Q j aij ) A . (13)
Price of the game determined as maximum of measure of efficiency - Max(GH(Ai)).

6. Application of the game theory criteria for the selection of strategy for power supply system
development. To determine the optimal variant of redundancy for the above considered power supply
scheme the payoff matrix is made. Elements of matrix represent the cost of measures to create a
reserve for each strategy taking into account the damage. As uncertain information were considered:
the restoration time TR, load growth and the type of accident. The possible types of accidents are
modelled using a scenario approach. Thus, the payoff matrix of the game include 3 uncertain values
(Table 4). As optimality criterion for strategy selection the costs (including damage value) are
selected.
Table 4. The payoff matrix.

The cost of measures to create a
Type of Workshop
R, (h) redundancy for strategies, (mln.RUB)
accident load value
A1 A2 A3
1 2.76 0.87 0.87
Initial load P
8 2.76 6.58 6.58
1 2.76 1.04 1.04
I 1.2
8 2.76 7.89 7.89
1 2.76 1.20 1.20
1.4
8 2.76 9.19 9.19
1 2.76 0.95 0.87
Initial load P
8 2.76 7.16 6.58
1 2.76 1.11 1.04
II 1.2
8 2.76 8.50 7.89
1 2.76 1.28 1.20
1.4
8 2.76 9.84 9.19
1 2.81 0.11 2.15
Initial load P
8 3.16 0.46 2.50
1 2.81 0.11 2.15
III 1.2
8 3.16 0.46 2.50
1 2.81 0.11 2.15
1.4
8 3.16 0.46 2.50
Graphically considered strategy shown in Fig. 7.

238
C, mln.RUB
10
8
Strategy A1
6 Strategy A2
4 Strategy A3
2
0 Nature state
0 5 10 15 20
Fig. 7. The cost of measures to create a redundancy for the considered strategies.
It can be seen from the Fig. 7 that none of the strategies is dominant, therefore the mentioned above
criteria are used for the optimal strategy selection.
1. Walds criterion. The Walds criterion is a way which the pessimistic player will choose. The
decision maker prefers the highest value of bad conditions. However, according to Wald's criterion,
he should select the maximum of the row minima. So the strategy A1 is selected as optimal (Table 5).
Table 5. The computation results for Walds criterion.

Strategy Minimum value, (mln.RUB)
1 2.76
2 0.11
A3 0.87
2. The strategy A2 is selected as minimal of the row minima (Table 5) under Minimin criterion.
3. According to the Hurwiczs criterion, the player is between pessimistic and optimistic choice.
Hurwicz criterion value is calculated according to (7). Minimum and maximum values of each
strategy has been multiplied by optimistic coefficient (A = 0.6). The lowest calculated value is
selected, so the optimal strategy is A1 (H(Ai) = 2.92 (mln.RUB)).
Table 6. The computation results of Hurwiczs criterion.

Minimum value, Maximum Hurwicz criterion
Strategy
(mln.RUB) value,(mln.RUB) value, (mln.RUB)
1 2.76 3.16 2.92
2 0.11 9.84 4
A3 0.87 9.19 4.20
4. The characteristic feature of selection the optimal strategy by the Bayes criterion is the
consideration of nature states probabilities. In considered example it will be the distribution of
probabilities of operating with different power load (Table 7). Elements of payoff matrix (Table 8)
are multiply by the probabilities (Table 7) and the measure of efficiency for each strategy will be
determined as a sum of values. The strategy A1 with a minimum sum is optimal (Table 9).

239
Table 7. The probability of operating with different power load .

Q1 (for Initial load P) Q2 (for 1,2) Q3 (for 1,4)
0.45 0.3 0.25
Table 8. The payoff matrix costs for average value of recovery time.
I II III
Strategy
1.2P 1.4 1.2P 1.4 1.2P 1.4
1 2.76 2.76 2.76 2.76 2.76 2.76 2.98 2.98 2.98
2 3.73 4.46 5.20 4.05 4.81 5.56 0.28 0.28 0.28
3 3.73 4.46 5.20 3.73 4.46 5.20 2.32 2.32 2.32
Table 9. The computation results of Bayes criterion.

Value of costs multiplied on probabilities, (mln.RUB) Bayes
I II III criterion
Stra
value,
tegy Q2.1.2 Q3.1.4 Q2.1.2 Q3.1.4 Q2.1.2 Q3.1.4
Q1.P Q1.P Q1.P (mln.RUB
)
1 1.24 0.83 0.69 1.24 0.83 0.69 1.34 0.90 0.75 8.50
2 1.68 1.34 1.30 1.82 1.44 1.39 0.13 0.08 0.07 9.26
3 1.68 1.34 1.30 1.68 1.34 1.30 1.04 0.70 0.58 10.95
5. To determine the optimal strategy by the Hodge-Lehmann criterion the values of the Wald (Table
5) and the Bayes (Table 9) criteria are used. For each strategy themeasure of efficiency was calculated
as (8) for different values of q (Table 10). The strategy with minimum H(Ai) selected as optimal.
Table 10. The computation results for Hodge-Lehmann criterion.

Hi , (mln.RUB) Hodge-
W, B, Lehmann
Stra
(mln.RU (mln.RU criterion,
tegy 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
B) B) (mln.RU
B)
7.9 7.3 5.6 5.0 4.4 3.9 3.3
1 2.76 8.50 6.78 6.21 7.93
3 5 3 6 8 1 3
8.2 7.3 4.6 3.7 2.8 1.9 1.0
2 0.11 9.14 6.43 5.53 8.24
4 3 2 2 2 1 1
9.9 8.9 5.9 4.9 3.9 2.8 1.8
3 0.87 10.95 7.93 6.92 9.94
4 4 1 1 0 9 8
6. The Savage criterion focuses on avoiding the worst possible consequences that could result when
making a decision. It views actual losses and missed opportunities as equally comparable. For
decision making the payoff matrix (Table 4) is onverted to the regret matrix (Table 11), using
formula (10), and the minimax rule applied to the regret matrix. The optimal strategy is A1.

240
Table 11. The fragment of Regret matrix and computation results for Savage criterion.
Regret matrix, (mln.RUB) Savage
Str I II III criterion,
ate
gy 1.2P 1.4 1.4 (mln.RUB
1 8 1 8 1 8 1 8 1 8 1 8 )
1.7 1.5 1.8 1.5 2.7
1 1.89 0 0 0 0 0 2.70 2.7
2 6 9 6 0
3.8 5.1 6.4 0.0 4.1 0.0 6.8
2 0 0 0 0 0 6.87
2 3 3 5 9 6 7
3.8 5.1 6.4 3.8 6.4 2.0
3 0 0 0 0 0 2.04 6.43
2 3 3 2 3 4
7. The Laplace criterion can be interpreted as a transition model between the probability/risk model
of decision theory and game theory in that it suggests that in the absence of any probabilities which
could potentially differentiate the payoffs, equal probabilities should be assigned. The value of game
for each strategy according to (11), was calculated. The optimal strategy according to this criterion
is with the minimum measure of efficiency value A1.
Table 12. The computation results for Laplace criterion.

Laplace criterion,
Strategy Sum
(mln.RUB)
1 51.02 2.84
2 57.32 3.18
3 67.47 3.75
8. The Multiplication criterion. The measure of efficiency P(Ai) for each strategy is calculated
according to (12) (Table 13). Strategy A2 corresponding to the minimal measure of efficiency is
optimal.
Table 13. The computation results for Multiplication criterion.

Value of costs multiplied on probabilities
Multiplicatio
Strateg I II III
n criterion,
y . .
Q1 Q2 1.2 Q3 1.4 . .
Q2 1.2 Q3 1.4.
Q2.1.2 Q3.1.4
Q1.P Q1.P (mln.RUB)
P
1.2
1
4 0.83 0.69 1.24 0.83 0.69 1.34 0.90 0.75 0.45
1.6
2
8 1.34 1.30 1.82 1.44 1.39 0.13 0.08 0.07 0.01
1.6
3
8 1.34 1.30 1.68 1.34 1.30 1.04 0.70 0.58 3.59
9. The Germeier-Hurwicz criterion as well as the Wald criterion is a criterion highest pessimism of
player A, but in contrast to the Wald criterion player A makes decision with highest possible
circumspection. The measure of efficiency GH(Ai) for each strategy is calculated according to (13)
(Table 14). Strategy A1 corresponding to the minimal measure of efficiency is optimal.

241
Table 14. The computation results for Germeier-Hurwicz criterion.

I II III Germeier
-Hurwicz
Stra Mi
Q1. Q2.1.2 Q3.1. Q2.1. Q3.1. Q2.1. Q3.1. Max criterion,
tegy .
Q1 P .
Q1 P n
P 4 2 4 2 4 (mln.RU
B)
1.2 0.6
1 0.83 0.69 1.24 0.83 0.69 1.34 0.90 0.75 1.34 1.08
4 9
1.6 0.0
2 1.34 1.30 1.82 1.44 1.39 0.13 0.08 0.07 1.77 1.09
8 7
1.6 0.5
3 1.34 1.30 1.68 1.34 1.30 1.04 0.70 0.58 1.68 1.24
8 8
Results of calculation of all listed above criteria and corresponding to them optimal strategies are
presented in summary Table 15.
Table 15. The optimal strategies and corresponding measures of efficiency.

Criteria values, (mln.RUB)
Strateg
y Wal Mini Hurwic Hodge- Multipli Germeier
Bayes Savage Laplace
d min z Lehmann cation - Hurwitz
1 2.76 2.76 2.96 8.50 7.93 2.70 2.83 0.45 1.08
2 0.11 0.11 4.87 9.14 8.24 6.87 3.15 0.01 1.09
3 0.87 0.87 5.03 10.95 9.94 6.43 3.75 3.59 1.24
Optima
l 1 2 1 1 1 1 1 2 1
strategy
Value
2.76 0.11 2.96 8.50 7.93 2.70 2.83 0.01 1.08
of game
Thus, the A3 strategy is not optimal strategy on any of the criteria. The A2 strategy is the optimal
strategy for the minimin criterion and multiplication criterion. According to the most of criteria (7
out of 9) A1 strategy is optimal, despite the fact that this redundancy option correspond to the highest
capital costs.
Summary. In the article the methods of calculation of equivalent reliability indices and damage from
the power supply interruption for the large industrial enterprice in different operating modes are
presented. Different options of normal and repair schemes could be compared with the help of
proposed algorithm on the basis of calculated reliability indices. Accounting of the power flow
direction allows to calculate the planned operating conditions, in view of the operational
configuration schemes and taking into account changes in load.
The method based on the use of the game theory criteria is used to determine the optimal strategy for
the power supply system development in conditions of initial information uncertainty. The options
for redundancy and different types of emergency modes were analyzed. On the basis of game theory
criteria the optimal option for redundancy with the purpose of reliability increment was chosen. The

242
developed method allows to select options for the power supply system development, taking into
account the operation of its power plants, the values of operational risks, the reliability indices.
References
[1] W. Li, Risk assessment of power systems models, methods, and applications, IEEE Press Series
on Power Engineering, 2005
[2] R. Billinton, W. Li, Reliability assessment of electric power systems using Monte Carlo methods,
Plenum, New York, 1994
[3] R. Ghajar, R. Billinton, Economic costs of power interruptions: a consistent model and
methodology, Electr. Power Energy Syst., 2006, 28, (1), pp. 2935, DOI:
10.1016/j.ijepes.2005.09.003
[4] W. Li, J. Lu, Risk evaluation of combinative transmission network and substation configurations
and its application in substation planning, IEEE Trans. Power Syst., 2005, 20, (2), pp. 11441150,
DOI: 10.1109/TPWRS.2005.846112
[5] W. Tang, K. Spurgeon, Q. Wu,, Z. Richardson, An evidential reasoning approach to transformer
condition assessments, IEEE Trans. Power Deliv., 2004, 19, (4), pp. 16961703, DOI:
10.1109/TPWRD.2003.822542
[6] A. Shintemirov, W. Tang, Q. Wu, Transformer winding condition assessment using frequency
response analysis and evidential reasoning, IET Electr. Power Appl., 2010, 4, (3), pp. 198212,
10.1049/iet-epa.2009.0102
[7] F. Xiao, J. McCalley, Power system risk assessment and control in a multiobjective framework,
IEEE Trans. Power Syst., 2009, 24, (1), pp. 7885, DOI: 10.1109/TPWRS.2008.2004823
[8] G. Zhang, M. Duan, J. Zhang, Power system risk assessment based on the evidence theory and
utility theory, Autom. Electr. Power Syst., 2009, 33, (23), pp. 112, DOI:
10.4028/www.scientific.net/AMM.291-294.2278
[9] Y. Song, C. Wang, N-K contingency identification method under double failure incident based
on evidence theory and functional group decomposition, Proc. Chin. Soc. Electr. Eng., 2008, 28, (28),
pp. 4753
[10] J. Yang, M. Singh, An evidential reasoning approach for multiple attribute decision making with
uncertainty, IEEE Trans. Syst. Man Cybernet., 1994, 24, (1), pp. 118
[11] L. Guo, C. Guo, W. Tang, Q. Wu, Evidence-based approach to power transmission risk
assessment with component failure risk analysis, IET Gener. Transm. Distrib., 2012, Vol. 6, Iss. 7,
pp. 665672, DOI: 10.1049/iet-gtd.2011.0748
[12] Altran Italy (Jean Michelez, Nicola Rossi), Altran Spain (Rosario Blazquez, Juan Manuel
Martin, Emilio Mera), Altran Netherlands (Dana Christensen, Christian Peineke), Altran Germany
(Konstantin Graf, Arthur D. Little, David Lyon, Geoff Stevens).: Risk Quantification and Risk
Management in Renewable Energy Projects, report commissioned by the IEA Renewable Energy
Technology Deployment, 2009
[13] E. Sosnina, A. Shaluho, The method of selection of the optimal combination of renewable energy
for local power systems, Proceedings of the Nizhny Novgorod State Techn. University, 2012, Iss. 3,
p. 215-220
[14] J. Diangong, Risk evaluation model of the power grid investment based on increment principle,
Transactions of China Electrotechnical Society 21(9):18-24, August 2006
[15] M. Ni, J.D. McCalley, V. Vittal, T. Tayyib, Online risk-based security assessment, IEEE Trans.
Power Syst., 2003, 18, (1), pp. 258265
[16] H. Wan, J. McCalley, V. Vittal, Risk based voltage security assessment, IEEE Trans. Power
Syst., 2000, 15, (4), pp. 12471254, DOI: 10.1109/59.898097

243
[17] J. McCalley, A. Fouad, V. Vittal, A. Irizarry-Rivera, B. Agrawal, R.G. Farmer, A risk-based

security index for determining operating limits in stability-limited electric power systems, IEEE
Trans. Power Syst., 1997, 12, (3), pp. 12101219
[18] Q. Chen, J.D. McCalley, Identifying high risk N-k Contingencies for Online Security
Assessment, IEEE Trans. Power Syst., 2005, 20, (2), pp. 823834, DOI:
10.1109/TPWRS.2005.846065
[19] D. Kirschen, D. Jayaweera, Comparison of risk-based and deterministic security assessments,
IET Gener. Transm. Distrib., 2007, 1, (4), pp. 527533, DOI: 10.1049/iet-gtd:20060368
[20] R. Billinton, M. Fotuhi-Firuzabad, L. Bertling, Bibliography on the application of probability
methods in power system reliability evaluation: 1996-1999, IEEE Trans. Power Syst., 2001, 16, (4),
pp. 595602
[21] W. Li, Probabilistic transmission system planning, IEEE Press and Wiley & Sons, 2011
[22] Y. Wang, W. Li, J. Lu, A new node voltage stability index based on local voltage phasors, Electr.
Power Syst. Res., 2009, 79, pp. 265271, DOI: 10.1016/j.epsr.2008.06.010
[23] M. Perninge, L. Soder, Risk estimation of the distance to voltage instability using a second order
approximation of the saddle-node bifurcation surface, Electr. Power Syst. Res., 2011, 81, (2), pp.
625635, DOI: 10.1016/j.epsr.2010.10.021
[24] A. Rodrigues, R. Prada, M. Da Guia da Silva, Voltage stability probabilistic assessment in
composite systems: modeling unsolvability and controllability loss, IEEE Trans. Power Syst., 2010,
25, (3), pp. 15751588, DOI: 10.1109/TPWRS.2009.2039234
[25] J. Yu, W. Li, W. Yan, X. Zhao, Z. Ren, Evaluating risk indices of weak lines and buses causing
static voltage instability, IEEE Power and Energy Society General Meeting, Detroit, Michigan, USA,
July 2011
[26] Juan Yu, Wenyuan Li, Venkataramana Ajjarapu, Wei Yan, Xia Zhao, Approach to trace and
locate long-term voltage instability risk in power system planning, IET Gener. Transm. Distrib., 2013,
Vol. 7, Iss. 5, pp. 483490
[27] V. Igumenshchev, B. Zaslavets, A. Malafeev, O. Bulanova, Yu. Rotanova, The modified method
of successive reduction to calculate complex modes of power supply systems, Industrial Power
Engineering, 2008, Iss. 6, pp. 16-22
[28] V. Zamyshlyaev, O. Kotov, V. Oboskalov, Determination of structural reliability indices of
systems with refusals of the "fault" type, Proc. Int. Sc. Techn. Conf. Power engineering from the point
of view of youth, Yekaterinburg: Russia, 2012, Vol. 1, pp. 534-539
[29] V. Kitushin, The reliability of power systems, Moscow, High school, 1984, 256 p
[30] V. Igumenshchev, A. Malafeev, E. Panova, A. Varganova, O. Gazizova, Yu. Kondrashova, V.
Zinoviev, K. Savelieva, A. Iuldasheva, A. Krubtsova, N. Kurilova, Certificate 2015662725, Russia.
Programme The complex of automated modal analysis KATRAN 9.0, The bulletin. Programme
for the computer, database, TIMS, 2015
[31] A. Iuldasheva, A. Malafeev, Reliability Evaluation for Electric Power Supply Management,
Proc. Int. Sc. Symposium Electrical power engineering 2014, Varna, Bulgaria, 2014, pp. 10-12
[32] A. Malafeev, A. Iuldashev, Accounting for power flow direction in the problem analysis of
structural reliability of power supply systems // Proc. of Higher Education. Russian Electromechanics,
2015, 2, pp. 36-40
Cite the paper

Alina Iuldasheva & Aleksei Malafeev (2016). Selection of the Reconstruction Options for Industrial
Power Supply System under Uncertainty Conditions on the Basis of the Game Theory
Criteria. Mechanics, Materials Science & Engineering Vol.6, doi: 10.13140/RG.2.2.34252.41609

244
Mechanics, Materials Science & Engineering Journal
ISSN 2412-5954
Powered by Magnolithe GmbH

See more at: http://mmse.xyz

245

Mechanics, Materials Science & Engineering Journal Vol 6

Hochgeladen von

Dokumentinformationen

Originaltitel

Copyright

Verfügbare Formate

Dieses Dokument teilen

Dokument teilen oder einbetten

Freigabeoptionen

Stufen Sie dieses Dokument als nützlich ein?

Sind diese Inhalte unangemessen?

Copyright:

Verfügbare Formate

Mechanics, Materials Science & Engineering Journal Vol 6

Hochgeladen von

Copyright:

Verfügbare Formate

Mechanics, Materials Science & Engineering, September 2016 ISSN 2412-5954

MMSE Journal. Open Access www.mmse.xyz

Sankt Lorenzen 36, 8715, Sankt Lorenzen, Austria