Handbook of Technical Diagnostics

Horst Czichos
Editor

Handbook of Technical
Diagnostics
Fundamentals and Application
to Structures and Systems

123
Editor
Horst Czichos
Beuth Hochschule fr Technik
Berlin
Germany

ISBN 978-3-642-25849-7 ISBN 978-3-642-25850-3 (eBook)

DOI 10.1007/978-3-642-25850-3
Springer Heidelberg New York Dordrecht London

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Preface

Functionality, quality, reliability, and safety are indispensable attributes

of all technologies. This handbook presents concepts, methods, and
techniques to examine symptoms of fault and failure of structures,
systems, and components to monitor functional performance and
structural integrity.
The book is organized in ve parts:
Part I introduces the scope and application of technical diagnostics
and gives a comprehensive overview of the physics of failure.
Part II presents all relevant methods and techniques for diagnostics
and monitoring: from stress, strain, vibration analysis, nondestructive
evaluation, thermography and industrial radiology to computed
tomography and subsurface microstructural analysis.
Part III cores the principles and concepts of technical failure analysis,
illustrates case studies, and outlines machinery diagnostics with an
emphasis on tribological systems.
Part IV describes the application of structural health monitoring and
performance control to plants and technical infrastructures, including
buildings, bridges, pipelines, electric power stations, offshore wind
structures, and railway systems.
Part V is an excursion on diagnostics in arts and culture.
I thank Dr. Werner Daum and Dr. Wolfgang Habel and the team of
scientists and engineers of BAM (German Federal Institute for Mate-
rials Research and Testing) who helped to create the concept of this
handbook and who authored chapters in all parts of it.
The book integrates knowledge of basic sciences and engineering
disciplines with contributions from research institutions, academe, and
industry, written by internationally known experts from various parts of
the world, including Europe, Canada, India, Japan, and the US. I am
very grateful to all colleagues for their excellent contributions, and
Springer for publishing this international interdisciplinary workwhich
may help to make the world safer.

Berlin, July 2012 Horst Czichos

v
Contents

Part I Introduction

1 Scope of Technical Diagnostics . . . . . . . . . . . . . . . . . . . . . 3

Horst Czichos

2 Application of Technical Diagnostics . . . . . . . . . . . . . . . . . 11

Horst Czichos

3 Physics of Failure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Horst Czichos

Part II Methods and Techniques for Diagnostics

and Monitoring

4 Overview of Diagnostics and Monitoring Methods

and Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Baldev Raj and B. Venkatraman

5 Stress and Strain Determination . . . . . . . . . . . . . . . . . . . . 69

Thomas Kannengiesser and Klaus-Peter Grnder

6 Modal Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

Werner Rcker

7 Vibration Analysis: Methods and Applications . . . . . . . . . 121

J. Lyle Bagley

8 Acoustic Emission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137

Jrgen Bohse

9 Non-destructive Evaluation . . . . . . . . . . . . . . . . . . . . . . . . 161

Anton Erhard

10 Infrared Thermography . . . . . . . . . . . . . . . . . . . . . . . . . . 175

Clemente Ibarra-Castanedo and Xavier P. V. Maldague

vii
viii Contents

11 Industrial Radiology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221

Uwe Ewert, Gerd-Rdiger Jaenisch, Uwe Zscherpel,
Kurt Osterloh and Bernhard Redmer

12 Computed Tomography . . . . . . . . . . . . . . . . . . . . . . . . . . 249

Jrgen Goebbels

13 Embedded Sensors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259

Werner Daum

14 Micro-Diagnostics: X-ray and Synchrotron Techniques . . . 287

B. R. Mller and M. P. Hentschel

15 Surface Chemical Analysis at the Micro-

and NanoScale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
Wolfgang E. S. Unger and Vasile-Dan Hodoroaba

16 Sub-Surface Microstructural Analysis . . . . . . . . . . . . . . . . 323

Werner sterle

Part III Technical Diagnostics of Machines and Plants

17 Principles and Concepts of Technical Failure Analysis. . . . 341

Thomas Boellinghaus

18 Failure Analysis: Case Studies . . . . . . . . . . . . . . . . . . . . . 355

Christian Klinger

19 Machinery Diagnostics . . . . . . . . . . . . . . . . . . . . . . . . . . . 387

Richard S. Cowan and Ward O. Winer

Part IV Structural Health Monitoring

and Performance Control

20 Principles, Concepts and Assessment of Structural

Health Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
Werner Daum

21 Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425
Akira Mita

22 Bridges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429
Helmut Wenzel

23 Pipelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
Daniele Inaudi
Contents ix

24 Electric Power Stations and Transmission Networks . . . . . 471

Wolfgang Habel and Gerd Heidmann

25 Offshore Wind Structures . . . . . . . . . . . . . . . . . . . . . . . . . 505

Claus Kupferschmidt, Mareike Strach, Holger Huhn
and Fabian Vorpahl

26 Railway Systems. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519

L. Quiroga and E. Schnieder

27 Guidelines for Structural Health Monitoring . . . . . . . . . . . 539

Werner Daum

Part V Excursion

28 Diagnostics in Arts and Culture . . . . . . . . . . . . . . . . . . . . 545

Oliver Hahn

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 557
 Part I
Introduction
 Scope of Technical Diagnostics
Horst Czichos
1

Fault (FR Panne, DE Fehlzustand): the condi-

1.1 Meaning and Impact
of Diagnostics
The word diagnostics originates from the med-
ical field and refers to the identification of the
nature of a health problem and its classification
by examination and evaluation. The term diag-
nostic criteria designates the combination of
signs, symptoms, and test results to be used in
attempts to determine the problem. Diagnosis is
the result of a diagnostics process (Fig. 1.1).
TECHNICAL DIAGNOSTICS is the examination of
symptoms and syndromes to determine the nat-
ure of faults or failures of technical objects [1].
A symptom is a perception, made by means of
human observations and measurements, which
may indicate the presence of an abnormal
condition with a certain probability.
A syndrome is a group of symptoms that
collectively indicate or characterize an
abnormal condition.
The terms fault and failure are defined as
follows [1]:
This introductory chapter of the Handbook outlines the
meaning and impact of diagnostics, defines its basic
terms and gives an overview of concepts, methods and
techniques.
H. Czichos (&)
Beuth Hochschule fr Technik,
Luxemburger Strae 20a, 13353 Berlin, Germany
e-mail: horst.czichos@t-online.de
tion of an item that occurs when one of its
components or assemblies degrades or
exhibits abnormal behavior.
Failure (FR Defaillance, DE Ausfall): the ter-
mination of the ability of an item to perform
a required function. (Failure is an event as
distinguished from fault, which is a state.).
The failure mode is the phenomenon by
which a failure is observed. After a failure,
the systematic examination of an item in
order to identify the failure mode and deter-
mine the failure mechanism and its basic
cause is called root cause failure analysis.
The identification of faults and failures are
important tasks of technical diagnostics. This
can be illustrated by examples of failure char-
acteristics, defined in international standards
from various technology areas and industrial
branches [2]. A failure, to be detected by tech-
nical diagnostics, can be:
Termination of the ability of a structure to
perform its required function when one or
more of the components of a structure are in a
defective condition, either at a service or
ultimate limit state.
Mechanical vibration and shock (ISO
16587).
Loss of the ability of a building or its parts to
perform a specified function.
Buildings and constructed assets (ISO
15686).
Premature malfunction or breakdown of a
function or a component or the whole engine.

H. Czichos (ed.), Handbook of Technical Diagnostics, 3

DOI: 10.1007/978-3-642-25850-3_1,  Springer-Verlag Berlin Heidelberg 2013
4 H. Czichos
Fig. 1.1 The object of medical diagnostics and examples of objects of technical diagnostics
Internal combustion engines (ISO 2710).
Sudden and unexpected ending of the ability
of a component or equipment to fulfill its
function.
Gas turbines (ISO 3977).
Actual condition of an item which does not
perform its specified function under the
specified condition.
Earth-moving machinery (ISO 8927).
Event causing the loss or reduction of the
nominal serviceability.
Cranes (ISO 11994).
Loss of structural integrity and/or transmis-
sion of fluid through the wall of a component
or a joint.
Petroleum and natural gas industries (ISO
14692).
State at which a component reaches the
threshold level or terminates its ability to
perform a required function.
Hydraulic fluid power (ISO/TR 19972).
Occurrence of bursting, leaking, weeping or
pressure loss.
Plastics piping systems (ISO 7509).
Any leakage or joint separation, unless otherwise
determined to be due to a pipe or fitting defect.
Ships and marine technology (ISO 15837).
Termination of the ability of an item to per-
form a required function.
Space systems (ISO 14620).
System state which results in non-performance
or impaired performance as a result of a hard-
ware or software malfunction.
Road vehicles (ISO 17287).
Insufficient load-bearing capacity or inade-
quate serviceability of a structure or structural
element.
Reliability for structures (ISO 2394).
These examples from the different techno-
logical areas and industrial sectors show that
various faults and failures may detrimentally
influence technical items. Damage identification
by technical diagnostics has to consider gener-
ally four basic aspects:
the existence of damage,
damage location,
damage type,
damage severity.
1 Scope of Technical Diagnostics
Fig. 1.2 The scale of technical items to be examined by technical diagnostics
The probability that a technical item will
perform its required functions without failure
for a specified time period (lifetime) when
used under specified conditions is called reli-
ability [3]. Risk is the combination of the
probability of an event and its consequence
[4]. The term risk is generally used only
when there is at least the possibility of nega-
tive consequences. Safety is freedom from
unacceptable risk [5].
For the selection and application of technical
diagnostic methods, the character of the item
under consideration and the length- and time-
scales associated with damage initiation and
evolution must be considered. The length-scale
of technical items, subject to the application of
technical diagnostics, range over more than ten
dimensional decades as exemplified in Fig. 1.2.
It is obvious that technical diagnostics, which
has been conventionally applied to macro tech-
nology, must today also consider micro tech-
nology and nanotechnology. Consequently,
reliability considerations have to be extended to
micro-nano reliability.
5
With regard to the time-scales of the occur-
rence of faults and failures in technical items, the
following aspects are of general importance:
The fault progression time indicating the
change in severity of a fault over time
The duration of a failure event, which may
very short (e. g. brittle fracture) or may extend
over a long period of time (e. g. loading time
until fatigue failure occurs). A catastrophic
failure is a sudden, unexpected failure of an
item resulting in considerable damage to the
item and/or associated components.
The time-to-failure is the total time duration
of operating time of an item from the instant it
is first put in operation until failure, or from
the instant of restoration until next failure.
The detection and collection of information
and data that indicate the state of an item is
called condition monitoring. The application of
conditional monitoring to technical structures
and systems allows actions to be taken to avoid
the consequences of failure, before the failure
occurs. The process of condition monitoring
consists of the following main phases:
6 H. Czichos
detection of problems, i.e. deviations from
normal conditions,
diagnosis of the faults and their causes,
prognosis of future fault progression,
recommendation of actions.
Maintenance is the combination of all tech-
nical and administrative actions intended to
retain an item in a state (or restore it to it), in
which it can perform a required function.
Predictive maintenance is emphasizing pre-
diction of failure and taking action based on
the condition of the equipment to prevent
failure or degradation.
Preventive maintenance is performed accord-
ing to a fixed schedule, or according to a
prescribed criterion that detects or prevents
degradation of a functional structure, system
or component, in order to sustain or extend its
useful life.
Corrective maintenance is carried out after
fault recognition and intended to put an item
into a state in which it can perform a required
function.
1.2 Concepts, Methods
and Techniques of Technical
Diagnostics
The basic methods of technical diagnostics are
SHM and Non-destructive Evaluation in com-
bination with inductive and deductive concepts
[6]:
The inductive conceptual approach consists of
assuming particular failed states for compo-
nents and then analyzing the effects on the
system. Inductive approaches thus start at a
possible basic cause and then analyze the
resulting effects. A basic inductive method is
the Failure Modes and Effects Analysis.
The deductive conceptual approach postulates
that the system itself has failed in a certain
way, and an attempt is made to find out what
modes of system or subsystem (component)
behavior contribute to this failure. A basic
deductive method is the FTA.
1.2.1 Failure Modes and Effects
Analysis
A failure modes and effects analysis (FMEA) is
a structured procedure to determine equipment
functions and functional failures, with each
failure mode being assessed to the cause of the
failure and the effects of the failure on the sys-
tem. Failure modes are any errors or defects in a
process, design, or item, and can be potential or
actual. The technique may be applied to a new
system based on analysis or an existing system
based on historical data. The FMEA method
helps to identify potential failure modes based
on past experience with similar products or
processes.
A FMEA can identify, with reasonable cer-
tainty, those component failures having non-
critical effects, but the number of possible
component failure modes that can realistically
be considered is limited. The objectives of the
analysis are to identify single failure modes and
to quantify these modes. A FMEA table for a
component of a system contains the following
information [6]:
Component designation
Failure probability
Component failure modes
Percent of total failures attributable to each
mode
Effects on overall system, classified into var-
ious categories, the two simplest categories
are critical and non-critical.
Effects analysis refers to studying the conse-
quences of those failures.
1.2.2 Fault Tree Analysis
Fault tree analysis (FTA) attempts to model and
analyze failure processes [6]. As a deductive
approach, FTA starts with an undesired event,
such as failure of an engine, and then determines
(deduces) its failure causes using a systematic,
backward-stepping process.
A Fault Tree (FT) is constructed as a logical
illustration of the events and their
1 Scope of Technical Diagnostics
relationships that are necessary and sufficient
to result in the undesired event.
FTA is basically composed of logic diagrams
that display the state of the system and is con-
structed using graphical design techniques. FTA
usually involves events from hardware wear out,
material failure or malfunctions or combinations
of deterministic contributions to the event
stemming from assigning a hardware/system
failure rate to branches or cut sets. Typically
failure rates are carefully derived from sub-
stantiated historical data such as mean time
between failure of the components, unit, sub-
system or function.
Success Tree (ST) is the logical complement
into which a FT can be transformed [6].
A ST shows the specific ways the undesired
event can be prevented from occurring. The
ST provides conditions that, if assured, guar-
antee that the undesired event will not occur.
1.2.3 Structural Health Monitoring
Structural health monitoring (SHM) is the pro-
cess of implementing a damage detection and
characterization strategy for engineering struc-
tures [7]. The objective of SHM is to monitor the
in situ behavior of a structure accurately and
efficiently, to assess its performance under var-
ious service loads, to detect damage or deterio-
ration, and to determine the health or condition
of the structure. The SHM process involves the
observation of a system over time using peri-
odically sampled dynamic response measure-
ments from an array of sensors, the extraction of
damage-sensitive features from these measure-
ments, and the statistical analysis of these fea-
tures to determine the current state of system
health. The SHM system should be able to
provide, on demand, reliable information per-
taining to the safety and integrity of a structure.
The information can then be incorporated into
maintenance and management strategies, and
improved design guidelines. The immediacy and
sensitivity of SHM can allow for short-term
verification of innovative designs, early detec-
tion of problems, avoidance of catastrophic
failures, effective allocation of resources, and
7
reduced service disruptions and maintenance
costs.
The physical diagnostic tool of SHM is the
comprehensive integration of various sensing
devices and auxiliary systems, including a sen-
sor system, a data acquisition system, a data
processing system, a communication system, a
damage-detection and modelling system.
Based on the extensive literature that has
developed on SHM over the last 20 years, it can
be argued that this field has matured to the point
where several fundamental axioms, or general
principles, have emerged. The axioms are listed
as follows [8]:
1. All materials have inherent flaws or defects;
According to materials science, the following
lattice defects, deviations of an ideal crystal
structure, can be distinguished:
Point defects or missing atoms: vacancies,
interstitial or substituted atoms.
Line defects or rows of missing atoms:
dislocations.
Area defects: grain boundaries, phase
boundaries, twins.
Volume defects: cavities, precipitates.
2. The assessment of damage requires a com-
parison between two system states;
3. Identifying the existence and location of
damage can be done in an unsupervised
learning mode, but identifying the type of
damage present and the damage severity can
generally only be done in a supervised
learning mode;
4a. Sensors cannot measure damage. Feature
extraction through signal processing and
statistical classification is necessary to con-
vert sensor data into damage information;
4b. Without intelligent feature extraction, the
more sensitive a measurement is to damage,
the more sensitive it is to changing opera-
tional and environmental conditions;
5. The length- and time-scales associated with
damage initiation and evolution dictate the
required properties of the SHM sensing
system;
6. There is a trade-off between the sensitivity to
damage of an algorithm and its noise rejec-
tion capability;
8 H. Czichos
Fig. 1.3 Overview of the concepts, methods and techniques of technical diagnostics
7. The size of damage that can be detected from
changes in system dynamics is inversely
proportional to the frequency range of
excitation.
For long term SHM, the output of this process
is periodically updated information regarding
the ability of the structure to perform its inten-
ded function in light of the inevitable aging and
degradation resulting from operational
environments.
1.2.4 Nondestructive Evaluation
Nondestructive Evaluation (NDE) is the
umbrella term for non-invasive methods of
testing, evaluation and characterization based on
physical principles of sensing and assessment.
NDEis an important method for performance
control and condition monitoring. In engineering
systems, flaws and especially cracks in the
materials of structural systems components can
be crucially detrimental. For this reason the
detection of defects and macro/micro/nano root
cause analysis are essential parts of quality
control of engineering structures and systems
and their safe successful use. Established NDE
methods for technical diagnostics include [9]:
radiography,
ultrasound,
eddy current,
magnetic particle,
liquid penetration,
thermography,
visual inspection techniques.
With the rapid advances in sensors, instru-
mentation and robotics, coupled with the devel-
opment of new materials and reduced margins of
safety through stringent codal specifications,
NDE has diversified in the last decades resulting
in a broad variety of methods and techniques
which are being very fruitfully used for technical
diagnostics in plants and structures. Industrial
applications of sensors and non-invasive NDE
methods are as wide-ranging as the technologies
themselves and include mechanical engineering,
aerospace, civil engineering, oil industry, electric
power industry etc. The operation of NDE tech-
niques in several industries is standard practice,
for example to support condition monitoring for
the proper functioning of the daily use of elec-
tricity, gas or liquids in which pressure vessels or
pipes are employed and where the correct oper-
ation of components under applied stress plays a
large role for safety and reliability.
A summarizing overview of the concepts,
methods and techniques of Technical Diagnos-
tics is given in Fig. 1.3 with key words of their
definitions.
References
1. ISO 13372:2004(E): Condition monitoring and diag-
nostics of machinesvocabulary
2. ISO Concept Database (ISO/CDB) (http-//www.iso.
org/iso/c#4B3FB3)
3. Hanselka, H., Nuffer, J.: Characterization of reliabil-
ity. In: Czichos, H., Smith, L., Saito, T. (eds.) Springer
Handbook of Metrology and Testing, Chapter 16.7,
Springer (2011)
1 Scope of Technical Diagnostics
4. ISO Guide 73: Risk managementvocabulary (2002)
5. ISO Guide 51: Safety aspectsguidelines for their
inclusion in standards (1999)
6. Vesely, W. et al.: Fault tree handbook. NASA,
Washington (2002)
7. ISIS Canada: Guidelines for structural health moni-
toring (www.isiscanada.com/index.html) (2001)
9
8. Worden, K., Charles, R.F., Graeme, M., Gyuhae, P.:
The fundamental axioms of structural health monitor-
ing. Phil. Trans. Royal. Soc. Math. Phys. Eng. Sci.
463, 16391664 (2007)
9. Erhard, A.: Nondestructive evaluation. In: Czichos, H,
Saito, T., Smith, L. (eds.) Springer Handbook of
Metrology and Testing. Chap. 16.1, Springer (2011)
 Application of Technical Diagnostics
Horst Czichos
2

Natural Materials: Natural materials used in

2.1 Objects of Technical engineering applications are classified into
Diagnostics natural materials of mineral origin, e.g. mar-
ble, granite, sandstone, mica, sapphire, ruby,
The objects of technical diagnostics can be
diamond, and those of organic origin, e.g.
illustrated by the life cycle of all man-made
timber, India rubber, natural fibres, like cotton
technical items: from raw materials to engi-
and wool. The properties of natural materials
neering materials andvia design and produc-
of mineral origin, as for example high hard-
tionto structures and systems, and finally, to
ness and good chemical durability, are deter-
deposition or recycling, see Fig. 2.1.
mined by strong covalent and ionic bonds
Technical diagnostics can be applied in
between their atomic or molecular constitu-
almost all areas of technology and industry in
ents and stable crystal structures. Natural
order to ensure product quality, economical and
materials of organic origin often possess
efficient processes and, most importantly, to
complex structures with direction-dependent
assure safety and reliability. In this section, the
properties. Advantageous application aspects
objects of technical diagnosticsengineering
of natural materials are recycling and
materials, structures and systemsare consid-
sustainability.
ered in brief.
Metallic Materials: In metals, the grains as the
buildings blocks are held together by the
2.1.1 Engineering Materials
electron gas. The free valence electrons of the
electron gas account for the high electrical
It has been estimated that there are between
and thermal conductivity, and the optical
40,000 and 80,000 materials which are used or
gloss of metals. The metallic bondingseen
can be used in todays technology [1], they can
as interaction between the total of atomic
be categorized as follows [2]:
nuclei and the electron gasis not signifi-
cantly influenced by a displacement of atoms.
This is the reason for the good ductility and
This chapter considers the objects of technical formability of metals. Metals and metallic
diagnostics and explains Systems Thinking as generic alloys are the most important group of the so-
concept for the application of technical diagnostics in
technology and industry. called structural materials whose special
features for engineering applications are their
H. Czichos (&) mechanical properties, e.g. strength and
BHT Berlin, University of Applied Sciences, toughness.
Luxemburger Strae 20a, 13353 Berlin, Germany
e-mail: horst.czichos@t-online.de

H. Czichos (ed.), Handbook of Technical Diagnostics, 11

DOI: 10.1007/978-3-642-25850-3_2,  Springer-Verlag Berlin Heidelberg 2013
12
Fig. 2.1 The product
cycle of technical items
and the potential of
technical diagnostics
Semiconductors have an intermediate position
between metals and inorganic non-metallic
materials. Their most important representa-
tives are the elements silicon and germanium,
possessing covalent bonding and diamond
structure and the similarly structured III-V-
compounds, like gallium arsenide (GaAs).
Being electric non-conductors at absolute zero
temperature, semiconductors can be made
conductive through thermal energy input or
atomic doping which leads to the creation of
free electrons contributing to electrical con-
ductivity. Semiconductors are important
functional materials for electronic compo-
nents and applications.
Inorganic Non-metallic Materials: The atoms
of these materials are held together by cova-
lent and ionic bonding. As covalent and ionic
bonding energies are much higher than
metallic bonds, inorganic non-metallic mate-
rials, like ceramics have high hardness and
high melting temperatures. These materials
are basically brittle and not ductile. Because
of missing free valence electrons, inorganic
non-metallic materials are poor conductors for
electricity and heat, this qualifies them as
good insulators in engineering applications.
Concrete, the worlds most used construction
material, is a mixture of coarse aggregates
(stone or brick chips) and fine aggregates
(generally sand) with a binder material (usu-
ally cement), mixed with a small amount of
water. Concrete has high compression
strength, but tension (e.g., due to bending)
H. Czichos
will break the microscopic rigid lattice,
resulting in cracking and separation of the
concrete. Thus non-reinforced concrete must
be well supported to prevent the development
of tension.
Organic Materials: Organic materials whose
technologically most important representa-
tives are the polymers, consist of macromol-
ecules containing carbon (C) covalently
bonded with itself and with elements of low
atom numbers (e.g. H, N, O, S). Intimate
mechanical mixtures of several polymers are
called blends. In thermoplastic materials, the
molecular chains have long linear structures
and are held together by (weak) intermolecu-
lar (van der Waals) bonds, leading to low
melting temperatures. In thermosetting mate-
rials the chains are connected in a network
structure and do not melt. Amorphous poly-
mer structures (e.g. polystyrene PS) are
transparent, whereas the crystalline polymers
are translucent to opaque. The low density of
polymers gives them a good strength-to-
weight ratio and makes them competitive with
metals in structural engineering applications.
Composites are combinations of materials
assembled together to obtain properties supe-
rior to those of their single constituents. A
classic composite material is reinforced con-
crete, in which reinforcement grids, plates or
fibers have been incorporated to strengthen
the concrete in tension. Composites are clas-
sified according to the nature of their matrix:
metal, ceramic or polymer matrix composites,
2 Application of Technical Diagnostics
often designated as MMCs, CMCs and PMCs,
respectively. Glass fiber and Carbon fiber
reinforced composites are denoted GFC and
CFC. The potential for a synergy of the
composite constituents is one reason for the
interest in composites for high-performance
applications. However, because manufactur-
ing of composites involves many steps and is
labour intensive, composites may be too
expensive to compete with metals and poly-
mers, even if their properties are superior. In
high-tech applications of advanced compos-
ites it should also be borne in mind that they
are usually difficult to recycle.
Materials result from the processing and
synthesis of matter, based on chemistry, solid
state and surface physics. The microstructure of
materials resulting from processing and synthe-
sis contains
Grains: crystallites made up of identical unit
cells repeated in space, separated by grain
boundaries.
Fig. 2.2 Schematic overview on the microstructural features of metallic materials and alloys
13
Phases: homogeneous aggregations of matter
with respect to chemical composition and
uniform crystal structure: grains composed of
the same unit cells are the same phase.
Lattice defects: deviations of an ideal crystal
structure:
Point defects or missing atoms: vacancies,
interstitial or substituted atoms
Line defects or rows of missing atoms:
dislocations
Area defects: grain boundaries, phase
boundaries, twins
Volume defects: cavities, precipitates.
Figure 2.2 illustrates schematically the
microstructure of materials for the example of
metals and alloys.
Whenever a material is being created, devel-
oped, or produced the properties the material
exhibits are of central concern. Experience shows
that the properties and performance associated
with a material are intimately related to its
composition and structure at all scale levels, but
14
Fig. 2.3 Basic aspects of engineered materials
are also influenced by design and production. The
production technologies can cause production-
induced defects in the microstructure of mate-
rials, for example gas holes, inclusions, quench-
ing cracks, flaws caused by welding, etc. The
final material, as constituent of an engineered
component, must perform under working loads
and environmental influences a required task and
must do so in an economical and societal
acceptable manner. An overview of the basic
aspects of engineered materials and engineered
components is given in Fig. 2.3.
Engineering materials can be categorised in
terms of their application-relevant properties in
three basic groups:
Structural materials have specific mechanical
or thermal properties for mechanical or ther-
mal tasks in engineering structures.
Functional materials have specific electro-
magnetic or optical properties for electrical,
magnetic, or optical tasks in engineering
functions.
Smart materials are engineered materials with
intrinsic or embedded sensor and actuator
functions, which are able to accommodate
materials in response to external loading, with
the aim of optimising material behaviour
according to given requirements for materials
performance.
Figure 2.4 gives an overview on the broad
numerical spectra of some application-relevant
mechanical, electrical and thermal properties of
metals, inorganics and organics.
For structural materials, the combination of
elasticity, strength and weight is of paramount
importance in the selection of materials for
engineering applications. Figure 2.5 shows a
H. Czichos
map with strength-weight domains for the main
classes of engineering materials.
2.1.2 Technical Items: Structures
and Systems
The behaviour of technical items related to use
is called performance. In structural engineering
it is the ability of a product (e. g. a building as
a whole or any part of it) to support or to resist
loads. In machinery it is the capability of a
machine, defined by one or more characteristic
quantities such as power, speed, flow, or effi-
ciency. Faults and failures occur in service.
The operating parameters and influencing
environmental factors on a technical item in a
given application stem from its functional tasks
and are borne by its structural design. The
materials of a technical item are subject to
mechanical and thermal working stresses,
generally called loads, meaning any physical
process acting on the component, for example
mechanical stress, voltage, or temperature. The
materials are also in contact with other solids,
aggressive gases, liquids or biological species
and they always interact with their environ-
ment. All theses influences can affect materials
integrity. The useful properties of the materials,
of which technical items are composed, are
generally responses to the stimuli of the
application conditions. The stimuli loads and
environmental conditions must be completely
specified in order to develop a reproducible
response, and to obtain reliable characteristics
and data.
The general term system is used in the
various areas of technology and industry with
2 Application of Technical Diagnostics 15

Fig. 2.4 Data of mechanical, electrical, and thermal properties for the basic types of material

Fig. 2.5 Strength-weight map of engineering materials

16
somewhat different phrasing. According to
International Standards [3], a system can be:
Collection of real-world items organised for a
given purpose. A system is characterized by
its structure and its behaviour
industrial automation systems (ISO 15704).
Set of interdependent elements constituted to
achieve a given objective by performing a
specified function
internal combustion engines (ISO 7967).
Assemblage of components performing a
specific function with associated sensors,
actuators and interconnections
road vehicles (ISO 9141).
Integral part of a nuclear power unit com-
prising electrical, electronic, or mechanical
components (or combinations of them) that
may be operated as a separate entity to per-
form a particular process function
nuclear power plants (ISO 6527).
Arrangement of interconnected components
which transmits and controls fluid power energy
hydraulic fluid power (ISO 4413).
Assembled section of piping consisting of a
representative range of pipes, fittings, con-
nections, attachments, supports, penetrations
and associated coatings
petroleum and natural gas industries (ISO
14692).
Those parts of an installation that, together
with the pump, determine the functional per-
formance of the installation
liquid pumps and installation (ISO 17769).
Set of interdependent items constituted to
achieve a given objective by performing a
specified function
space systems (ISO 16091).
Delimited group of interrelated, interdepen-
dent or interacting objects that is assessed for
a potential risk
bases for design of structures (ISO 13824).
This collection of definitions shows that dif-
ferent wording is used to define the various
industrial systems. Thus, the General System
Theory has to be considered as a generic base for
a methodology of technical diagnostics that can
be applied to structures, systems, and compo-
nents in all areas of technology and industry.
H. Czichos
2.2 The System Concept
The classical method of scientifically analyzing
problems is analytical reductionism. An
entity, i. e. the object of an investigation, could
be broken down into its individual Parts so that
each Part could be analyzed separately, and the
dissections could be added to describe the
totality of the entity. This basic principle of
scientific reductionism can be applied ana-
lytically in a variety of directions, e. g. resolu-
tion of causal relations into separate Parts,
searching for atomic units in science or for
material constants in engineering.
Application of the classical analytical pro-
cedure depends on the condition that interac-
tions between the Parts are non-existent or, at
least, weak enough to be neglected for certain
research purposes. Only under these conditions
can the Parts be singled out and described
mathematically. An equation describing the
behaviour of the Whole is assumed to have the
same form as the equations describing the
behaviour of the Parts, and that partial processes
can be linearly superimposed to obtain the total
process.
These conditions are not met in a System,
it consist of Parts in interaction forming an
entity of organized complexity [4]. Systems
thinking focuses on how the thing being studied
interacts with the other constituents of the sys-
tema set of elements that interact to produce
behaviourof which it is a part [5].
2.2.1 Principles of General System
Theory
System definition: A system is a set of elements
interconnected by structure and function.
1. Systems Structure
The structure of a system is given by
A the set of the elements (components) ai,
separated from the environment by a hypo-
thetical envelope enclosing the elements,
A = {a1, a2, , an},
P the relevant (materials) properties of the
elements, P = {P(ai)}, i = 1 n,
2 Application of Technical Diagnostics
R the relations (interactions) between the ele-
ments, R = {R(ai$aj)}, i, j = 1 n, j = i.
The normal (nominal) structure of a system is
represented by the set S0 = {A, P, R}.
If the structure of a system changes with time t,
for example due to detrimental changes of ele-
ment properties (P) or relations (R) under working
loads L (e. g. force, temperature), the structure of a
system is load and time dependent and is repre-
sented by the set S(t,L) = {A, P(t,L), R(t,L)}.
2. Systems Inputs and Outputs
The connections between the structure and its
environmentcrossing the hypothetical enve-
lope enclosing the structural elementsare
classified as
Inputs {X}: Operating inputs, working loads,
auxiliary inputs, disturbances
Outputs {Y}: Functional outputs, loss outputs,
noise, wear debris
All inputs and outputs can be categorized to
belong to the cybernetic categories of energy,
matter, information.
3. Systems Function
Basic functions of (technical) systems are:
Support of (working) loads,
Transfer or transformation of operating inputs
into functional outputs.
The function of a system -is borne by the
systems structure. The support of loads requires
appropriate (load-bearing) properties (P) of the
relevant systems element. The transfer or trans-
formation of operating inputs into functional
outputs (T) requires appropriate interactions (R)
between relevant systems elements to enable the
pertinent function.
The behaviour of a system is the manner in
which the whole or part of a system acts and
reacts to perform a function; it can be catego-
rized in different states:
(a) Steady state
If the inputs and outputs are stationary and the
structure of the system is stable, the functional
outputs {Y} may be describable as functions of
the operating inputs {X} through an algebraic
representation of the transfer function (T).
(b) Dynamic state
If the inputs and outputs vary with time, the
system is said to be in a dynamic state. Functional
17
inputoutput relations of a dynamic system can be
often represented by differential equations. (Well-
known mathematic modelling examples for
mechanical systems with stable structures are
differential equations with mass-spring-damper
characteristics of the systems elements).
(c) Stochastic processes
In real systems, the functional inputoutput
relations may be influenced by stochastic pro-
cesses, i. e. dynamic effects of uncertainty and
random disturbances (noise). In addition, the
systems structure S0 may be time-dependent due
to detrimental changes of systems elements
properties P or interactions R, i. e.
S0 ? S = {A, P(t), R(t)}. In such cases, an
estimate of the limits of proper systems behav-
iour by means of the theory of probabilities may
be attempted.
In characterizing the behaviour of systems by
the terms structure and function these
terms should not be isolated from each other
because structure and function of systems are
interconnected. A summarizing overview of the
system concept is given in Fig. 2.6.
2.2.2 Application of the System
Concept to the Description
of Technical Items
The application of the system concept to the
characterization of technical items is exempli-
fied in Fig. 2.7 for the simplest case of 2-body
systems, namely a mechanical gear pair and an
electrical transformer,
The function of both systems illustrated in
Fig. 2.7 is to transfer operating inputsspeed
and torque in the mechanical system and voltage
and current in the electrical systeminto func-
tional outputs for the intended technical purpose.
In both systems, input energy is dissipated due to
friction or eddy current effects, and the ratio
between the useful output and the input is the
energy conversion efficiency. Regarding the
structures of the systems, a fundamental differ-
ence between the electrical and the mechanical
system has to be noted [6]:
In the electrical system, the function of the
system is realized through sub-microscopic
18 H. Czichos

Fig. 2.6 The system concept

Fig. 2.7 Application of the systems description to simple technical systems

2 Application of Technical Diagnostics
electronic processes (possibly influenced by
electromigration, see Sect. 3.3), but the
(macroscopic) structure of the system remains
constant with time. If this condition is met, the
transfer function (T) can be worked out
mathematically. This has led to various
applications of the powerful electrical sys-
tems network theory. For condition moni-
toring of these systems, the control of the
functional inputoutput relations may be
sufficient.
In the mechanical system, however, the
structure of the system may change with time
due to the interfacial Hertzian tribo-contact
mechanics of the interacting gears. The tri-
bological processes may cause wear damage
of the gear pair (pitting) and these internal
structural changes lead to externally measur-
able vibrations and wear debris. This disturbs
the transfer function (T). Therefore, both the
systems inputs {X} and outputs {Y} as well
as the systems structure {S} and its changes
have to be monitored.
2.3 Systems Approach to Technical
Diagnostics
The systems concept illustrated in Fig. 2.6
implies that for technical diagnostics of struc-
tures, systems, and components, both Struc-
tural Integrity Assessment and Functional
Performance Assessment have to be per-
formed. This is shown schematically in Fig. 2.8
in an overview diagram using the abstract sys-
tems theory symbols.
Fig. 2.8 Systems approach to technical diagnostics application
19
Consider as an example of systems thinking
in technical diagnostics a rotary machine
equipment [7]. As exemplified in Fig. 2.9 the
technical system, characterized by its structure
and function (to be specified for the actual
machine type under consideration), may have
faults, for example cracks in critical compo-
nents. The associated fault symptoms can be
examined by vibration analysis (measurements
of magnitude/frequency ranges of displacement,
velocity, acceleration of stationary and moving
machine parts). A diagnosis may be made after
root cause analysis and data processing [8]. If
the causes of faults or failures can be related to
the systems characteristics, structural integrity
assessment and functional performance assess-
ment can be made.
Performance parameters for technical sys-
tems are exemplified in Fig. 2.10 [9].
Changes of performance parameters observed
in condition monitoring can indicate symptoms
of fault occurrence. This is illustrated in
Fig. 2.11 for the example of technical diagnos-
tics of a reciprocating internal combustion
engine [10].
The compilation of Fig. 2.10 shows that
(external) functional parameter changes, like
temperature, pressure, fuel flow, can be symp-
toms of fault occurrence in the (internal) sys-
tems structure, namely detrimental changes of
the components of the system and their inter-
actions. Combining systems thinking with the
concepts, methods and techniques outlined in
the first chapter, a general scheme for the
application of technical diagnostics results,
which is shown in Fig. 2.12.
20 H. Czichos

Fig. 2.9 Application of systems thinking in the technical diagnostics of a machine

Fig. 2.10 Examples of condition monitoring parameters for different technical systems
2 Application of Technical Diagnostics 21

Fig. 2.11 Examples of performance parameter changes indicating symptoms of fault occurrence

Fig. 2.12 A general scheme for the application of technical diagnostics

The methods and techniques for diagnostics and plants is treated in Part C and structural health
and monitoring are described in detail in Part B of monitoring is presented in Part D of the
the Handbook. Technical diagnostics of machines Handbook.
22 H. Czichos

Handbook part Topic Chapter

no
B Overview of diagnostics and monitoring methods 4
Methods and techniques for diagnostics and and techniques
monitoring Stress and strain determination 5
Modal analysis 6
Vibration analysis 7
Acoustic emission 8
Nondestructive evaluation 9
Infrared thermography 10
Industrial radiology 11
Computed tomography 12
Embedded sensors 13
Micro-diagnostics 14
Surface chemical analysis 15
Subsurface microstructurai analysis 16
C Principles and concepts of technical failure 17
Technical diagnostics of machines and plants analysis
Failure analysis: case studies 18
Machinery diagnostics 19
D Principles, Concepts and Assessment of Structural 20
Structural health monitoring and performance Health Monitoring
control Buildings 21
Bridges 22
Pipelines 23
Electrical power stations and transmission 24
networks
Offshorewind structures 25
Railway systems 26
Guidelines to structural health 27

6. Czichos, H.: TribologyA Systems Approach to the

References
1. Ashby, M.F., Brechet, Y.J.M., Cebon, D., Salvo, L.:
Selection strategies for materials and processes.
Mater. Design 25, 5167 (2004)
2. Czichos, H.: Metrology and testing in materials
science and technology. Measure 4(4), 4877 (2009)
3. ISO Concept Database (ISO/CDB) (http-//
www.iso.org/iso/c#4B3FB3)
4. von Bertalanffy, L.: General System Theory. Penguin,
London (1971)
5. Aronson, D.: Overview of Systems Thinking. New
York. (www.thinking.net) (1998)
Science and Technology of Friction, Lubrication and
Wear. Elsevier, Amsterdam (1978)
7. ISO 13373-1:2002(E): Condition monitoring and
diagnostics of machinesvibration condition
monitoring
8. ISO 13374-1:2003(E): Condition monitoring and
diagnostics of machinesdata processing,
communication and presentation
9. ISO 17359:2003(E): Condition monitoring and
diagnostics of machinesgeneral guidelines
10. ISO 13380: 2002(E): Condition monitoring and
diagnostics of machinesgeneral guidelines on
using performance parameters
 Physics of Failure
Horst Czichos
3

This chapter considers materials integrity in
technical applications and analyses loads and
environmental influences leading eventually to
materials deterioration and may cause defects,
faults and failures of structures, systems and
components.
3.1 Overview
The discussion on the objects of technical
diagnostics in the previous chapter has shown
that engineered materials in technical applica-
tions are subject to loads and environmental
influences (see Fig. 2.3), which can be broadly
classified into basic physical categories as
mechanical action of potentials,
thermal fields, forces
electromagnetic
environmental attack of radiation,
tribological chemicals,
organisms, fluids,
particles, solids
Figure 3.1 illustrates thatinitiated by the
interacting loads and environmental influ-
encesvarious failure mechanisms are possible,
occurring as all physical processes in space
(point, line, surface/interface, volume effects in
materials) and time (static, dynamic, stochastic
phenomena). Whereas Fig. 3.1 gives a simpli-
fied overall compilation of potential failure
mechanisms, the occurrence of actual failures
depends on the function and structure of the
technical system under consideration and must
be individually determined and assessed by the
methods and techniques for diagnostics and
monitoring (see Part B of the handbook).
In the following, a brief overview of physics
of failure is given organized in terms of the
general physical categories of Fig. 3.1 and based
on the characterization of materials properties
and performance in the Springer Handbook of
Metrology and Testing [1].
3.2 Mechanical Loads and Related
Failure Mechanisms
The response of a material to an external
mechanical loading characterizes its mechanical
properties. The single mechanical loading modes
(which often interact in practice) are categorized
as tension, compression, bending, shear, and
torsion, see Fig. 3.2.

H. Czichos (&)
Beuth Hochschule fr Technik, Luxemburger Strae
20a, 13353 Berlin, Germany
e-mail: horst.czichos@t-online.de

H. Czichos (ed.), Handbook of Technical Diagnostics, 23

DOI: 10.1007/978-3-642-25850-3_3,  Springer-Verlag Berlin Heidelberg 2013
24
Fig. 3.1 Overview of physics of failure
3.2.1 Deformation, Elasticity,
Strength
As illustrated schematically in the upper right part
of Fig. 3.2 for quasi-static tensile loading, stress
r = F/A0 gives the intensity of a mechanical
force F that passes through the materials cross-
sectional area A0. Strain e = Dl/l0 gives the rel-
ative displacement of points within the material.
Stressstrain curves depend basically on materi-
als composition and microstructure and are
influenced by the loading manner, strain rate,
temperature, and chemical environment. They
show typically three different regimes:
First, when the applied load is small, defor-
mation is reversible, that is, elastic deforma-
tion occurs. Stresses are proportional to elastic
strains (Hookes law: r = E 9 e). The slope
between tensile stress and tensile elastic strain
is called the Elastic (or Youngs) modulus E.
A material with high E-modulus is strong or
rigid to elastic deformation.
H. Czichos
Second, when the applied stress becomes
higher, materials usually show plastic defor-
mation as a result of submicroscopic disloca-
tion movements. The stress at the onset of
plastic flow is called the yield strength, which
has no direct relation with the Youngs mod-
ulus. The yield strength indicates resistance
against plastic flow.
Third, materials show fracture under applied
stress. Toughness is the resistance to fracture,
defined as the amount of energy per volume
that a material can absorb before rupturing.
Buckling (elastic instability) is a sudden
bending failure of a structural component with a
large length-to-cross-section-measure (slender-
ness) subjected to high compression. Buckling is
due to an axial load eccentricity that introduces at
the point of failure a moment, which initiates
bending when the actual compressive stress is
less than the ultimate compressive stress that the
material is capable of withstanding. When load is
constantly being applied on a slender structural
3 Physics of Failure 25

Fig. 3.2 Modes of mechanical loading used to characterize mechanical properties of materials (left), the typical
stressstrain curve of ductile materials for quasi-static tensile loading (upper right), and the fatigue failure curve (SN
curve or Whler curve) for dynamic loading (lower right)

component, such as a column, it can cause sig-

nificant and somewhat unpredictable deforma-
tions, possibly leading to complete loss of load-
carrying capacity.
Mechanical shock is a transient loading
excitation, i.e., a sudden acceleration and
deceleration pulse caused, for example, by
impact. It can cause ductile items to bend and
brittle items to fracture. Under numerous repe-
ated low-load shocks, fatigue failure can occur.

3.2.2 Creep Fig. 3.3 General creep deformation behavior

Plastic deformation and fracture usually show

time dependence. When an external load is kept
constant, a specimen deforms plastically gradu-
ally, which is called creep deformation. This is
clearly observed at high temperatures
(T [ 0.3 Tm), where Tm denotes the melting
temperature of a material. In general, creep
deformation at constant temperature is divided
into three stages in the creep curve, as shown in
Fig. 3.3. After the initial strain that occurs dur-
ing loading to a certain fixed stress, plastic strain
initially increases gradually, which is called
transient creep. The rate of increase of the strain
in transient creep saturates to a constant rate in
the second regime. This is called steady creep.
The third regime, called tertiary or accelerated
creep, leads to the rupture of the specimen.
3.2.3 Fatigue
Under dynamic loading, the strength of mate-
rials decreases with the number of load cycles,
see Fig. 3.2 (lower right). At cyclic loading with
small stresses below the yield strength, slip
occurs locally and repeatedly, resulting in
intrusions, surface dents at which stress is
concentrated. Plastic flow occurs locally at the tip
of then formed micro-cracks, which may
gradually grow. When the crack length has
26
increased enough to satisfy the fracture condition
given by the fracture mechanics approach, final
fracture takes place. The stress at 107 cycles is
called the fatigue strength or endurance limit rw.
At stresses higher than rw, the number determines
the time to fracture and is called fatigue life.
The following aspects affect fatigue:
Material characteristics
Material type: fatigue life as well as the
fatigue failure curve (Fig. 3.2 bottom right)
vary widely for different materials, e.g., the
behavior of composites and polymers differ
markedly from that of metals.
Geometry: notches and variation in cross-
section of a component lead to stress
concentrations where fatigue cracks may
initiate.
Surface quality: surface roughness causes
microscopic stress concentrations that
lower the fatigue strength. Surface com-
pressive stress can increase the fatigue life
of the component. Such residual stresses
can be introduced in the surface by cold
working processes (e.g., shot peening). Low
plasticity burnishing and ultrasonic impact
treatment can also produce this improve-
ment, which is normally observed for high
cycle fatigue.
Size and distribution of internal defects:
casting defects such as gas porosity, non-
metallic inclusions, and shrinkage voids can
significantly reduce fatigue strength.
Grain size: for most metals, smaller grains
yield longer fatigue lives, however, surface
defects or scratches have a greater influence
than coarse grains.
Residual stresses: casting, cutting, welding,
and other manufacturing processes involv-
ing heat or deformation can produce high
levels of tensile residual stress, which
decreases the fatigue strength.
Loading characteristics
Cyclic stress state: depending on the com-
plexity of the geometry and the loading, one
or more properties of the stress state need to
be considered, such as stress amplitude,
mean stress, biaxiality, in-phase or out-of-
phase shear stress, and load sequence.
H. Czichos
Direction of loading: for non-isotropic
materials, fatigue strength depends on the
direction of the principal stress.
Environmental influences
Temperature: extreme high or low temper-
atures can decrease fatigue strength.
Chemical loads leading to corrosion or gas-
phase embrittlement can affect fatigue life.
Corrosion fatigue is a problem encountered
in many aggressive environments.
3.2.4 Fracture
Fracturethe separation of a solid body into
pieces under the action of stressis the ultimate
failure mode. It destroys the integrity and the
structural functionality of materials and engi-
neered components and must be avoided and
prevented. Fractography is often applied in order
to find the cause of accidental failures. Three of
the most common fracture mechanisms, which
are caused by monotonic tension in metallic
engineering materials are explained and illus-
trated in Fig. 3.4.
3.3 Thermal Loads and Related
Failure Mechanisms
If materials are heated or cooled, many of their
properties change. This is due to the fact that
thermal energy supplied to or removed from a
specimen will change either the kinetic or the
potential energy of the constituent atoms or
molecules. Heat transfer in materials is associ-
ated with two main thermophysical properties:
Heat capacity: if a specific amount of heat DQ
is supplied to a thermally insulated specimen
of mass m the relationship between heat and
temperature increase DT is given by
DQ = mcp DT. Consequently, the ability of a
material to store heat is characterized by the
specific heat capacity at constant pressure cp.
If two equal volumes of different materials are
compared with each other, the ability to store
heat is described by the product of density q
and specific heat capacity cp. This product qcp
is used if simultaneous heat conduction and
3 Physics of Failure
Fig. 3.4 Scanning electron microscope (SEM) micrographs for the most common fracture appearances
storage processes are investigated by means of
the transient heat conduction equation.
In many cases the density of a material or the
mass of a specimen is well known or can be
easily determined with sufficient accuracy.
Therefore, the problem is reduced to the
determination of the specific heat capacity.
Thermal conductivity k is the material prop-
erty associated with heat conduction and is
defined by Fouriers law q = -k DT/d = DT/
Rth. Here, q is the heat flux, the heat con-
ducted during a unit time through a unit area,
driven by a temperature gradient. In practice,
for thermal conductivity measurements the
temperature difference DT between two
opposite surfaces of a sample with a separa-
tion of d is determined. The quotient of dis-
tance and thermal conductivity is the thermal
resistance Rth.
3.3.1 Diffusion
Diffusion is the motion of liquid and gas mole-
cules driven by a concentration or temperature
27
gradient. The time dependence of the statistical
distribution in space is given by the diffusion
equation. Volume diffusion refers to atomic
diffusion within a crystalline lattice. Diffusion
within the crystal lattice occurs by either inter-
stitial or substitutional mechanisms. In intersti-
tial lattice diffusion, a diffusant (such as C in an
iron alloy), will diffuse in-between the lattice
structure of another crystalline element. In sub-
stitutional lattice diffusion (self-diffusion for
example), the atom can only move by substi-
tuting place with another atom. Diffusing parti-
cles migrate from point vacancy to point
vacancy by the rapid, essentially random jump-
ing about (jump diffusion). Since the prevalence
of point vacancies increases in accordance with
the Arrhenius equation, the rate of crystal solid-
state diffusion increases with temperature.
Originally, the Arrhenius equation gives the
dependence of the rate constant k of chemical
reactions on the temperature T (in absolute
temperature) and activation energy Ea: k = A
exp [-Ea/(RT)], where A is the so-called pre-
factor and R is the gas constant.
28
3.3.2 Thermomechanical Defects
Generally speaking, thermal loading leads to a
material-dependent response when heat is sup-
plied. The materials response might be a tem-
perature increase, a phase transition, a change of
length or volume, an initiation of a chemical
reaction, or the change of some other physical or
chemical quantity. The effect of thermal loading
can influence the functional behavior of struc-
tures, systems, and components very differently.
In mechanical engineering thermal loads can
lower the load bearing capability of materials
and can influence the mechanism of deforma-
tion, creep, fatigue, and fracture. Thermal shock,
i.e., thermal gradients can cause different parts
of an object to expand by different amounts.
If the connected thermo-induced stress or strain
overcomes the material strength locally, cracks
can form.
In electronics, thermal loads can detrimen-
tally influence the electronic properties of
materials.
To model the influence of temperature, for
example on the mean time to failure of elec-
tronic devices, the Arrhenius equation has been
applied as the activation energy appears to be
related to physical processes that give rise to
failure, e.g., intermetallic grow, metal migration,
void formation, and dielectric breakdown.
However, activation energies for these failures
in electronic devices are not well known and can
vary to a large degree, hence additional influ-
encing factors have to be considered.
Fig. 3.5 Schematic representation of electron energy levels (left) and the electronic energy-band representation of
materials (right)
H. Czichos
Thermomechanical stresses and deformations
are major contributors to failures in microelec-
tronics and photonics devices. In microelec-
tronics, consequences of elevated thermal
stresses are usually associated with mechanical
failures, e.g., ductile rupture, brittle fracture,
failures due to fatigue, creep, stress relaxation,
etc. In optoelectronics and photonics, thermal
strains and displacements are typically respon-
sible for the viability and reliability of a pho-
tonics product or system. Small displacements
on the submicrometer scale may occur in opto-
electronic structures because of various time-
dependent effects, for example creep, stress
relaxation, materials aging, etc., detrimentally
influencing the long-term optical performance of
the device. Thus, thermally induced stresses and
strains, their magnitudes, and distributions are
important influencing factors for structural
integrity and functional performance.
3.4 Electromagnetic Loads
and Related Failure
Mechanisms
The theoretical basis for the characterisation of
the electrical properties of materials is the
electron band model, illustrated in a simplified
manner in Fig. 3.5.
According to Bohrs atom model, electrons of
isolated atoms (for example in a gas) can be
considered to orbit at various distances about
their nuclei, illustrated schematically by different
3 Physics of Failure
energy levels, see Fig. 3.5 (left). These distinct
energy levels, which are characteristic for iso-
lated atoms, widen into energy bands when atoms
approach each other and form a solid. Quantum
mechanics postulates that electrons can only
reside within these bands, but not in the areas
outside of them. The highest level of electron
filling within a band is called the Fermi energy EF.
As shown in Fig. 3.5 (right), the electron energy-
band representation classifies the electrical
properties of materials as follows:
Monovalent metals (copper, silver, gold) have
partially filled bands. Their electron popula-
tion density near the Fermi energy is high
which results in a large conductivity.
Bivalent metals are distinguished by overlap-
ping upper bands and by a small electron
concentration near the bottom of the valence
band. Consequently, the electron population
near the Fermi energy is small which leads to a
comparatively low conductivity. For alloys, the
residual resistivity increases with increasing
amount of solute content.
Semiconductors have completely filled elec-
tron bands, but at elevated temperatures the
thermal energy causes some electrons to be
excited from the valence band into the con-
duction band where they provide some con-
duction. The electron holes, which have been
left behind in the valence band, cause a hole
current, which is directed in the opposite
direction compared to the electron current.
The number of electrons in the conduction
band can be considerably increased (and thus
the conductivity tailored) by adding, for
example, small amounts of Group-V elements
called donor atoms, to silicon.
Insulators have completely filled and empty
electron bands which results in a virtually zero
population density. Thus, the conductivity in
insulators is virtually zero.
The basic load, which may cause faults and
failures of electrical components, is electric
voltage. The time to failure is often proportional
to an inverse power of voltage inverse power
law (IPL). For example, capacitors often follow
the IPL relationship.
29
3.4.1 Electromigration
Electromigration is a degradation mechanism
caused by the gradual movement of the ions in a
conductor due to the momentum transfer between
conducting electrons and diffusing metal atoms.
The effect occurs when some of the momentum of
a moving electron is transferred to a nearby
activated ion. This causes the ion to move from its
original position. Over time this force knocks a
significant number of atoms far from their origi-
nal positions. A break or gap can develop in the
conducting material, preventing the flow of
electricity. Electromigration can also cause the
atoms of a conductor to pile up and drift toward
other nearby conductors, creating an unintended
electrical connection (short circuit). These situa-
tions can lead to a malfunction of the circuit.
Diffusion mechanisms: in a homogeneous
crystalline structure with a uniform lattice
structure of metal ions, there is hardly any
momentum transfer between the conduction
electrons and the metal ions. However, this
symmetry does not exist at grain boundaries
and material interfaces, so that here momen-
tum is transferred. Since the metal ions in
these regions are bonded more weakly than in
a regular crystal lattice, once the electron
wind has reached a certain strength, atoms
become separated from the grain boundaries
and are transported in the direction of the
current. This direction is also influenced by
the grain boundary itself, because atoms tend
to move along grain boundaries.
Thermal effects: in an ideal conductor, where
atoms are arranged in a perfect lattice struc-
ture, the electrons moving through the lattice
experience no collisions and electromigration
does not occur. In real conductors, defects in
the lattice structure and the random thermal
vibration of the atoms about their positions
cause electrons to collide with the atoms and
scatter, which is the source of electrical
resistance. Normally, the amount of momen-
tum imparted by the relatively low-mass
electrons is not enough to permanently dis-
place the atoms. However, in high-power
30
situations, if many electrons bombard the
atoms with enough force to become signifi-
cant, this will accelerate the process of elec-
tromigration by causing the atoms of the
conductor to vibrate further from their ideal
lattice positions, increasing the amount of
electron scattering. High current density
increases the number of electrons scattering
against the atoms of the conductor, and hence
the speed at which those atoms are displaced.
In electronic systems, electromigration damage
ultimately results in failure of the affected inte-
grated circuit (IC). In laboratory investigations,
electromigration failure can be imaged with an
electron microscope, as interconnect erosion
leaves visual markers on the metal layers of the IC.
3.5 Environmental Loads
and Related Failure
Mechanisms
There is no application of materials in structures
and technical systems without interaction with
the environment. Materialenvironment inter-
actions are relevant for all types of materials, be
they of inorganic or organic in origin. Interac-
tions with the environment can cause damage to
materials but might also lead to an improvement
of materials properties (e.g., oxidative passiv-
ation of aluminum or patina formation on copper
surfaces). There is a broad spectrum of possible
environmental influences on materials, which
are as follows:
Radiation acting on materials:
Ionizing radiation (detectable by Geiger
counters), naturally occurring as cosmic
rays or produced by radioactive decay
classified as neutrons, alpha particles (2
protons ? 2 neutrons), beta particles, c- and
X-radiationcan penetrate materials and is
used in industrial radiology. Ionizing radi-
ation can excite and eject core electrons
from atoms, thus producing chemically
reactive free radicals, which are used in
medical applications but can damage living
tissue.
H. Czichos
Non-ionizing radiation from the various
parts of the electromagnetic spectrum
(radiowaves, microwaves, infrared, visible,
ultraviolet) has only sufficient energy to
change the rotational, vibrational, or elec-
tronic valence configurations of molecules
and atoms. This may cause radiation
heating, similar to simple heating.
Chemical species acting on materials: atoms,
molecules, molecular fragments, ions, etc.,
involved in chemical processes.
Biological species acting on materials, espe-
cially microorganisms, which can deteriorate
materials by various bio-chemical mechanisms.
Weathering is the effect of combined detri-
mental influences of the outdoor environment
(for example sunlight, temperature, ozone,
oxygen, moisture, i.e., water in gaseous,
liquid, or solid phases) on a material. Of
special detrimental influence are hot-wet
conditions.
Environmental influences can also impede the
functional performance of materials through the
deposition of unwanted matter on solid surfaces
(fouling).
All these environmental influences can act
individually, they can interfere with each other
(detrimental synergism), and they can act in
addition to the functional working loads.
3.5.1 Aging
Generally speaking, aging results from all the
irreversible physical and chemical processes that
happen in a material during its service life.
Thermodynamically, aging is an inevitable pro-
cess, its rate ranges widely as a result of the
different kinetics of the single reaction steps
involved. Aging of polymeric materials by the
impact of weathering is mainly initiated by the
action of solar radiation. However, other cli-
matic quantities such as heat, moisture, wetting,
and ingredients of the atmosphere, influence the
photochemically induced materials deterioration
processes. Aging becomes noticeable through
changes of different properties, varying from
slight loss in appearance properties to total
3 Physics of Failure
mechanicaltechnical failure. Relevant environ-
mental factors for the aging of polymers are:
Mechanical stress. In the case of mechanical
exposure, free radicals can be formed by
rupturing chemical bonds, which is used as
the initiation step in stress chemilumines-
cence. Ultrasonic degradation can be used to
produce polymers with a definite molecular
size or to degrade polymeric waste products.
Frequent freezing/thawing cycles may also
lead to degradation of dissolved polymers.
Heat. Because of their low bond energies
technical polymers can only be used in a
limited temperature range. For example,
polyvinylchloride (PVC) is only suited for
permanent use up to 70 C, polycarbonate
(PC) up to 115 C.
Radiation. i.e., loads on materials from the
high frequency end of the electromagnetic
spectrum is of basic degrading influence
especially for organic materials. The impact
of high energy radiation (c-, X-ray) leads to
degradation and/or cross-linking of polymers.
In the presence of oxygen, degradation
predominates.
Chemical environment. Exposed to water
some polymers, such as polyamides (PA),
polyester, and polyurethane, can be hydrol-
ized, the mechanism for which may depend on
acidity. Other polymers show a high sensi-
tivity to atmospheric pollution, e.g., poly-
amides and poly-urethanes even at room
temperature are attacked by SO2 and NO2.
3.5.2 Corrosion
Corrosion is defined as an interaction between a
metal and its environment that results in changes
in the properties of the metal (ISO Standard
8044). In most cases the interaction between
metal and environment is an electrochemical
reaction where thermodynamic and kinetic
considerations apply. From a thermodynamic
point of view the driving force, as in any elec-
trochemical reaction, is a potential difference
between anodes and cathodes in a short-circuited
cell. The result of corrosion is a corrosion effect,
which is generally detrimental and may lead to
31
material loss, environment contamination with
corrosion products, or impairment of a technical
system. Figure 3.6 illustrates schematically the
mechanism of corrosion.
The schematic diagram in Fig. 3.6 shows the
various reactions that can occur sequentially and
simultaneously in the corrosion process. Mate-
rial transport and chemical reactions can supply
or remove important reaction components.
In addition to adsorption or desorption, a phase-
boundary reaction occurs which mostly involves
electrochemical reactions and which can be
affected by external currents. An example is the
formation of hydride on lead where the partner
to the hydrogen reaction can arise from the
cathodic process. Hydrogen can also penetrate
the metal microstructure, where it can have a
physical or chemical effect, causing a degrada-
tion of the mechanical properties of the material.
In this type of corrosion cracks can form during
mechanical testing, leading to fracture without
the loss of any metal.
Corrosive attack on materials can be catego-
rized as shown in Fig. 3.7:
General attack
Localized attack
Galvanic attack
Velocity phenomena
Intergranular attack
Dealloying attack
Cracking phenomena
High temperature attack.
With respect to diagnostics, the various
modes of corrosion can be divided into three
categories:
Group I: Corrosion modes readily identified
by visual examination.
Group II: Corrosion modes which may require
supplementary examination.
Group III: Corrosion modes which usually
should be verified by microscopy, optical or
scanning electron microscope.
3.5.3 Stress Corrosion Cracking
Stress corrosion cracking means crack initiation
and propagation under static tensile stresses in
the presence of certain corrosive media. In some
32 H. Czichos

Fig. 3.6 Mechanisms of corrosion

Fig. 3.7 Corrosion modes grouped with respect to technical diagnostics

3 Physics of Failure
cases residual stresses within the material are
sufficient to initiate this form of corrosion.
Contrary to most other manifestations of corro-
sion, the failure, due to a sudden brittle fracture,
often occurs without formation of detectable
corrosion products and is not necessarily char-
acterized by any previously occurring visible
damage. For assessing the corrosion, parameters
of the medium as well as of the material are
important. In practice, where complex corrosion
conditions often exist, adequate knowledge of
the corrosion process is therefore required in the
evaluation of failures. Stress corrosion cracking
can be subdivided into an initiation and a
propagation process. In theory, such a differen-
tiation is possible, but experimentally it is very
difficult to detect as the two processes overlap
during the stepwise progress of the cracking.
Furthermore, metal surfaces often have incipient
cracks and crevices already present in the as-
delivered state which could act as crack nuclei,
which means that crack initiation in such cases is
not necessary at all. Thus, stress corrosion
cracking can lead to catastrophic failures.
Hydrogen-induced stress corrosion cracking
or hydrogen embrittlement is a process where
the uptake of hydrogen into a material leads to
brittle cracking of the material under nominally
uncritical loads. It hits most frequently high-
strength materials. In the case of hydrogen-
induced stress corrosion cracking or hydrogen
embrittlement, the adsorbed hydrogen at the
steel surface is responsible for the crack growth.
A prerequisite for the absorption of hydrogen
into the metal is that the hydrogen is present in a
dissociated form. The practical importance of
hydrogen-induced stress corrosion cracking lies
in the fact that, even under otherwise harmless
humidity conditions (e. g., condensation) on the
steel surface, minor corrosion reactions could
provide sufficient hydrogen to initiate crack
growth. Experimentally determined crack
growth of stressed high-strength steels in low-
aggressive media, such as humid air or distilled
water, have shown that even small amounts of
hydrogen are sufficient to embrittle these steels.
33
3.5.4 Corrosion Fatigue
Corrosion fatigue is a process, which involves
both corrosion and alternating straining of the
metal, often leading to cracking. It may occur
when a metal is subjected to cyclic straining in a
corrosive environment. Corrosive or otherwise
chemically active environments can promote the
initiation of fatigue cracks in metals and alloys
and increase the rate of fatigue crack propaga-
tion. Corrosion fatigue processes are not limited
to specific metal/environment systems and reli-
able estimates of fatigue life for all combinations
of loading and environment cannot be made
without data from laboratory tests. In the pres-
ence of an aggressive environment, the fatigue
strength of a metal or alloy is reduced to an
extent which depends on the nature of the
environment and the test conditions. For exam-
ple, the well-defined fatigue strength limit
observed for steels in air may no longer be
evident as illustrated in Fig. 3.8.
3.5.5 High Temperature Corrosion
In industrial high-temperature applications, cor-
rosion is a major life-limiting factor for service
components. Such applications are, e.g., fossil-
fuel power stations, petrochemical and chemical
plants, exhaust ducts, land-based gas turbines,
jet engines, etc. There exist a number of tests
aiming at evaluating the effect of the high-
temperature environment on material perfor-
mance for different applications. In laboratory
tests, it is usually intended to simulate conditions
which are close to the industrial situation with
regard to environment, temperature, and
mechanical stresses. As the situation in high-
temperature applications in most cases is very
complex, extreme care should be taken if the
results of such accelerated laboratory tests are
taken for lifetime extrapolation.
To characterize high temperature corrosion,
mass change that results from the reaction of the
material with its environment is controlled.
A mass gain will occur if the reaction leads to
34
Fig. 3.8 Schematic comparison of SN (Whler-curve) behavior during fatigue and corrosion fatigue for steel
the formation of a solid corrosion product on the
surface and/or in the metal subsurface zone.
Mass losses will occur when either the solid
corrosion product spalls from the surface (e.g.,
oxide bits flake off the sample) or if volatile
corrosion products are formed which evaporate.
Since the mass change is proportional to the
amount of species from the environment taken
up by the material in the oxidation reaction or to
the amount of material evaporated by formation
of volatile corrosion products, the high temper-
ature corrosion kinetics can be determined by
continuous or discontinuous measurements of
the specimen weight or mass in tests. In com-
bination with mass measurements it is beneficial
and even necessary to characterize additional
damage parameters resulting from the corrosion
process. These parameters are determined by
post-experimental sectioning of the specimens in
the metallography and measurement of geo-
metrical data on surface scale thickness and on
internal corrosion depth.
3.5.6 Biodeterioration
Detrimental changes of materials and their
properties may be caused by biological attack of
microorganisms (bacteria, algae, higher fungi,
H. Czichos
basidiomycetes) as well as by the attack of
insects (termites, coleoptera, lepidoptera) and
other animals.
Biodeterioration can deteriorate almost all
materials in different technical applications, for
example:
In the marine environment, molluscs and
crustaceans are usually considered as the main
deteriorating organisms. In the course of the
proliferation of microorganisms, a slimy
matrix is produced by microbial communities
at the interface with a material called a biofilm.
In technical systems bio-fouling occurs.
Natural materials such as timber, pulp, paper,
leather, and textiles are particularly suscepti-
ble to deterioration by biological systems.
Many contemporary materials such as paints,
adhesives, plastics, plasters, lubricating
materials and fuels, technical liquids, waxes,
etc. can support microbial growth.
Even the properties of inorganic products such
as concrete, glass, minerals, and metals may
suffer from biological attack. Biocorrosion of
metals and metal alloys is also known to occur
under a wide variety of conditions.
Figure 3.9 shows examples of biodegradation
of an organic material and explains elementary
biodegradation steps of polymers.
3 Physics of Failure
Fig. 3.9 Examples of biodegradation of an organic material
Biodeterioration can be defined, generally
speaking, as a decrease in the economic value of
materials caused by biological organisms. From
a physical point of view, biodeterioration can be
defined as the transition of a material from a
higher to a lower energy level or (chemically)
from a more to a less complex state. From a
biological point of view it is important to be able
to relate biodeterioration and biodegradation
events to the cycle of changes in materials which
characterize the natural world. Thus, a material
may be required to be stable toward biological
attack while in service but needs to degrade in
the environment to substances that are harmless
to and totally integrated with the environment
once the service cycle has ended. Many mate-
rials, constructions, and processes must therefore
be looked at in a true cradle to grave context
to ensure that the economic benefits at one point
do not lead to adverse environmental (and eco-
nomic) impact at a later stage in the cycle of that
materials lifespan. attack engineering materials by impact of liquid
35
3.6 Tribological Loads and Related
Failure Mechanisms
Tribology is the science and technology of inter-
acting surfaces in relative motion. Friction and
wear represent two key aspects of the tribological
behavior of materials. Like other detrimental
influences on material performance, such as cor-
rosion or biodegradation, both friction and wear
result from exposure of the material to a particular
set of conditions. They do not therefore represent
intrinsic material properties, but are system-
dependent attributes of tribosystems and must be
measured under well-defined test conditions.
Tribological failures in technical systems are
caused by load and friction forces through
interactions of solids in relative motion (sliding,
spin, rolling), and can be mitigated by interfacial
media (e.g., lubricants) or enforced by abrasive
particles (e.g., dust). Fluids and particles can
36
Fig. 3.10 Examples of tribosystems in machinery and the general model of tribosystems function and structure
drops or abrasives, by flow of liquids and gases,
or by cavitation, i.e., implosion of gas bub-
bles. These tribological failure modes are
described by the umbrella term erosion.
Engineering materials in contact with other
solid components are subject to relative motion
in many engineering applications which need
kinematics (sliding, rolling, etc.) to fulfill a
functional task. Functional categories of tribo-
systems are listed in Fig. 3.10 together with
examples displaying their broad application
spectrum. In the lower part of Fig. 3.10, typical
machine elements subject to friction and wear
are shown. The general tribological model sys-
tem indicates the basic structural elements and
operating parameters, which must be recognized
in technical diagnostics of wear.
The interactions between the structural ele-
ments (1), (2), (3), (4) of a tribosystem illus-
trated in Fig. 3.10 have a dual nature:
H. Czichos
(a) Functional interactions between the triboel-
ements (1) and (2), like contact mechanics,
are necessary to enable the transformation of
the operating inputs into functional use-
outputs{Y}. This is the basic functional
requirement for tribosystems.
(b) The functional interactions (a) are inevitably
connected with loads FN and friction forces,
which may cause detrimental tribological
effects like surface fatigue, abrasion, adhe-
sion, tribochemical reactions, which can
cause dissipations and wear.
A summarizing illustration of the basic fea-
tures of friction and wear of tribosytems is given
in Fig. 3.11. In the upper part, an example of a
tribological system with sliding friction is
shown. The friction force is defined as the force
acting tangentially to the interface resisting
motion, when, under the action of an external
force, one body moves or tends to move relative
3 Physics of Failure
Fig. 3.11 Overview of the basic characteristics of tribosystems
to another. The coefficient of friction f is a
dimensionless number, defined as the ratio
between the friction force FF and the normal
force FN acting to press the two bodies together.
The Stribeck curve illustrates the different fric-
tion regimes.
Wear can be defined as damage to a solid
surface, generally involving progressive loss of
material, due to relative motion between that
surface and a contacting substance or sub-
stances. A specific wear mode is fretting which
occurs under oscillating tribological contacts.
The chain of events leading to wear is illus-
trated in Fig. 3.12. Tribological loading of
materials comprise the actions of contact
mechanics, relative motion, and contacting
matter, activated by frictional energy. The action
of contact forces and stresses in combination
with relative motion trigger the wear mecha-
nisms of surface fatigue, abrasion, and the
materials degradation processes listed in the left
part of Fig. 3.12. The contacting matter initi-
atestogether with interfacial and ambient
37
mediathe wear mechanisms of tribochemical
reactions and adhesion in combination with
debris formation processes. All these processes
and their interference lead to wear: surface
damage and wear particles.
The characteristic appearance of worn mate-
rial surfaces resulting from the basic wear
mechanisms are shown in Fig. 3.13. In practical
tribosystems (see Fig. 3.10) the basic wear
mechanisms can act singly or in complex inter-
actions to produce wear.
3.7 Failure Mechanisms
and Reliability
The overview of the various failure mechanisms
has shown that failures are due to a complex set
of interactions between loads and environmental
influences that act on and within a system,
and the materials that the system comprises.
A comparison of the failure mechanism of
fracture (Fig. 3.4) and the failure mechanism
38 H. Czichos

Fig. 3.12 Tribological loading of materials and the chain of processes leading to wear

Fig. 3.13 Overview of the basic wear mechanisms

of wear (Fig. 3.13) implies that two conceptual
models of failure can be considered:
Overstress failures are catastrophic sudden
failures due to a single occurrence of a stress
event that exceeds the intrinsic strength of
a material. Overstress failures are, e.g.,
buckling of materials, electrical failures
resulting in electrical discharge, or thermal
overstress in a polymer beyond glass transi-
tion temperature.
3 Physics of Failure
Fig. 3.14 Interference model of strength and stress for the characterization of reliability
Damage accumulation is due to stress events
that accumulate irreversibly and failure results
when damage exceeds the endurance limit of
the material. Examples of damage accumula-
tion are fatigue from thermomechanical
stresses, electromigration, and corrosion due
to contaminants and weathering cycling.
The failure probability of a material under
load L originates from both the interaction of the
statistical scatter of the applied load stress rL
and the statistical scatter of material properties
determining the macroscopic strength rS of the
component. Both quantities are denoted by r, in
accordance with mechanical stress and strength.
Stress means symbolically any physical pro-
cess acting on the componentmechanical,
thermal, electromagnetic, environmental, tri-
bologicalas has been compiled in Fig. 3.1.
Stress rL scatters due to varying conditions of
loads and environmental influences.
Strength means the ability of the component
to withstand stress. Strength rS scatters due to
scatters of the material properties and to
scatters of manufacturing quality of the engi-
neered component. The basic characteristics
of engineered materials have been described
in Fig. 2.3.
Failure takes place as soon as the stress dis-
tribution interferes with the strength distribution.
The failure probability depends on the probability
that a randomly chosen stress condition exceeds
the strength of a randomly chosen component.
This probability is dependent on the overlap of
39
the distribution functions, as illustrated in
Fig. 3.14 showing the so-called static stress
strength interference.
The argumentation of the static interference
model for the characterization of failure reli-
ability holds also for the dynamic interference
model. Figure 3.15 illustrates that under normal
operating conditions (a), there is no interference
of the stress and strain distributions and the
failure probability is assumed to be zero. Under
overstress (b) or damage accumulation (c),
the failure probability increases suddenly or
gradually. Whereas the interference model
explains time-dependent failure probabilities in
a plausible manner, it is only a hypothetical
model because the real working loads acting on
a component (see Fig. 3.1) cannot be expressed
as simple distribution functions of stress and
strength and technical diagnostics has to be
applied according to the general scheme of Fig.
2.12.
The interference model of strength and stress
for the characterization of reliability illustrated
in Figs. 3.14, and 3.15 refers to the reliability
consideration of a single component of a tech-
nical system. As technical systems are entities
consisting of several structural components,
systems reliability depends on the reliability of
all single components. If the system structure
can be interpreted as a series of combination of
system components, from basic rules of proba-
bility calculations it follows that conceptually
the reliability of the system at a given time is the
40 H. Czichos

Fig. 3.15 Dynamic failure model characterizing a normal operation, b, c abnormal operations due to failure
mechanisms caused by overstress or damage accumulation

product of the reliabilities of the components.

Thus, the following rules of thumb for systems Reference
reliability are obvious:
The more the components, the smaller the 1. Czichos, H., Saito, T., Smith, L. (eds.): Springer
system reliability becomes. Handbook of Metrology and Testing. Springer, Hei-
System reliability cannot be better than the delberg (2011)
worst component reliability.
To maintain high system reliability, the reli-
ability of the components must be improved.
Prior to reliability investigations, a failure
mode and effects analysis (FMEA) should be
individually performed for the actual technical
system under consideration.
 Part II
Methods and Techniques
for Diagnostics and Monitoring
 Overview of Diagnostics
and Monitoring Methods 4
and Techniques
Baldev Raj and B. Venkatraman

In this chapter, a brief and fundamental overview

of the various diagnostics and monitoring meth-
4.1 Scope of Diagnostics
ods and techniques is given. These are basically
and Monitoring Methods
nondestructive evaluation (NDE) methods
and Techniques
including ultrasonic, Barkhausen emission, eddy
In this era of globalization and liberalization,
current (EC), positron annihilation, thermal
quality is the watchword and password for success.
imaging, acoustic emission, shearography, and
Quality can best be achieved by the judicious
so on. The techniques are described to bring out
application of nondestructive test techniques and
the developmental efforts being made in
evaluation of results in synergy with design,
employing them towards assessment of fabrica-
manufacturing, material performance, mainte-
tion quality and for detection of early damage
nance, and plant engineering disciplines. Quality
through alterations in microstructures and resid-
assurance during fabrication, heat treatment, pre-
ual stresses leading to premature failures.
service, and in-service assessment using nonde-
This chapter overview presents the physical
structive testing (NDT) techniques are essential
principles of these methods and discusses their
for safe, reliable, and long-term performance of
strengths, limitations, and failure detection
components and structures. Performance of
capabilities. This is the background for the
industrial components, structures, and plants
application of the various individual methods to
depend on their fabrication quality, operating
technical diagnostics and structural health
conditions vis-a-vis design parameters, knowl-
monitoring presented in the subsequent chapters
edge of short-term and long-term stability of
of this handbook.
microstructures and variations between design-
stipulated and actual service conditions, feedback
from plant performance, failure analysis, and so
on. Stringent quality management during fabrica-
tion and in-service performance assessment
through NDT and evaluation techniques ensures
avoidance of premature and/or catastrophic fail-
B. Raj (&)
President, INAE, 6th floor, Vishwakarma Bhawan, ures and unanticipated shutdown of plants.
Shaheed Jeet, Singh Marg, New Delhi 110016, India NDT, as the name implies, refers to the sci-
e-mail: baldev.dr@gmail.com ence and technology of assessing the soundness
B. Venkatraman and acceptability of process, products, assem-
Indira Gandhi Centre for Atomic Research bling, machine, structure, or plant in a nonin-
(IGCAR), Kalpakkam 603102, Tamil Nadu, India
vasive way without impairing performance and
e-mail: bvenkat@igcar.com

H. Czichos (ed.), Handbook of Technical Diagnostics, 43

DOI: 10.1007/978-3-642-25850-3_4,  Springer-Verlag Berlin Heidelberg 2013
44
serviceability. The techniques in general,
involve imparting energy or stimuli to the
material. The materials response is analyzed
using a suitable sensor without impairing its
functionality or worth. However, passive NDT
techniques defer on capturing the emitted energy
using a suitable sensor during the dynamic pro-
cess occurring in a material such as deformation,
corrosion, leak, forming, joining, and so on.
NDE is a term that is often used interchangeably
with NDT. While the term NDT is used to
denote the testing or inspection of materials in a
qualitative way (go no type), NDE refers to
testing coupled with precise measurements and
their correlation with performance and is thus
quantitative in nature. Through NDE, one not
only locates the defect, but also uses it to char-
acterize the defect with respect to its size, shape,
and orientation. Quantitative correlations with
performance are achieved through determining
material properties such as microstructure,
hardness, fracture toughness, formability, and
other physical characteristics and thus enabling
assessment of performance. In this chapter, we
propose to use the term NDE.
The role of NDE in the industry is pictorially
depicted in Fig. 4.1. This is a broad birds eye
view to comprehend the vital role of NDE. It is
clear that involvement and intensity should vary
from product to product in a large measure and
even from industry to industry for the same
product. It can be observed that NDE techniques
Priorities of Industry
Energy Efficient
Green Technologies
NDE SCIENCE and
Cost Competitive
TECHNOLOGY
Brand Consciousness
Life Cycle Management
New Materials
New Processes
New Performance Goals
Shorter Cycle of Development
No. of Arrows Signifies, Involvement and Intensity of
NDE
Fig. 4.1 Involvement and significance of NDE in
industrial processes
B. Raj and B. Venkatraman
are an essential component of the production
process and life cycle management to ensure
quality of the products. Although indirect in
nature, NDEs in some unique applications have
greater sensitivity, accuracy, and reliability as
compared to widely accepted and more costly
destructive tests such as mechanical testing.
NDEs have the unique capability of detecting
random discontinuities, which lead to premature
service failure in materials, and components that
actually go into service. Failure to utilize ade-
quate nondestructive programs for evaluation of
products leads to inadequate quality and their
loss of market and reputation when industrial
firms seek to develop new areas of application
for their products and push engineering compo-
nents to limiting levels of performance. Failures
may lead to loss of life and capital and are to be
avoided in engineering systems. The situation of
costly failures can invariably result from omis-
sion of necessary tests on components in such
fields as aerospace, defense, surface transport,
petrochemical, nuclear energy systems, and so
on. As the engineering systems and conditions of
service become more complex and severe, the
cost of failure increases significantly. Failure to
use appropriate NDEs to ensure integrity and
reliability is not acceptable in current production
and engineering management.
Historically, NDE has been practiced by
ancient civilizations. A classical example is the
tapping of pots by ancient potters to ascertain
their soundness. However, classical NDE which
used science and maths to make measurements
had its origin in the late eighteenth century when
some of the fundamental concepts of electricity
and magnetism were unraveled. A broad canvas
approach is depicted in Fig. 4.2.
It can be observed from Fig. 4.2 that NDE is
being practiced for many decades. In the early
days, the primary purpose of NDE was for
detection of defects. Critical parts were produced
with safe-life design. The detection of defects
during service resulted in removal of the com-
ponent from service. The advent of fracture
mechanics concepts in the 1970s changed this
scenario. A new design philosophy called
damage tolerant designs came into existence.
4 Overview of Diagnostics and Monitoring Methods and Techniques 45

Fig. 4.2 Evolution of Physical Basis

NDE science and Herschel Technological Non - Non - Non -
technology Maxwell Transformation Destructive Destructive Destructive
Roentgen Early 20th century Testing Inspection Evaluation
Faraday 1970s 1990s
Edison, Einstein 1950s
18th Early
20th century

Characterisation Smart and

Qualitative Quantitative (Measurements and Intelligent NDE
Inspection Inspection 3D Imaging)
1950s 1970s 1970s 1990s 2010 -
1990s 2010

Design, Manufacturing and Life

Physical Robustness of
linked High Precision
Measurements Measurements Measurements

Sensors Miniaturization - Data Fusion & Wireless

Defects macro, micro nano

In this philosophy, components having known

defects could continue to be used as long as it 4.2 Principles and Characteristics
could be established that these defects would not of NDE Methods
grow to a critical size that would result in sig- and Techniques
nificant failure. It thus became possible to accept
structures with defects, provided the defect size Conventional NDE started with six methods
could be monitored to ensure that it is well within namely penetrant testing, magnetic particle
safe limits. A new demand was thus placed on the testing, radiography, ultrasonics, Eddy Current
NDE community. Mere detection of flaws was testing and visual testing and today we have 14
not enough. It was necessary to characterize the NDE methods and more than 40 well-estab-
defect and obtain quantitative information about lished NDE techniques available for testing and
their size, shape, and location. This need was characterization. References [19] provide an
particularly strong in the nuclear, defense, and overview of NDE .
aerospace industries. With the advances in sen- The following are the major NDE methods:
sors, electronics, instrumentation, computers, Visual Examination
and robotics, many of the conventional NDE Liquid Penetrant Testing
methods started becoming more quantitative. Magnetic Particle Testing
The need for quantitative engineering evalua- Radiography
tions for fitness-for-purpose assessments also Ultrasonics
spurred the development of imaging NDE tech- Eddy Current
niques. Thus, the 1980s and 1990s saw the Leak Testing
development of a host of imaging NDE tech- Vibration Analysis
niques such as ultrasonic phased array, time-of- Acoustic Emission
flight diffraction (TOFD), digital radiography, Thermography
computed tomography, and so on. This led to the Laser Techniques
emergence of NDE as a new discipline with Magnetic Barkhausen Emission
enhanced capabilities and acceptance for diag- Magnetic Flux Leakage
nostics and condition monitoring. A number of X-ray diffraction
research programs have also evolved all over the Advances in NDE have been possible due to
world in the field of NDE for meeting the current developments in various fields such as materi-
challenges and preparing for the future demands. als science, sensor science, and technology to
46
Fig. 4.3 Resolution of
various NDE techniques
for characterization of
defects and microstructural
features
NDT Techniques
10
1A
understand interaction of testing medium with test
material through modeling and simulation,
developments in computers, electronics, instru-
mentation, robotics, data acquisition and handling
systems, image and signal processing, and soft-
ware and coherent integration of these develop-
ments with innovations.
NDE techniques involve sending of some
form of energy through the test material and
analyzing the response to understand its inter-
action with the test material. Some of the NDE
techniques, such as acoustic emission and
thermography, are passive techniques and do not
require any energy source. The test material
itself emits the energy due to dynamic phe-
nomena and such energies are detected through
suitable sensor systems and analyzed to provide
information about the test material. Almost all
forms of energy have been used for nonde-
structive characterization of materials, based on
suitable sensors and signal analysis approaches
to convert the energy into meaningful signals/
image, and provide a multitude of information
about the state of the material. Various forms of
energies used for NDE include optical (visual
and laser based), magnetic (MPT, magnetic flux
leakage (MFL), magnetic barkhausen emission
(MBE), etc.), electrical and electromagnetic
(potential drop techniques, alternating current
field measurement (ACFM), field signature
B. Raj and B. Venkatraman
LIQUID PENETRANT / MAGNETIC PARTICLE / VISUAL
ULTRASOUND PULSE
ECHO
US VELOCITY / ATTENUATION
MICROMAGNETICS, EDDY CURRENT
ATOMIC FORCE MICROSCOPY
POSITRON ANNIHILATION INFRARED THERMOGRAPHY
MICROFOCUS / NANO FOCUS RADIOGRAPHY / TOMOGRAPHY
CONVENTIONAL X-RAYRADIOGRAPHY
X-RAY DIFFRACTION
-10 10 -8 10 -6 10 -4 10 -2 [m]
100A 1m 100m 10mm
Range of Detection
method (FSM)), ECT, electromagnetic radiation
(microwave, thermal waves, X-rays, c-rays),
nuclear radiations (neutrons, b-rays, and posi-
trons) and acoustic (ultrasonics and acoustic
emission). Figure 4.3 shows the resolution of
some of these NDE techniques for character-
ization of defects and microstructural features.
The choice of the NDE technique for a
particular application depends upon many fac-
tors such as material, geometry, defect type and
location, applicability, accessibility, and suit-
ability. Table 4.1 gives various factors for dif-
ferent techniques that help in selection of NDE
methods and techniques for a particular appli-
cation. It may sometimes be necessary to use
two or more techniques, complementary to each
other, to enhance the reliability of inspection.
Detailed mock-up studies and/or modeling are
essential prior to actual inspection, to optimize
equipment and technique parameters, design and
selection of sensors, selection of standard
defects, operating conditions, and procedure for
recording and evaluation of NDE data to arrive
at the desired sensitivity and reliability.
Sensors are the heart of any NDE technique
and act as a bridge between the energy propa-
gated in the test material and the useful, under-
standable, and meaningful signal/image.
Continuous development of sensor technologies
over the years in order to improve their
 4

Table 4.1 Summary of applicability and capability of various NDE techniques used for detection of defects in materials
NDE Materials applicable Detection Depth Orientation Access Condition Numerical
Technique capability evaluation evaluation monitoring modeling
Visual Metals, composite materials, Surface Not Not possible Noncontact Possible Not possible
concrete, and ceramics possible
Liquid Metals, composite materials, Surface Not Not possible Contact single sided Not possible Not possible
penetrant concrete, and ceramics possible
Ultrasonic Metals, composite materials, Linear and Possible Possible Contact single sided Possible Possible
concrete, and ceramics volumetric
Radiography Metals, composite materials, Volumetric Possible Possible Contact/Noncontact Not possible Possible
concrete and ceramics double sided
Magnetic Magnetic Surface, near- Not Not possible Contact single sided Not possible Not possible
particle surface possible
Magnetic flux Magnetic Surface, near- Possible Possible Contact single sided Not possible Possible
leakage surface
Eddy current Conducting Surface, near- Possible Possible Contact Possible Possible
surface
Overview of Diagnostics and Monitoring Methods and Techniques

Acoustic Metals, Composite materials, Linear Possible Not possible Contact dynamic Possible Not possible
emission Concrete and Ceramics propagating
Infrared Metals, composite materials, Surface, near- Not Possible Noncontact Possible Possible
thermography concrete, and ceramics surface possible
Optical/laser Metals, composite materials, Surface Not Not possible Noncontact Possible Not possible
concrete, and ceramics possible
Potential drop Conducting Surface, near- Possible Not possible Contact Not possible Possible
surface
47
48
sensitivity and robustness has led to increase in
sensitivity and reliability of the existing NDE
techniques as well as paved the way for new
techniques. In this chapter, we just briefly out-
line the principles of the following major NDE
methodsvisual evaluation, liquid penetrant
evaluation (LPE), magnetic particle evaluation
(MPE), EC evaluation, and ultrasonic evaluation
(UE) based on different types of energies (and
hence sensors) used. Other major NDE methods
such as radiography, infrared thermography,
acoustic emission, and vibration analysis are
covered in detail in the subsequent chapters.
An overview of selected NDE techniques of
relevance to diagnostics and condition monitor-
ing such as Magnetic Barkhausen Noise, MFL
has also been covered for creating greater
awareness.
4.3 An Overview of NDE Methods
In this section, we briefly overview the tech-
niques that have not been covered in the other
chapters. Emphasis has been placed on tech-
niques such as MFL, Barkhausen noise emis-
sion, alternating current (AC) methods, and field
signature mapping.
4.3.1 Visual Examination
The human eye is an excellent sensor and with it,
it is possible to perceive many material charac-
teristics such as shapes, colors, gloss, shades,
speed, and perspective, in addition to any dis-
continuities exposed to surface. The human eye
remains the most important component for per-
forming visual NDE(3). Visual examination
carried out by an experienced inspector can
reveal the general condition of the component.
Visual techniques are widely used to ensure
product reliability during manufacturing and to
examine any gross discrepancies on the surface
of operating components. Visual examination
can reveal gross surface defects, cleanliness,
foreign objects, surface condition, mismatches,
and any other discrepancies. Visual techniques
involve illumination of the object surface with
B. Raj and B. Venkatraman
light and examination of the reflected light.
Optical aids are usually recommended for visual
examination, essentially for magnification pur-
poses and also for inspecting inaccessible areas.
For the examination of the inside surfaces of
tubes, bores, and chambers, borescopes, endo-
scopes, and telescopes are used.
The basic design of the borescopes, which are
in use for many decades, has been modified to
accommodate the state-of-the-art advances in
video imaging, illumination, robotics, optics,
and computer technologies. Developments in
miniaturization, image processing, artificial
intelligence, video technology, and other related
fields have significantly improved the capability
of visual techniques.
4.3.2 Liquid Penetrant Evaluation
LPE is one of the simplest, but highly sensitive
NDE methods used for the detection of defects
open to the surface. The method is applicable to
almost any component, large or small, of simple
or complex configuration, and it is employed for
the inspection of wrought and cast products in
both ferrous and nonferrous metals and alloys,
ceramics, glassware, and some polymer
components.
In this method, the surface of the component
is cleaned well and a visible or fluorescent dye
solution called penetrant is applied in a sys-
tematic manner. The penetrant is allowed to
remain on the surface for a certain period of time
referred to as the dwell time. During this time,
the penetrant seeps into the discontinuities by
capillary action. After the dwell time has
elapsed, the excess penetrant is removed from
the surface. A developer (dry or wet) is applied
uniformly over the surface. The developer acts
as a blotter, drawing the trapped penetrant out
of the discontinuity onto the surface. This is
referred to as bleedout. With visible dyes, color
contrast (usually red) between the penetrant and
the developer makes the discontinuity to be seen
under natural or artificial lighting. With fluo-
rescent dyes, ultraviolet light is used to make the
bleedout fluoresce brightly, thus allowing
imperfections to be seen.
4 Overview of Diagnostics and Monitoring Methods and Techniques
Penetrants are classified as visible or fluo-
rescent depending on the nature of the dyes
used. While visible penetrants use a color con-
trast (usually red) dye, fluorescent penetrants use
a dye which fluoresces under black light. Fluo-
rescent penetrants have higher sensitivity com-
pared to visible dye penetrants. A number of
penetrant types have been developed to cater a
wide variety of inspection conditions that can
occur in practice. The main types are water
washable, post-emulsified, and solvent-based
systems. The above systems differ from each
other depending upon the method by which
excess penetrant is removed. In water washable
systems, the penetrant is removed with a rinse of
water. The post-emulsified penetrant system
requires a separate emulsification step, which
makes the penetrant soluble in water. In solvent
removable systems, a solvent is used to remove
the excess penetrant. In terms of sensitivity, the
water washable penetrant system is the least
sensitive while post-emusified systems have the
highest sensitivity.
4.3.2.1 Applications
LPE is well-suited for detection of all types of
cracks, laps, porosity, shrinkage areas, lamina-
tions, and other similar defects open to the sur-
face. It can be applied on any material regardless
of size, shape, thickness, and composition and is
sensitive, amenable to delineate size, shape, and
nature of defects, and very cost effective.
4.3.2.2 Limitations
Its main limitation is that it cannot detect sub-
surface defects and it is difficult to apply on
rough and porous surfaces.
The recent advances in penetrant evaluation
include application of imaging systems coupled
with robotic devices to automate the inspection
and evaluation stage of the process. Application
of pattern recognition techniques have also been
attempted with success. A special, very high
sensitivity penetrant process using radioactive
tracers has also been attempted, but this tech-
nique requires very stringent safety procedures
to be adopted.
49
4.3.3 Magnetic Particle Evaluation
MPE is a simple and highly sensitive method that
provides clear indications of surface and subsur-
face physical discontinuities in magnetic mate-
rials. When a ferromagnetic component is
magnetized, the magnetic lines of force
(the magnetic flux) are predominantly inside the
material. However, when there is a surface-
breaking or a subsurface discontinuity, the field is
distorted, causing local MFL fields. These leak-
age fields are detected by sprinkling finely divi-
ded ferromagnetic powders. Because of the added
advantage of MPE over LPE in detecting sub-
surface defects, it is widely specified for inspec-
tion of all ferromagnetic components. MPE can
be used for detection of cracks, blowholes, laps,
nonmetallic inclusions, and segregation, etc. The
sensitivity of MPE depends on the magnetisation
method and on the electromagnetic properties of
the material tested as well as on the size, shape,
and orientation of the defect. MPE is widely used
for inspection of cracks in transportation indus-
tries like crankshafts, fly wheels, crank hooks,
shafts, and steam turbine blades, etc. Automatic
magnetic evaluation is used for ball and roller
bearings, bearing races and rings, small castings
and forgings, and steel-mill billets. Scope does
not exist in MPE to apply the signal processing
methods for enhanced detection and inversion
methods for accurate characterization of defects
as practised in ultrasonic, EC, and other NDE
methods. In light of this, magnetization methods,
amperage, powders, carrier fluids, sprinkling
methods, viewing conditions, recording methods,
etc. are carefully tailored. After the inspection by
magnetic methods, it is necessary to subject the
component to demagnetization.
4.3.3.1 Limitations
The method can be used only for ferromagnetic
materials and inspection needs to be carried out
with the magnetic fields perpendicular to the
principal plane of discontinuity. Two or more
sequential evaluations are required to cover all
orientations of defects. An essential requirement
is that demagnetization and post cleaning
50
following inspection are necessary. When
examining thicker components or large parts,
exceedingly large currents are required. Thus,
care is necessary to avoid local heating and
burning of finished parts or surface at the points
of electrical contact.
4.3.4 Magnetic Flux Leakage
In MFL technique, unlike MPT, the localized
magnetic leakage fields are detected using sen-
sors such as pick-up coils, Hall sensors, magneto
diodes, anisotropic magneto resistance (AMR)
sensor, and giant magnetoresistance (GMR)
sensor. Use of sensors in MFL testing enables
automatic testing and evaluation without human
inspectors. Figure 4.4 illustrates basic principle
of the MFL method. A magnet mounted on a
carriage induces a strong magnetic field in the
plate or pipe wall. In presence of a defect such as
corrosion pit, a MFL field forms outside the
plate or pipe wall. An array of sensors is posi-
tioned between the magnet poles to detect this
flux leakage.
One of the primary application areas for
practical MFL systems is that of axisymmetric
components, i.e., tubes, pipes, rods, bars, rounds,
and billets. Components of these geometries are
particularly amenable to fully automated and
relatively high-speed scanning in a production
line during their manufacture. MFL method is
also widely practised for in-service inspection of
underground pipes in petrochemical industries,
inspection of oil storage tank floors and pipes
(internal/external) (ASTM-E-570-97), steel wire
ropes (ASTM-E-1571-01), under water struc-
tures, and highly irregular components such as
helicopter rotor blade D-spars, gear teeth, and
Fig. 4.4 Schematic principle of the magnetic flux leak-
age technique
B. Raj and B. Venkatraman
artillery projectiles. MFL method can detect
local corrosion within a depth of 12 mm. Unlike
in the MPT, the magnetization levels are usually
low and high-strength rare-earth magnets or
compact electromagnets are commonly used for
magnetization.
Selection of sensor is important as it decides
the success of MFL testing. While coils measure
the rate of change in magnetic fields, Hall,
GMR, and AMR sensors measure actual mag-
netic field. Hall sensor is made up of one of the
materials; indium arsenide, indium antimony,
gallium arsenide (GaAs), silicon, or other
semiconductor materials and its main features
include high linearity, small size, low power
consumption, and inexpensive. Micro-Hall sen-
sors, with 2-dimensional electron gas (2-DEG)
GaAs, with small active area and made by
photolithographic technique show an order of
better magnitude sensitivity and can be used for
detection of buried defects. The detection sen-
sitivity of various electromagnetic sensors is
given in Table 4.2.
Though Hall sensors are undeniably more
sensitive than inductive coils for measurement
of leakage fields, they are too sensitive to sur-
face conditions, and hence result in an unreliable
inspection and the generation of significant false
calls in some practical applications. Hence, for
the inspection of tubes, pipelines, tanks, etc., the
preferred sensor is the traditional coil due to
stability and reliability.
Superconducting quantum interface device
(SQUIDs) are the worlds most sensitive
(*femto test) detectors of magnetic fields. The
basic phenomena governing the operation of
SQUID devices are flux quantization in super-
conducting loops and the Josephson Effect. Its
application ranges from detection of magnetic
fields from buried defects in thick components,
material degradations such as fatigue, thermal
aging, and biomedical applications. SQUIDs
have been used to characterize strain-induced
magnetic martensite phase in cold-worked
metastable austenitic stainless steels (SS).
SQUIDs can also be used to detect and charac-
terize high-temperature fatigue damage in SS
304 welds, as typically shown in Fig. 4.5 [10].
4 Overview of Diagnostics and Monitoring Methods and Techniques 51

Table 4.2 Sensitivity of electromagnetic field detection sensors

Sensor H range (Tesla) Sensitivity Response time (MHz) Power consumption (mW) Sensor size
(V/Tesla)
GMI 10-11 to 10-4 4,600 1 10 12 mm
GMR 10-12 to 10-2 120 1 10 10100 lm
Hall 10-6 to 10-2 0.65 1 10 10100 lm
SQUID 10-14 to 10-6 10-14 1 10 10100 lm

4.3.5 Magnetic Barkhausen Emission ferromagnetic materials can be very easily

detected. This technique can locate the region of
MBE signals are voltage pulses induced in the necking, well before any visible deformation
pick-up coil placed near the sample due to occurs. MBE technique can be used for evalua-
the discrete changes in magnetization caused by tion of residual stresses. When microstructure is
the irreversible motion of magnetic domain unchanged, the MBE output increases with ten-
walls as the magnetic field is varied. Since the sile stress and decreases with compressive stress.
MBE is related to the nucleation and movement A linear relationship between these exists
of magnetic domain walls and their interactions strictly within the elastic region. The MBE can
with various microstructural features such as be used to differentiate different stages of low-
dislocation network, cavities, grain boundaries, cycle fatigue damage in ferromagnetic materials.
precipitates, and cracks, MBE analysis has been When a material is subjected to progressive low-
found to be useful for several applications such cycle fatigue damage, the material undergoes
as creep and fatigue damage, embrittlement, different stages of deformation prior to micro-
microstructural characterization, and the mea- crack formation. The dislocations produced by
surement of residual stresses. MBE technique the process initially increase in number, rear-
can be used to identify different stages of range into cell structures, and this process con-
progressive deformation. Since the magnetiza- tinues till the cell saturates. Further, cycling
tion process directly interacts with the disloca- produces microcracking and then macrocrack-
tions, any change in the number density or their ing. These distinct features can easily be iden-
regrouping into cell formations will affect tified by following the variations in MBE with
the MBE. The onset of microyielding in progress of fatigue damage.

19 20

15 16
SQUID output ( 0 )
SQUID output ( 0)

virgin
50 cycles
11 100 cycles 12
150 cycles
200 cycles
7 250 cycles 8
300 cycles
3 4

-1 0
0 50 100 150 200 250 300 0 50 100 150 200 250 300
Distance (mm) Number of cycles

Fig. 4.5 SQUID response from stainless steel 304 weld specimens subjected to fatigue damage
52
4.3.6 Ultrasonic Evaluation
In this inspection method, high frequency
([20 kHz) sound waves are sent into the object
under test. The sound waves travel through the
material. During their path of travel, they suffer
loss of energy and are reflected at interfaces. A
receiver probe picks up the reflected wave and
an analysis of this signal gives information about
microstructures, stresses, and flaws in the object
under inspection. Sound waves follow the laws
of optics in their propagation. Further, the
velocity of propagation of sound in various
metals has been very accurately determined. The
time taken by a sound pulse to travel through a
material is a direct measure of the length of path
traveled by it. In UE, both through transmission,
scattering, and pulse-echo techniques are used.
Most of the UE is done in the megacycle
range at frequencies between 0.5 and 25 MHz,
which is well above the audible range. The
probes used for ultrasonic inspection contains a
piezoelectric crystal. The transmitter probe
generates ultrasonic pulses and transmits them
into the materials, while the receiver probe
receives the reflected pulses. Transmitter and
receiver probe can be same in some applications.
Ultrasonic data can be collected and dis-
played in a number of different formats. The
three most common formats widely used in NDE
are the A-scan, B-scan, and C-scan presenta-
tions. Each format provides a different way of
looking at the ultrasonic signal information and
interpreting them. The information provided by
these formats is also complementary. Present
day UE equipments are capable of displaying the
data in all three formats simultaneously.
4.3.6.1 Applications
Ultrasonic NDE is used for the detection of
defects such as cracks, laminations, shrinkage,
cavities, flakes, pores, and other discontinuities,
inclusions, etc. in plates, pipes, welds, castings,
and forgings reliably. In fact, it is considered as
the best technique for the detection of planar/
linear defects in materials. The technique is
widely used for quality control and material
B. Raj and B. Venkatraman
inspection in all major industries. It is used very
extensively for in-service inspection in the
nuclear and process industries. The availability of
compact battery operated equipments has made
this a versatile tool for field applications. Online
techniques have also been developed to monitor
and classify materials as acceptable or
rejectable and for process control applications.
4.3.6.2 Limitations
One of the major limitations of conventional
pulse echo based technique is that manual
operation requires careful attention by experi-
enced technicians. Further, unfavorable geome-
tries, coarse anisotropic structures, parts that are
rough or irregular in shape, or very small or thin
are difficult to examine. Couplants are needed to
provide efficient transfer of ultrasonic wave
energy between transducers and parts being
inspected, and reference standards are needed
for calibrating the equipment and for character-
izing the flaws. In addition, ultrasonic signals are
difficult to interpret and correlate with the nature
of defects and require a good understanding and
experience.
Thus, a main requirement of UE is that this
method requires a high level of operator training
and competence and is dependant on the estab-
lishment and application of suitable testing
procedures. Two of the most important advances
in the field of ultrasonic testing are the phased
array and TOFD. These are outlined below.
4.3.6.3 UE Phased Array
Conventional ultrasonic transducers consist of
either a single active element that both generates
and receives high-frequency sound waves, or
two paired elements, one acting as a transmitter
and the other as a receiver. Phased array probes
typically consist of a transducer assembly with
from 8 to as many as 256 small individual ele-
ments. While having all the flexibility of con-
ventional transducers, the main advantage of a
phased array probe is that it can sweep a sound
beam through a range of refracted angles or
along a linear path, or dynamically focus at a
number of different depths.
4 Overview of Diagnostics and Monitoring Methods and Techniques
The unique advantages of phased array as
compared to conventional pulse-echo technique
include:
1. Use of multiple elements to steer, focus, and
scan beams with a single transducer makes it
possible to completely cover the weld region
with a single probe. This sectorial scanning
greatly simplifies the inspection of welds
with complex geometries.
2. The ability to test welds with multiple angles
from a single probe further enhances the
defect detectability.
3. Electronic focusing permits optimizing the
beam shape and size at the expected defect
location and also improving the signal-to-
noise ratio (SNR), thus aiding in detection of
defects that would have been otherwise mis-
sed in pulse-echo technique.
4. The ability to focus at multiple depths also
improves the ability for sizing critical defects.
Two case studies on the application of phased
array in the nuclear sector are described below.
Steam generators are the workhorse in a
nuclear power plant. The steam generator of
prototype fast reactor is a vertical, countercur-
rent shell-and-tube type heat exchanger with
sodium on shell side, flowing from the top to
bottom and water/steam on the tube side. The
very high reactivity of sodium with water makes
the steam generator a key component in deter-
mining the efficient running of the plant and
demand high integrity of steam generator weld
joints. Advanced ultrasonic testing techniques
like phased array have been applied to evaluate
the shell side 12 mm thick butt-welded joints as
a part of quality audit. A total weld length of
6 m from various seams was subjected for
ultrasonic examination. The phased array probe
used was of 5 MHz 16 element. Sectorial beam
scanning with 45 (minimum) and 65 (maximum)
was used. During scanning, a distance of 10 mm
was maintained between the wedge front face
and the weld center line to cover the full volume
of the weld. The weld was scanned from the top
and bottom side. For 1 m length of weld, the
total scanning and evaluation time with con-
ventional UE is approximately 2.1 h, while in
the case of phased array, the inspection could be
53
completed in 50 min. Apart from the drastic
reduction of scanning and evaluation time,
phased array technique also detected defects that
could have been missed in conventional UE.
Figure 4.6 shows the phased array examination
on the outer shell weld, while Fig. 4.7 is the
typical sectorial scan with a lack of fusion
detected by phased array.
Apart from nuclear applications, at the
authors lab, the technique has also been applied
in the aerospace industry for examination of
maraging steel rocket motor casings, and in
process industries for examination of tanks.
4.3.6.4 Time-of-Flight Diffraction
While pulse-echo ultrasonic techniques are well
established, TOFD technique is a relatively new
ultrasonic imaging method which is slowly
gaining acceptance for thick-walled weldments.
Conventional pulse-echo or phased array tech-
niques are based on the reflection of signals,
while TOFD, as the name implies, is based on
the principle of measurement of time-of-flight of
the diffracted echoes that are generated from the
top and bottom tips of a defect or discontinuity
when a longitudinal wave is incident on it
[11]. The main advantages of TOFD compared
to pulse-echo UE and RE are:
(a) Rapid scanning is possible and weldments
can be scanned in a single pass making this
technique more efficient and faster.
(b) Discontinuity in size and depth can be very
accurately determined. Since the technique is
based on the detection of diffracted signals, it
Fig. 4.6 Inspection of outer shell well of SG using
phased array
54
Fig. 4.7 Typical S-Scan and corresponding A-Scan
image of lack of fusion in the steam generator
is not affected by the orientation of the dis-
continuity and the angle of examination.
(c) Longitudinal angle beam being used by
TOFD makes it possible to examine thick
austenitic SS weldments.
(d) Real-time discontinuity monitoring is pos-
sible and the data can be stored for further
reference and analysis.
A typical probe set up for TOFD and the
corresponding amplitude (A-scan) signal is
shown in Fig. 4.8. Two longitudinal beam
transducers of same angle are used in a pitch-
catch configuration in which one probe acts as a
transmitter and the other one as a receiver. The
longitudinal bulk wave which travels just under
the surface from the transmitter to the receiver,
called lateral wave (LW), and the back wall
(BW) echo are used to define the region of
interest (thickness of the specimen). Additional
signals appearing in-between LW and BW are
the diffracted ultrasonic waves from the top and
bottom tips of the discontinuity.
By knowing the transit time between these
diffracted echoes, the depth and size of the dis-
continuity can be obtained by solving simple
trigonometric relations. TOFD is a well-devel-
oped technique and has been applied
B. Raj and B. Venkatraman
successfully for accurate sizing of defects in
thick sections ([12 mm) [12]. Codes of practice,
such as ASME, now permit TOFD for routine
inspection as one of the method for an alterna-
tive to radiography. At the authors laboratory,
TOFD is being applied on a routine basis for
inspection of welds of tanks and vessels in ser-
vice. Figure 4.9 shows a typical lack of pene-
tration and lamellar tearing detected in welds.
An innovative application of TOFD has been
for the evaluation of thin-walled weldments
(*3 mm) by combining it with immersion
technique. Immersion coupling provides a delay
line, variable angles, and necessary probe sepa-
ration making it possible to examine the lower
thickness successfully [13].
4.3.7 Eddy Current Evaluation
This technique is based on induction of currents
in electrically conducting material being
inspected and observing the interaction between
these currents and the materials. When magnetic
flux through a conductor changes, induced cur-
rents are setup in closed paths on the surface of
the conductor. These currents are in a direction
perpendicular to the magnetic flux and are called
as EC. When an AC is passed through a coil,
a magnetic field is produced around it. The
direction of magnetic field varies with each
cycle of the AC. This is known as the excitation
field. When a conductor is brought near this
field, ECs are induced in it. The direction of EC
changes with the direction of magnetic field,
during each cycle of AC. These ECs produce
their own magnetic field, which opposes the
excitation field. Thus, the resultant field is
changed which changes the coil impedance. This
change in impedance is suitably displayed using
a meter or a CRT. This indicates that there has
been a change in the conductivity, which is
interpreted as presence of discontinuity in the
form of porosity, crack, etc. Digital signal pro-
cessing has been a boon for resolving the type,
size, etc. of the discontinuity.
The test coil also referred to as the probe, is
the main link between the test instrument and
test object and serves two main functionsthe
4 Overview of Diagnostics and Monitoring Methods and Techniques
Fig. 4.8 Typical TOFD arrangement and A-Scan display
(a)
Fig. 4.9 Typical TOFD images of defects in welds. a lamellar tearing, b lack of penetration, and c lack of fusion
first to establish a varying electromagnetic field
to induce ECs within the test object, and the
second is to feed the response due to the elec-
tromagnetic field to a signal analysis system.
Various types of probes available are suitable for
the inspection of flat surfaces and tubular prod-
ucts. ECT is used extensively to identify or
differentiate between a wide variety of physical,
structural, and metallurgical conditions of
conductive materials.
4.3.7.1 Representation of EC Data
A standard display for representing EC data is an
impedance plane plot whose X-axis shows
resistance and Y-axis shows inductive reactance.
Variation in the plot corresponds to variation in
the strength of EC (due to defects) and magnetic
permeability of the test specimen. Two types of
probes are used in ECT, namely, absolute probe
and differential probe. An absolute probe con-
sists of a single coil only, while a differential
probe consists of two coils which are linked
55
(b) (c)
electrically in opposition. If an EC probe which
was surrounded by air is brought in close prox-
imity to a healthy nonmagnetic specimen, the
coil resistance will increase and the inductive
reactance will decrease. Suppose a crack is
present in the specimen, then the resistance will
get reduced, while inductive reactance will go
up, due to the decrease in strength of ECs. When
the EC probe is brought near a healthy magnetic
specimen, both resistance and reactance of the
coil increases. The presence of crack will lead
to a decrease in resistance with increase in
reactance.
4.3.7.2 Applications
ECT is widely used to measure or identify such
properties as electrical conductivity, magnetic
permeability, grain size, heat treatment condi-
tions, hardness, and physical dimensions. It can
detect defects such as seam, laps, cracks, voids,
and inclusions and other surface discontinuities
in conducting material. It finds extensive
56
applications in the field of sorting of materials
and measurement of coating thickness (non-
conductive coating on a conductive substrate)
4.3.7.3 Limitations
The main limitation is its low penetration in
examined parts being limited to thin walls and/or
near-surface flaws. The technique poses
addressable challenges for application related to
ferromagnetic materials. False indications are
possible because of mixed variables, edge
effects, and lift-off effects. A good science-based
practical knowledge is required for the devel-
opment of inspection techniques, design of
specific probes, and to evaluate the inspection
data.
4.4 Advances in NDE Techniques:
The Example of Eddy Current
Evaluation
Many developments are taking place in the
existing EC NDE techniques incorporating the
rapid progress in the fields of microelectronics,
instrumentation, sensors, computer, signal pro-
cessing, and robotics (Fig. 4.10). The way EC
testing is practiced now is different from what it
was two decades ago. These concurrent advan-
ces in other fields have enhanced the capabilities
of the NDE techniques enabling detection and
sizing of incipient as well as buried defects,
changes in microstructures and accumulated
deformation, and stress or damage, e.g., prior to
crack formation. Such possibilities allow effi-
cient preventive actions to be taken avoiding
catastrophic failure of materials. Digital signal
processing, image processing, and artificial
intelligence are being increasingly applied for
high-sensitivity detection and characterization of
defects, e.g., in the presence of disturbing vari-
ables and noise [14].
Due to the exponential decay of ECs in the
conducting materials, EC method is, in general,
confined to detection of defects within a depth of
5 mm. Although, lowering of excitation fre-
quency enhances the depth of penetration of
ECs, in turn, allowing the detection of buried
B. Raj and B. Venkatraman
Numerical
modeling
Signal
Sensors processing
Advances in
Eddy Current
Testing
Automation
Instruments
Imaging
Fig. 4.10 Advances in eddy current testing
defects, detection sensitivity using coils decrea-
ses due to poor SNR. An interesting option in
this regard is the use of high-sensitive solid-state
devices for measurement of weak magnetic
fields from such defects. GMR sensors are very
attractive as they offer very high sensitivity to
low magnetic fields. GMR sensors consist of
magnetic metallic multilayer such as Fe/Cr, Co/
Cu, and NiCo/Cu in which ferromagnetic layers
are separated by nonmagnetic layers of a few nm
thick.
The GMR sensors are characterized by high
sensitivity to low magnetic fields, high SNR,
high spatial resolution and frequency-indepen-
dent response. The physical size of the sensor,
deposited on a Si substrate, e.g., is
0.44 9 3.37 mm. The active area of the bridge
is about 0.1 9 0.2 mm (Fig. 4.11). An inte-
grated ECGMR sensor has been developed for
detection of buried defects [15].
Figure 4.11 shows the response of the inte-
grated sensor for 6 mm thick SS plate and also
of the conventional EC coil response. As the
integrated sensor measures the tangential com-
ponent of the magnetic field, it produced a
characteristic double peak for each notch. As
can be seen, the sensor showed enhanced
detection sensitivity and could reliably detect
the farthest notch (5.25 mm below surface) that
is nearly undetected by conventional pancake
coil, under identical measurement conditions for
equal response to the same notch on the sensor
4 Overview of Diagnostics and Monitoring Methods and Techniques 57

Coil
0.8 4 mm
below Integrated
0.7 EC Sensor
5 mm
0.6 below 5.25

Sensor Output, mV
0.5 mm
0.4
below

0.3
0.2
Lift-off
0.1
GMR sensor
0.0
Defect in object
-0.1
0 20 40 60 80 100
Scan distance, mm

Fig. 4.11 Schematic of integrated EC-GMR sensor and its response to EDM notches in 6 mm thick SS plate in
comparison with conventional pancake sensor

side. Typical ECGMR image of notch located with conventional EC instruments. At the
at 5.25 mm below surface is shown in Fig. 4.12 .
Similar to GMR effect is giant magneto-
impedance effect which is a result of radial/axial
anisotropy observed in high susceptibility wires
(Fe, Co, and their compounds) by differential
cooling with core and shell having different
domain patterns in which there is a very large
impedance change under an applied magnetic
field, in amorphous wire, thin films, and ribbons
is finding many applications. GMI sensors
exhibit very good sensitivity to very low mag-
netic fields and they are not immune to noise and
they possess large bandwidth (fast response).
The chief advantage is that they can be used
authors centre, GMI sensors were used to detect
surface defects and weld center in SS plates.
4.4.1 Eddy Current Evaluation:
Wavelet Transform based Signal
Processing Method
For NDE of fuel cladding tubes of FBTR, EC
testing is specified for detection of surface and
subsurface defects that form during the produc-
tion process. The tubes (5.1 mm outer diameter
and 0.37 mm wall thickness) are made of 20 %
cold-worked AISI type 316 SS. During the ECT
of one batch of cladding tubes, continuous

0.25 Integrated
EC Sensor
0.20
Sensor Output Difference, mv

0.15

0.10

0.05

0.00

2 4 6 8 10
Depth below Surface, mm

Fig. 4.12 Response of integrated sensor and EC sensor to a notch located at 5 mm below surface (left) in a 6 mm
thick SS plate. Response of integrated sensor (right) for far-side corrosion in 12 mm thick SS plate
58 B. Raj and B. Venkatraman

disturbing signals of large amplitude were
noticed throughout the length of the tubes,
making it difficult to detect defects due to poor
SNR. Investigations using laser projected inter-
ferometry, tube-cross section profiling, and
detailed structural analysis revealed the presence
of periodic wall thickness variations (*4 mm
long), also called periodic bands, on the outer
surface of the tubes. A new method has been
developed for suppressing the disturbance from
the geometrical variations (bands) and to detect
defects. This method is based on timefrequency
analysis and Wavelet Transforms. It has an
ability to locate signals in both spatial and fre-
quency domain. This method is developed with
incorporating the attractive features of wavelet
transform such as (a) self adjusting window
which is useful for detecting the signal
embedded in noise (b) denoising feature which
effectively filters out low frequency signal from
lift-off and thickness variations and (c) recon-
struction. In this method, decomposition of input
signals is carried out using DWT, denoising is
performed using application of level-based
threshold and finally the real and imaginary
components of EC signals are reconstructed
going in the reverse direction. The experimental
results reveal that the signals from wall thick-
ness variations are effectively suppressed as
typically shown in Fig. 4.13. Further, signal
noise ratio is found to enhance by 20 times and
phase information of signals is undisturbed.
Longitudinal notches and holes have been suc-
cessfully detected as shown in Fig. 4.13, and this
method is suitable for application during quality
assurance of cladding tubes.
4.4.2 Online EC Testing of Stainless
Steel Components using
Artificial Neural Networks
An artificial neural network (ANN) has been
developed to carry out online ECT [16]. The
main objective of the neural network is to pro-
cess the EC data from multifrequency EC
instrument for evaluating the defect depth con-
tinuously so that online EC testing is possible. In
order to handle the nonlinear situations in the
multifrequency, multiparametric methods, a
multilayer feed-forward error-back propagation
ANN is chosen.
The test procedure for online evaluation of
depth using ANN involves two steps. In the first

Fig. 4.13 The as-received Tube no:B1 EC signal from 4 holes in a banded clad tube
raw EC signals and signals
processed by wavelet 1 Noise level: 0.02V Processed signal
Vertical

transform method for four 0

holes in AISI type 316 -1
cladding tubes
0 100 200 300 400 500
Horizontal

1 0.6mm dia 0.8mm dia

EC response (Volts)

0.5mm dia 0.3mm dia

0
-1

0 100 200 300 400 500

1 Noise level:0.5V Raw signal
Vertical

0
-1

0 100 200 300 400 500

Horizontal

1
0
-1

0 100 200 300 400 500

Scan distance (mm)
4 Overview of Diagnostics and Monitoring Methods and Techniques
step, called online training, the EC probe is
placed on well-characterized disturbing variable
regions and defect regions, and the digitized EC
data along with the desired outputs are stored.
For all disturbing variables, zero is assigned as
the desired output and for surface-breaking
defects, the defect depth is assigned as the
desired output. The input data sets, i.e., the EC
test data and the desired output are fed to an
optimized neural network and the interconnect-
ing weights are modified till a desired perfor-
mance, i.e., convergence is achieved. The neural
network method successfully eliminated the
disturbing material property variations in SS
plates, surface roughness, and lift-off and detec-
ted surface defects deeper than 0.2 mm. The
maximum deviation in depth estimation is found
to be 0.055 mm. Further, the online neural net-
work method has been applied for online testing
of indigenously produced FBTR cladding tubes
(diameter 5.1 mm, thickness 0.38 mm) with
periodic thickness variations (*+20 microns)
that disturb testing. Holes of diameter larger than
0.2 mm have been successfully detected using
this method.
4.4.3 Alternative Current Potential
Drop Techniques
The ACPD technique involves applying an AC
to a conducting specimen using contacting
probes to establish a uniform thin-skin electric
field on the surface of the specimen as shown in
Fig. 4.14a. A surface-breaking crack disturbs the
current flow, resulting in a potential drop across
the crack. This potential drop can be measured
using point contact techniques and the crack
depth can then be calculated from the ratio of the
surface potential difference measured (1) across
the crack and (2) on an unflawed region adjacent
to the crack, as depicted in Fig. 4.14b. If the
material is homogeneous and the electric field
remains uniform on the specimen surface and
the crack faces, the crack depth can be calcu-
lated using a simple 1-dimensional calculation.
Nonuniformity of the electric field can lead to
errors if the 1D formula is used outside its range
of validity, and recent improvements in both
59
probe design and theoretical interpretation have
been made which allow for correction of field
nonuniformity. Unlike the direct current (DC)
which is transmitted through the entire volume
of a specimen, an AC penetrates only up to a
thin layer at the surface by virtue of the elec-
tromagnetic skin effect, so that the ACPD is
more sensitive to surface-breaking cracks than
its DC counterpart. The depth of penetration of
the AC fields into the metal is determined by the
electromagnetic skin depth, which is a func-
tion of the AC frequency and the electrical and
magnetic properties of the metal. The skin depth
can be optimized for a given material by
adjusting the frequency of the AC. This allows a
more sensitive measurement of cracks in the
material by producing a larger potential drop for
a given input current. Measurements can be
made along the entire crack length to establish a
crack profile and for most situations the known
theoretical relationship removes the need for
calibration. More elaborate models than the
simple 1D model have been used successfully to
measure the crack depth at the interface between
an austenitic and ferritic steel in a transition
weld. Crack depth measurements with a mean
error better than 3 % were obtained when
compared to results from destructive evaluation.
Fig. 4.14 The alternating current potential drop
(ACPD) technique. a shows the uniform alternating
electric field incident on a surface-breaking crack. b The
voltages measured across the crack (VI) and adjacent to
the crack (V2) are used to determine the crack depth
60
In practice, this accuracy may not be achieved if
there is significant crack closure or crack-face
bridging.
4.4.4 Alternating Current Field
Measurement
The surface current introduced into the specimen
by the ACPD technique induces a magnetic field
in free space above the specimen surface.
Mapping of the perturbation of this magnetic
field provides an alternative means of measuring
crack depth and crack length without the
requirement for a contacting probe. This tech-
nique is termed ACFM. The large perturbation
of the magnetic field that occurs at the ends of a
defect also allows this method to be used for
defect detection. Therefore, ACFM offers the
capability of both detection and sizing of sur-
face-breaking defects without the need for cali-
bration and without the requirement for cleaning
the bare metal. Recent improvements in instru-
mentation for both techniques have allowed
phase measurement which is essential for sub-
surface crack sizing.
4.4.5 Shearography
Shearography is an optical interferometric
technique for measuring surface deformation. It
was developed from speckle pattern interfer-
ometry to basically overcome some of the lim-
itations of optical holography. It uses the
principle of speckle shearing interferometry to
measure displacement gradients and hence
strains at the surface of engineering components.
In this technique, the object under evaluation is
illuminated by a coherent light source such as
laser. The unstressed surface reflects the light
creating a speckle pattern at the viewing plane
which is recorded using a video camera, digi-
tized, and stored on a computer. This image is
also referred to as a shearogram. The surface is
then stressed and a new speckle pattern is gen-
erated, recorded, and stored. The absolute dif-
ference of two shearograms one recorded with
the object in unstressed condition and other
recorded in stressed condition results in an
B. Raj and B. Venkatraman
interference fringe pattern. In case a defect such
as void or debond exists, these would create a
nonhomogenous strain field and the defect will
be revealed by the changes in the fringe pattern,
spacing density, etc. Stressing the object can be
achieved by applying vacuum, vibration, or
thermal stress. Shearography is widely used for
real-time, noncontact, and NDE of defects and
structural properties of composites and other
lightweight structures, honeycombs and sand-
wich constructions both in production and in
service, to qualify repairs and impact damage. It
can map changes in strains up to 0.1 micro strain
at video frame rates. A classical example of
shearographic application is the measurements
on wide-scale helicopter structures [17]. Pulsed
laser was used for illumination which made it
possible to inspect large area (up to 10 m2).
Debonds of size 70 mm could be detected
clearly. Shearographic images can be noisy.
With the availability of high-power lasers and
also image processing and evaluation methods,
it is possible to significantly reduce the speckle
noise and enhance the image contrast. High
power and pulsed lasers make analysis of
vibrating objects also possible. The main
advantage of this technique compared to
holography technique is that it is simple and
needs no complex arrangement. Coherence
requirements of the laser are also greatly
reduced. Its sensitivity for debond detection and
also through put is higher compared to ultra-
sound techniques. One precaution to be taken
while stressing the object is the prevention of
rigid body motion. Excess rigid body motion
would cause decorrelation of the speckles in the
two images resulting in the degradation of fringe
quality. Hence for each testing application, a
practical means of stressing needs to be
developed.
The applications of shearography are wide
ranging. It is used in the rubber industry for
evaluation of tires, while aerospace industry uses
it for detection of defects especially in composite
and adhesively bonded structures. It is also used
for determination of residual stresses, leak
detection, strain measurements, and material
properties [18]. The recent developments include
4 Overview of Diagnostics and Monitoring Methods and Techniques
high-power lasers and imaging array-based
detection systems. This coupled with robotics and
signal/image processing methodologies has made
it possible to develop field portable systems.
4.4.6 Positron Annihilation Technique
Positrons are positively charged particles emit-
ted from the radioactive sources. For example,
the beta decay of 22Na is an efficient source of
positron emission. When the positrons enter the
solid, they tend to annihilate with negatively
charged electrons in the medium. It has been
found that the rate of annihilation of the posi-
trons is determined by the density of the elec-
trons at the position of positrons. Since, the
electron density distribution in the region of
crystalline defect is different from that in a
defect-free lattice, the annihilation characteris-
tics of positrons trapped in vacancies, disloca-
tions, and microvoids are significantly different
from those of untrapped positrons.
Many recent investigations on annihilation
characteristics of positrons showed the high
sensitivity of positrons to lattice defects such as
vacancies and dislocations and provide infor-
mation about the nature and concentration of
these defects. By exploiting the annihilation
characteristics of positrons, this technique can
be used as NDE tool for evaluating the changes
in second phase precipitation and growth during
thermal aging, changes in dislocation density,
vacancy concentration, voids formation and
growth, microcrack formation and growth, etc.,
caused by fatigue and creep damage.
One way of using this technique for materials
characterization is the measurement of the life-
time of positron before its annihilation. The
lifetime of positron is determined by measuring
the time difference between the 1.28 MeV ray
emitted during the creation of positrons and
0.511 MeV ray emitted during annihilation of
positrons. The positron annihilation radiation
carries information concerning the momentum
of the electronpositron pair. Consequence of
this momentum is the Doppler broadening of the
profile of the positron annihilation radiation. The
annihilation profile can be measured using a
61
high energy-resolution germanium detector. The
line-shape parameter (S) is calculated from this
annihilation profile, i.e., the counts versus. c ray
energy plot. The S-parameter is defined as the
ratio of the counts in the central region to the
total counts in the annihilation profile.
At Indira Gandhi Centre for Atomic Research,
Kalpakkam, positron annihilation technique has
been used for assessment of the adequacy of
b-quenching treatment [19]. Positron annihilation
spectroscopy studies were carried out on the b-
quenched Zircaloy-2 specimens aged for 1 h in
the temperature range of 473973 K. The
b-quenching treatment is given to homogenize the
chemical composition and randomize the texture.
Many times, the b-quenching treatment is not
reproducible, leading to unacceptable micro-
structural conditions such as precipitation of hard
intermetallic phases, like Zr4Sn, ZrFe2, NiZr2,
ZrCr2, etc., and presence of a-phase in the b-
quenched billet. Nondetection of such unaccept-
able microstructure at the b-quenched stage may
lead to rejection of the final products fabricated
from the b-quenched billets, as they do not meet
the specified properties for these products, thus
leading to loss of production and wastage of
manpower and money. Figure 4.15a, b shows the
variations in hardness and Doppler S-parameter
with isochronal aging at different temperatures. It
can be clearly seen from Fig. 4.15 that the hard-
ness and S-parameter variations are quite similar.
It can be seen that S-parameter is able to detect the
precipitation of intermetallic phases even at lower
annealing temperatures, due to its microscopic
nature.
4.5 Signal Processing and Data
Handling
Measurements form the heart of inspection and
quantitative NDE. Only by making the right
measurements at the right points and at the
right time in the product life cycle where it can
support the most significant decisions, i.e., the
specifications used to ensure fitness for pur-
pose; we can ensure excellence in quality,
global product competitiveness, and customer
62
Fig. 4.15 Variations in
a hardness and b Doppler (a)
S-parameter with
isochronal aging at
different temperatures
delight. When we talk of measurements, it
means data. Quantitative NDE for diagnostics
and monitoring means large volumes of sensor
data.
4.5.1 Data Mining
Recent years have seen growing interest in
applying data mining techniques to efficiently
process to store only useful information in large
volumes of sensor data. Data mining provides
a suite of automated tools to uncover useful
information hidden in large quantities of sensor
data. Data mining is an analytical process design
to extract the hidden predicted information from
large databases in data warehousing. As shown
in Fig. 4.16, the process of data mining consists
of three stages
1. preprocessing or exploration
2. data mining or pattern identification with
validation and
3. postprocessing or deployment.
Data mining, a critical component of sensor
date management, consists of a collection of
automated and semiautomated techniques for
modeling relationships and uncovering hidden
Fig. 4.16 Data mining of sensor data [20]
B. Raj and B. Venkatraman
(b)
patterns in large data repositories. It draws upon
ideas from diverse disciplines such as:
(a) Statistics
(b) machine learning
(c) pattern recognition
(d) database systems
(e) information theory
(f) artificial intelligence
Data mining has been successfully used on
sensor data in applications as diverse as
human activity monitoring
vehicle monitoring and
vibration analysis
For example, weather forecasting is done
through data mining using predictive models
from satellite information warehousing. Other
applications are in the area of bioinformatics to
study the DNA sequence of different species,
mutation in variety of genes in cancer, and
biodiversity of an ecosystem.
In general, to carry out data mining for a
specific application, first, the type of outcome
expected from the process has to be decided.
Then, technique to be employed to get the
expected outcome has to be decided. Finally for
decision making, whether top-down, bottom-up,
4 Overview of Diagnostics and Monitoring Methods and Techniques
or hybrid fashion to be steered are optimized as
shown in Fig. 4.17. Depending on the kinds of
data to be mined, mining system is an integra-
tion of the following techniques [21]:
a. Spatial
b. time analysis
c. pattern recognition
d. image analysis
e. signal processing
Before data mining techniques are applied,
the raw data must undergo a series of prepro-
cessing steps to convert them into an appropriate
format for subsequent processing. The typical
preprocessing steps include:
1. feature extraction
2. data cleaning
3. data reduction and
4. dimension reduction
Feature extraction is essential to identify
relevant attributes for a data mining task using
techniques such as event detection, feature
selection, and feature transformation (including
normalization and application of Fourier or
wavelet transforms).
While data cleaning is performed to resolve
data quality issues such as noise, outliers,
missing values, and miscalibration errors, data
Data mining Tasks - outcome:
Classification
Clustering
Data mining techniques - Algorithms:
Neural Networks
Inductive logic programming
Data mining methodologies -
approaches:
Top-down
Fig. 4.17 Data mining tasks and techniques and
methodologies
63
reduction is done to improve the processing time
or reduce the variability in data by means of
techniques such as statistical sampling and data
aggregation. Finally, dimension reduction is
performed using, e.g., PCA and linear and non-
linear dimension reduction techniques.
Because of diversity of application, it is
necessary to provide clear classification of data
mining system.
Classifications are according to
1. type of database, i.e., relational, transac-
tional, object-oriented, and object-relational
2. type of information, i.e., characterization,
discrimination, association, classification,
clustering, outlier analysis, and evolution
analysis.
3. type of mining technique, i.e., machine
learning, pattern recognition, neural net-
works, etc.
Data mining also helps identifying missing
data due to malfunctioning sensors, i.e., by dis-
carding the observations or estimating their true
values based on the distribution of the remaining
data. The massive streams of sensor data gen-
erated in some applications make it impossible
to use algorithms that must store the entire data
into main memory. Online algorithms provide
an attractive alternative to conventional batch
algorithms for handling such large datasets [22].
The data mining algorithm must take into
account the drift where characteristics of the
monitored process may change over time and
render the old models obsolete.
4.5.2 Data Fusion
It is well-realized that no single NDE method or
technique can provide complete defect charac-
terization. Thus, multimodal NDE is now being
recommended. Combination of penetrant evalu-
ation with ultrasonic and radiography is a clas-
sical example to cover surface, subsurface,
linear, and volumetric defects. A recent trend in
medical and industrial fields is combining all the
results in a single visual presentation through
what is called as data fusion. This makes it
possible to perceive by the inspector all the
defects in a single frame.
64
Data fusion is a process by which data from
different sensors or techniques are combined
with the purpose of arriving at more reliable or
accurate data than the individual ones would
arrive on their own. A lot of problems such as
inspection and material characterization cannot
be solved on the basis of only one sensor data
but require the use of different sensors. Data
fusion does intelligent combination of these
measurements in a reproducible and objective
way. In many situations, different data sets
measured by different sensors give information
on various complementary aspects of the prob-
lem and data fusion exploits this [23]. Data
fusion outcome can be both reduced results and
raw data, depending on the level data fusion that
is being applied. The complexity of data fusion
can range from a simple average to a wavelet
transform-based fusion. A variety of data fusion
methods are in use today and the number con-
tinues to increase as current methods are
upgraded and new methods are introduced.
In the area of NDE, data fusion is gaining
acceptability. Each NDE technique has different
capabilities as the interactions are different. The
complementary data are the features specific to
each technique. Typical data fusion system pro-
posed by X.E. Gross is shown in Fig. 4.18 [24].
There is a wide application of data fusion in the
field of NDE including localization and charac-
terization of defects inside a component, corro-
sion monitoring, condition monitoring of rotating
machinery, and estimation of crack growth.
The choice of a common data format and
coordinate system is the first and foremost
requirement for implementing data fusion.
Fig. 4.18 Schematic of
the architecture of a data
fusion system for three
sensors
B. Raj and B. Venkatraman
Fusion can be performed at three different levels
namelyelement, attribute, and decision level.
Fusion can be done at element or pixel level
with little or no processing and it can be done at
attribute level after extracting features. In other
words, data fusion is obtained by determining
the discriminating feature or parameter that is
the information of interest from each technique,
or by defining a discriminating classification
schema to process all the sensor data to a sat-
isfactory result. Decision-level fusion uses
merging rules and is a high-level fusion method.
Data fusion methods can be mainly classified,
depending on the main characteristics of the
method, into three categories:
Statistical and probabilistic approaches
(weighted average of statistical information such
as mean, standard deviation, etc., or Bayesian
inference)
Evidential reasoning approaches, e.g.,
DempsterShafer evidential reasoning method
of combining information based on confidence
Fuzzy logic approaches (rule-based decision
making)
Combining ultrasonic and X-radiography
sensing techniques, X.E. Gros [25] had shown
that the porosity in weld can be detected with
higher confidence of 85 % by data fusion against
that achievable by X-ray (70 %) and ultrasound
(50 %). He also applied data fusion to EC and
infrared sensor images of impact damage
regions in a composite. Fusion at pixel level was
applied using DempsterShafer approach and
sharper images and improved location of dam-
aged regions were observed [25]. Pixel-based
data fusion scheme has been developed using
4 Overview of Diagnostics and Monitoring Methods and Techniques
EC sensor for automated testing of SS plates and
welds (Fig. 4.19).
This scheme consists of the following steps:
Raster-scan imaging of EC coil sensors over a
predefined region at a coarse scan interval
(DS) using a neural network trained with lin-
ear and circular defects for mere defect
detection purpose,
automatic identification of boundaries of all
defects using an image processing method
called chain-code,
identification of defect shape using the aspect
ratio ([2 linear, \2 circular),
imaging only the defective regions at a fine
scan interval using separate neural networks
for accurate depth quantification of linear and
circular defects,
applying the image processing approach to the
fine-scan depth-profile images for accurate
restoration of length, width, and orientation of
the defects,
pixel level fusion of the depth-profile and
restored images to form a comprehensive 3D
picture of the defects and tabulation of defects
in the imaged region.
Results of application of fusion method to SS
weld are shown in Fig. 4.20. As can be seen, the
fused image has accurate length, width, depth,
and orientation information of the notch in the
weld as compared to the raw image [26].
Multilayer perceptron and radial basis func-
tion neural networks and wavelet transforms are
very attractive for data fusion applications.
Fig. 4.19 Pixel-level-based fusion scheme developed
for quick and automated testing
65
With wired as well as wireless sensor net-
works becoming popular, the application of data
fusion is expected to go up in future.
For detection of localized defects in the
presence of periodic wall thickness variations in
small diameter steel cladding tubes, image
fusion has been applied. In this, EC images from
two frequencies are decomposed using discrete
wavelet transform, and then the resulted images
are fused based on a unique criterion that con-
siders maximum wavelet energy in detailed
coefficients and minimum wavelet energy of
applied coefficients [27].
Bior 5.5 wavelet with decomposition level 5
is used for these investigations and a four-fold
enhancement in SNR has been observed after
fusion.
For automated testing of SS welds, pixel-
level image fusion scheme based on Dempster
Shafer theory after subjecting the images to
wavelet packet decomposition. The best wavelet
tree and optimum decomposition level are
selected after calculating the highest difference
of Shannon entropy between raw image and
reconstructed image at each level of wavelet
family.
The two reconstructed images are fused by
DempsterShafer theory. Each pixel of two
images is classified based on the curve of
acceptance (CA) and curve of rejection (CR) as
shown in Fig. 4.21.
The probability of detection (POD) is the area
under the curve representing the global distri-
bution between the minimum and low limit (LL-
amplitude average minus standard deviation)
and POR is the difference of the area of the
global distribution and CR ? CA. The doubtful
(PDb) evidence is the area under the curve
representing the global distribution between LL
and High limit (HL-amplitude average plus
standard deviation of local window). The fused
image contains the pixels fall in the CA having
positive evidence of presence of defect.
Typical raw EC sensor images of machined
notches (length 6 mm, width 0.5 mm, depths
0.3, 1, and 2 mm) at 320 and 750 kHz are shown
in Fig. 4.22 with SNR of 4 dB. Figure 4.23
shows the image after fusion. It is clearly seen
66 B. Raj and B. Venkatraman

(a) 20 (b) 20

15 Magnitude 15
(volts) Depth, mm

Y-axis, mm
2.8 -- 3.0 0.33 -- 0.35
Y axis, mm

2.6 -- 2.8 0.30 -- 0.33

2.4 -- 2.6 0.28 -- 0.30
10 2.2 -- 2.4
10 0.26 -- 0.28
2.0 -- 2.2 0.23 -- 0.26
1.8 -- 2.0 0.21 -- 0.23
1.6 -- 1.8 0.19 -- 0.21
1.4 -- 1.6 0.16 -- 0.19
1.2 -- 1.4 0.14 -- 0.16
5 1.0 -- 1.2
5 0.12 -- 0.14
0.8 -- 1.0 0.09 -- 0.12
0.6 -- 0.8 0.07 -- 0.09
0.4 -- 0.6 0.05 -- 0.07
0.2 -- 0.4 0.023 -- 0.05
0 -- 0.023
0
0.0 -- 0.2 0
0 5 10 15 0 5 10 15

X axis, mm X-axis, mm

0.0
(c) (d)
20 0.1
-- 1

Depth, mm
15 0.2
Y axis, mm

0.3
10

0.4
5
0
20
15 5
0 10 10 mm
0 5 10 15 YA is,
xis Ax
X axis, mm ,m 5 15 X
m
0

Fig. 4.20 a Pseudo-colour image of an austenitic SS current sensor, b the depth-profile image generated by
weld consisting of a longitudinal notch (length 6 mm, neural network, c the image restored by image processing
width 0.3 mm, and depth 0.4 mm) obtained using eddy approach (top right) and the image after data fusion

0.7
Curve of Acceptance
Curve of Rejection
0.6

0.5
Probability

0.4

0.3

0.2

0.1

0 x0
3 4 5 6 7 8 9 10
Magnitude

Fig. 4.21 The normal distribution of pixel from two frequency images that are fused based on DempsterShafer
theory using curve of acceptance and rejection
4 Overview of Diagnostics and Monitoring Methods and Techniques
Fig. 4.22 Images generated by eddy current sensor for a SS weld consisting of transverse EDM notches (depth
(a) 0.3 mm, (b) 1 mm, and (c) 2 mm) at 750 and 320 kHz
Fig. 4.23 Results of image fusion for weld consisting of
a transverse notches shown in Fig. 4.4 and b longitudinal
notches (1) length 6 mm, width 0.5 mm, and depth
that weld information are well-eliminated with-
out loosing defect information. The SNR after
image fusion is 16 dB.
4.6 Summary
The field of science and technology of nonde-
structive testing and evaluation has gone through
a paradigm shift in the last three decades. Start-
ing from a simple technique such as visual
examination of surfaces, the scope expanded to
detection of surface, subsurface, and volumetric
defects through established methods of radiog-
raphy, UE, etc., to new and very specialized
methods such as the measurement of Barkhausen
noise and positron annihilation to evaluate
67
1 mm, (2) length 6 mm, width 0.5 mm, and depth 1 mm,
(3) length 2 mm, width 0.5 mm, and depth 0.5 mm, and
(4) length 4 mm, width 0.5 mm, and depth 1 mm
material properties. NDE covers the complete
spectrum from exploration of raw materials,
process, machine, plant products, and the envi-
ronment. Experiences in these techniques, toge-
ther with progress in material science, advanced
electronics, innovations in sensor technology,
availability of affordable computers, signal and
image processing methodologies, robotics and
automation, etc., have resulted in improvements
in detection sensitivity, quantitative character-
ization of defects, and assessment of micro-
structural degradation and stresses. It is natural to
understand from appreciation of this perspective
that NDE is a multidisciplinary profession from
cross-cutting domain where physics, chemistry,
materials science technology, mechanical, elec-
tronics, instrumentation, and information
68
technology must work with synergy to realize
end objectives. The outcome of these develop-
ments is the improvement in reliability of fabri-
cated components and their performance in
service with a possibility for their life extension.
We have presented a best of birds eye view
perspective which is complementary to topics to
be covered in subsequent chapters.
Acknowledgments The authors are thankful to Smt
M.Menaka, Smt B.Sasi, Dr B.P.C.Rao, and all the col-
leagues in NDED, QAD Indira Gandhi Centre for Atomic
Research, Kalpakkam, India for their support and
contributions.
References
1. Horst, C., Tetsuya, S., Leslie, S.: Handbook of
Materials Measurement Methods. Springer, Berlin
(2006)
2. Baldev, R.: NDE for realizing better quality of life in
the context of Indiaan emerging economy.
J. Nondestr. Eval. 21(2), 2339 (2001)
3. Boving, K.V.: NDE Handbook. Non-Destructive
Examination Methods. Butterworth, London (1989)
4. Baldev, R., Jayakumar, T., Thavasimuthu, M.:
Practical Non-destructive Testing, 3rd edn. Narosa
Publishing House, New Delhi (2007)
5. Baldev, R., Subramanian, C.V., Jayakumar, T.: Non
Destructive Testing of Welds. Narosa Publishing
House, New Delhi (2000)
6. Hellier, C.J.: Handbook of Nondestructive
Evaluation. McGraw Hill, New York (2001)
7. Hamshaw, R.: Introduction to the Non-Destructive
Testing of Welded Joints, 2nd edn. Abington
Publishing, Cambridge (1996). ISBN 1 85573 314 5
8. Davis, J.R.: ASM Handbook: Volume 17,
Nondestructive Evaluation and Quality Control.
ASM International Materials Park, OH (1989)
9. Stanley, R.K., Moore, P.O., McIntire, P.: NDT
Handbook: Volume 9, Speical Nondestructive Testing
Methods. American Society for Nondestructive
Testing, OH (1995)
10. Baldev, R., Moorthy, V., Jayakumar, T., Rao, K.B.S.:
Assessment of microstructures and mechanical
behaviour of metallic materials through non-
destructive characterisation. Intern. Mater. Rev.
48(5), 273325 (2003)
11. Temple, J.A.G.: Time-of-flight inspection: theory.
Nucl. Eng. 22(5), 335348 (1983)
B. Raj and B. Venkatraman
12. Charlesworth, J.P., Temple, J.A.G.: Engineering
Application of ultrasonic Time of Flight
Diffraction, 2nd edn. Research Studies Press Ltd,
England (2001)
13. Subbaratnam, R., Saju, T.A., Venkatraman, B.,
Baldev, R.: Immersion and TOFD (I-TOFD): a
novel combination for examination of lower
thicknesses. J. Non Destr. Eval 30, 137142 (2011)
14. Rao, B.P.C.: Introduction to Eddy Current Testing,
series. Narosa Publishing, New Delhi (2007).
(Editors Baldev R and Venkatraman B)
15. Sasi, B., Rao, B.P.C., Thirunavukkarasu, S.,
Jayakumar, T., Baldev, R: Eddy current-giant
magneto-resistive (GMR) sensor for non-destructive
detection of deep-surface defects. In: Proceedings of
NSPTS-12, pp. 6769, BARC, Mumbai, March 2007
16. Rao, B.P.C., Baldev, R., Jayakumar, T.,
Kalyanasundaram, P.: Using artificial neural
networks to quantify discontinuities in eddy current
testing. Mater. Eval. 60, 8488 (2002)
17. Pezzoni, R.: Laser-shearography for nondestructive
testing of large area composite helicopter structures.
In: 15th WCNDT, Rome, Italy 2000
18. Hung, Y.Y.: Shearography: a new optical method for
strain measurement and nondestructive testing. Opt.
Eng. 21(3), 391 (1982)
19. Padma, G., Rajaraman, R., Amarendra, G., Sundar,
C.S., Viswanathan, B., Jayakumar, T., Palanichamy,
P., Baldev, R.: Characterisation of b-quenched and
thermally aged zircaloy-2 by positron annihilation,
hardness and ultrasonic velocity measurements.
J. Nucl. Mater. 345, 162166 (2005)
20. Hand, D., Mannila, H., Smyth, P.: Principles of Data
Mining. MIT Press, Cambridge (2001)
21. Tan, P.N.: Knowledge Discovery from Sensor Data.
In: Sensorsmag, March 2006
22. Berikov, V., Litvinenko, A.: Methods for statistical
data analysis with decision tree. http://www.math.
nsc.ru/AP/datamine/eng/decisiontree.htm
23. Gros, X.E.: NDT Data Fusion. Arnold, London
(1997)
24. Gros, X.E., Bousigueb, J., Takahashia, K.: NDT data
fusion at pixel level. NDT E Int. 32, 283292 (1999)
25. Gros, X.E.: Applications of NDT Data Fusion.
Kluwer Academic Publishers, Dordrecht (2001)
26. Rao, B.P.C., Baldev, R., Jayakumar, T.,
Kalyanasundaram, P.: An intelligent imaging
scheme for automated eddy current testing. Non
Destr. Test. Eval. 17, 4157 (2000). (Gordon and
Breach)
27. Sasi, B., Rao, B.P.C., Jayakumar, T., Baldev, R.:
Wavelet transform-based denoising method for
processing eddy current signals. Res Non-destr
Eval. 21(3), 157170 (2010)
 Stress and Strain Determination
Thomas Kannengiesser and Klaus-Peter Grunder
5

Abstract
In Chap. 1 of this book, the term Technical Diagnostics has been intro-
duced as the examination of symptoms and syndromes to determine the
nature of faults or failures of technical objects. Their characteristics in
different technological areas may be of very different nature. One of them
is the reaction of technical objects to deform under loads. Those loads
may be induced by external forces or thermal fields resulting in
mechanical or thermal stresses, respectively. Another reason of defor-
mation is the permanent presence of internal material forces mainly
caused by material processing technologies at elevated temperatures such
as welding, forging, rolling, or casting and referred to as residual stresses.

In Chap. 1 of this book, the term Technical
Diagnostics has been introduced as the exami-
nation of symptoms and syndromes to determine
the nature of faults or failures of technical
objects. Their characteristics in different tech-
nological areas may be of very different nature.
One of them is the reaction of technical objects
to deform under loads. Those loads may be
induced by external forces or thermal fields
resulting in mechanical or thermal stresses,
respectively. Another reason of deformation is
the permanent presence of internal material
T. Kannengiesser (&)  K.-P. Grnder (&)
BAM Bundesanstalt fr Materialforschung und
prfung, Unter den Eichen 87, 12205, Berlin,
Germany
e-mail: thomas.kannengiesser@bam.de
K.-P. Grnder
e-mail: klaus-peter.gruender@bam.de
forces mainly caused by material processing
technologies at elevated temperatures such as
welding, forging, rolling, or casting and referred
to as residual stresses. Stresses play a central
role in failure mechanism analysis explicitly
discussed in Chap. 3 of this book. In continuum
mechanics, the term stress is tightly related to
force vectors acting either locally via surface
contact or more globally, e.g., centrifugal or
gravitational, on the whole object volume. Their
amount and direction per unit of area are the
basis of stress definition and corresponding
calculations.
Experimental stressstrain analysis does not
only serve the purpose of ascertaining material
properties, but rather assumes growing promi-
nence particularly as regards economical design
and integrity of engineering systems.
Since the level of and change in component
loading as well as their impact on safety are
dependent on a multitude of material, mechanical,

H. Czichos (ed.), Handbook of Technical Diagnostics, 69

DOI: 10.1007/978-3-642-25850-3_5,  Springer-Verlag Berlin Heidelberg 2013
70
and thermal influencing factors (stiffness condi-
tions, fabrication processes, load cycles) inter-
fering with each other, it is often essential in
fabrication and service to concomitantly measure
the strains resulting from mechanical and thermal
conditions and to determine the stresses based on
the measured results.
Depending on the required proof of the load-
bearing capacity for a supporting structure and
on the computational concept (nominal stress,
structural stress, local stress, fracture mechanics
concepts), respectively, stress and strain detec-
tion needs both experimental methods with high
spatial resolution (local measurements) and
multidimensional analyses covering wide areas
of the structure (global measurements).
In reality, technical object stresses lead to
deformations. Therefore, the current chapters
emphasis is placed on the fundamental impor-
tance of strain in deformation analysis. Stresses
T. Kannengiesser and K.-P. Grunder
and strains are in functional relationship by
means of material laws. These stressstrain
functionalities look very different depending on
material (e.g. metals, ceramics, and wood),
structural design (e.g. homogeneity, isotropy,
composites), or the kind of deformation (e.g.
small, large, linear, nonlinear, elastic, plastic,
creep). For example, equations describing the
strainstress interrelationship by means of
Youngs modulus and Poissons ratio for the
linear elastic state of small plane strain (often
referred to Hookes law) are presented in [1].
However, the investigation of material laws in
the direct sense is the subject of various bran-
ches in continuum mechanics and materials
testing and, therefore, without detailed consid-
eration here in this chapter.
 Quantitative Description
of Deformation
5.1.1 Importance of Strain
Determination in Experimental
Mechanics
If the technical object to be diagnosed is loaded,
the material points, generally speaking, will
move. This motion of points is quantitatively
characterized by displacements. They may be of
rigid body nature or specify deformations. Rigid
body motion manifesting itself as a translation or
rotation procedure is not our focus and will
therefore be disregarded afterwards. The defor-
mation displacements, however, describe the
movement of material points relative to each
other and leading to strain. Strain is a deforma-
tion measure defined by geometric changes
(distances or angles) relative to its initial values
before load appeared or has changed. Experi-
mental strain determination methods discussed
later on are of prime practical importance
because stresses are not directly measurable.
Moreover, the acting forces are usually
unknown. But supposing the stressstrain rela-
tionship by means of the appropriate material
law stresses are calculated or estimated from
deformation data. This is the general approach in
experimental practice in spite of the fact that it is
almost always named experimental stress anal-
ysis. Beyond that, most often the object defor-
mations are small and can be considered in the
linear elastic approximation case. The measured
strain value may indicate the correctness of such
assumption for a specific application, later on.
5.1.2 Definition of Strain and its
Transformation
5.1
displacement vectors of a small volume element
as shown in Fig. 5.1.1. But for a clearer view of
the essential relationships, this representation is
limited here to the two-dimensional (2D) case.
Beyond that, however, the most widely used
strain measurement methods are restricted to
material surfaces. Furthermore, most often one
or two dimensions can be neglected due to very
small strain values along this path or there exists
the main deformation direction, only. In these
situations, uniaxial or plane strain cases occur.
As illustrated in Fig. 5.1.1, different strain
components can be derived with respect to a set
of perpendicular axes (x, y) and the displacement
vector u with its plane components (u, v). These
components refer to small point like material
segments (Dx, Dy) and (Dx*, Dy*) before and
after loading indicated by super elevated scaled
blue frames, respectively. The corresponding
deformations are supposed to be small and linear
elastic. The normal strain ex defined as the
change in length of the segment parallel to the
axis x divided by its initial length is
y y
du
y
dy
dv y
dy
1*
y y*
2* dv
x
dx
u x
du
x
x* dx
y v
x u
x

Strain is a dimensionless measure defined as the

ratio of length and angular change with respect x

to its initial values. It is generally calculated

Fig. 5.1.1 Relationship between displacement and
from three-dimensional (3D) deformation strain

71
72 T. Kannengiesser and K.-P. Grunder

du  
Dx  Dx Dx dx Dx  Dx du exx eyx
ex D2D 5:1:7
Dx Dx dx exy eyy
5:1:1
It should be mentioned that besides the
Likewise to that, the normal strain component
engineering (normal or extensional) strain in
ey and the shear strain cxy defined as the change
(5.1.5) (commonly written as e = DL/L0), there
in the right segment angle are calculated by
are some other strain measures used in experi-
  mental practice. The surely most significant of
dm

Dy  Dy Dy dy Dy  Dy dm
ey them is the true or natural strain. It is defined by
Dy Dy dy eT = ln(1 ? e) describing the cumulated strain
5:1:2 resulting from stepwise deformed object taking
  the influence of strain path into consideration.
dv du In Fig. 5.1.1, it has already been indicated
Dx dy Dy dv du
cxy c1 c2 dx that the normal and shear strain values in coor-
Dx Dy dx dy
dinate system (x, y) change with respect to an
5:1:3 arbitrarily oriented coordinate system (x0 , y0 ). As
Using another, more generalizing indicial a result of a more detailed derivation, it can be
notation commonly used in 3D tensor formalism shown [3, 4] that in case of small elastic and
[1, 2], we will get continuous deformations the linear relationship
  between deformations in these two different
1 dui duk coordinate systems will be
eik 5:1:4
2 dxk dxi
ex0 ex cos2 a ey sin2 a cxy cos a sin a
with ey0 ey cos2 a ex sin2 a  cxy cos a sin a
   
i, k {1, 2, 3} cx0 y0 2 ey  ex sina cosa cxy cos2 a  sin2 a
ui {u, v, w}displacement vector 5:1:8
components
xi {x, y, z}coordinate axes and Equation (5.1.8) describe the plane strain
replacing situation, but now again, avoiding the double
indexing for normal strains in following deri-
ex exx vations. Replacing all trigonometric expressions
ey eyy in (5.1.8) by its relations for double angles and
5:1:5
1 1 using (5.1.5), we get
c c exy eyx
2 xy 2 yx e e e e
ex0 x 2 y x 2 y cos 2a exy sin 2a
e e e e
and the other 3D components, correspondingly. ey0 x 2 y  x 2 y cos 2a  exy sin 2a 5:1:9
ex ey
cxy is the total shear strain as well-called engi- ex0 y0  2 sin 2a exy cos 2a
neer shear strain, and the shear strain exy is the
corresponding average value. These equations transform strains of a small
Taking advantage of this, the deformation material segment for different orientations. It is
tensor D (often called strain or displacement obvious that there is a high symmetry of the
gradient tensor) can mathematically be charac- equations. Adding the squared first and third
terized by the following expression in a very Eqs. in (5.1.9) and taking advantage of the
compact way for both, the 3D and 2D cases identity cos2a ? sin2a = 1, then we obtain
using
0 1
exx eyx ezx
D3D @ exy eyy ezy A 5:1:6 eav ex ey =2 and
e e 2 5:1:10
exz eyz ezz R2 e2xy x 2 y
5 Stress and Strain Determination 73

xy
ex0  eav 2 e2x0 y0 R2 5:1:11
max
xy
Equation (5.1.11) defines Mohrs circle of (x , x y )
strain, named after the engineer Christian Otto
2max
Mohr (18351918). Equation (5.1.11) describes R
the transformation of strains in a very descrip- (x , xy) 2
tive graphical way by means of a circle equation 2p

and is equivalent to the more formal transfor- P2 av P1 x ,y

mation approach of tensor components as indi- (y ,-xy)
cated in (5.1.7). Figure 5.1.2 illustrates (see red
line) the principles of strain determination
(y, x y )
derived from Mohrs circle of strain using three
xymax
strain values in an arbitrarily oriented orthogonal
coordinate system. These three strain values
can be predetermined or they result from Fig. 5.1.2 Mohrs circle of strain
measurements.
The construction and operation principles of angle of 2aP. This is the principal direction for
Mohrs circle of plane strain are as follows: which the normal strains get their maximum and
The x-axis represents the normal strains ex and minimum amounts. From Fig. 5.1.2, it is evident
ey, whereas the y-axis is defined by shear that including (5.1.10) calculations can be per-
strain exy. In this way, both axes are defined formed using the following equations
irrespective of coordinate system (x, y) or
(x0 , y0 ). eP1 eav R
The center of the circle is shifted by the eP2 eav  R 5:1:12
2e exy
average strain eav. tan 2aP e exy ex e
x y av

According to (5.1.10), the circle radius is

designed by the length of red line connecting The shear strain tops with a rotation parallel
the points (ex, exy) or (ey, -exy) with the center. to the y-axis. It is calculated by
Now, the circle can be drawn crossing the eP1  eP2
coordinate axes at eP1, eP2, emax xy and -emax
xy , emax
xy R 5:1:13
2
respectively.
 
1 ex  ey
5.1.3 Principle Strains, Maximum amax arctan 5:1:14
2 2exy
Shear Strains, and Their
Directions Principal strains and maximum shear strains
are key parameters necessary to draw a complete
From Fig. 5.1.2, it can be seen that a system deformation picture. Particularly, they are a
rotation by the anglea (defined counterclock- prerequisite for the assessment of worst-case
wise) induces the doubled rotation angle -2a of scenarios in failure analysis. In case of strain
opposite direction in the Mohrs circle. The sensor orientation in principal direction the first
strain values in alternative directions (see blue equation in (5.1.9) describes with
line) can be read from the graph knowing the
eav eP1 eP2 =2; exy 0 and
rotation angle, and vice versa, the rotation angle
representing another deformation status arises R  eP1  eP2 =
from appropriate set or measured strains. the resulting strain in any direction u by
A relevant strain transformation is associated
with the system rotation toward the x-axis by an ex0 u eav R cos2aP u 5:1:15
74 T. Kannengiesser and K.-P. Grunder

This strain equation can be applied for prin- strain distribution on a free surface e.g., without
cipal strain determination if strain values ex in any influences of normal forces leads to plane
different directions u are known from measure- stress state. The stress components of one
ments. For u = 0, the direction of a reference direction in space equal to zero. In this situation
axis x0 may be addressed. Using a minimum two and for small linear elastic deformations of a
additional strain values experimentally identified homogeneous and isotropic material, the prin-
at defined orientations, e.g., u and -u, the three ciple strainstress relations can be characterized
unknown values eP1, eP2 and aP on the right according to Hookes law [1] by simple
equation side can be calculated from the equa- equations
tion system established in (5.1.15).
The results obtained currently will be refer- eP1 E1 r1 mr2
5:1:16
enced in Sect. 5.2 when unknown loads or eP2 E1 r2 mr1
nonsymmetrical plane deformations have to be
and
analyzed. For these tasks, strain gage rosettes
and digital image correlation approaches are E
r1 1m 2 eP1 m eP2
particularly suitable. Both strain measurement E 5:1:17
r2 1m2 eP2 m eP1
methods are practically predestinated as the
ideal ones for principle strain determination. As with
explained earlier, the interrelation between EYoungs modulus and
principle strains (eP1, eP2) and stresses (r1, r2) mPoissons ratio
depends upon the appropriate material law. The
 Strain Sensors and
Measurement Methods
In experimental technical diagnostics, stresses
are usually not able to be determined in a direct
manner. This was in some detail already
explained and discussed in the first subsection of
this chapter. Instead, they are accessible only
with a combination of deformation measurement
results and the material law appropriate for
specific application or the acting forces,
respectively. The measurement of the 3D force
distribution within the loaded material is not the
approach normally used in experimental practice
for stress determination. In this sense, there is no
direct stress measuring technique but the
combination of experimental deformation
determination and model assumptions, which are
usually restrictive and idealized. Furthermore,
material constants such as elasticity module or
Poissons ratio are assumed to be well known.
On the other hand, this prerequisite is applied in
transducers dedicated for force measurement.
They are calibrated by referencing the internal
deformation signal to a high accurate reproduced
normal forces generated by local gravitational
acceleration. In conclusion, this means that
strain is the most important parameter necessary
to describe the material distortion of technical
objects. Strain plays a central role in experi-
mental practice.
There is a large number of strain measuring
methods based on very different sensor princi-
ples [1]. In context of Technical Diagnostics, we
will focus on those methods for strain determi-
nation that have largest possible intersection
with the following features or requirements:
Minimized restrictions with respect to appli-
cation requirements. Strain measurements are
possible on more complex technical objects,
e.g., not limited to material samples testing
using testing machines.
Suitability as a correct quantitative method
traceable to the SI unit of length (measure-
ment method).
5.2
Experimental robustness against environmen-
tal conditions even outside the laboratory
Reasonable efforts for object preparation.
Technical established, commercially avail-
able, and reliably working methods that are
appropriately documented for the users.
It is understandable and obvious that a
restricted selection is always subjective, espe-
cially since the technical development of strain
measurement methods proceeds further. For this
reason, this or that method would be classified
differently tomorrow. For almost each of the
strain measurement methods, the interested
reader can find extensive separate literature.
Because of the importance of residual strain and
stress analysis for Technical Diagnostics in
thermomechanical applications further quantita-
tive and qualitative methods are discussed in
Sect. 5.3.
5.2.1 Resistance Strain Gages
Strain gage sensors are especially shaped elec-
trical resistors fixed to technical objects capable
to measure surface strain. In case of objects
surface material deformation, the adherent
resistor will change its resistance, too. If the
functional relationship between resistance
change and length change is known in a tech-
nical reproducible manner, the sensor is able to
be experimentally used in technical diagnostics
for strain analysis.
In recent decades, the strain measurement
method using electrical strain gages has been
established in technical complex and demanding
applications. But for the correct technical mas-
tery, trained professionals are needed. In many
areas, especially the safety-related ones, there is
even a certification of technicians required. In
reliable strain gage applications, a series of
experimental measures and constraints have to
be taken into account to a significant extend.
75
76
This should be further on worked out in a dif-
ferentiated manner to a reasonable extent. The
worldwide commercial market for strain gage
products and accessories still develops rapidly
and successfully according to PC-based sensor
metrology and new technical challenges. Here-
inafter, the physical and experimental basics,
specific possibilities, and limitations of resis-
tance strain gage application in technical diag-
nostics are discussed in the current chapter.
Specialties of strain gage application with
residual stress analysis background are sepa-
rately discussed in Sect. 5.3.
5.2.1.1 Particular Technical Significance
The sensor effect, which is used by resistance
strain gages is that a metallic wire with electrical
resistance R experiencing a tensile force change
in length DL and therefore change in resistance
DR, too.
Georg Simon Ohm described in 1727 the
basic relationship among voltage, resistance, and
current. Many years later, Samuel Hunter
Christie (1833) and Charles Wheatstone (1843)
developed for the first time a specialized circuit
being able to measure resistances. Later on, this
bridge circuit was given the name Wheatstone
Bridge. In the early period, electrical-resistance
strain gages were unbonded. A wire filament
served as the sensor element mechanically fixed
at the specimen surface by clamping. The sensor
installation was still uncomfortable and awk-
ward. It took almost a century of experimenta-
tion with wire structures for coupling them to
technical objects in a more optimal manner.
About in 1937 independently from each other
began the development of modern strain gages
by the work of Ruge and Simmons. The novelty
consisted mainly of the considerable sensor
miniaturization and the fact that the resistance
wire pattern has been placed on a carrier mate-
rial. This carrier material initially made from
paper could be fixed on to the technical surface
by bonding in a much easier way.
Today, the strain measurement technique
using resistance strain gages is of considerable
technical importance. Strain gages are qualified
T. Kannengiesser and K.-P. Grunder
not only for experimental characterization of all
mechanical loading modes discussed in Chap. 3
including tension, compression, bending, shear,
torsion, and also thermomechanical and self-
contained loads. Furthermore, this make them
essential for use in a variety of transducer types
being capable of measuring further physical
quantities, such as mass, force, pressure, twist-
ing moment, temperature, or even mechanical
vibration parameters. There is now a sophisti-
cated variety of specialized sensor designs and
strain gage applications based on a mature
measurement technology and industrial branch.
This fact has to be reflected in a corresponding
detailed presentation. Despite the seemingly
simple sensor principle, the technical complex-
ity of implementation requires consideration of
many details for correct experimental applica-
tion. Worldwide, there are only a few resistance
strain gages manufacturer presenting compre-
hensive information about technical features,
application details, and skill training on their
Web pages [57].
5.2.1.2 Physical Sensor Basics
Ohmic resistance R of an undeformed electrical
conductor is defined by
L
Rq 5:2:1
A
Material parameter q is the specific electrical
resistance in units of X mm2/m and defined for
1 m length, 1 mm2 cross-section at 20 C. The
letter L stands for effective wire length and A for
a (e.g. a  b rectangular) cross-section area in
units of mm2, both describing the conductor
geometry. If the wire is mechanically stretched
all three values in (5.2.1) will change. The
amount of relative resistance change is then
described by
DR DL DA Dq

R L A q
Replacing the three terms by DL/L = eL, DA/
A = Da/a ? Db/b & 2eT = -2meL and Dq/
q = pq DL/L, then DR/R is given by
5 Stress and Strain Determination 77

DR   applications. A typical foil strain gage is sche-

eL 1 2m pq 5:2:2 matically presented in Fig. 5.2.1. The metallic
R
conductor with meander shaped structure is
DR printed or etched on the gage carrier material
eL k 5:2:3
R and also covered with it. Due to the larger areas
DR= at the turning points, the effect of transverse
k R DR=R=e 5:2:4 sensitivity can significantly be reduced. The
L
DL= strain sensitive pattern is oriented along the
L
nominal length L to be observed. The two areas
The gage factor k characterizes the transfer
outside this active pattern are for bonding con-
from mechanical strain to the electrically mea-
ductors connecting the strain gage to measuring
surable resistance change quantitatively. These
circuits. The dashed line is for displaying the
relationships (5.2.15.2.4), so far derived for an
sensor layer structure by cross-sectioning. The
electrical conductor only, are also applied and
strain gage bonded to the surface under inves-
transferred to real strain gages. K is called axial
tigation consists of the sensing element fixed to a
strain gage sensitivity and is known from man-
thin film. The film serves as an insulator and
ufacturer datasheets. It does not depend on cross-
carrier material. Different adhesives may be
sectional shape but is defined by a geometric part
used for bonding the film to the object surface
(1 ? 2m), with Poissons ratio m setting the con-
being under consideration. The size of the strain
text between transverse strain et and longitudinal
active area, its principal pattern orientation, and
strain e = el, and an electrical conductivity part
the appropriate adhesive are optimized by the
due to changes in inner materials structure pq.
gage manufacturer to satisfy a wide variety of
Replacing in (5.2.1), the shape area A = V/L by
applications. The bonding quality (see com-
volume V, another but equivalent to (5.2.2) for-
ments later on) is of great importance in view of
mula using the Bridgemans constant Bq = (Dq/
an optimal strain transfer from the deformed
q)/(DL/L) could be derived. In case of metal
material to the strain gage pattern [12]. It should
alloys often used in practice, k & 2 and m = 0.3;
be noted that the strain gage response is an
the effect of change in specific electrical resis-
integral value with respect to its bonding area
tance will contribute to k about 20 %, only. Main
size.
variation among different materials is caused by
Bondable foil strain gages are available in a
dependence in q. For semiconductor sensor
huge number of pattern designs in combination
materials, e.g., this effect is essential to a high
with grid alloys, backing materials, nominal
degree suppressing the geometric part in (5.2.2).
resistances, and further options. A limited
selection of them is shown in Fig. 5.2.2. The
5.2.1.3 Sensor Design pattern designs differ with respect to general
Metal-foil electrical-resistance strain gage sen- geometric configuration and their orientation to
sor type is most often used in current each other: Single-element gage (14), double

Fig. 5.2.1 Schematic 1 Object material under load (substrate)

strain gage pattern design 1
2 Adhesive layer (thickness 4 to 80 m)
4 3 3 Carrier (thickness 30 to 60 m) and
covering gage material (thickness 10 to
5
40 m)
2 4 Embedded strain sensitive structure of
L length L (thickness 3 to 5 m)
6 5 Connecting wire
1 6 Protective covering (thickness up to
some mm)
78
(1)
(4)
(3)
(7) (9)
(8)
Fig. 5.2.2 Subset of different sensor designs, gage
lengths, and nominal resistances supplied by HBM [1]
(Design 1: 100 mm/120 X; 2 and 3: 3/120 and 350; 4: 6/
linear element (5), two-element rosettes (68),
three-element rosettes (913), other special-
purpose designs (1213), and arrangements as a
chain line (14).
Additionally, the different designs displayed
in Fig. 5.2.2 may be grouped and classified with
respect to specific application requirements as
shown in Table 5.2.1.
Manufacturers offer strain gages based on
very different and specific applications. In
Table 5.2.1, the focus is on foil strain gages for
standard strain analysis application in technical
diagnostics. Additional strain gage sensor mod-
ifications are relevant to alternative application
conditions such as:
Suitable for extreme temperature range (e.g.
-200 to +250 C).
Encapsulated for mechanical protection,
against humidity and chemicals.
Prewired with plug-on connection for time
saving and avoidance of soldering.
T. Kannengiesser and K.-P. Grunder
(2)
(5)
(6)
(12)
(10)
(13)
(11)
(14)
350; 5: 6/350; 6: 3/350; 7: 3/120; 8: 3/700; 9: 6/350; 11:
6/120; 12: 1.5/120; 13: 15/350) and MM [2] (Design 10:
1.52 mm/120 X)
Foil strain gage on carrier plate to be spot
welded to object or reusable magnetically
fixed.
Integration into composite materials.
Miniaturized geometric dimensions.
For the manufacture of transducers.
For oscillating load and fatigue strength.
Detecting crack propagation.
If very small strain has to be measured or
there is very little space available on the tech-
nical object, highly sensitive semiconductor
strain gages may be preferred over metal-foil
gages. A technical feature is that nearly the
whole amount of resistance caused by mechan-
ical loading is traced to change of specific
resistance q described in expression (5.2.2) by
pq. Semiconductor gages usually have a k factor
of e.g., 100 times larger compared to foil gages.
Because of the highly specific electrical resis-
tance only one material stripe defines the effec-
tive gage length und is sufficient to represent the
5 Stress and Strain Determination 79

Table 5.2.1 Foil strain gage pattern designs assigned to application fields
Pattern design Feature details Reference to Design-specific application
Fig. 5.2.2 and (No.) fields and limitations
Single element ShortLong (2) to (4) Uniaxial load
(1) Direction known
Local strain (Short length)
Medium strain (Long length)
2-elem. rosette Planar parallel (5) Principal directions unknown
Planar crossed (6), (8) Bending of beams
Stacked (7) Tension and compression bars
3-elem. rosette Planar (9), (11) to (13) Principal strains and directions are
Stacked (10) unknown
Rectangular (9), (10), (12) General two-axial load
Delta (11) Plane strain determination
Multielement (chain) Parallel (14) Structural discontinuities
crossed (no example) High strain gradients
Localization of peak strain
Special purpose Hole-drilling rosettes (12), (13) Radial oriented deformation
Residual stress analysis

nominal resistance. Semiconductor gages are results. Now we derive the relationship between
more sensitive to temperature changes, increas- its bridge voltages VS and the VM and changes of
ingly nonlinear at higher strain ([0.05 %) and resistances included.
should be handled even more carefully because According to Ohms law V = I R and the
of their fragility. Due to the relatively high Kirchhoffs current law IS = I1 ? I2; the current
voltages, the requirements to amplifier technique IS created by the electrical potential difference
are drastically reduced. (voltage) VS between the two sockets of a con-
stant stabilized power supply device (special
5.2.1.4 Wheatstone Bridge Circuitry instrument for strain gage measurement) are
and Resistance Measurement proportional to each other by a constant resis-
Instrumentation tance factor:
Strain gages convert mechanical strain into an
electrical signal corresponding to resistance VS I1 R1 R2 I4 R3 R4 5:2:4
change. To measure this unknown resistance The voltage drops over R1 and R4 are
value, the gages are included in extra designed
circuits called Wheatstone Bridges. These small
resistance networks consisting of two voltage
balanced legs are powered and completed by
custom measurement instruments. The power (a) I1 (b) (c)
I2 IS
supplies may be of constant-voltage excitation
R2 VS
or driven by alternative method (see text below). R3
For a better illustration of the operation princi-
ple, we will now concentrate on constant-volt-
age case.
R4
The principle arrangement of Wheatstone R1 VM
Bridge wiring is shown in Fig. 5.2.3. An espe- IS
cially shaped resistance circuit (a) is connected
by cables (b) to a signal amplifier device (c)
processing and storing the strain measurement Fig. 5.2.3 Basic arrangement of Wheatstone bridge
80 T. Kannengiesser and K.-P. Grunder

R1 indicate that same resistance changes in adjacent

V1 I1 R1 VS ;
R1 R2 bridge legs compensate each other. In other
R4 5:2:5
words, experts in strain gage application field
V 2 I2 R 4 V S
R3 R4 purposely using this amplification and/or com-
pensation effect of strain and/or temperature
The measured voltage gage reading VM can
conditions by appropriate strain gage orientation
be determined by VM = V1 - V2, so that
on material surface and circuit design. Last issue
  includes both, the Wheatstone Bridge design and
VM R1 R3  R2 R4
5:2:6 its connection to the voltage supply and mea-
VS R1 R2 R3 R4
surement instrument by appropriate wires.
Before the determination of VM the bridge is Depending on which of the resistance gages
balanced, e.g., VM should be zero VM = Ri is used as an active one, the bridge circuit is
R1R3 - R2R4 = 0. named differently. Constant bridge resistances
R1 to R4 can stand for active (strain gages) or are normally provided as completion resistors by
inactive (e.g. compensating dummy strain gages external power supply and measuring amplifier
or external resistances provided by power supply system itself. Examples for bridge arrangements
and measurement device) resistances that can are:
change or remain constant. Depending on diag- a. The quarter-bridge: Only one gage R1 is
nostic goal and environmental effects, there are active. Then, DR1 = DR. DR2 =
various resistance arrangements possible. But in DR3 = DR4 = 0 and from (5.2.8)
general, if resistances change in a balanced
bridge VM will change, too. From formula DVM DR ke
5:2:9
(5.2.6) follows VS 4RN 4

DVM R1 DR1 R3 DR3  R2 DR2 R4 DR4 The bridge is carried out quickly, less expen-

VS R1 DR1 R2 DR2 R3 DR3 R4 DR4 sive, but temperature changes are not compen-
5:2:7 sated. Therefore, constant ambient conditions
are required.
In strain gage measurement practice for b. The half-bridge: Two uniaxial gages R1 and
experimental simplicity the resistances Ri (i = 1 R2 are active, but both with identical absolute
4) are usually selected of equal nominal value strain values (compression andelongation),
R1 = R2 = R3 = R4 = RN and its change DRi e.g. arising from bending load measured on
(i = 14) is small compared to RN (some per- opposite object sides. Then, DR1 = -
cent). Neglecting in numerator of (5.2.7), the DR2 = DR, DR3 = DR4 = 0 and
terms of second and in denominator the first-
order ones we will get using formula (5.2.2) DVM DR k2e
5:2:10
VS 2R N 4
DVM DR1  DR2 DR3  DR4
In e only strain originating from bending is
VS 4RN
k k included and the temperature effect is
e1  e2 e3  e4 e 5:2:8
4 4 compensated.
c. The full-bridge: Four active gages applied, R1
Expression (5.2.8) describing the basic rela-
and R3 are fixed e.g., on opposite object sides
tionship between measured and provided volt-
that DR1 = DR3 = DR, and R2 and R4 are
ages and resistance changes in Wheatstone
bonded on samples of same material but not
Bridge circuits on the one hand and the
being under load
mechanical strain of object surface areas
equipped with strain gage sensors on the other DVM DR k2e
hand. The alternating summand signs in (5.2.8) 5:2:11
VS 2RN 4
5 Stress and Strain Determination 81

P2
(a)
1

(b) 2

Fig. 5.2.4 Main strain gage rosette arrangements: a rect- P+

angular type rosettes (04590), b delta type rosettes
(060120) P
P
P1
In this case, there is no strain sensitivity with
respect to bending. With e, the tensile strain is
measured in a temperature compensated way. 3
Furthermore, these examples illustrate that
depending on particular gage arrangement the
bridge sensitivity can be influenced and different Fig. 5.2.5 Rosette orientation
loading components may optionally be set into
the focus of investigation. e1 ex0 u
 
e2 ex0 0 5:2:12
5.2.1.5 Strain Gage Rosettes e3 ex0 u
In Sect. 5.1, it has been discussed and demon-
strated that minimum three strain values are for a more compact notation with respect to gage
necessary to completely characterize an unknown numbering according to Fig. 5.2.12. Substituting
plane deformation state. For this purpose, strain the cosine terms using trigonometric identities of
gage rosettes of different types are applied. angle sum and sum of squares and squaring
Figure 5.2.4 schematically shows possible appropriate equations, the solution provides
arrangements. Some of these rosette designs are following principle strain results for rectangular
also photographically included in Fig. 5.2.2. type rosette case
The outwardly different appearing rosette types  r
 
1
(a) and (b) are each identical regarding strain eP1=P2 e1 e3  2 e2  e1 2 e2  e3 2
2
determination. But greatest attention must be paid
to the appropriate gage order and numeration 5:2:13
according to the current definition. Otherwise, the  
1 e1  e3
strain equations will provide incorrect results. aP arctan 5:2:14
Regarding this, different agreements are possible 2 e1  2e2 e3
and used in practice. The Fig. 5.2.5, however, and delta type rosettes
shows in a generalized way the notation and rela-
 r
 
tive gage orientation with respect to principal strain eP1=P2
1
e1 e2 e3  2 e1  e3 2 e2  e1 2 e2  e3 2
axis of a surface material element under load 3

according to Eq. (5.1.15) derived in Sect. 5.1. 5:2:15

The rosette gages 1 and 3 are symmetrically  p 
rotated by angle u with respect to gage 2. For 1 3 e 1  e 3
aP arctan 5:2:16
rectangular type rosettes, the angle u = 45 and 2 e1  2e2 e3
for delta ones u = 60, respectively. The fol-
lowing calculation of principle strains and
directions is done by Eq. (5.1.15) and eP1/ In Eqs. (5.2.135.2.16), it can be seen that the
P2 = eav R according to (5.1.12) as well as observance of a predefined gage sequence
82
numbering plays no role only for principle strain
determination for delta rosettes but affects the
principle strain direction in all cases. In [8], both
rosette types are discussed in conjunction with
Mohrs circle of strain approach and illustrated
graphically.
5.2.1.6 Signal Evaluation Methods
The nominal resistance value RN of strain gages
is for example 350 or 1,000 X. A typical maxi-
mum sensor measurement range is emax =
1,000 9 10-6 = 0.1 %. For a typical k factor of
2, this means according to e.g. (5.2.9) a DR/
R = emax k = 2,000 9 10-6. This corresponds
to maximum Wheatstone Bridge voltage transi-
tion factor DVM/VS of 0.5 mV/V and a maximum
resistance chance range of 0.7 and 2 X to be
determined, respectively. This means that with a
supply voltage VS of 5 V a measuring voltage of
VM = 2.5 mV will be generated. In other words,
very low voltage values need to be transferred
without any losses to the measuring device.
In standard strain analysis using resistance
strain gages, usually DC differential voltage
amplifier is applied. Modern measurement sys-
tems are modular configured having essential
components already integrated: stabilized,
optional bridge circuit power supply VS; flexible
deployment of stable nominal resistors RN des-
ignated for bridge completion (at varying posi-
tions Ri, see Fig. 5.2.3); provision of multiple
wire hookup for lead wire resistance compen-
sation; optional low-noise amplification factor;
up to 24-bit analogdigital conversion; contin-
uous or triggered acquisition; variable sample
rates up to 1500 MS/s/ch for static, periodic, or
transient signals; simultaneous sampling of
channels; computer controlled data acquisition,
processing, and presentation.
The carrier frequency method is based on
amplitude-modulated voltage of about 100 Hz
50 kHz (carrier frequency). By subsequent sig-
nal filtering, the resulting bridge voltage VS is
processed to constant output voltage being pro-
portional to resistance change and strain,
respectively. The method is preferably applied
in environments with strong electromagnetic
interference and if very low strain is expected.
T. Kannengiesser and K.-P. Grunder
With respect to DC method, it has a better strain
resolution but lower signal bandwidth and e.g.,
requires professional handling of arising lead
wire capacities.
Another resistance measuring principle is
based on TDC method (time-to-digital con-
verter). The resistance gages are typically inter-
connected inside a RC element as a half-bridge.
The same capacitor is reproducible charged to
the bridge voltage VS and alternately discharged
through one of the two gages. The discharge time
is precisely measured by the TDC. Instead of a
voltage ratio, the resistance ratio is hence mea-
sured by a time ratio. A great advantage of this
signal registration principle is the low current
compared to the voltage based ADC systems.
This makes it interesting for wireless and battery-
operated or radio-based strain gage applications
thus achieving an extended operation time.
5.2.1.7 Major Aspects for Strain Gage
Selection, Preparation,
and Packaging
Before starting measurements, the strain gage
expert has to make a number of choices to select
the appropriate sensor configuration, instru-
mentation, and experimental setup. For this
detailed work, he is supported by manuals, da-
tasheets, and directives of strain gage manufac-
turers and suppliers of measurement amplifier
devices as well as by standards. References [9,
10] define the relevant characteristics of
resistance strain gages, describe the procedures
for its determination, and explain the require-
ments of practical gage installation [11]. The
text below considers important aspects of
experimental design and effects that must be
considered for optimal quantitative strain mea-
surement results.
Figure 5.2.2 shows only a limited selection of
strain gage types displayed in an exemplary
manner. Table 5.2.1 provides a guide for
choosing the appropriate strain gage pattern
design depending on diagnostic goal or the
degree of knowledge about deformation state.
The appropriate strain gage has to be selected
according to requirements from the technical
5 Stress and Strain Determination
object under investigation (material imple-
mented, unidirectional or biaxial kind of
deformation state, static/dynamic), the diag-
nostic goal (single point or strain field gradi-
ent analysis), and further external conditions
(temperature range, acceptable installation
space).
Each resistance strain gage sensor is charac-
terized by its individual datasheet, which
includes among others following facts and
tolerances: geometric dimensions; gage factor
and its temperature coefficient; nominal
resistance; transverse sensitivity; reference
and operating temperatures; gage and layer
materials and corresponding thicknesses;
maximum tolerated strain value and assured
number of load cycles.
The strain gage sensitivity factor k is of great
practical importance for accurate calibrated
strain measurement and is valid at the refer-
ence temperature (e.g. 23 C). It is carefully
and individually for each production charge
according to standard procedures [9, 10]
applied by the manufacturers with a tolerance
of about 2 %. Additional uncertainty com-
ponents may arise in case of deviations from
the surface fixing procedure recommended.
The k factor uncertainty is a measure for a
minimum systematic error in strain measure-
ment to be taken into consideration, if nec-
essary. A key advantage of resistance strain
gage sensors is their high strain resolution. It
depends on many factors. A typical value for
metal-foil gages under static loading condi-
tions is 0.2 lm/m.
For resistance measurements via accurate
balanced Wheatstone Bridges, it is important
to use standardized nominal resistance values.
They are available in steps of 60, 120, 350,
500, 700, or 1,000 X resistance with con-
trolled small tolerances. The resistance value
is specified between the two solder tabs or
including the leads. Nominal resistance and
excitation voltage of Wheatstone Bridge
should be in accordance. The maximum
bridge voltage is specified for the case that the
substrate material has excellent heat conduc-
tion to avoid resistance heat up. Materials
83
with decreased heat capacity (e.g. plastic)
require lower bridge voltage.
Transverse sensitivity of a strain gage is the
ratio of k factors determined under load con-
ditions transverse and along the intended gage
direction. This parameter is individually
specified on each strain gage package data-
sheet. The minimization of transverse sensi-
tivity is achieved e.g., by special shape design
of the grid loop end areas. Typical transverse
sensitivities are about 0.10.3 %.
In bridge circuits especially provided for
highly accurate resistance measurements and
when the amplifier device has to be located
away from the gage positions, the influence of
lead resistances (see in Fig. 5.2.3b) must be
taken into account in cases if their magnitude
is comparable to gage resistances applied.
Different procedures are used in practice to
avoid or reduce this error-inducing effect
using precise calibrated shunts or the multi-
point technique with multiple (up to 6) wire
hookups for lead wire resistance compensa-
tion [12].
Temperature effects have to be considered in
different ways. The influence on gage sensi-
tivity factor k has already been discussed. The
attention of operating temperature range
specified for each strain gage design is
important in order to protect them for irre-
versible changes. Typical temperature ranges
of e.g., Constantan foil gages for absolute
strain measurement applications are of about
-70 to +200 C. Specialized gages for
extreme temperatures using e.g., CrNi alloy
for relative strain measurement may even
range from -270 to +250 C.
Temperature induced strain is most often an
undesired component in strain results if
exclusively the mechanical load component is
of interest. This thermal effect can be com-
pensated by selected strain gages that match
to the thermal expansion coefficient of the
material under investigation. Those strain
gages are thermally self-compensated.
Another option to compensate strain influ-
ences due to thermal expansion is the appro-
priate wiring inside the corresponding
84
Wheatstone Bridge legs, already discussed
before. Tolerances of the temperature
response and the valid temperature range are
specified on each gage package by manufac-
turer. References [13, 14] discussed bonded
strain gages applied for high-temperature
strain measurements.
Strain gages have to be protected against too
high elongation or compression. For this rea-
son, the maximum elongation is specified for
both, the positive and negative directions. A
frequently used strain measurement range is
approx. 5 % (50,000 lm/m). Gages
deformed to some extend by external load
behave like a spring. They react spontane-
ously by strain into the opposite load direc-
tion. In static case, creep may occur because
of permanent generated shear forces inducing
adhesive and carrier plastic relaxation. To
avoid or reduce creep effects for long-term
stability, the gage pattern design is modified
in the end loop areas and by glass-fiber rein-
forced carrier and covering materials. If the
gage is exposed to alternating load its fatigue
life decreases depending on the number of
cycles, the strain magnitude and other instal-
lation parameters particularly characterized by
the application. The zero point may drift. A
technical guide is outlined in [15] and the
specifications of gage manufacturers give an
adequate impression.
Hysteresis of a strain gage takes place if there
is a measured strain difference in spite of the
fact that after deformation the material is
completely released again. The hysteresis
effect depends on strain gage design (shape,
materials) and installation parameters (e.g.
adhesive layer thickness) and can, if applica-
ble, mainly be reduced by repeated object
loading and unloading before starting the
investigation process. Data about hysteresis is
provided by gage manufacturers and are of at
most a few lm/m magnitudes.
Foil strain gages have to be fixed to the sur-
face material of the technical object being
under diagnosis. For each gage type, the
manufacturer recommend relevant bonding
adhesives depending especially from
T. Kannengiesser and K.-P. Grunder
operating temperature range required and the
kind of bonding. There are cold and hot curing
adhesives as well as spot welding techniques.
Hot curing adhesives can be used within a
wider temperature range (recommended for
approx.[80 C) while cold curing ones are of
easier use having shorter curing time and
thereby preferably applied in common strain
analysis. Further on, some necessary aspects
of proper gage bonding are discussed.
For reliability reasons, the strain gage bond-
ing on the object surface has to be performed in
a serious and accurate manner. A number of
requirements must be considered according to
manufacturer instructions or standard guidelines
[11]. Particular attention must be paid on precise
gage orientation and perfect strain transmission
from object under load to the sensor output
through the adhesive layer to ensure high
bonding strength between surface and foil. Fol-
lowing installation steps must be performed:
Determination of gage sensor location on the
object and marking the required orientation.
Establish for adhesive type selection the
operating temperature and guarantee a suffi-
cient installation temperature range according
to manufacturer instructions.
Prepare surface for bonding: no gross residues
(paints, patina, or dirt), establish an appro-
priate roughness by polishing and thorough
cleaning with solvent.
Degrease the carrier foil material. Use gloves
to avoid finger prints.
Immediately thereafter: adhesive mixing; put
thin adhesive layer on sensor back side;
accurately oriented sensor placement; apply
for bubble-free and thin adhesive layer
installation a high uniform and constant
pressure to the sensor surface until it is com-
pletely cured (only some minutes for super-
glues), sometimes using an extra pressing
device.
Control the isolation resistance.
Setting, if necessary, of additional solder ter-
minals to ease the gage pattern of tensile load
due to connected measuring cables.
Apply protective covering agent against
external influences like change in humidity,
5 Stress and Strain Determination
short-term moisture, mechanical impact,
direct thermal radiation, not affecting the
loading conditions and corresponding gage
response.
5.2.2 Digital Image Correlation
The digital image correlation (DIC) is a mea-
surement method based on the principles of
photogrammetry. Todays photogrammetry
enables, generally spoken, the precise determi-
nation of 3D coordinates assigned to special
features in digital images. In former times, the
main application field was concentrated on
remote aerial and terrestrial based sensing for
the Earths surface and building documentation
purposes, respectively. Since 1990s along with
the availability of cheaper and powerful com-
puters and digital camera technique, the rapid
developments in computer sciences, vision and
image processing a still growing use of photo-
grammetric principles in very different applica-
tion fields can be observed. Especially, 3D
measurement methods using optical sensor
effects had large benefits from the high accuracy
potential of photogrammetry.
5.2.2.1 Photogrammetrical 3D
Coordinate Determination
In all the above-noted optical 3D measuring
methods, common is the fact that the same sur-
face feature has to be identified in different
images captured from different observation
directions. Due to the redundant image infor-
mation, the trigonometric calculation of feature
positions in space is possible. In DIC method,
high-contrast patterns attached to technical sur-
faces are used in terms of these image features to
be identified inducing its 3D coordinates and
deformation parameters, respectively. For this, a
complex mathematical modeling of the respec-
tive sensor assembly required. As is known, for
the determination of coordinates in space at least
two observation directions, i.e., a stereo camera
setup, are required. In addition, the stereo con-
figuration of cameras is generally preferred
because of simplicity, speed, and price
performance ratio for the field-based strain
85
measurement. The mathematical theory of pho-
togrammetry is presented in detail in numerous
monographs and textbooks [1619] with special
emphasis on DIC method in [20]. In this section
we will focus on procedural basics of stereo-
scopic DIC method applied in technical
diagnostics.
The camera model is generally based on the
assumption of a central perspective projection to
map the surface features on the camera target
(pinhole model). Figure 5.2.6 shows the obser-
vation of point P (xP, yP, zP) by two cameras in a
stereo configuration in the object coordinate
system (x, y, z).
First consider the imaging of point P using
camera 1. Its position in space is determined by
the common straight line l1 passing through the
 
projection center O1 and point P1 x1P ; y1P in the
target plane with coordinate axes x1 ; y1 : The
collinearity equations of photogrammetry
establish the mathematical relationship between
the coordinates of both points:
 
x1P ; y1P f c; x1O ; y1O ; z1O ; xP ; yP ; zP ; a; b; x
5:2:17
with
c Camera constant (principle dis-
tance or camera lens focus
length).
 
x1O ; y1O ; z1O Coordinates of camera 1 per-
spective center O1 in system
(x, y, z).
(xP, yP, zP) Coordinates of point P in system
(x, y, z).
(a, b, x) Rotation angles of coordinate
system x1 ; y1 ; z1 relative to the
axes (x, y, z).
Function f represents matrix calculations
defining straight light ray propagation from
external points to camera image by rotation and
translation in space. However, this still idealized
camera model in (5.2.17) has to be improved
correcting different error sources, such as radial
and tangential image distortion by lense imper-
fections, coordinate differences between the lens
86
y
Technical
P
x
object
z
Camera 1 l1 l2
y
1
P1
O1 y22
x1
Fig. 5.2.6 Stereo camera setup
axis and target center. These parameters
including the camera constant c (e.g., in
Fig. 5.2.6 the vertical distance of points O to
respective camera target plane) define the cam-
era model parameters, also named intrinsic
parameters. The camera orientation in space is
described with respect to perspective center by
translation and rotation relative to the object
coordinate system (x, y, z) (extrinsic camera
parameters). Both, the intrinsic (the typical
amount is 10) and extrinsic camera parameters
(6) have to be determined before starting the
DIC measurements by a calibration procedure.
This stereo camera calibration is normally per-
formed using especially surface featured plane
targets using e.g., regular distributed points (dot
target) or squares (chessboard). A minimum
target requirement is its identifiable orientation
and the metric scale normally realized by cali-
brated distances between these features included
in the structure. The target has to be moved and
pictured relative to both camera positions in a
particular manner predefined by the DIC system
manufacturer. The calibration algorithm is based
on the bundle adjustment method [1618] cal-
culating simultaneously the intrinsic and
extrinsic parameters from these calibration
images by a stepwise iterating and mathemati-
cally complex least square approximating pro-
cedure. As a result of calibration procedure, the
image-forming rays from object point to camera
target and vice versa (inverse equations analo-
gous to 5.2.17) are mathematically described.
The master camera 1 is located in object coor-
dinate system, which usually arises from the first
T. Kannengiesser and K.-P. Grunder
view of the calibration target, and the camera 2
orientation is defined relative to it.
For 3D coordinate measurement using a ste-
reo camera setup, the knowledge of homologous
Camera 2 points is an essential prerequisite. Two points P1
und P2 (see Fig. 5.2.6) are homologous, if they
P2
are mapped by the same object surface point
k2
P. In this case, its coordinates may be calculated
O2
x
2
from the intersection point of both straight rays
l1 and l2 originated from P1 and P2, respectively.
For fast and reliable finding of corresponding
point P2 to P1 in camera image 2, the region of
interest may extremely be reduced using the
epipolar geometry approach. The epipolar
geometry defines stereoscopic images mathe-
matically by complex matrix equations using the
fact that the points P, P1, P2 and both camera
projection centers O1 and O2 are located in the
very same plane. This epipolar plane sections
the target plane of camera 2 in line k2 : The
desired homologous point P2 can therefore be
found only on this line. Current stereoscopic 3D
strain measurement methods use different high-
contrast features for finding homologous points
to determine their 3D coordinates in deformation
scenarios. On the one hand, these are fixed to
surface circular formed labels appearing in
captured images as ellipses whose center points
are determined for further calculation. On the
other hand, surface patterns are applied creating
a real textured object surfaces to be moved in
space and deformed while loading.
5.2.2.2 Measurement Principle of DIC
The surface texture for DIC method is normally
produced by spray painting using an aerosol can.
The randomly splash pattern has to be of
high blackwhite contrast. The stereo camera
configuration is typically mounted on an
adjustable tripod and each camera is focused
onto the region of interest. Small subimages,
called facets, located next to each other or even
overlapping serve as point like features accord-
ing to photogrammetric approach. Their position
and changing distances have to be determined.
Figure 5.2.7 principally shows a surface pattern
with plotted square facets in reference state of
5 Stress and Strain Determination
Fig. 5.2.7 Highly magnified subarea of reference state
(camera 1, left) with a plotted 3 9 3 facet group and the
corresponding view of slave camera 2
the master camera slightly changed due to dif-
ferent views on it.
The same facets in reference arrangement are
observed by the slave camera from another
perspective in space. The homologous facet
position with identical gray level distribution has
to be determined using the cross-correlation
method. It starts around a manually preselected
master facet or automatically applying the epi-
polar geometry approach. The comparison of
different shaped facets having identical or very
similar gray level patterns requires a previous
bilinear transformation of pixel coordinates, like
 2        
xi t1 t3 1 t5 1 t7 1 1
x y x y
y2i t2 t4 i t6 i t8 i i
5:2:18
with
index ipixel number.
In (5.2.18), the constants t1t8 describe dif-
ferent kinds of camera 2 pattern deformation
with respect to the master camera translation,
elongation or compression, shear and distortion,
respectively. They are iteratively calculated by
approximation method minimizing the overall
gray level difference between reference and
transformed facets and taking possible photo-
metric brightness differences between the cam-
era images into account.
The same procedure of homologous facets
identification in stereo views has to be applied
for all object load states. Here in addition to the
perspective correction the facet displacements
and deformations must be modeled using
(5.2.18). The facets positions are determined
with subpixel image accuracy up to some 1/100
87
Current load stage
y FR
Load
Reference stage
FC
x
z
Fig. 5.2.8 Change of facet coordinates due to object
deformation
of pixel distance. From this known stereo image
coordinates, the corresponding facet coordinates
characterizing the 3D object surface deformation
in object coordinate system are calculated pho-
togrammetrically by triangulation, as described
before. On this basis, the strain values can be
determined for each facet from displacement
vectors of both, the reference as well the current
load states. As is often the case changing
deformations have to be evaluated stepwise for a
large number of load stages. The automated
operating DIC method proves here further
benefits.
Figure 5.2.8 illustrates schematically a single
selected facet position FR placed on a small
surface area and belonging to the reference load
stage. The 3D coordinates of FC together with a
3 9 3 facet neighbourhood are usually used for
subsequent strain determination. However, first
eliminating rigid body movement influences the
translation and rotation displacement parameters
must be calculated using the best approximating
coordinate transformation of the current facet
points around FC into them around the reference
FR one. Another step consists of facet coordinate
projection for both stages onto a local tangential
Fig. 5.2.9 Strain
determination from
y m-1,n+1
variations of facet positions Fm-1,n+1
m-1,n+1
x
Fm,n
88
plane. The result is illustrated in Fig. 5.2.9. This
kind of plane approach is often applied and only
in cases of highly curved surfaces a locally fit-
ting spline function model may be useful for
more reasonable local distance estimations.
Attention has to be paid to correct handling of
strain directions because strain measurement
results finally should be referenced to a certain
object coordinate system.
As a result of all actions discussed before the
coordinate raw data for determining the strain
values of a selected facet F must be obtained
from its distance changes to the close located
ones. Figure 5.2.9 shows the reference facet grid
(blue points) and the deformed facet positions
around a randomly selected facet Fm,n repre-
senting the merged facet positions of FR and FC
as described before. For clarity, only one of the
eight adjacent facets Fm-1,n+1 has been marked.
The strain values ex, ey and exy are calculable
according to Eqs. (5.1.15.1.3 and 5.1.5) from
the vector Dum-1,n+1 components referred to the
corresponding reference vector um-1,n+1 com-
ponents in coordinate system (x, y). It must be
emphasized, however, that for a confident strain
determination in position Fm,n all adjacent facet
data have to be involved applying for this a more
complex approximating approach. As explained
in Sect. 5.1 the principal strains and directions
calculation result from these strain values iden-
tified in (x, y) using Eq. (5.1.12) in conjunction
with Eq. (5.1.10). In view of the clearly before
explained strain measurement principle it should
be noted that because of the DIC versatility with
respect to 3D topometry including surface shape
deformation, rigid body movement, and strain
measurements, the ruling mathematical proce-
dure is based on compact tensor formalism
offering the possibility for complex approxima-
tion and transformation calculations. This also
includes finally the transformation of locally
calculated facets strain data into the 3D coordi-
nates of an arbitrarily shaped object.
5.2.2.3 Implementation Requirements
and Aspects of DIC Application
DIC is a very powerful and flexible 3D tool
enabling the point and surface based
T. Kannengiesser and K.-P. Grunder
determination of coordinates, shapes, displace-
ments, and deformations for both the static and
dynamic cases. Precise strain measurements
require some action in preparation and
implementation:
The object surface area of interest i.e., the
lateral image size and the measurement vol-
ume have to be specified. The approximate
number of usable facets (normally about 20 x
20 pixels per facet) results from the camera
pixel number.
The object surface has to be provided with
high-contrast pattern of adopted feature den-
sity. Minimum two lightdark changes inside
a facet in both direction are recommended.
Very fine pattern cannot be resolved by
cameras. The randomly structured pattern is
painted typically by airbrush, but may be as
well fabricated in regular shaped crossed lines
pattern by screen printing. The surface pattern
material must be able to follow the objects
deformation.
The calibration of stereo camera setup is
performed using appropriate calibration tar-
gets with respect to system manufacturer
instructions. The setup is forced to remain
mechanically stable, thus, keeping intrinsic
and extrinsic parameters unchanged. This
means no change in relative camera orienta-
tion and no aperture or focus variations in
both camera lens systems should happen.
The measurement starts by automatically or
manually triggered stereo image capturing.
An image pair belongs to the same loading
state normally inducing an object deformation
to be determined. For this purpose, the image
pair has to be captured exactly synchronized
to avoid motion blur (e.g. [0.1 pixels) creat-
ing coordinate uncertainties. In high-speed
stereo camera applications, this requires a
flexible shutter time adjustment adapted to the
object pattern speed appearing on camera
target.
The DIC method can be applied in a wide
strain measurement range up to [100 %. The
single facets strain resolution is about 10-3
and can be increased up to 10-4 if statistical
data interpretation is allowed. This way the
5 Stress and Strain Determination
DIC is much less strain sensitive compared to
resistance or optical strain gages, but, residual
systematic errors due to k factor uncertainties
are not a problem.
Finally, measurement evaluation and presen-
tation of results have to be performed
according to specific task and with respect to
system manual instructions and software
capabilities.
5.2.3 Extensometers
Extensometers are devices used to measure the
change of length of a technical object. There are
many different principles for their implementa-
tion. A common property of all is that they are
attached to the object surface either mechani-
cally or by surface feature referencing. Further-
more, in the context of strain determination
discussed here, the extensometers must be able
as well to measure the change in length DL as
the initial length L0 (gage length) to be cali-
brated in a correct and defined manner. Extens-
ometers can be combined arranging this way
multichannel sensing. It is usually made by
uniaxial sensing of surface points or special
patterned features on it. In experimental prac-
tice, the strain value per gage length L0 is usu-
ally determined using the simple equation of
(5.1.1) as eL = DL/L0. For accuracy classifica-
tion, the providers of extensometers refer to
standards [21, 22].
4
2 The most robust kinds of strain measurement
5
L/2
L0
2 all bended material sides (see features 4 in red
3 on bended material 3). The strain gage output
L/2
1 5
2 erence value L0 must be reinstalled when
4
Fig. 5.2.10 Clip-on type extensometer using resistance
strain gages
89
Typical extensometer designs and their
underlying physical principles are presented
below.
5.2.3.1 Contact Extensometers
Figures 5.2.10 and 5.2.11 show schematically
two general contact extensometer designs. They
are using the direct mechanical contact to the
object surface (see label 1) by means of two
probing points (5). This contact can be realized
in different ways using:
Clip-on type gages with sharp edges pressed
against the object surface (see Fig. 5.2.10).
They may be self-supported if the object
dimensions enable this or the main exten-
someter mass is supported separately (indi-
cates in Fig. 5.2.10 by green arrows). With the
help of specialized self-supported gages, very
different modes of mechanical loading can be
characterized: axial, axial/torsional, trans-
verse, diametric, and circumferential related
strain measures in a wide temperature range.
Double-sided form elements which interlock
and centering mutually via sphere, cone, or
cylinder geometries (see labels 5 in
Fig. 5.2.11). This extensometer design is no
longer entirely nondestructive because surface
preparation is needed.
Adhesives, magnetic elements, or welding.
Contact extensometers use either a deforma-
tion mechanism (Fig. 5.2.10) or a linear dis-
placement process of two linear and relative to
each other precisely moved guide parts
(Fig. 5.2.11).
principles are:
The material elongation is transferred to the
bending of plates (Fig. 5.2.10). For optimal
error and temperature compensation, full
resistance strain gage bridges are applied on
has to be calibrated with respect to a definite
L0. To avoid systematic errors, the same ref-
starting the strain measurement. This can be
done in a reproducible manner using special
adapters.
90 T. Kannengiesser and K.-P. Grunder

4
3
2

5 5

L0
1
L
Fig. 5.2.11 Linear type extensometer

Linear encoders used for position measure-
ment may be based on very different physical
principles: magnetic, capacitive, inductive, or
optical ones. Optical encoders are very pop-
ular and most often used in linear working
contact extensometers (see label 4 in
Fig. 5.2.11) because of their large measure-
ment range, high precision, and resolution up
to nanometers. Basic principle is a relative
(incremental) or absolute interpretation of
transparent and/or diffracted periodic line
patterns fixed to the extensometer parts (2)
and (3) in Fig. 5.2.11 relatively moving to
each other.
Interferometry is another highly accurate and
sensitive principle of uniaxial strain mea-
The influences of contact extensometer mass
potentially loading the object or leading to
sensor damages have to be minimized by
appropriate external support.
The quality of contact points must be
considered.
Simplicity, robustness, large measurement
range, and high sensitivity are best application
arguments for contact extensometers.
1
4
L0k

surement replacing the devices like schemat-

L 0T

ically indicated by label 4 in Fig. 5.2.11.

Modern interferometry uses phase interpo-
lated displacement determination comparing
two coherent light waves to each other. It is 5
less robust in industrial environments. Fur-
thermore, one needs also a correct reference
length L0.
2
Using contact extensometers for experimental
strain determination some circumstances have to
be considered:
The design may be adopted even for large-
scale objects.
Errors due to extra-axial probing and incorrect 3
L0 referencing have to be reduced as much as
Fig. 5.2.12 Principle of rotating laser point
possible. extensometer
5 Stress and Strain Determination
5.2.3.2 Noncontact Extensometers
These types of extensometer are somewhat less
strain sensitive but preferably applied where
contact feeler arm extensometers are impossible
or not practical to be used. They have no
mechanical influence on the technical object
behavior. Different optical measurement princi-
ples are put into practice. Some of them have
further useful aspects in contrast to contact type
extensometers:
Variable and self-memorizing gage length.
Larger deformation range.
Flexible selectable measurement direction.
Locally resolved strain distribution.
Less potential damage to equipment in case of
component or materials failure.
Laser extensometers use strain measurement
stripe like marks attached to the object (see (1)
in Fig. 5.2.12) at even irregular intervals down
to 1 mm. The light ray of a laser (2) is via
precisely rotating element (3) directed onto this
pattern (4).
A photodetector (5) measures the brightdark
reflected laser light producing a corresponding
rapidly changing signal. On the basis of a high-
resolution time measurement and constant rota-
tion velocity, the signal features are associated
with relative position coordinates. The distance
calibration of the total reference length L0T as
well as for all incremental L0k ones enables the
registration of varying stripe distances due to
object deformation. From this, it can be con-
cluded onto the locally resolved unidirectional
strain e.g., eLk = DLk/L0k, respectively, at repe-
tition rate up to 200 Hz. Different scanning
directions can be combined enabling the strain
determination in both, the longitudinal as well as
transverse directions.
Fig. 5.2.13 Opto-
electrical extensometer
1 9
L0
91
Video extensometer benefits from digital high-
resolution matrix or line cameras in combination
with fast real-time image-processing technique
applied to recognize and track the relative dis-
tance variations of markings fixed to the object
surface. Typically used gage markings having
high-contrast features are straight lines (stripes
like in Fig. 5.2.12) or dots. The distance scale
comes from L0 calibration before measurement.
But for strain measurement, in contrast to elon-
gation determination, the lateral scale of the
highly accurate manufactured digital image tar-
gets is a quite sufficient metrological basis.
Matrix image targets make possible simulta-
neous transverse strain determination using tar-
get columns as well as lines for interpretation.
For fast changing deformations, there are repe-
tition rates of up to some kHz possible to be
applied. Depending on hardware level, approx.
10 simultaneously fixed markings are currently
quite possible for real-time strain measurements
with respect to these features. Video extensom-
eters are able to be involved into loading control
mechanism providing an analog output voltage
proportional to measured strain values.
An optoelectronical extensometer (see
Fig. 5.2.13) consists of two combined and
identical constructed cathode-ray tubes each
detecting the position of a brightdark edge (1)
fixed on the object surface.
The edge position detection is realized by a
phase-locked loop driven generator (6) enabling
the magnetic field (3) to focus the edge shaped
electron beam traveling from the photocathode
(2) to an aperture (3). The larger the optical
image deviation from the reference position, the
higher the current for the magnetic field to
maintain the electron beam in aperture position.
3 4 5 6 7 8
2
Generator in
phase-locked
loop
-
+
92
Fig. 5.2.14 Reflection
type FBG sensor setup
1 4
6 Spectrum Analyzer
B
Intensity
B 2
The distance change between both gage channels
is after low pass filtering (7) electronically
transformed by a differential amplifier (8) to an
analog output voltage (9) proportional to the
strain value. The corresponding transition factor
from the deflecting unit current to strain must be
determined by a separate displacement calibra-
tion of each channel before the strain measure-
ment starts. This specific type of extensometer
can be used not only for static deformation, but is
most suitable in high-speed deformation appli-
cations. Velocities of both edges up to several
hundred m/s are possible. The strain accuracy is
specified by 0.2 % with respect to the strain
measurement range. The gage length L0 can be
selected within the limits of 1125 mm.
5.2.3.3 Fiber Optic Strain Gages
Light transmitting fibers designated not only for
optical communication purposes, but also for
implementing different physical sensor effects
[23] in a wide range of applications have its origin
already in the 1980s. Since that time there is an
intensive research in this particular field of
experimental testing and metrology. Important
sensor effects and applications for both, glass
as well as polymer fibers are described and dis-
cussed in detail in Chap. 13.3 and in [24]. Special
advantages of fiber optic sensors are: immune to
strong electromagnetic fields, isolated in explo-
sive atmospheres, sensor miniaturization, remote
sensing capability, surface mountable, or em-
beddable into structure or materials. In accor-
dance with the criteria for selection of strain
measurement techniques discussed in Sect. 5.1,
we will focus on glass-fiber Bragg grating (FBG)
T. Kannengiesser and K.-P. Grunder
2
5
3
LB
3
strain sensors, only (more details see
Chap. 13.3.3). They have high strain sensitivity
and are commercially available as complete sys-
tem solutions for different sensor modifications:
they are naked or assembled and may be applied
as single or distributed multichannel FBG sen-
sors. Up to Sensors modifications using in con-
trast to transmission the reflected light need only a
one-sided access (see Fig. 5.2.14).
For this, light of a spectrally broader source (1)
is coupled into the fiber (2). Due to the defined
FBG refractive index n modulation at equal dis-
tances K (3) resulting in an effective waveguide
value neff only one default spectral peak per gage
length LB will be reflected back via circulator (5)
redirecting narrow band spectral light at kB to a
high resolution spectrum analyzer (6). If the object
under mechanical load deforms (4) then this
spectrum will change in a reproducible manner.
The physical FBG strain measuring effect is the
peak shift DkB as a function of fiber strain state to
be determined. In the first order approximation
using Bragg wavelength kB = 2 neff K
DkB
eL  k 5:19
kB
Typical center wavelengths kB may vary in a
great range from approx. 8001620 nm. The
k factor has a typical value of 0.78, but depends
from a series of parameters that are different
with respect to relevant application. In experi-
mental practice, this transition factor k must be
known from precedent calibration. The calibra-
tion procedure and the correct dealing with
temperature induced strain effects are described
in [25]. The Bragg grating deforms not only by
5 Stress and Strain Determination
mechanically elongating loads but as a result of
temperature change, too. Both effects interfere
and should be separated, if necessary.
Regardless of the high FBG sensitivity up to
some 1/10 lm/m, a not correctly known k factor
induces a systematic strain error. In particular,
93
the ways the measuring sensor is fixed to or
integrated in the technical object have a great
influence on strain results. The strain measure-
ment range is of some percent and mainly lim-
ited by the glass-fiber material.
 Residual Stress Determination
in Thermomechanical
Applications
Experimental stressstrain analysis does not
only serve the purpose of ascertaining material
properties, but rather assumes growing promi-
nence particularly as regards economical design
and integrity of engineering systems.
Since the level of and change in component
loading as well as their impact on safety are
dependent on a multitude of material, mechani-
cal, and thermal influencing factors (stiffness
conditions, fabrication processes, load cycles)
interfering with each other, it is often essential in
fabrication and service to concomitantly mea-
sure the strains resulting from mechanical and
thermal conditions and to determine the stresses
based on the measured results.
Depending on the required proof of the load-
bearing capacity for a supporting structure and
on the computational concept (nominal stress,
structural stress, local stress, fracture mechanics
concepts), respectively, stress and strain detec-
tion needs both, experimental methods with high
spatial resolution (local measurements) and
multidimensional analyses covering wide areas
of the structure (global measurements).
5.3.1 Strain and its Relationship
to Residual Stress
Dimensional deviations resulting from mechan-
ical and/or thermal distortions and deformations,
respectively, occur in various spatial directions
of the component. They may either be locally
restricted or include the overall structure.
Depending on the load level, they may be
reversible or irreversible in nature.
Principally, the relative changes in test piece
or component length, respectively, arising under
load imposition, e.g., by a force or a change in
temperature (thermal expansion), are used for
metrological ascertainment of strains e accord-
ing to e = Dl/l0, where Dl is the change in length
5.3
and l0 is the initial length. Stress r or residual
stress rE calculation methods, respectively,
using measured strains e are principally based on
Hookes law r = e  E, where E is the modulus
of elasticity of the material.
This law is true only for the uniaxial stress
state. Supporting structures, however, frequently
exhibit complex stress and residual stress dis-
tributions, respectively, in the various spatial
directions. Their full mathematical description is
provided via stress tensors.
Residual stresses rE are mechanical stresses
occurring in temperature gradient free solid
bodies which are uninfluenced by any external
forces and/or moments and are in equilibrium.
In physical terms, it is essential to differen-
tiate between macro- and microresidual stresses.
In so doing, it proved to be useful to classify the
residual stresses by their local distribution in the
material volume. This principle is followed
particularly when dealing with metals where the
grain size is definitive. It was basically articu-
lated for the first time by Masing [26] and
extended by Macherauch [27, 28] who divided
the residual stresses into those of the first, sec-
ond, and third kind.
Residual stresses rE of the first kind are
macro-stresses averaged over a larger specimen
volume (crystallite group) (Eq. 5.3.1). Disequi-
librium of first kind stresses generally gives rise
to macroscopic dimensional changes of the
component. This is the reason why they are
directly detectable by mechanical measurement
methods.
Residual stresses rE of the second and third
kind are gathered in the category of micro-
stresses. They restrict themselves to one single
crystallite. They compensate one another in each
macroscopic volume and are technically hardly
relevant. Residual stresses of the second kind are
nearly homogeneous over small material areas
94
5 Stress and Strain Determination 95

(one grain or grain area). They are determined integrity of engineering systems such as dimen-
by averaging them via the inhomogeneous por- sional accuracy, crack resistance, and lifetime.
tions in one grain or grain area (Eq. 5.3.2).
Internal forces and moments associated with 5.3.2 Overview of Measurement
second kind residual stresses are in equilibrium Techniques for Residual Stress
over a sufficient number of grains of one mate- Detection
rial phase. Interference in their equilibrium may
involve component distortion. Residual stresses Quantitative determination of stresses and
of the third kind are heterogeneous over smallest residual stresses, respectively, is feasible indi-
material areas (several interatomic distances) rectly via macro- and microstrain measurement
(Eq. 5.3.3). Their disequilibrium does not cause of material areas. The measurement results are
macroscopic dimensional changes [29]. used for stress calculation based on assumptions
Z of elasticity theory. Depending on the strain
1
rI rxdV 5:3:1 measurement mode, differentiation is made
Vmacro among non-destructive, quasi non-destructive,
Z and destructive techniques [3339]. The basic
II 1
r rx  rI dV 5:3:2 measurement techniques are listed in
VCristallit
VCristallit Table 5.3.1 [40].
Stress and residual stress measurement tech-
rIII x rx  rI  rII 5:3:3 niques, respectively, are available in a wide
variety. Their selection depends on the magni-
The residual stresses in the individual
tude and type of stresses (compressive, tensile,
microstructural components of a material are
uniaxial, or multiaxial), on the required mea-
referred to as phase residual stresses (Eq. 5.3.4).
suring accuracy and resolution, and ultimately
Phase residual stresses always embrace both
on economic efficiency. The basic principles
macro- and microresidual stress portions [29].
underlying these measurement techniques have
Here, Angle brackets mean averages.
already been described in numerous mono-
graphs, e.g., [4143]. Therefore, the idea here is
ra \rI rII [ a 5:3:4 rather to give a comparison of the advantages
and drawbacks of the major destructive and
The microresidual stresses of all microstruc-
nondestructive residual stress measurement
ture phases a compensate one another in the
techniques. The focus is on advanced residual
material volume taking account of the respective
stress measurement techniques with synchrotron
volume fractions p of the microstructure phases
and neutron radiation enabling in situ investi-
(Eq. 5.3.5) [29].
gations ranging from transformation behavior
X
n and stress evolution all the way to residual stress
pa \rII [ 0 5:3:5 depth distributions over several millimeters
a1 during mechanical or thermal loading of metal-
The averaged mean value of all phase resid- lic materials [44] (Table 5.3.2).
ual stresses represents the macroresidual stress
in the component (Eq. 5.3.6) [29]. 5.3.2.1 Comparison of Techniques
Mechanical methods can usually be carried out
X
n
relatively easily and only require conventional
pa ra rI 5:3:6
measuring devices such as strain gages or con-
a1
tact extensometers. While permitting mechani-
For construction engineering purposes, mac- cal material removal in very different ways they
roresidual stresses are primarily important [30 do not allow additional residual stresses to be
32], since they may directly influence the induced.
96 T. Kannengiesser and K.-P. Grunder

Table 5.3.1 Methods of experimental stress detection [4144]

Destructive techniques (relaxation techniques) Nondestructive techniques measurement
measurement of macro-stresses of macro- and micro-stresses
Fully destructive: X-ray diffraction
Sectioning method
Strip bent method
Deep hole method
Cut off method
Crack compliance method
Bending method
Contour method
Partly destructive (quasi non-destructive): Neutron diffraction
Hole-drilling method Ultrasonic method
Reverse taper hole-drilling method [81] Magnetic methods:
Ring core method Barkhausen noise analysis
Optical methods:
Moir method
Speckle interferometry

Table 5.3.2 Advantages and drawbacks of essential residual stress measurement techniques [4144]
Measurement technique Advantage Drawback
Instrumented high- Simple instrumentation Low spatial resolution
speed hole-drilling Mobile Low straining sensitivity
method Cost-effective Measurement of macro-residual stresses (of
Fast the third kind)
Depth information Only applicable to residual stress values in the
Measurement of biaxial residual stress range of up to 60 % of the maximum yield
states strength
Quasi non-destructive Conditionally applicable to curved surfaces
Suitable for crystalline and amorphous (e.g. inner or outer pipe walls with high bending
materials radii; welds)
Well available Different evaluation algorithms (depending on
the strain behavior)
Sectioning method Simple Destructive
Cut off method Relatively cost-effective Measurement of macro-residual stresses (of
Deep hole method instrumentation the first kind)
Ring core method Measurement of biaxial residual stress Requires elaborate planning for strain gage
states instrumentation and sectioning steps
Component information Time-consuming
Well available Low lateral and spatial resolution
Difficult detection of high residual stress
gradients
Useful in conjunction with complementary
local measurement techniques (XRD)
Crack compliance Determination of residual stress fields Destructive
method Permits determination of stress Requires elaborate planning for strain gage
evolution and displacement, respectively instrumentation and sectioning steps
Determination of stress intensity Time-consuming
factors Requires wire-electro discharge machining
Assessment of component safety
(continued)
5 Stress and Strain Determination
Table 5.3.2 (continued)
Measurement technique Advantage
Bending method Simple
Relatively cost-effective
instrumentation (micrometer, dial gage)
Statements relating to the component
cross-sectional residual stress profile
Depth information for approx.
0.1 mm0.5 mm component thickness
Conventional X-ray Nondestructive
diffraction Well available
Cu-Ka-radiation Differentiation between micro- and
Mo-Ka-radiation macro-residual stresses (of the first,
Cr-Ka-radiation second, and third kind)
Measurement of biaxial residual stress
states
Simple calibration (does not require
references for freedom from residual
stress)
Permits mobile measurements
Standardized
Contour method Determination of two-dimensional
Shadow moir residual stress states
technique Measurement of thick-walled
specimens/components
X-ray diffraction using Nondestructive
high-energy High penetration depth of around
synchrotron radiation 5 mm in Fe 150 mm in Al
At high resolution approximately
20 lm lateral and 1 mm parallel to the
steel
Measurement of macro- and micro-
residual stresses
Neutron diffraction Nondestructive
Volume information
Very high penetration depth of around
50 mm in Fe 200 mm in Al 5 mm in Ti
At good spatial resolution
approximately. 0.5 x 0.5 x 1 mm
International standard available: ISO/
TS 21432-2005 [79]
Electron diffraction Nondestructive
Permits very high spatial and lateral
resolution (up to10 nm)
Determination of micro-residual
stresses (of the second and third kind)
Ultrasonic technique Nondestructive
Magnetic methods Mobile
Relatively cost-effective
Fast
Depth information
Down to 100 mm
Measurement of biaxial residual stress
states
97
Drawback
Destructive
Measurement of macro-residual stresses (of
the first kind)
Relatively low spatial resolution (approx.
0.05 x component thickness)
No lateral resolution
Requires knowledge of the qualitative
residual stress profile
Requires preliminary theoretical estimation
Surface information and limited depth
information, respectively, only possible by
additional removal of surface material
(electropolishing)
Limitations for coarse-grained
microstructures (welds)
Radiation protection necessary
Destructive
Requires wire-electro discharge machining
Limited to symmetric residual stress
distributions
Plastification effects need to be quantified
Requires high brilliance undulator (so-called
third generation)
High cost
Limitations for coarse-grained
microstructures (welds)
Standard missing
Requires nuclear reactor or spallation source
High cost
Comparatively long measuring times
Hardly any reference values available
Requires residual stress-free reference
material
Requires elaborate procedures for pseudo
strain, diffraction volume and diffraction
volume profile determination
High radiation protection necessary
High cost
Laborious specimen preparation (Specimen
thickness \100 nm)
Qualitative measurements
High calibration complexity for quantitative
statements
Permits measurement of macro-residual
stresses (of the first kind) in volume
98
The crack compliance method developed by
Cheng und Finnie [45] serves to ascertain
residual stress distributions in component seg-
ments and additionally allows it to determine
stress intensity factors when cracking has
occurred due to residual stresses. Both of these
advantages play a significant role particularly in
cases where it is not only essential to measure
the residual stresses but also to concurrently
assess their effects on component safety or life-
time. This applies particularly to loading con-
ditions as for example fatigue crack growth,
stress corrosion cracking, local material damage
at the crack tip resulting from hydrogen
embrittlement, and the influence of residual
stresses conducing to cracking and crack growth.
Respective component safety or lifetime calcu-
lation according to the pertinent fracture
mechanics theories is based on local load and
stress intensity factors, respectively, caused by
residual stresses at cracks. Following Schindler
et al. [46], it is imperative in calculating these
crack depth and stress dependent parameters that
the residual stress distributions acting downward
in the crack area be known apart from the
stresses resulting from external loads. The crack
compliance method is carried out by making a
continuous or stepwise cut in the crack-near area
in order to determine the resulting residual stress
relaxation and displacement, respectively, at the
component surface using interferometry [42]. In
order to minimize additional influences, e.g.,
heat input, on the residual stresses, wire elec-
trical discharge machining is frequently used.
Literature presents a number of other mag-
netic, electric, and optical residual stress
measurement methods as for example magne-
tostriction, magnetoacoustic emission, Bark-
hausen noise analysis, ultrasonic analysis, eddy-
coercive field strength
field strength
hysteresis loss
Barkhausen-
emission
remanence
permeability
high micro-structural sensitivity
Fig. 5.3.1 Magnetic characteristics and their sensitivity toward microstructure and stress [48]
T. Kannengiesser and K.-P. Grunder
current techniques, or even piezospectroscopic
measurement such as Raman fluorescence-
luminescence (FL) line shift [47, 48]. The
underlying physical characteristics for residual
stress detection strongly vary in sensitivity
toward residual stresses and microstructure,
respectively (cf. overview in Fig. 5.3.1). They
are mostly applicable for making predominantly
qualitative statements or they require complex
calibration for quantitative measurements,
respectively.
Figure 5.3.2 summarizes and compares
residual stress measurement techniques as well
as their mean penetration depth and measure-
ment resolution for steel materials.
Further existing methods use hardness mea-
surements in order to deduce residual stresses
from them. Hardness characterizes the resistance
of an elasticplastic material to the penetration
of some harder indenter and reflects the yield
resistance of the material under multiaxial local
pressing. Although surface residual stresses may
have an impact on this behavior and tensile
residual stresses apparently may thus reduce
hardness or compressive residual stresses,
respectively, these effects can hardly be drawn
on for residual stress assessment, since the
mentioned influence is minimal (usually within
the hardness measurement scatter band) and
nonuniform.
It can be stated that a multitude of destructive
and nondestructive methods are available for
metrologically detecting stresses and residual
stresses in both laboratory-scale and mobile
component measurements. Macroresidual stres-
ses can mostly be determined already with
relatively little instrumentation, whereas differ-
entiation of micro- and macroresidual stresses as
well as high quantitative accuracy and spatial
magneto-
acoustic
emission stress
induced
impedance magnetic
anisotropy
coercive field strength
high stress sensitivity
5 Stress and Strain Determination 99

spatial/lateral resolution in m
-2 -1 1 2 3 4 5
10 10 1 10 10 10 10 10
0
elect.-diffract.
FL-line shift (Raman)

1
conv. X-ray diffraction XRD
(laboratory diffractometer)
1
10
penetration depth in m

magnetic
XRD methods/
2 with incremental eddy current
10 desur- hole drilling technique
facing method

3
ultrasonic
10 X-ray diffraction
with high energy deep hole
synchrotron drilling
radiation method
4
10 sectioning
method

neutron material
5
10 diffraction removal
method
contour
method
6
10

Fig. 5.3.2 Penetration depth and measurement resolution of residual stress measurement techniques for steel
materials [66]

resolution are often costly and time consuming.
Detection of transient processes involved in stress
evolution, however, requires employment of
high-energy synchrotron radiation.
5.3.2.2 Incremental Hole-Drilling
Method for Residual Stress
Determination
The hole-drilling method is among the
mechanicelectric processes and was presented
for the first time by Mathar in 1933. The mea-
surement principle is based on local disturbance
of the internal force and moment equilibrium by
drilling a blind hole into the center of a three-
element strain gage rosette using rosette geom-
etries of, respectively, 0/45/90 (rectangular
type) or 0/60/120 angular distance (delta
type).
Modern drilling systems operate with high-
speed turbines and hard metal-face cutters at
rotational speeds of approximately 300,000 rpm
enabling materials with hardness up to 50 HRC
to be examined for residual stresses. A further
advantage of such systems is that they produce a
nearly ideal shape of the blind hole [4951]. It is
essential to adjust their travel speed to the
material to be investigated and to keep it con-
stant in order to minimize friction heat induced
measuring errors. The depth of the blind hole
should not be greater than 11.5 times the hole
diameter.
This local load relief gives rise to macro-
scopic relaxation strains in the surrounding
material areas which are measured in three
^ ^ ^
directions (e.g. ea 0 ; eb 45 ; ec 90 ) across
the strain gage rosette. The biaxial stress state
(main normal stresses r1 and r2 and their
direction aP) can then unambiguously be
described by using the relationship of stress and
strain (Eq. 5.1.17) in Sect. 5.1 adding the
100
principal strain values (Eq. 5.2.13) for rectan-
gular rosettes
E ea ec E
r1;2   p
1m 2 21 m
q
 ea  eb ec  eb 2
2
ea  2eb ec
tan 2aP
e1  e3
In Eq. (5.3.8), counterclockwise gage num-
bering is applied, but it is identical to (5.2.14)
with respect to the different designation of strain
gage orientations applied. Further information
and detailed derivations for calculating residual
stresses from relaxation strains can be found in
[33, 52] and [53].
Drilling in the incremental hole-drilling
method is performed stepwise. After each depth
increment, the resilience is detected as a func-
tion of the drilled depth z with the help of the
strain gages. The relaxation strains that are
measurable with the help of the applied three-
element strain gage rosette steadily decline with
increasing drilled depth, so that it is initially not
possible to calculate the residual stresses as a
function of the drilled depth via the generalized
Hookes law equations. It is essential in the
evaluation process to take account of this pro-
cedure-specific behavior by using numerically or
experimentally determined decay functions also
referred to as calibration functions.
Numerical processing of the incremental
relaxation strains can be accomplished by
drawing on various existing evaluation processes
based on different mathematical formulations.
Depending on the application case, the residual
stress history versus the drilled depth z can be
determined, for example, via the evaluation
processes following Schajer (ASTM 837-95)
[5456] or Nikola [57] or according to the MPA
formalism [53, 5861].
5.3.2.3 X-ray Diffraction
X-ray radiology is recognized as the most
important nondestructive procedure. High-per-
formance X-ray diffractometers with finely col-
limated X-ray beam enable high stress gradients
T. Kannengiesser and K.-P. Grunder
to be detected (Fig. 5.3.3). Drawbacks are high
equipment costs, exacting operating personnel
qualification demands, the requirement for
radiation protection, and the limitation to surface
statements [62].
5:3:7 Partly destructive processes, such as the hole-
drilling method, provide far less spatial resolu-
tion for measuring points that are difficult to
5:3:8 access.
5.3.2.4 Synchrotron Diffraction
Conventional X-ray diffraction for steel is
restricted to a material depth of approximately
5 lm due to relatively due to relatively low
energy of the X-rays (\10 keV). By contrast, so-
called synchrotron sources of the third genera-
tion, as they are available for example at the
Helmholtz Centre in Berlin, at the Energy Syn-
chrotron Storage Ring BESSY II in Berlin, at
the Helmholtz Research Centre DESY, PETRA
III in Hamburg, at the European Synchrotron
Radiation Facilities ESRF in Grenoble (France)
or at the Super Photon Ring-8 GeV (SpRing-8)
in Harima (Japan), permit high-energy X-radia-
tion of up to 300 keV to be employed. At
BESSY II, for instance, the high-energy syn-
chrotron radiation is delivered by a supercon-
ducting 7T multipole wiggler. The detector
system (Ge-solid state detector with multichan-
nel analyzer) available at the EDDI experimen-
tal facility (energy dispersive diffractometry) is
able to register evaluable interference fringes
even at photon energies of up to 150 keV. The
decisive advantage of the energy dispersive
method used at this facility, compared to angle
dispersive diffraction, is that it provides a mul-
titude of interferences from the measured dif-
fraction spectrum for evaluation. The available
photon energies provide detailed information for
steel both in reflection (information down to
around 150 lm) and in transmission (component
thickness up to approximately 10 mm) and thus
enable data collection from surface-near areas
and from the component interior alike. In addi-
tion, polychromatic radiation has the advantage
that different information depths can be assigned
to the diffraction interferences in the spectrum
according to their energy position. In this way, it
5 Stress and Strain Determination
Fig. 5.3.3 Mobile X-ray diffractometry at a component specimen
also becomes possible to identify gradients of
the desired characteristics (e.g., residual stress
depth distributions or phase composition) over
the whole information depth (Fig. 5.3.4).
5.3.2.5 Neutron Diffraction
The penetration depth of neutrons reaching
down to some centimeters is 1,000 times higher
than that of conventional X-radiation, since
neutrons interact with nuclei and X-rays with
electrons. This is the reason why many issues
can also be solved by complementary exploita-
tion of X-ray and neutron diffraction. Modern
measuring stations at major research establish-
ments equipped with nuclear reactors or spalla-
tion neutron sources currently permit steel
penetration depths of more than 50 mm.
Achievable measuring volumes are in the
range of about 0.5 mm 9 0.5 mm 9 1 mm. The
diffraction magnitude for X-radiation depends
on the atomic number and for neutrons on the
atomic mass. This implies that the diffracted
energy for the individual elements and their
isotopes is most different, as illustrated in
101
Fig. 5.3.5 showing the relative diffracted scat-
tering cross section A1 for various chemical
elements and their isotopes [63].
Differentiation can be made between con-
ventional neutron diffraction and the TOF (time
of flight) method. Conventional neutron diffrac-
tion, i.e., angle dispersive diffraction with
known h/2h-scanning according to Braggs law
is based on continuous neutron radiation by a
nuclear reactor. TOF neutron diffraction, by
contrast, requires pulsed radiation, e.g., by a
spallation source, producing at each neutron
pulse in its target a wide energy and wavelength
spectrum, respectively. In the TOF method, the
diffraction profile is therefore not determined as
a function of Bragg angle. A constant Bragg
angle usually of 2h = 90  is rather used and the
wavelength of incident radiation is varied.
According to the law, the high-energy neutrons
are the first to reach the material surface, while
1
Measure of interaction intensity between neutron and
  1028 m2 ).
atomic nucleus of the material A
102
Fig. 5.3.4 Diffractometer system at the EDDI material
research measuring station, synchrotron storage ring
BESSY II Berlin, HZB Helmholtz Centre Berlin, 5-axis
the low energy neutrons are the last to do so.
This is to say that the energy and wavelength of
each neutron can be determined from the time of
flight t between detector and target. In this case,
the strain can be obtained based on e = Dt/
t. Since the measurement resolution is accord-
ingly strongly dependent on the time of flight
measurement, advanced spallation sources pro-
vide a flight path [100 m. Rietveld refinement
has become an established method for deducing
a lattice plane distance from an intensity profile
fit measured using the TOF method [64, 65].
More physical background and potential influ-
encing variables can be found in the work of
Withers et al. [48, 66].
Continuous neutron sources usually represent
worthwhile tools for residual stress determina-
tion when the interest is focused on small areas
of the diffraction spectrum (e.g., single peaks
for macro residual stresses), whereas TOF
T. Kannengiesser and K.-P. Grunder
positioning unit (detail: positioning unit for components
of up to 30 kg) [78]
measurements are advantageous specifically for
detecting the overall diffraction spectrum with a
multitude of diffraction peaks (e.g., multiphase
materials with anticipated large residual strains).
5.3.3 Stress Systems in Components
Constantly increasing demands are placed on the
reliability of engineering systems, whether it is
in the design of evermore sophisticated or eco-
nomically optimized structures, in risky repair
welds or in bridge building. In order to meet
these demands it is necessary to avoid hazards,
e.g., notches, or to quantitatively assess imper-
fections, e.g., stresses and residual stresses.
In order to assess the loading conditions in
supporting and joining structures it is convenient
to divide the macro-stresses into restraint stres-
ses and reaction stresses. Restraint stresses are
governed by local effects in weld areas resulting
5 Stress and Strain Determination 103

H C O Al Ti Fe Ni
1
6 8 13 22 26 28

2 12 16 23 46 54
58
47
55
neutrons 60
48
56
X-ray 49 61

57
50
62

64

Fig. 5.3.5 Relative diffracted scattering cross sections A for various elements and their isotopes [63]

from temporally and locally inhomogeneous

structure configuration
restraint (strain inhibition) or from material- plate configuration
specific phase transformation. Reaction stresses
weld configuration
are predominantly caused by global restraint
(strain inhibition) due to constructional weld-
ment design (design-specific stiffnesses). Quan-
titative detection of reaction forces and stresses,
respectively, is possible via the intensity of
restraint under defined restraint conditions [67 R Fy1 R Fy2 RFy3
76]. The intensity of restraint for transverse weld
direction corresponds to the quotient of the weld Fig. 5.3.6 Discretization approach relating to the
length related reaction force fy and the necessary restraint intensity concept for real welded structures [77]
shrinkage compensation Sy (Eq. 5.3.9).

fy impact on the welding residual stresses evolving

RFy tan H 5:3:9
Sy in the weld. The restraint intensity RFy2
describes the plate configuration and is charac-
Based on this approach, further discretization
terized by the geometry the component mode to
with regard to improved component transfer-
be incorporated in the overall structure.
ability is made by taking account of the stiffness
The restraint intensity RFy3 represents the
conditions prevailing in the welded structure
structural configuration and is influenced by the
[77]. Figure 5.3.6 displays a subdivision of the
stiffness of the surrounding assembly groups.
total restraint intensity RFy,tot into three main
The total restraint intensity RFy,tot is composed
components.
of the partial sums as follows:
The restraint intensity RFy1 is locally related
to the weld configuration and is governed by the 1 1 1 1
weld edge geometry and by the associated weld 5:3:10
RFy tot RFy ;1 RFy ;2 RFy ;3
stiffness. It accordingly has a design-specific
104
Table 5.3.3 Stress systems in a welded structure [4144]
Restraint stresses
Direct residual stresses
[(local restraint (strain inhibition)]
Cause:
Inhomogeneous changes in weld volume and adjacent base
material volume
Influenced area:
Weld area and weld surrounding
Create an equilibrium system in the welded overall component
Related to the component:
Residual stresses rE (after temperature compensation in the component and cooling down to ambient temperature)
Table 5.3.3 gives an overview of the complex
interactions between restraint stresses and reac-
tion stresses in a component.
Restraint stresses and reaction stresses create
an equilibrium system in a welded structure. The
residual stress state in a component is basically
influenced by the interaction of mechanical,
thermal, and material-specific factors as depic-
ted schematically in Fig. 5.3.7.
Transferability uncertainties of small speci-
men test results partly require increased safety
factors when applying such results as a calcu-
lation basis for supporting structures. Such
requirement imposes strong limitations on
advanced lightweight construction methods
without actually increasing the structure reli-
ability. Stressstrain analyses in close to reality
component tests under realistic restraint condi-
tions open up the possibility of practice linked
Fig. 5.3.7 Variables
influencing the structural
load of a construction
following [80]
shrinkage
restraint
thermal
cooling time
T. Kannengiesser and K.-P. Grunder
Reaction stresses
Indirect residual stresses
[(global restraint (strain inhibition)]
Supporting effects/Fixture reaction force
by restrained shrinkage
Larger component volumes and cross-sectional
areas, respectively
investigation of the relationships between the
above-mentioned globally acting reaction stres-
ses and the locally acting restraint stresses.
However, investigations of large components
with complex stiffening elements require larger
testing facilities. Experimental strain and stress
measurement of structures under realistic
restraint conditions is therefore of particular
importance.
Large-scale testing facilities are necessary to
determine the real component and material
behavior under quasi-static uniaxial or multiax-
ial loading. Figure 5.3.8 shows such large-scale
testing facilities at BAM Federal Institute for
Materials Research and Testing, in which
instrumented component tests can be realized
under defined restraint intensities.
One type of those large-scale testing facilities
represents a 3D loading and measuring system.
mechanical
restraint intensity
material strength
toughness
transformation plasticity
structural load
of a welded construction
metallurgica
phase transformation temperature filler material
5 Stress and Strain Determination 105

It was designed for quasi-static loading and
serves the purpose of simulating complex con-
ditions at components and component-relevant
specimens close to reality with direct involve-
ment of welding processes. The testing system
consists of a testing machine equipped with a
servohydraulic closed loop control system. The
stationary frame is assembled of piston rods of
which the ends are clamped force-locking and
form-fit into the two outer supporting rings.
Freely movable testing tables are mounted to the
piston rods on their right and left side. The
servohydraulic system permits the path and
force to be changed completely separately by
taking into account the purely geometric
boundary conditions. The closed loop control
performance can also be separately optimized
for each cylinder. The independent control
allows it not only to impose and register strains
and stresses, respectively, on large specimens
during a fabrication process, as for example in a
conventional universal testing machine, but also
to analyze the arising reaction moments. This is
a decisive advantage of such large-scale testing
facilities.
Testing is possible in the operation modes
closed loop position control or closed loop
force control. In the position control mode the
distances between the outer supporting rings and
the testing tables are determined via path sensors
and adjusted according to the target specifica-
tion. The path sensors are located beside the
piston rods. The component specimen is usually
fixed centrically in the T-groove fields of the

Fig. 5.3.8 Large-scale testing facilities for component testing at BAM Federal institute for materials research and
testing; left max. test force 16 MN, right max. test force 2 MN

Fig. 5.3.9 Examples of component tests in the large-scale testing facility; left welding fabrication of an intricate
structure, right local strain gage application at a pipe segment
106
testing tables via variable clamping devices.
During testing, the piston rods undergo an elastic
change in length in response to the acting forces
or moments. These values serve to determine the
reaction forces. Position control is applied, for
example, in thermomechanic loading simulation
(component welding) under defined restraint.
During welding, the specimens can be
subjected to different restraint intensities
adjusted via the servohydraulic control systems
of the left and of the right side testing table in
the large-scale testing facility. The reaction
forces and moments are online recorded. Strain
gages can additionally be applied to the spec-
imens in order to determine also local defor-
mations on the component specimen
(Fig. 5.3.9).
The arising residual stress distributions are
determined via mobile residual stress measure-
ment systems (X-ray diffractometry, incremental
hole-drilling method) as a function of the
material, of the welding parameters and of dif-
ferent stiffness conditions.
Figure 5.3.9 exemplarily shows a component
specimen under defined restraint. Component
tests are time-consuming and costly, however,
successful investigations methods, e.g., for crack
resistance assessment of modern steel structures,
since owing to the adjusted specimen geometries
and clamping forces they are capable of
revealing the thermomechanical effects during
fabrication and service close to reality.
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 Modal Analysis
Werner Rucker
6

The numerical modal analysis constitutes a

methodology for the examination of the dynamic
6.1 Scope of Modal Analysis
behaviour of structures, systems and buildings.
Dynamically loaded structures have to be
The mechanical characteristics of structural sys-
designed so that the excitation frequencies do
tems are described by the parameters frequen-
not overlap with their natural frequencies.
cies, damping values and vibration modes. The
Therefore, it is of outstanding importance to
knowledge of these modal parameters facilitates
understand and to visualise the modal parame-
to interpret the vibration of a system on the basis
ters of different structural types in the design
of measurements. Furthermore, these parameters
process which also helps to identify weak
can be used to formulate requirements for retro-
structural areas. The knowledge of the modal
fitting and modifying the structural system.
damping is important as it often determines the
Modal data can be used for the following tasks:
service life of a structure. On the basis of the
Design verification, modification and
results of numerical modal analysis it can be
optimisation
decided whether a numerical modal analysis
Prototype development
model complies with the existing structure.
Improvement of numerical dynamic models
A damage assessment of dynamically loaded
Measures for vibration reduction
structures may be achieved by the determination
Verification of the refurbishment and retro-
of the natural frequencies, mode shapes and
fitting success of structures
modal damping. A possible necessary reduction
Condition monitoring and damage
of non-tolerable dynamic loading caused by, e.g.
identification.
changing operation conditions of production
This chapter describes the principles and
facilities is often only technically practicable
methods of modal analysis and presents exam-
after the knowledge of the modal parameters.
ples showing the application variety of numeri-
cal and analytical case studies.
6.2 Excitation of Structures
and Systems for Modal
Analysis

The appropriate methodology for the excitation

W. Rcker (&)
Bundesanstalt fr Materialforschung undprfung,
Unter den Eichen 87, 12205 Berlin, Germany
e-mail: werner.ruecker@bam.de
of structures and systems has to be chosen in
such a way that the required modal parameters
can be determined uniquely, precisely and

H. Czichos (ed.), Handbook of Technical Diagnostics, 109

DOI: 10.1007/978-3-642-25850-3_6,  Springer-Verlag Berlin Heidelberg 2013
110
Fig. 6.1 Comparison of
result of dynamic analysis
with impact and ambient
excitation of a reinforced
steel bridge for pedestrians
comprehensively. This leads to requirements for
the scale and for the frequency range as well as
for the spatial location and distribution of the
excitation on the structure. In general, ambient
excitations such as seismic activities, wind and
wave loading, traffic, operation excitations and
others or excitations such as an impact hammer,
drop weights and oscillator systems can be
applied for the excitation of structural systems.
The first step for the design of a modal analysis
is to define the frequency and mode shape
range of interest. Generally, these ranges are
W. Rucker
determined on the basis of a simplistic analytical
model or pre-measurements. Furthermore, the
degrees of freedom of interest are to be defined.
In general, it is sensible to use natural (ambient)
excitation sources as they have substantial ben-
efits in terms of costs because no excitation
systems are required. The disadvantage of an
ambient excitation might be the fact that the
excitation frequencies are not uniformly dis-
tributed in the frequency range of interest
(Fig. 6.1). Further, the excitation may contain
signals which have their origin in a surrounding
6 Modal Analysis
Fig. 6.2 Eccentric cable stayed 60 t cargo barge on the Vasco da Gama Bridge; release of the loading and the
corresponding signal [3]
production facility. Also, other effects can cause
a scatter in the modal parameters, such as dif-
ferent wind conditions for high rise buildings[4].
The possible excitation frequency range is of
importance for the application of excitation sys-
tems. For instance, the first natural frequency for
high rise buildings is usually below 1 Hz. For the
excitation of such a system a so-called jumping
excitation is sensible. A jumping excitation is
performed by a deflection of the structural system
(with a force applied by a cable) followed by a
sudden release. Examples of such an excitation
are depicted in Figs. 6.2 and 6.3.
For a frequency range of 4 to about 1,000 Hz
and more, shakers on the basis of servo hydraulic
and electro dynamic principles are available
(Figs. 6.4 and 6.5). In principle, any force time
series can be imposed with the mentioned shak-
ers on the structural system. The advantage of a
harmonic excitation is that the whole excitation
energy is concentrated in one frequency which
111
can lead to an optimal response noise ratio.
Furthermore, possible nonlinear structural effects
can be detected. Often, the very long time for
testing is a disadvantage for this excitation type.
For application of dynamic loading, a limited
noise signal which can excite in a short time
period a significant frequency range can also be
used. The limited size of the forces of this exci-
tation methodology can lead to several repetitions
of the measurements and necessitate averaging to
achieve a reasonable signal-noise ratio.
With relatively little technical effort, systems
and structures can be dynamically loaded using
so-called impulse excitation. It can be induced by
impact hammers, drop weights, cartridge igni-
tions or vehicle impacts as well as by starting or
braking manoeuvres. The performed force-time
series can be measured or used as initial forces for
additional free vibration tests to determine the
systems damping. Standard impact hammers
can be used for excitation of medium-sized
112
Fig. 6.3 Tegel Harbour Bridge: excitation due to cable
release with a ship
Fig. 6.4 Servo-hydraulic vibration exciter for excitation
of large civil structures, max dynamic load = 5 kN, f C
2.3 Hz
W. Rucker
Fig. 6.5 Electro dynamic vibration exciter on a
footbridge, max dynamic load = 1.5 kN, 4 B f B 1000 Hz
Fig. 6.6 Impulse hammer for excitation of civil struc-
tures, max dynamic load 22 kN, f B 750 Hz
bridges to a length of about 30 m (Fig. 6.6). They
feature an integrated load cell for simultaneous
measurement of the induced forces. Targeted and/
or synchronised hopping of humans (Fig. 6.7) can
either induce an impulse force or, by using a pulse
clock, can also induce a periodic excitation force
into the structure of examination.
For all the described excitation systems it is
important to consider that the additional mass or
interconnection to the structure will not change
the dynamic properties of the systems and
structures under investigation to a significant
amount.
6 Modal Analysis
Fig. 6.7 Excitation by hopping: people on the grand-
stand of the stadium Cologne-Mngerdorf
6.3 Applications
6.3.1 Modal Analysis of Bridges
For a prestressed concrete highway bridge in
Berlin (the Westend Bridge), shown in Fig. 6.8,
specific procedures for automated monitoring
and damage detection had to be developed and
tested. In a first step, an extensive experimental
modal analysis was carried out. The aim here
was to use the data for validation and improve-
ment of a numerical finite-element model in a
way that the structural behaviour of the numer-
ical model equals that of the real bridge. With
the aid of such validated numerical models of
real structures and utilising measured data ser-
ies, possible structural damage, its location, type
and quantity can be determined.
For performing modal analysis a measuring
grid with five measurement lines and a total of
245 measurement points was installed on the
bridge deck. Another 32 measuring points were
installed at the bridge columns. The used sensors
were velocity transducers and accelerometers of
the type Bruel and Kjaer 8306 (Fig. 6.9). For
113
excitation, an electro dynamic shaker of EMPA,
Dbendorf, Switzerland, was used (Fig. 6.4).
The location of the excitation was determined by
preliminary analysis in a way such that as many
vibration modes as possible could be excited
within the frequency range up to about 20 Hz.
For determination of the structures eigen-
frequencies and mode shapes the simultaneously
measured excitation and vibration responses of
the bridge were used to identify the transfer
functions. The relevant eigenfrequencies and
mode shapes were then derived from the transfer
functions utilising the so-called phase separation
procedure. Figure 6.10 shows some of the
experimentally determined mode shapes up to a
frequency of 11.56 Hz. In addition, an averaged
power density spectrum of a bridge measure-
ment point is shown.
The Kronprinzen-Bridge (Fig. 6.11) spans the
River Spree in Berlin-Centre and has a length of
75 m. The steel-tube construction with rigid
crossbeams carries an orthotropic steel deck.
For determining the bridges modal behaviour,
five measurement lines in longitudinal bridge
direction were installed on the deck, a total
measurement grid of 145 measurement points.
The behaviour of the bridge bearings were
recorded on 20 measurement points.
For the determination of the vibration
behaviour of the bridge, vibration velocity
transducers of type HS1 were used. The aim of
this investigation was to use a complete set of
the structures modal data for validation of a
numerical model of the structure to reality. With
the improved numerical model the assumptions
of the structural analysis were revised. Among
others, it included the assumptions regarding the
fatigue damage prognosis.
Figure 6.11 shows two characteristic mode
shapes of frequencies 8.42 and 10.31 Hz. The
upper mode shape is a superposition of bending
and torsion modes, in which the bridge bearings
are also involved. The lower eigenmode is a
superposition of bending modes of the longitu-
dinal and transverse beams, which induces plate
vibrations into the bridge.
The excitation of this vibration test was
induced by an impact hammer (Fig. 6.6).
114
Fig. 6.8 Highway bridge Westend in Berlin
Fig. 6.9 Sensors for dynamic analysis: vibration velocity transducers (Typ HS1) (left and right) and accelerometer
(left) with fastening elements, low frequency velocity sensor (right)
For comparison, an additional experimental
modal analysis was carried out under ambient
excitation
6.3.2 Dynamic Examination
of Machine Foundations
The aim of the dynamic examination of the
machine foundation shown in Fig. 6.12 was to
adjust the parameters of a numerical model to
realistic values. Therefore, numerically calcu-
lated and experimentally measured modal
parameters were compared. A major task was to
determine the modal damping values which result
amongst others from the air damped suspension of
the foundation. Mainly accelerometers were used
to capture the elastic mode shapes and the rigid
W. Rucker
body modes, which are also relevant for this
system. The excitation of the system was carried
out by hopping and ambient excitation. Because
no excitation forces can be measured for these two
excitation mechanisms, so-called output-only
methods [1] were used to determine the modal
values. In Fig. 6.12 the numerical model of the
foundation is shown as well as a relevant mode
shape which consists of two rigid body relaxation
vibrations superimposed with elastic deforma-
tions of the foundation sidewalls.
In the long-term monitoring of a prototype of
an offshore wind energy plant, the vibrations
were measured with accelerometers. Later, these
data were used for numerical modal analysis.
This was also to compare the experimental
modal parameters with numerical parameters
6 Modal Analysis
Fig. 6.10 Experimental eigenfrequencies and mode shapes (top) of the 250 m long Westend Bridge
determined during the structural design of the
construction. The construction and some rele-
vant mode shapes are given in Fig. 6.13. The
excitation of the construction resulted from wind
and operation. Using the so called peak-picking
method the modal data was determined from the
vibration responses of the construction. An
additional analysis applying the results of a
numerical modal analysis was done on the basis
of autoregressive models [2]. Only the compar-
ison to the numerical results allowed the inter-
pretation of the vibration modes inherent to the
dominant frequencies. Figure 6.13 represents the
first two bending mode shapes (indicated by 1
and 2B), and an operational vibration mode
(indicated by 3P) resulting from the blade
115
passage frequency. In addition, a further vibra-
tion mode of the structure (1RB) is shown which
is excited by the vibrations of the rotor blades in
their first natural frequency by the dynamic
coupling of the two plant components. Due to
the limited number of measuring points higher
vibration modes cannot be observed.
6.3.3 Safety of Roof Constructions
Figure 6.15 shows the result of an experimental
modal analysis of a football stadium in Braga,
Portugal (Fig. 6.14). The dynamic behaviour of
the roof construction which covers both tribunes
with a span width of 202 m and is connected
with cables was examined. To the roofs, which
116
Fig. 6.11 Bottom side of the bridge with orthotropic deck (top). Power density spectrum (left). Experimentally
determined mode shapes at natural frequencies fN = 10.31 and fM = 8.42 Hz of the Kronprinzenbrcke (right)
have partial length of 60 m, grids of measuring
points were attached, each with 15 points. The
possible vulnerability of the roof with respect to
resonance behaviour was to be examined by
using the results of the numerical modal analy-
sis. This kind of stress significantly influences
the fatigue strength and thus influences the life
cycle. In addition to the modal analysis, a
monitoring system was installed to examine the
influence of environmental factors on the modal
parameters. The influence of wind loads on the
damping of the roof was of high interest.
Ambient excitation was used for this
investigation.
The according vibration responses were ana-
lysed using different output-only methods [1]. In
Fig. 6.15 the determined natural frequencies and
W. Rucker
mode shapes are presented. Due to a frequency
resolution of 0.00488 Hz during the analysis,
approximately 12 natural frequencies and mode
shapes could be identified for frequencies
between 0 and 1.1 Hz. Modal damping for three
modes are shown as well in Fig. 6.15. The mean
value indicates a very small modal damping. As
a consequence, relatively large vibration ampli-
tudes at the corresponding operational excita-
tions have to be expected.
6.3.4 Stability of the Brandenburg
Gate
In 1998 it was planned to open the Brandenburg
Gate in Berlin (Figs. 6.16 and 6.17) to traffic
completely. By previous visual investigations a
6 Modal Analysis
Fig. 6.12 Machine foundation for rotors of gas turbines (bottom). Torsion mode at frequency 14.4 Hz (top)
number of cracks at the Brandenburg Gate and at
its surrounding gatehouses were detected.
Therefore, the loads due to traffic and other
excitations as well as the static and dynamic
structural behaviours of the gate should be
monitored continuously over a period of slightly
more than a year.
The planned measurements should first serve
as a basis of decision-making for the proposed
117
opening of the gate. They should also create the
basis for decisions to realise appropriate and
evident reorganisation measures of the Bran-
denburg Gate and its surrounding gatehouses.
The determination of suitable measuring points
should be based on the results of the investiga-
tions carried out at the construction as well as on
a global vibration analysis of the Brandenburg
Gate, including its annexes. As a result of the
118
Fig. 6.13 Natural vibration modes (red) and operational vibration modes (blue, green) of the wind energy plant
M5000_2
Fig. 6.14 Football stadium in Braga, Portugal [3]
analysis the other measuring points should be
determined at which the structural behaviour
will be observed over a long period. At the same
time the behaviour of the cracks should also be
determined depending on various impacts.
Due to traffic actions the dynamic loads cause
deformations of the entire structure with its cor-
responding stresses and strains. These stresses
and strains depend on the magnitude of vibration
amplitudes and on the local distributed curvatures
W. Rucker
of the vibration modes. The vibration modes will
have the highest amplitudes, if the excitation
frequencies of the aforementioned vibration
sources coincide with the natural frequencies of
the structure (resonance excitation). The results
of the modal analysis carried out are as follows:
The frequency range of the relevant measured
vibration amplitudes is between 1.4 B f B
25 Hz. The highest amplitudes of the traffic
excitation are focused in a frequency range
6 Modal Analysis 119

Fig. 6.15 Results of the experimental modal analysis for a stadium roof in Braga, Portugal: identified eigenmodes
(upper), associated distribution of the determined damping (lower) [3]

Fig. 6.16 Brandenburg Gate, built by Langhans from

1788 to 1791, a landmark of Berlin and Germany Fig. 6.17 A sketch of the design by architect Carl
Gotthard Langhans

between 7.3 B f B 12 Hz. The highest verti-

cal vibration amplitudes occur from the traffic The relevant natural frequencies of the struc-
excitation, while the horizontal motions are ture are in a range of 1.77 B f B 7.26 Hz,
mainly the result of the natural vibration where the first two mode shapes are depicted
behaviour. in Figs. 6.18 and 6.19.
120 W. Rucker

The above-mentioned natural frequencies are

f1 = 1,77 Hz in the direction to Reichstag mainly rigid body vibrations. Elastic natural
(rotation)
vibrations (shear, torsion and bending vibra-
f2 = 2,44 Hz in the direction to Unter den
(rotation) Linden tions) occur only at frequencies approximately
f3 = 3,17 Hz in the direction to Unter den above 7 Hz
Linden The motions of the mode shapes for the fre-
f4 = 7,26 Hz in the direction to Unter den quencies f1 und f2 are slightly damped
Linden (\1 %). This means that these vibration
modes can be excited by relative small
dynamic loads (e.g. by wind).
The dominant natural frequencies of the
buildings next to the gate (northern roof house
and columned hall) do not coincide with the
natural frequency of the gate and also not
among themselves. It is not expected that the
vibration modes of these frequencies are
synchronous with those of the adjacent
buildings, which will lead to greater stresses
and strains at the transition zone. Hence, the
buildings gate and gatehouses need to
be departed constructively.

Fig. 6.18 First mode shape at frequency 1.77 Hz References

1. Farrar, C.R., James III, G.H.: System identification

from ambient vibration measurements of a bridge.
J. Sound Vib. 205(1), 118 (1997)
2. Rcker, W., Fritzen, C.-P., et al.: IMO-WIND integral
system for monitoring and assessment of offshore
wind turbines. Joint Final Report on the Projects
InnoNet 16INO326 and -327, University of Siegen,
BAM, Jan 2010
3. Magalhes, F., Cunha, ., Caetano, E.: Installation of
a continuous dynamic monitoring system at Braga
Stadium suspended roof: initial results from automated
modal analysis. In: Proceedings EVACES09, Wro-
claw, Oct 2009
4. Brinker, R., Zhang, L., Andersen, P.: Modal identifi-
cation from ambient responses using frequency
domain decomposition. In: Proceedings of IMAC-
XVIII, International Modal Analysis Conference,
pp. 625630, San Antonio, Texas, USA (2000)

Fig. 6.19 Second mode shape at frequency 2.44 Hz

 Vibration Analysis: Methods
and Applications 7
J. Lyle Bagley

Abstract
In medical diagnostics, a medical doctor uses a stethoscope and other
instruments to reveal hidden anomalies that could cause health problems
later or to diagnose problems you already have. The same should be true
for complex industrial systems such as automobiles and high-pressure
multi-stage compressors. Fast Fourier transform vibration spectrum
analysis (FFT VSA) can be the stethoscope of the quality engineer to
ensure that a manufacturing system is in control and to predict or
diagnose problems in a particular device. The FFT VSA principles, while
currently applied to a limited array of industrial equipment, are applicable
to anything that shakes. This chapter introduces vibration theory, relevant
vocabulary, tools of analysis, and their applications in predictive and
diagnostic maintenance of complex machinery. It describes FFT VSA
methodology for manufacturing quality, predictive and diagnostic main-
tenance, which can lead to longer, healthier lives for industrial equipment,
ultimately enhancing cost, quality, and productivity.

This chapter introduces vibration theory, rele-

vant vocabulary, tools of analysis, and their
applications in predictive and diagnostic main-
tenance of complex machinery.
J. Lyle Bagley (&)
BAUER COMPRESSORS, 1328 Azalea Garden
Road, Norfolk, Virginia 23502-1944, USA
e-mail: yelgab@cox.net
7.1 Introduction
When your automobile makes a strange noise,
it is trying to tell you that something is wrong!
Such a statement has been exclaimed by more
than one backyard mechanic since the
dawning of the auto. A tool that emerges early in
most visits to the family doctor is the stetho-
scope, whether for diagnostic purposes or a
routine examination. I dont know whats
wrong with the air conditioner in the attic, but it
makes a loud clicking sound every time I turn it
on. All three of these scenarios deal with
vibrations that identify potential or existing
problems, and attention to each could avoid

H. Czichos (ed.), Handbook of Technical Diagnostics, 121

DOI: 10.1007/978-3-642-25850-3_7,  Springer-Verlag Berlin Heidelberg 2013
122
catastrophic failure. It follows that the converse
is also trueignoring abnormal vibrations may
result in severe consequences.
Vibration monitoring is certainly not new.
Aircraft and shipboard maintenance strategies
have long incorporated sensors to identify
changing or abnormal physical parameters such
as temperature, pressure, flow, and vibration.
However, a globally changing economy with
ever-increasing competition for market share has
spawned greater interest in minimizing mainte-
nance costs and maximizing reliability, particu-
larly for more complex, more expensive
equipment. Continuous technological advance-
ments such as vibration spectral analysis by fast
Fourier transform have facilitated such cost and
reliability enhancements. Maintenance philoso-
phy has evolved from run to failure, through
preventive maintenance to predictive mainte-
nance, which has emerged more recently as a
cost-effective means of performing maintenance
upon need instead of periodically.1 Like the
other topics addressed in this book, vibration
analysis can provide a great deal of information
about the condition of complex equipment
information which often cannot be gleaned by
another method. When used collaboratively with
other technologies such as thermal imaging,
maintenance can be optimized for highest reli-
ability at the lowest cost.
7.2 Typical Systems Which
Experience (Detrimental)
Vibrations
Whether we buy automobiles, railroad engines,
aircraft, shipboard subsystems, wind turbines,
compressors, lathes, or manufacturing equip-
ment, we generally want them to function reli-
ably, for a long time, and with as little vibration
as possible. Each of these systems contains
rotating parts, such as motor shafts, crankshafts,
1
Mobley, R.K.: An introduction to predictive mainte-
nance, pp. 25. Butterworth-Heinemann, New York
(2002)
J. Lyle Bagley
sheaves, wheels, propellers, fans, and rotors.
Systems that contain rotating parts are subject to
a variety of vibratory maladies:
imbalance
bent shafts
friction or binding
inadequate lubrication
defective bearings
defective/misadjusted drive belts
shaft or coupling misalignment
sheave misalignment
eccentricity of rotating parts
component looseness/wiggle
malfunctioning pistons/rods
worn/defective gear teeth
turbine/fan blade defects
Other examples of vibration sources include:
resonance
beats
cavitation2
leaks
electrical hum
It is not hard to visualize the deterioration of
a rotating system due to continuous wear or
percussion from an imbalanced condition. Fric-
tion generates heat, which leads to expansion
and tighter fit, which creates even more friction.
Performance of excessively vibrating equipment
can quickly spiral down to failure when unat-
tended. What defines excessive and how can
we assess the level of vibration? The answers
begin with measurement. We certainly need to
measure the amount of vibration in order to
reduce it and to assess the effectiveness of
vibration reduction methods.
The need for vibration measurement raises
several questions:
1. What is vibration?
2. What vibration parameters can be measured
and in what units? How are they related?
3. How can we determine how much vibration
is normal in our product?
2
Buscarello, R.T.: Practical solutions to machinery and
maintenance vibration problems, Ch. 6. Update interna-
tional, Lakewood, CO, 4th edn. (2002). http://www.
update-intl.com/VibrationBook.htm
7 Vibration Analysis: Methods and Applications
+2 cm positive peak position
equilibrium position 4 cm
-2 cm negative peak position
Fig. 7.1 Mass suspended by a spring attached to the
ceiling
4. What parts of the product are vibrating and
how much?
5. What do the vibration measurements mean
about the products condition and reliability?
6. How can we make our product better?
7. Why use spectral analysis as opposed to total
vibration?
The next section will define vibration, its
parameters, and some relevant vocabulary. The
remainder of this chapter addresses the other
questions.
7.3 Vibration Defined
ISO 2041:2009 defines vibration as mechanical
oscillations about an equilibrium point. The
oscillations may be periodic or random.3
Vibration may be forced (by periodic stimu-
lation) or resonant, which occurs at the natural
frequency of the vibrating object. A rotating
electric fan powered by a motor at a constant
speed is an example of forced vibration. A
vibrating guitar string and a ringing bell are
examples of resonance. We know, of course, that
the oscillation may be very simple in the form of a
sine wave such as the guitar string, or a complex
waveform consisting of many different frequen-
cies and different rates of damping like the sound
3
ISO 2041:2009 Mechanical vibration, shock and
condition monitoringvocabulary, 3rd edn. https://
cdb.iso.org/cdb/termentry!display.action?entry=211087&
language=1. Accessed 28 Aug. 2011
123
of a chair being dragged across the floor. Most
industrial vibrations of interest are complex and
consist of many frequencies and amplitudes, such
as the vibration found in a large, multistage
compressor. Reciprocating compressors contain
pistons, valves, prime movers (motors or
engines), filters, gages, servo systems, program-
mable logic controllers (PLCs), tubing, and a
multitude of fasteners and framework. These
components all vibrate at the compressor fre-
quency, the prime mover frequency, and the
resonant frequencies of belts, sheaves, gears, and
other components. They also vibrate at high
frequencies associated with high-speed air
movements, at frequency differences (beat
frequencies), sums, and harmonics.4 Several key
parameters of vibration used to describe vibration
are discussed in the next section.
7.4 Vibration Parameters, Units
and Relationships
Vibration of a mass can be described in terms of:
1. Frequency,
2. Displacement,
3. Velocity,
4. Acceleration,
5. Jerk.
The first defines how often the mass com-
pletes a cycle of vibration and the last four
define the amount or amplitude of the vibration.
Each of them is described below. The relation-
ships among these parameters are also provided.
7.4.1 Frequency
Frequency, f, refers to how often a recurring
event happens. For example, the frequency of
Aunt Matildas daily visits to the grocery store is
once per day. The frequency of the voltage
provided to a residence in parts of Europe is 50
cycles per second or Hertz (cps or Hz), or 60 Hz
in the United States. Similarly, vibration
frequency is expressed in cps, Hz, or revolutions
4
Mobley, R. op. cit. pp. 114117
124
per minute (rpm). The frequency range of
interest may be low (e.g., 0400 Hz) or high
(e.g., 020,000 Hz). We may be interested in a
very narrow band of frequencies (e.g., 0.25 Hz
windows) or broad bands (e.g., 5,000
15,000 Hz). The reciprocal of the frequency, 1/f,
is known as the period of oscillation, and is
expressed in seconds, milliseconds, or other
units of time. A signal with a frequency of
50 cps has a period of 1/50 cps = 0.02 s. Har-
monics of a fundamental frequency, f1, are
integral multiples of it. The vibrating guitar
string resonates at its fundamental frequency,
which is also the first harmonic. The second
harmonic is twice the fundamental frequency
(f2 = 2f1); likewise, the third harmonic is three
times the fundamental and so on.5
Frequency may also be expressed in terms of
radians per second, which is sometimes referred
to as angular frequency and is represented by
x the Greek letter, omega. A radian is the angle
within a circle subtended by an arc length on the
circumference that is equal to the length of the
radius of the circle. Since circumference of a
circle = 2p 9 its radius, there are 2p radians in
a circle, and since there are 360 in a complete
circle, it follows that
 
2p radians 360 and that one radian is approximately 57
7.4.2 Displacement
Picture a mass suspended motionlessly on a
spring as in Fig. 7.1 above. The system is at rest,
and is in equilibrium. If the mass is pulled
downward by a distance of 2 cm, stretching the
spring to a length that is 2 cm longer than its
length at equilibrium, it is said to be displaced
vertically by -2 cm. It has a negative peak
displacement of -2 cm. If the mass is then
released, the spring pulls it upward through its
original position at equilibrium and continues to
a positive peak displacement of about 2 cm
5
Sears, F W., Zemanski, M.W.: University Physics, 3rd
edn., p. 499 Addison-Wesley, Reading, MA (1964)
J. Lyle Bagley
above its equilibrium position. This peak dis-
placement, often referred to as Xpeak, is also
known as displacement amplitude. The mass
continues to oscillate about its equilibrium point
until friction gradually reduces its vertical
oscillation to zero and it comes to rest at its
original equilibrium position. This oscillation is
a type of resonant vibration at the natural fre-
quency of the system. If the vibration was
forced to a steady state condition, the peak
amplitude would not decrease but would con-
tinue at positive and negative 2 cm as the mass
was forced to oscillate between these two
extreme positions. The peak-to-peak displace-
ment, Xp-p, is the distance from the lowest to
the highest points in the cycle, or 4 cm. If the
displacement was plotted versus time, in the
time domain, it would form a sine wave, similar
in shape to the sine waves depicted graphically
later in this chapter.
Displacement can be quantified in any
dimensional unitsinches, cm, micrometers,
and others. Whatever units are used, the dis-
placement at any particular time is depicted as a
variable, x, and is described mathematically as
follows: 6
x Xpeak sinxt /
where:
x vibration frequency in radians/
second
x 2pf where: f = frequency in Hz
t time in seconds
/ phase expressed in radians,
often = 0
1 radian 1 cycle/(2p) = 360/(2p) = 57.114
Two other terms are relevant to the dis-
placement: average displacement, Xavg, and
root-mean-square (RMS) displacement, Xrms.
The average absolute value of displacement
during a complete cycle of sinusoidal vibration
with a 2 cm amplitude is expressed as:
6
Mobley, R. op. cit., pp. 125132
7 Vibration Analysis: Methods and Applications 125

Xavg 0:636 Xpeak 0:636 2:00 cm In torsional vibration, rotational or angular

1:27 cm velocity, x, is analogous to the linear velocity in
linear vibration. To continue the above analogy
The RMS displacement is given by: of the basket hanging on a rope, x is the rate of
change of angle, h, and may be quantified in
Xrms 0:707 Xpeak 0:707 2:00 cm
terms of degrees per second, revolutions per
1:414 cm
minute, or radians per second as in the equation
Very low-frequency vibration is often mea- above.
sured in terms of displacement; very high-fre-
quency vibration is typically measured in terms 7.4.4 Acceleration
of acceleration.
Vibration is not limited to linear movements The third term used to describe the amount of
and may be rotational (torsional) as in the case vibration is acceleration, a, which is the time
of a crankshaft, a motor shaft, or a wheel axle. rate of change of velocity. Expressed mathe-
Torsional vibration is an oscillatory twisting of matically, the acceleration is the second time
the shaft similar to a basket hanging on a rope derivative of displacement or the first time
from a tree limb. Starting from its rest position, derivative of velocity.8
if the basket is turned clockwise (CW) about the
dv d
axis of the rope and then released, it will rotate a xXpeak cosxt /
dt dt
counterclockwise (CCW) toward its original rest
x2 Xpeak sinxt /
position, and will continue past its rest position
until it slows to a stop. Then, it will return CW 4p2 f 2 Xpeak sin2pft / 4p2 f 2 x
through its rest position and continue to cycle
Note that the acceleration is proportional to
back and forth CW and CCW in decreasing
the negative of the displacement, x. This means
amplitudes until it returns to its original rest
that the acceleration is most negative when the
position. In torsional vibration, the angular dis-
displacement is most positive, and that the
placement, h, is analogous to linear displace-
acceleration is out of phase with the displace-
ment, x, and may be quantified in units of
ment by p radians or 180.
degrees or radians.
In torsional vibration, the rotational or
angular acceleration, a, is analogous to linear
7.4.3 Velocity
acceleration. In the example of the basket
hanging on a rope, the angular acceleration is the
The second term used to describe the amount of
rate of change of angular velocity, and can be
vibration is velocity, v, which is the time rate of
quantified in terms of radians per second
change of displacement. Expressed mathemati-
squared, degrees per second squared, or revolu-
cally, the velocity is the first time derivative of
tions per minute squared.
displacement expressed mathematically as
follows7:
7.4.5 Jerk
dx d  
v Xpeak sinxt / The fourth term used to describe the amount of
dt dt
xXpeak cosxt / vibration is jerk, j, which is the time rate of
2pf Xpeak cos2pf t / change of acceleration. Like velocity and
acceleration, jerk can derived to obtain

7 8
Ibid. Ibid.
126
Fig. 7.2 An overview of diagnostic maintenance by vibration analysis
j x3 Xpeak cosxt /
8p3 f 3 Xpeak cos2pft / 8p3 f 3 x 7.5
The frequency terms in the higher order time
derivatives are noteworthy. If a mass is vibrating
at two frequencies, f and 10f, with equal dis-
placement amplitudes, X1, the amplitudes of the
corresponding accelerations would differ by a
factor of 102 = 100. That is, the acceleration
amplitude of the signal with frequency, 10f,
would be 100 times the acceleration amplitude
of the signal with frequency, f. In the similar
manner, the jerk amplitude of the signal with
frequency, 10f, would be 1,000 times the jerk
amplitude of the signal with frequency, f.
In torsional vibration, the jerk is analogous to
linear jerk. It is the rate of change of angular
acceleration and can be quantified in terms of
radians per second cubed, degrees per second
cubed, or revolutions per minute cubed.
J. Lyle Bagley
Vibration Measurement
How is vibration measured? One method is the
human tympanic nerve and eardrumjust listen
and guess how much the subject of interest is
shaking. A more dependable instrument, how-
ever, is an accelerometer, which converts
mechanical vibration into an electrical signal
with associated circuitry and a readout device. A
general scheme for the vibration measurement
and analysis is shown in Fig. 7.2.
The accelerometer used to generate some of
the graphs below produces an output of 100 mv/
g of acceleration throughout the frequency ran-
ges of use. The accelerometer output can be
displayed in two domainstime and frequency.9
9
Ibid. pp. 118120
7 Vibration Analysis: Methods and Applications 127

Fig. 7.3 Sine waves 1 and sin(wt) 0.5 sin(p+2wt)

2
1.5

1.0

0.5

Amplitude
0.0

-0.5

-1.0

-1.5
0 0.4 0.8 1.2 1.6
Time (seconds)

Fig. 7.4 The sum of sine 1.5

waves 1 and 2
1.0
Y = sin(wt) ? 0.5
sin(p ? wt) 0.5
Amplitude

0.0
-0.5
-1.0
-1.5
-2.0
0.0 0.4 0.8 1.2 1.6
Time (seconds)

In the time domain, the X-axis is graduated in
units of time, while the Y-axis is graduated in
one of the units of vibration. In this domain, an
oscilloscope can be used to examine the wave-
form of the vibration, which might be a simple
sine wave or a complex waveform comprising
many waves. Two sine waves of different
amplitudes, frequencies, and phases are shown
in Fig. 7.3. The first has a peak amplitude of 1.0,
the second, a peak amplitude of 0.5. Units are
omitted. The two sine waves can be combined to
form a resultant waveform as shown in Fig. 7.4,
which is also in the time domain. The total
amount of vibration can be read numerically
with a vibration meter or indicator.
We can use a vibration spectrum analyzer to
observe the accelerometer output in the fre-
quency domain in terms of the amplitude at each
frequency. This method of depiction, shown in
Fig. 7.5, plots vibration waveform amplitude
versus frequency, and is sometimes called a
fast Fourier transform (FFT) of the wave-
form.10 Frequency in Fig. 7.5 is expressed in
radians per second. Vibration amplitude will be
described in detail later in this chapter. There are
two frequencies: 6.3 radians per second and 12.6
radians per second, with amplitudes of 1 and 0.5,
respectively. Amplitude units are omitted. The
FFT separates the waveform into its component
frequencies and depicts their amplitudes, in
terms of whatever units are desirable.
In a more complex vibrating system, the
waveforms and the FFTs become much more
complex. Two examples are shown in Figs. 7.6
and 7.7 at low frequency, 1400 Hz in incre-
ments of 0.25 Hz, of acceleration in g rms, with
a Hanning window. Figure 7.6 depicts the
10
Ibid. p. 167
128
Fig. 7.5 FFT plot of the
sum of sine waves 1 and 2
Waveform Amplitude
1.2
1
0.8
0.6
0.4
0.2
0
0 5
vibration at test point (TP) 17 in a three-stage
helium compressor after initial design. The
0.54 g peak appearing at 121.75 Hz was con-
sidered excessive and unsatisfactory. The com-
pressor operating frequency was 15.28 Hz and
the excessive peak appeared very close to its
eighth harmonic at 121.75 Hz. Some harmonics
of the compressor frequency appear in the plot at
15.28 Hz intervals, as well as other frequency
data for valves, bearings, sheaves, resonance,
sums and differences of frequencies forming
ghost frequencies.11 This FFT constitutes an
anomalous vibration signature for this type of
compressor at TP17, requiring substantial
reduction of the vibration peak at 121.75 Hz. By
isolating parts of the compressor system frame-
work from each other and reinforcing the
structure, the resonant frequency was increased
and moved away from the harmonic of the
compressor frequency. This greatly reduced the
vibration at 121.75 Hz. However, excessive
vibration had also been found near the motor and
its mount, and the belt tension strained the motor
mount to the extent that the belt rubbed the
frame near it. Reinforcement and realignment of
the motor mount and sheaves reduced vibration
to the levels recorded in Fig. 7.7. The format of
the FFTs of Figs. 7.6 and 7.7 are typical to
thousands of such graphs used for predictive and
diagnostic maintenance. The next section intro-
duces some terms and equipment employed in
vibration data collection and analysis.
11
Ibid. p. 294
J. Lyle Bagley
Amplitude vs.
10 15 20 25 30 35 40 45 50
Frequency, radians per second
7.6 Instrumentation
and Measurement Procedure
Vibration can be measured by a variety of
devices suitable for specific applications and
parameters to be measured. The accelerometer
was introduced earlier in this chapter; acceler-
ometers are often made of piezoelectric material.
Piezoelectricity is the electrical charge which
accumulates in certain solid piezoelectric mate-
rials in response to applied mechanical stress.
The accelerometer can be designed to produce a
voltage output which is closely proportional to
the acceleration to which it is subjected; the
amount of voltage per unit of acceleration is its
sensitivity, which may be quantified in terms of
millivolts per meter per second squared or mil-
livolts per g of acceleration. Here, g is the
equivalent of the acceleration due to the Earths
gravity, which is about 9.8 m per second
squared (32 feet per second squared). The
accelerometer sensitivity is calibrated over the
useful frequency range of the device and is
relatively constant or flat throughout this
range. At higher frequencies, the sensitivity or
frequency response decreases or drops off.
For example, an accelerometer may have a
sensitivity of 100 millivolts/g (mv/g) from 1 Hz
to 10,000 Hz, but at 15,000 Hz it may be only
30 mv/g.
Velocity pickups generate a voltage output
which is proportional to the velocity to which
the pickup is subjected. They typically contain a
coil and magnet which move with respect to
each other in response to vibratory motion of the
7 Vibration Analysis: Methods and Applications 129

Fig. 7.6 TP17 Accel, g 0.6

rms BEFORE redesign and
adjustment 0.5

Accel, g rms
0.4

0.3

0.2

0.1

0.0

110
132
154
176
198
220
242
264
286
308
330
352
374
396
22
44
66
88
0 Frequency, Hz

Fig. 7.7 TP17 Accel, g 0.6

rms AFTER redesign and
adjustment 0.5
Accel, g rms

0.4

0.3

0.2

0.1

0.0
110
132
154
176
198
220
242
264
286
308
330
352
374
396
22
44
66
88
0

Frequency, Hz

housing. Velocity pickups can have sensitivities
around 200 mv/(cm/sec), which is about
500 mv/(in/sec), with a frequency response
between 10 and 1,000 Hz.12
Linear displacement may be measured with a
variety of devices. One example is a microscope.
If a well-defined dot on a vibrating mass is
observed with a microscope containing an opti-
cal scale, the amount it moves can be measured
quite accurately. At fast speeds, the dot appears
to be a solid line, the length of which is peak-to-
peak amplitude. Slowly vibrating objects can
also be measured optically. A mechanical scale
or a translational stage with a micrometer can
also be used to measure linear displacement.
12
Reliability Direct. Field application note: velocity
transducer installation. http://www.reliabilitydirect.com/
appnotes/velocity.html. Accessed 8 Sep. 2011
Vibration meters can be used with sensors to
display the total measured vibration in units of
displacement, velocity, acceleration, and fre-
quency. Displayed values may be set to apply to a
broad band of frequencies or narrow windows of
frequencies. Vibration spectrum analyzers, as
described previously in this chapter, can graphi-
cally display both the time domain and the fre-
quency domain at very narrow frequency windows
simultaneously across the entire frequency range
as FFT, like those depicted in Figs. 7.5, 7.6, and
7.7. These devices typically utilize special soft-
ware for selecting operating characteristics, for
data accumulation, for data analysis, and for dis-
playing results. Software which is compatible with
common spreadsheet and database software is
particularly useful and offers versatility in data
analysis, storage, and display.
Windowing is used to prevent a phenom-
enon known as leakage. Digital sampling is
performed during discrete blocks of time. If each
130 J. Lyle Bagley

Fig. 7.8 Sewing machine TP01 TP02 TP03 UCL

and motor vibration FFT 0.5

Acceleration (m/sec2)
0.4

0.3

0.2

0.1

0
11 12 13 14 15 16 17 18 19 20 21
Frequency (hz)

block of time is not an integral multiple of the

period of the monitored signal, leakage occurs,
causing the bottom of the peak to broaden in the
frequency domain. This effect can be reduced by
lowering the sensitivity of the detector during
the beginning and ending of the block of time,
favoring the data in the center of the block of
time. The most commonly used window for
monitoring vibration in machines is a Hanning
window. A uniform or rectangular window does
not lower the sensitivity of the detector at the
beginning and end of the window and produces
the maximum amount of leakage.13 There are
several other types of windows for various
applications (e.g. Hamming, Flattop, Blackman,
and Bartlett).
Aliasing occurs when high-frequency sig-
nals form false peaks in the frequency domain.
To prevent aliasing, the amplitude of a signal
must be measured more than twice per cycle of
the highest frequency to be analyzed. This is
known as the Nyquist criterion. For example,
to be able to identify a signal with frequency of
20,000 Hz, it must be sampled at a rate greater
than 40,000 Hz. The second method of pre-
venting aliasing, used with the first, is to limit
the frequencies that can enter the analyzer with a
low-pass filter.14
7.7 Data Collection and Analysis
Vibration spectrum analysis (VSA) can provide
a great deal of information about the condition
of equipment from the most complex systems to
a simple one-piece component. Such informa-
tion is the basis for condition-based predictive
maintenance, whether it comprises a complex
FFT with multiple frequencies from forced
vibration, resonance, sums, differences, and
ghosts, or a single resonance frequency with a
few harmonics. Tiny defects in a piece of metal
can change its resonant frequency spectrum
enough to differentiate between an acceptable
component and a reject. Baseline FFT data from
large, complex systems such as multistage
compressors have been used not only to detect a
mechanical anomaly, but also to identify its
location and probable cause,15 as illustrated in
Figs. 7.6, 7.7, and 7.8. Several key issues in
successful data collection and analysis include:
1. identification of the goals of the
measurements;
2. selecting the optimal TPs;
3. using the correct equipment and
configuration;
4. consistency in methods;
5. using sound statistical process control (SPC);
6. proper interpretation of results;

15
Bagley, J.L., FFT Vibration spectrum analysis for
13
Wowk, V.: Machinery Vibration Measurement and manufacturing quality and maintenance. In: Proceedings
Analysis. McGraw Hill, Boston pp. 99103 (1991) of the 2009 national conference of standards laboratories
14
Ibid. pp. 93100 international, Boulder, CO (2009)
7 Vibration Analysis: Methods and Applications
7. specification of action to take on specific data
trends.
7.7.1 General Goals of the Analysis
(the Why)
VSA can be employed to obtain a variety of
benefits. The analyst may select any or all of
these benefits as goals, but it is wise to document
the goals for review and assessment of actions
and plans to ensure that every effort produces
movement toward a goal. VSA can generate an
extraordinary quantity of data but there is no
point in accumulating and storing data if they
have no use. Some broad goals of VSA and FFT
in a predictive maintenance program at a com-
pressor manufacturer include:
Manufacturing process control: to assess the
extent to which the manufacturing process
remains in control using baseline data to
compute standard deviations, upper control
limits, and trends;
Service: to provide a diagnostic tool for
troubleshooting and predictive maintenance;
Added value: to add value to product lines
with optimized reliability;
Expansion of product lines: to explore the
addition of vibration sensors and ancillary
components to products so that problems can
be detected in the field either by the customer
or by remote sensing and transmission of
failure data to the manufacturer.
7.7.2 Specific Goals: the Use of Failure
Modes and Effects Analysis
(FMEAthe What)
Failure modes and effects analysis (FMEA) is
specifically addressed elsewhere in this book
and will not be covered in depth here. Instead,
the application of FMEA to vibration analysis
will be briefly described. Fundamentally, FMEA
is a systematized technique which identifies and
16
Somanchi, L.: Quality glossary: the quality portal.
http://thequalityportal.com/glossary/f.htm. Accessed 8
Sep 2011 (2007)
131
ranks the potential failure modes of a design or
manufacturing process in order to prioritize
improvement actions.16 The key FMEA steps
used to design and develop a vibration spectral
analysis program at a major compressor manu-
facturer in the United States were:
1. Identify principal causes of product problems
a. Assess and rank the frequency of occur-
rence of each problem identified with a
number, O, from 1 to 10 with 10 being the
most frequent, 1 being the least frequent.
b. Assess and rank the severity, of each
problem with a number, S, from 1 to 10,
with 10 being the most severe, 1 being the
least.
c. Assess and rank the effectiveness of using
vibration analysis to detect the cause of
each problem with a number, D, from 1 to
10.
2. For each problem cause, compute the product
of the three ratings, OSD, and rank the
problems from highest to lowest products.
3. Select the best candidates for predictive
maintenance by vibration analysis, those with
the highest products, and eliminate any with a
low value in at least one ratingO, S, or D.
7.7.3 Taguchi Design of Experiments
with FMEA
In many cases, extensive data must be taken
before the values of O, S, and D can be assessed.
The quantity of data and time required can be
minimized by carefully designing the test
methods with such techniques as Taguchi design
of experiments (DOE). Taguchi DOE was used,
for example, at a major compressor manufac-
turer to evaluate vibration spectral analysis as a
means of identifying leaks in compressors.
FMEA had already shown that leaks, rather than
component failures, are more likely to cause a
problem during final testing. Although easy to
remediate, a leaky system does not perform well.
Therefore, occurrence, O, and severity, S, were
rated highly. Taguchi DOE was used to com-
plete the evaluation in a fraction of the amount
of time that would have been required using
other experimental means. Results demonstrated
132
that in this case leaks could more readily be
detected by means of other than vibration anal-
ysis.17 Details on Taguchi DOE are available in
the literature.18
7.7.4 Test Points (TPthe Where)
After setting realistic general goals of the
vibration analysis (why to do it), specific goals
of what to measure, optimal TPs must be iden-
tified (where to measure). If, for example, the
motor used to drive a particular system has
exhibited perfect reliability, it is possible that a
TP on the motor would constitute a waste of
time, in accordance with good FMEA practices.
On the other hand, if a particular component is
notorious for resonant vibration at the operating
frequency, the component is a likely candidate
for a TP. The conditions at the TPs, the goals of
the measurements, and the type of data expected
offer some guidance as to the type of equipment
to use.
7.7.5 Selecting and Using the Test
Equipment (the How)
It would be inappropriate to use a bathroom
scale to measure the amount of vanilla flavoring
to add to a cake recipe; likewise, the wise
selection of vibration test equipment will yield
the best results. Some specific considerations are
listed below:
1. The type of measurement system will
depend upon several characteristics of the
vibration of interest:
a. Frequency range: Some studies merely
require the total vibration at a broad
frequency range from a few Hz to
20 kHz. Another study may call for an
FFT with 0.25 Hz resolution. The
17
Bagley, J.L., Taguchi, fast Fourier transforms, and
vibration spectrum analysisthe next generation in
manufacturing metrology. In: Proceedings of the 2010
national conference of standards laboratories interna-
tional, Boulder, CO (2010)
18
Peace, G.S.: Taguchi methods, a hands-on approach,
Addison Wesley Publishing, Inc. Reading, MA (1993)
J. Lyle Bagley
required frequency response of the VSA
system must be defined.
b. The amplitude of the vibration: Large
amounts of vibration may destroy a very
sensitive sensor, where a robust sensor
designed for violent vibration may not be
sensitive enough to detect small
vibrations.
c. The desired unit of measurement: Some
low-frequency requirements may warrant
units of displacement in millimeters or
inches; low to midrange frequencies are
sometimes measured in velocity, and
broad band or high frequencies will
likely require an accelerometer with an
appropriate frequency response and
amplitude range. Linear and torsional
vibration use different units and typically
require different types of instrumenta-
tion. Torsional acceleration, for example,
may require a torsiometer with a means
to measure phase differences between
vibrations at opposite ends of a shaft.
2. System integration: Select sensors and
indicators to operate together as a system,
including the sensors voltage, current, and
circuit requirements.
3. Data logging or transfer: If data are to be
retained for subsequent analysis in a
spreadsheet (e.g., Microsoft EXCEL) or
database (e.g., Microsoft ACCESS), the
system must be compatible with the appro-
priate software. Adequate short- and long-
term storage capacity must be provided.
4. Alarms: If an alarm is required when the
vibration level exceeds a preset amount, the
system must be able to differentiate between
excessive and acceptable vibration and to
appropriately sound an alarm.
5. Type of sensor mount: If there are no fer-
rous metals on the component of interest,
then a magnetic sensor mount is probably
out of the question. It may be necessary to
use a different mounting mechanism such as
a stud mount or epoxy. With a magnet, if
accurate readings at higher frequencies
(above 2 kHz) are important, then particular
attention should be paid to the decrease in
7 Vibration Analysis: Methods and Applications 133

sensitivity above this frequency due to the Table 7.1 Representative tabulation of data
added mass of the magnet.19 Frequency Acceleration in m/s2
6. Temperature of the vibrating surface: Pie- Hz TP01 TP02 TP03 UCL
zoelectric accelerometers can be damaged 11 0.0121 0.0148 0.045 0.21
by excessive heata cooler location or a 12 0.0082 0.0112 0.035 0.2
high temperature accelerometer may be 13 0.0374 0.0064 0.033 0.25
required. 14 0.0106 0.0179 0.059 0.2
7. Sensor orientation: A single axis acceler- 15 0.2156 0.3014 0.064 0.4
ometer must be oriented in the same direc- 16 0.0135 0.0215 0.0098 0.2
tion each time it is used to maximize 17 0.059 0.0099 0.0048 0.22
precision and repeatability. The sensitive 18 0.0035 0.0041 0.02 0.2
axis is normally oriented to measure vibra- 19 0.0031 0.0021 0.0051 0.23
tion of greatest interest. 20 0.027 0.4880 0.2211 0.4
8. Medium in which the vibration is measured: 21 0.0024 0.0011 0.0068 0.2
Components used in an environment con- : : : : :
taining caustic gas or any kind of liquid may 399 0.015 0.0013 0.028 0.2
warrant special protection. 400 0.011 0.0008 0.021 0.2
9. Consistency of methods: Repeatable results
require consistent methodology. sensor ori-
entation, sensor mounting stability (no at 20 Hz. The acceleration at 11 frequencies,
rocking), mounting of the device monitored occurring at the three TPs, are listed in the table
for vibration, test equipment settings (win- and plotted in Fig. 7.8. The solid line on the
dow, resolution, overlap, sensor bias, exter- graph depicts the upper control limits (UCL) in
nal environment, device mounting, device this hypothetical case which would have been
operating settings, positions of ancillary derived from a great deal of baseline data in the
equipment and attachments, and other history of the device. The UCL contains peaks at
parameters must be as consistent as possible 15 and 20 Hz reflecting the vibrations caused
for best results each time data are taken. historically by the sewing machine and the
motor. Several facts can be observed from the
7.7.6 Depiction of Results table:
by Tabulation, Graphs, and SPC 1. The focus is on the data between 11 and
21 Hz for this example, which contain the
The large amount of data associated with operating frequencies of both the motor and
vibration analysis necessitates the most efficient the sewing machine.
methods of representation possible. Tables and 2. The four major acceleration peaks in the data
graphs can clearly and efficiently depict the and the two in the UCL are in bold print in
results. A representative method of tabulating the table. For example, the only peak at TP01
data is shown in Table 7.1, which depicts the is 0.2156 m/s2 and appears at 15 Hz, the
results of measuring the acceleration at three sewing machine frequency.
TPs on a fictitious device, from 1 to 400 Hz in 3. Only one peak occurs at TP03, at 20 Hz, the
increments of 1 Hz. The device, a low-speed motor frequency.
sewing machine, operates at 15 Hz and is driven 4. Two occur at TP02 at both the motor and
through a belt and sheaves by a motor operating sewing machine frequencies.
These points are plotted in the time domain in
the FFT of Fig. 7.8, just as it would appear on
19 the screen of a vibration spectrum analyzer. As
Peters, J.D.: CTC University. Online modules, Begin-
ner, p. 69, https://www.ctconline.com/__ctc_university. with the table, several facts can be noted from
aspx?one=0. Accessed 12 Oct (2009) the graph:
134 J. Lyle Bagley

1. Significantly higher vibration levels at the rn-1 data population standard deviation
sewing machine frequency, 15 Hz, occur at rn-1 small sample standard deviation, sn-120
TP01 and TP02 than at TP03.
Use of UCL can help to assess whether or not
2. At the motor frequency, 20 Hz, the higher
a manufacturing process is in control, that is,
peaks occur at TP02 and TP03.
whether or not it is subject to inexplicable
3. TP01 and TP03 have one high peak eachat
anomalies and variation. UCL can also facilitate
15 and 20 Hz, respectively.
the implementation of continuous process
4. High vibration levels appear at TP02 both at
improvement. Introduction of innovative ideas
15 and at 20 Hz where the level exceeds the
will likely affect process variation. As variation
UCL, implying that a more severe problem
is reduced, rn-1 decreases, thereby reducing the
exists at TP02 in both amplitude and fre-
UCL and demonstrating that the innovation was
quency breadth.
helpful. The UCL can be used to assess whether
5. A more subtle conclusion is that the vibration
or not a specific item conforms to expected
at TP01 is caused by the motor and can be
specifications. Values which exceed the UCL
eliminated by fixing the motor or isolating it
imply that anomalies exist and should be
from TP01.
resolved. As illustrated earlier in this chapter,
6. Likewise, the vibration at TP03 is caused by
the UCL can also be used in predictive and
the sewing machine, and can be alleviated by
diagnostic maintenance. The TP at which a
fixing the sewing machine or isolating it from
measured value exceeds its corresponding UCL
TP03.
becomes suspect as a candidate for a future
7. The vibration at TP02, however, comes from
failure. Early remediation can often prevent
both the motor and the sewing machine.
catastrophic failure and expensive repair.
This hypothetical example illustrates an
effective method of organizing, tabulating, and
graphically depicting data from which conclu-
7.8 Interpretation of Results
sions can quickly and easily be drawn. It also
Vibration Remediation
demonstrates the FFT diagnostic process on a
and Control
small scale using an FFT.
Identification of excessive vibration by compari-
7.7.7 UCL and SPC
son to UCL signals the need to take action, but
what action? The FFT can help to identify the
The previous section used UCL for diagnostics
location and potential causes of the vibration.
and alluded to its origin in a great deal of
Attention must be paid to the amplitude of
baseline data in the history of the device. The
vibration, its frequency distribution, and what is
UCL for a particular TP and frequency is
normal at each frequency. An abnormally high
determined statistically, typically defined as
amplitude at the fundamental frequency of rota-
three standard deviations above the average
tion of a rotor shaft, and at no other frequency, is
values for the TP at the specified frequency. A
commonly due to imbalance in the rotor. It may
baseline of data is collected for a particular
also imply an eccentric rotor. A bent shaft by
process which includes TPs like those depicted
contrast will produce abnormally high vibration at
in the fictitious example above. A sample size of
both the fundamental and the second harmonic.
at least 30 for each cell in the table is generally
Misalignment between the driving and driven
considered to provide a statistically sound UCL.
shafts in a rotating assembly will produce abnor-
The equation is as follows:
mally high vibration at the fundamental
UCL Xaverage 3rn1
20
where: McClave, J.T., Dietrich, F.H.: Statistics. Dellen
Publishing Co., San Francisco, 2nd edn., p. 31(1982)
7 Vibration Analysis: Methods and Applications 135

Table 7.2 Potential challenges and pitfalls in vibration spectral analysis

Challenge
Frequency response
Configuration specification
Repeatability
Reproducibility
Interpretation of data
Microprocessor memory and
storage
FFT VSA technological evolution
Education and training
Documentation of methods
Time and cost of a predictive
maintenance program
Description
Dependent upon sensor, indicator, software, and mounting system, which
poses the greatest challenge at frequencies above a few KHZ, if stud mounts
are unfeasible23
The configuration specification defines the settings of parameters during the
vibration scans. It includes maximum scan frequency, resolution or number of
discrete frequencies, filter window (hanning, uniform, etc.); identifying the
optimum combination of settings, design of experiments, and data analysis
requires a systematic approach
Consistency of results of successive measurements, using the same test
equipment, configuration, environmental conditions, operator, etc.; random
variation in coupling between the sensor and the vibrating surface produces
variation in frequency response and therefore impairs repeatability
The degree of consistency of results with different test equipment,
environmental conditions, operator, location, etc.; if data are to be analyzed
statistically to produce control charts, reproducibility is essential to their
validity and effectiveness
The best, most repeatable and reproducible data are of little value if they are
misinterpreted. Accurate correlation of data to assignable causes is essential to
diagnostic testing, to predictive maintenance, and to ensure that processes are
in contro
Full-range, high-resolution vibration signatures require considerable memory
and storage to analyze, display, and retain. One 6-min vibration route and its
automatic analysis can easily generate a file requiring several megabytes of
file space. One person can easily generate over one gigabyte of data per week,
requiring substantial temporary storage in the measurement system and
extensive long-term storage capacity as well
Frequent changes to test system or software configuration in the rapidly
changing state-of-the-art of FFT VSA technology. Such changes sometimes
change baseline data, which require extensive testing to re-establish at current
levels
Education of technical staff in the measurement process and basic vibration
theory is essential, including good laboratory practices and consistent
technique. Test technicians, like all metrologists, must be among the most
highly skilled and. knowledgeable personnel in the workforce, and current
training is essential to that end
Standardized, written procedures are essential to consistency in results and
process efficiency. They are also necessary for adequate training of
technicians
The huge quantity of data, its storage and analysis require significant time and
money to establish a successful quality program involving FFT and VSA.
These must be taken into account and top management commitment obtained
at project inception to avoid its termination at the arrival of the first
impediment

frequency, and at both the second and third har- rotating device is not possible here. However,
monic frequencies. A detailed description of fre- there are excellent resources on the subject to
quency distributions for every type of malady in a which the reader is referred.21 22

21
Girdnhar, P., Scheffer, C.: Practical Machinery Vibra-
tion Analysis and Predictive Maintenance, Ch. 5: 22
Wowk, V. op. cit., Ch 5 and 6
machinery fault diagnosis using vibration analysis, 23
Bagley, J.L op. cit (2009)
pp. 89133, Elsevier, Burlington, MA (2004)
136 J. Lyle Bagley

7.9 A Summary of Challenges several issues encountered by the author, in the

and Pitfalls measurement and control of vibration in large,
industrial equipment. Table 7.2
This chapter concludes with a table of potential
problems to be faced by the vibration analyst.
The list is hardly comprehensive but identifies
 Acoustic Emission
Jurgen Bohse
This chapter presents the principles and appli-
cations of AE analysis to detect microscale
symptoms and syndromes of faults and failures
in technical structures and systems.
8.1 Fundamentals of Acoustic
Emission
Acoustic emission (AE) analysis is based on the
detection of dynamic surface motion caused by
elastic stress waves [13]. Such waves are gener-
ated by the spontaneous, sudden release of elasti-
cally stored energy from micro- or macro-failure
during application of a static or dynamic stress.
Resulting AE waves are of burst (transient) type
with identifiable beginning and end, typically on a
timescale between microseconds and millisec-
onds. Depending on the geometry of structure,
acoustic energy is carried by volume waves, plate/
Lamb waves, and/or surface/Rayleigh waves.
Vibrations are mechanical oscillations about
an equilibrium point of complex systems or sim-
ple components as defined in ISO 2041:2009 (see
Chap. 7). In contrast, AEs are transient or contin-
uous elastic waves excited from micro-events
within a solid-state material (e.g., cyclic fatigue
cracking) or by the interaction of solidsolid media
J. Bohse (&)
BAMFederal Institute for Materials Research and
Testing, Berlin, Germany
e-mail: juergen.bohse@bam.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_8,  Springer-Verlag Berlin Heidelberg 2013
8
(e.g., impact, friction or wear) or solidfluid media
(e.g., leakage or cavitation). The typical frequency
range of crack detection is above 100 kHz.
Characteristics of the AE method are that it
is a passive detection method that monitors
the dynamic response of the material to the
applied load or environment,
allows detection of active sources and evolv-
ing degradation processes only, depending on
the material properties and structure geome-
tries, up to several meters in distance,
allows a global monitoring of the whole
structure and is capable of locating a growing
defect in the structure under test by the use of
a sufficient number of sensors and
offers a dynamic real-time monitoring of any
discontinuity that grows under the applied
adequate stress.
Sources of burst-type AE are crack growth,
break of corrosion products, erosion and cavi-
tation processes, phase transformations, impacts,
electric discharge, etc. Other sources, e.g., leaks
or rubbingyielding such high rates of AE that
single transient waves cannot be separated
generate apparently continuous AE.
8.2 Acoustic Emission
Measurement
AE is detected, e.g., from processes involving
local plastic deformation, friction, and rubbing,
or leakage (with turbulent flow of fluids only).
137
138
Microscopic AE source mechanisms can pro-
duce AE waves with a wide frequency range
near the source location. Generated elastic
waves propagate in all directions of the material
of structure or into ambient liquids. The waves
hitting the sensor, therefore, contain both infor-
mation about the internal behavior of the mate-
rial and geometric effects of structure.
On the propagation way from AE source to
sensor the modes and frequency contents of
waves are affected by
(a) plate thickness-dependent dispersion of
plate waves caused by different speeds of
various frequency components,
(b) wave attenuation determined by the geom-
etry and energy absorption of the material or
liquid (higher frequency components are
attenuated more quickly!) and
(c) reflections at material interfaces or geomet-
rical boundaries.
Wave energy that is transferred into adjacent
liquids excites pressure waves of very low
attenuation. If acoustic waves hit a piezoelectric
AE sensor (a resonant or wideband transducer)
that is attached to the surface of test object, the
wave motion at the surface on picometer to
nanometer scale is converted into an electric
signal by the piezo element. These signals are
processed by appropriate instrumentation to
detect, characterize, and locate the AE sources.
Typically, AE signals with a frequency range
from about a few kHz to MHz have been
recorded. The sensitivity of the AE sensor,
which depends on the mode and frequency
content of the stimulating wave at the sensor
position, is key issue for detection of AE signals
and source location.
Figure 8.1 schematically shows the principle
of AE measurement.
Sensors are fixed to the test object using an
acoustic couplant (e.g., oil, grease, or paste) and
held in place providing a constant coupling
pressure by a clamping device or an adhesive
bond. In special applications where the surface
of test object is hot or difficult to access, the AE
sensor is installed on an additional mounted
waveguide. Signal conditioning and processing
includes signal transmission, amplification,
J. Bohse
Fig. 8.1 Principle of AE measurement [2]. 1 growing
flaw, 2 surface waves, 3 preamplifier, 4 AE sensor, 5
signal out, 6 section view of the component (e.g. shell), 7
wave packet, 8 applied load inducing stress (e.g.
pressure)
filtering, and extraction of the AE signal fea-
tures. The frequency filtering shall be appropri-
ate for the sensor response. The preamplifier
converts the microvolt signal from the sensor
into a suitable low impedance volt signal for
transmission to the signal processing and anal-
ysis system over distances up to several hundred
meters, using suitable cables. The AE signal
processor provides frequency band filtering for
the rejection of noise, analog to digital conver-
sion, threshold controlled feature extraction, and
time-driven measurements in real-time. The AE
signal processor may acquire the waveform. The
AE signal processor normally provides the
power supply for the preamplifier and a method
for using AE sensors as a mechanical pulse
generator (e.g., for the automatic test of sensor
coupling and system verification).
In case of stationary test objects the amplified
and filtered signals are usually fed into the AE
measuring board by cable connection. In cases
where AE sensors are attached to rotating test
objects a slip rig using silver contacts for signal
transfer to the preamplifier is applied. The radio
telemetry is another possibility for transfer of
amplified signals to the data acquisition unit. An
AE hit is detected if the AE wave causes an
electric signal in the AE sensor whose amplitude
exceeds the selected detection threshold. As
8 Acoustic Emission 139

Fig. 8.2 Signals from transient AE (left) and continuous AE (right)

already mentioned, AE signals can be of tran- and spectrum of AE signals are strongly affected
sient or continuous type depending on the source by the AE sensors response. Most signal features
nature, see Fig. 8.2. depend on the selected measurement parameters,
The AE signals recorded by the data acqui- e.g., the detection threshold (Fig. 8.3a).
sition system are analyzed and reduced to a set There are different approximations for calcu-
of features. Essential features from transient AE lation of AE signal energy, most frequently it is
signals that are extracted and stored are, e.g., expressed in energy units (eu = 10E-14 V2s) or
arrival time at the sensor, maximum peak attoJoule (aJ = 10E-18 J = V2s/10 kohm).
amplitude (in dBAE = 20 log U1/U0 with If a transient recorder for storage of wave-
U1 = actual signal voltage at preamplifier input, forms (signals) is used, a real-time or post-test
and U0 = 1 lV = reference voltage for dB spectral analysis in the frequency domain (FFT:
scale of AE amplitudes), rise time, signal dura- fast Fourier transformation) of complete AE
tion, counts, and energy (Fig. 8.3a). burst signals can be performed to determine,
The recording and storage of complete AE e.g., mean frequency, peak/centroid frequency,
waveforms require an extensive microprocessor and partial powers in selected frequency seg-
memory and can generate files of several giga- ments of the signal (Fig. 8.3b) or frequency
bytes within a few minutes. Generally, waveform contents in the frequency-time domain of signals

(a) (b)
8 A Peak
V 0,06

4 t End V
Amplitude

Amplitude

0,04
Thr.
0

t Dur = t End - tArriv 0,02

-4 t Arriv

-8 0,00
-5 -5 -5 -5 s -5 0 200.000 400.000 600.000 Hz 800.000
2,0x10 3,0x10 4,0x10 5,0x10 6,0x10
Time Frequency

Fig. 8.3 Features of AE burst signals a waveform (Thr.: (partial powers from, e.g., hatched area 0350 kHz and
detection threshold, tA: arrival time, APeak: maximum non-hatched area 350800 kHz)
peak amplitude, tDur: signal duration) b power spectrum
140
(WT: wavelet transformation, STFFT: short-
time fast Fourier transformation) can be calcu-
lated. In an optimum way the frequency analysis
of AE signals requires the use of wideband AE
sensors with flat frequency response or at least
of AE sensors with sufficiently constant sensi-
tivity over a certain frequency range. For quan-
tifying of continuous AE following signal
features such as root mean square (RMS) value
and its coefficient of variation in V, average
signal level (AVG or ASL) in dBAE, Kurtosis
and skewness values of amplitude distribution,
crest factor, spectral fraction of signal ener-
gy * (RMS)2 in V2 or frequency contents in the
frequency-time domain of signal (WT, STFFT)
are analyzed. A set of external test parameters,
e.g., load, deformation, rotational speed, etc.,
can be recorded simultaneously and linked to the
data set of AE signal.
Location of AE sources generating burst
events is an important tool in AE data analysis
using location software implemented in the AE
equipment. There are several procedures of AE
source location based on arrival times, known
velocities of wave modes, and given sensor
positions:
(a) zone location by identifying the AE sensor
within an array that first records a specific
AE signal, i.e., the sensor with the earliest
arrival time,
(b) linear location on a line between two sensors
identifying the distance from each of the two
sensors and
(c) planar location procedure that requires an
array of at least three sensors.
The accuracy of AE source location is
affected by the wave mode(s) selected for loca-
tion, isotropic or anisotropic materials behavior,
and by the possibilities of wave propagation
along different paths in the structure, e.g., in
metallic wall or through liquid storage or
transport medium. Since plate waves exhibit
significant dispersion, an initially sharp pulse at
the origin spreads and changes shape consider-
ably as it propagates. Source location errors
occur when the threshold crossing is not on the
same phase points for the wave arrivals at the
sensors. A solution is to determine the arrival
J. Bohse
times based on extensional and flexural Lamb
wave modes and frequency components. Pro-
vided that complete waveforms were recorded,
specific algorithms of signal analysis try to
identify which wave mode actually generates the
first hit (modal AE of plate-like structures),
see e.g., [410]. Location of sources generating
continuous AE needs other algorithms based on,
e.g., discrimination of specific wave modes,
distance-dependent attenuation of AE amplitude
or cross-correlation within specific frequency
ranges [3].
Basic strategies of temporary or permanent
(online) AE condition/structural health moni-
toring (SHM) are (see also Table 8.1):
(a) Detection of transient elastic AE waves by
setting of a threshold above peak back-
ground noise
transient AE signals
hit (event) detection by threshold crossing
(determination of arrival time)
location of AE sources based on arrival times
determination of AE source characteristics
(parameter of transient signals)
(b) Recording of the complete AE waveforms
so-called waveform streamingindepen-
dently of a threshold value
continuous AE signals
application of filtering procedures for sep-
aration of signal parts from background
noise and true degradation mechanisms
location of AE sources based on wave mode
discrimination, attenuation, and correlation
techniques
determination of AE source characteristics
(parameter of continuous signals).
8.3 Evaluation and Severity
Grading of Burst-Type AE
Sources
The AE data from defects are normally acquired
while the component is being stressed applying
specific loading procedures or during in-service
condition monitoring. However, often back-
ground noise superposes useful signals. All pos-
sible noise sources in the frequency and amplitude
8 Acoustic Emission
Table 8.1 The comparison of threshold-based and waveform streaming approaches [104]
Threshold-based approach
Capabilities Limitations
Very well applied for In high noisy environments and
flaw detection, location, high hit-rate applications, the
and many other system saturates and loses data
applications
Not much memory
needed, real-time feature
extraction and fast
analysis
range of measurement, such as malfunctioning of
pumps or valves, movement of supports, rain, etc.,
must be minimized as much as possible since the
spurious signals from these events can mask the
AE signals emanating from the structure under
test. If this is not possible, such as in case of
monitoring of motors, rotating machines, or
structures, the AE measurement should be
restricted to time intervals or loading periods of
low extraneous noise level and/or using frequency
bandpass filtering of AE signals.
The AE methodology applied to structural
integrity monitoring considers the following
major steps of assessment [11]:
1. Nature of AE sources to distinguish between
primary sources of brittle fracture, micro- or
macro-cracks in contrast to secondary sour-
ces of friction or fretting, etc.
2. Evaluation tools such as the so-called Kaiser
effect [12] or Felicity effect [13, 14].
3. Location and clustering of sources to identify
areas of potential integrity loss.
4. Source characterization using combined AE
parameters, e.g., peak amplitude, duration, and
rise-time of burst signals give good insight into
the flaw types, but many other methods,
including the analysis of signal frequency,
waveform, and wave propagation and moment
tensor analysis as well, can be useful.
However, determining of the structural integ-
rity is attainable only with damage quantification
via other NDT methods and with the use of frac-
ture mechanics approach. Hold periods during
loading are a key aspect for evaluation of AE
results. For example, a non-decreasing AE activity
141
Waveform streaming approach
Capabilities Limitations
Complete waveforms with Memory and fast
no distortion due to data computer need for
acquisition (DAQ) setting very long duration
waveforms
Extracting vibration Time of arrival
information for rotating extraction can be
machinery cumbersome
or AE signals of high amplitudes during load holds
refer to unstable damage situation, e.g., critical
crack densities or critical stress intensities at crack
tips with high probability of fracture failure of the
structure or component. A spatial concentration of
AE sources within location clusters defined by
linear or planar location can indicate areas of
higher AE activity. The intensity of the AE signals
located in a cluster then provides information for
the assessment with respect to its severity. This,
however, requires procedures for the correction of
AE signal amplitudes for attenuation between
source and sensor position. AE data and results,
including source location, clustering, and intensity
analysis can be displayed and analyzed online
(during the test) and post-test as a function of time
or of external parameters, such as load.
Forms of AE trend analysis to evaluate the
damage stage of a structure over longer service
periods are the Historic Index H(t) at time t,
determined from a large amount of burst signals
to detect a change in slope in the cumulative burst
signal energy and the Severity value Sr using the
largest burst signal strength values for measuring
of structural damage [15, 16]. Intensity diagrams
from log (severity value) versus. log (historic
index) showing different intensity zones corre-
sponding to different degrees of damage.
A post-test analysis of stored waveform data
using filtering procedures, waveform analysis in
time and frequency domain, or pattern recogni-
tion techniques can improve source location and
discrimination of damage mechanisms, as well as
help in identification of AE signals generated by
extraneous noise sources. For severity grading of
142
the identified AE sources in metal pressure
equipments or flat bottomed storage tanks, e.g.,
categories based on its AE activity and AE
intensity according to standards [1719] are used.
Subsequent investigations by complementary
methods of non-destructive testing dependent on
source severity are requested in order to evaluate
the AE sources. The evaluation of the integrity of
fiber-reinforced polymer-matrix composites
(PMC) structures is based on specific criteria
using AE activity, AE intensity, Felicity ratio,
and/or location of AE events [2024].
8.4 Analysis of the Features
and Source Mechanisms
of Acoustic Emission
In the literature, different features and criteria
based on parameters of AE signals of continuous
type, but often superimposed with bursts, suited
for evaluation of faulty operating states of
rotating machines and structures, are discussed.
They can be summarized as follows:
AE activity features:
count rate of hits or events, periodical mea-
sured AE peaks, or number of AE signals
(* number of defects)
AE intensity features:
amplitude of burst signals  RMS value
(*crack size or step of crack growth)
RMS value (*defect severity)
counts (*friction)
envelope analysis (RMS) and logarithmic
presentation of squared RMS signal (URMS)2
spectral analysis of (URMS)2 (FFT; WT)
median frequency and signal parts of high
frequency
spectra of burst signals: AE of high frequency
(crack formation) or AE of low frequency
(impact pulse, e.g., a ball passes a bearing defect)
Kurtosis at individual frequency bands and
crest factor (sometimes of low informational
value)
parameter for grain wear: mean of RMS value
(URMS), coefficient of variation (VCRMS),
skewness (SRMS), Kurtosis (KRMS) and crest
factor (cf)
J. Bohse
Trend analysis:
ID value of continuous signals (normalized
integral difference = difference of the AE
signal of two consecutive strokes is integrated
and normalized to the current value, e.g.,
normalized energy difference between two
time intervals)
EI value of continuous signals (energy
index = square of the ratio of RMS of a part
of a signal to the RMS of the entire signal).
For the identification of mechanisms which
generate acoustic waves, different approaches exist:
(a) Use of conventional AE burst signal
parameters and its correlation:
Peak amplitude
Energy
Rise Time
Duration
Ring-down counts
(b) Advanced methods for classification and
identification of AE sources:
Frequency spectrum (FFT) analysis of sig-
nals: average/mean frequency, centroid
frequency, peak frequency, partial powers.
Correlation of signal energy versus fre-
quency feature.
Wave mode analysis (modal AE)/WT for
analysis of extensional and flexural Lamb
modes, see, e.g., [410].
Spectral frequency contents within different
wave types/modes: high frequency (HF) to
low frequency (LF) content ratio [25].
Statistical pattern recognition and related
artificial neuronal networks [3, 2628]
based on statistical feature extraction within
the time domain of burst or RMS signals;
STFFT analysis of time segments of AE
signals and correlation of energy spectral
density versus time of signal.
8.5 Technical Diagnostics Using AE
Methods: Application
Examples
The final sections of this chapter are aimed to
summarize fields of technical diagnostics using
AE analysis. In the ASNT Handbook [3] many
8 Acoustic Emission
details on fundamentals of acoustic emission
testing (AT), AE signal processing, location pro-
cedures, and applications of AT are provided. As a
highly sensitive, quasi non-destructive test
method, AE has been successfully applied to
materials characterization as well as the different
phases of product life such as materials and design
optimization, in-process monitoring, acceptance
tests, initial proof tests, requalification tests, and
in-service condition/SHM of components and
structures. It is applicable to detection of crack
propagation, cavitations erosion, corrosion,
leakage, wearing processes, electric discharges,
etc. The AE method is applied in different fields of
materials research for studying plastic deforma-
tion and micro-damage mechanisms to obtain a
better understanding of the strength and fracture
mechanics behavior of materials and to establish
the basis for optimization of materials structures
and morphologies. According to the scope of this
book, the examples in the following subsections
concentrate on applications of the AE technique
to technical structures and systems.
(Note that some of the technical objects
considered in this chapter as examples for the
application of AE techniques are also considered
in Chaps. 2228 of Part D of the handbook as
subjects for the application of further techniques
of technical diagnostics under the general view
of SHM and performance control.)
8.5.1 AE Techniques for In-Process
Monitoring
Since the 1960s, AE techniques for in-process
monitoring have been studied and implemented
with the aim of quality assurance and manu-
facturing of defect-free products. It concerns
the areas of materials processing, phase trans-
formation, welding processes, metals or
ceramics forming processes (e.g., rod extrusion,
forging, pressing, sintering, deep drawing,
chipless shaping), cooling down processes of
ceramic structures, cutting, and drilling opera-
tions, etc.
The main objective is detection of crack for-
mation in the product or manufacturing tools
themselves. Another actual field of application
143
studies is related to design optimization and
manufacturing quality control of high-pressure
gas storage vessels of type III (metal liner with
PMC wrapping) and type IV (polymer liner with
PMC wrapping) with work pressures up to 700
bars. For type III vessels the stress distribution
between liner and composite wrapping set by an
autofrettage processthat means the first over-
pressurization of new vessels at the end of the
production lineshall prevent the development of
fatigue cracks in the metal liner during long-term
pressure cycling. AE monitoring of autofrettage
processes of type III vessels (Fig. 8.4) and first
pressurization of type IV vessels have been done
to investigate the possibility of manufacturing
defect detection by changes in the unavoidable
micro-damage generation in the polymer matrix
of composite layers. Several artificial types of
defects in the PMC wrapping had been tested and
compared with the process of micro-damage
development at vessels without faults. The current
status of studies gives rise to optimism for intro-
duction of statistically based AE test procedure
during manufacturing or initial proof testing of
high-pressure composite vessels [29, 30].
8.5.2 AE Techniques for Structural
Health/Condition Monitoring
A number of applications of AT for initial proof
and requalification testing are standardized in
Europe (CEN), the United States (ASTM,
ASME, ASNT, and CARP), and Japan (JISC and
JSNDI). The standards are essentially related to
the structural integrity assessment of, e.g.,
metallic or composite pressure equipments (e.g.,
vessels or tanks for storage of pressurised gas),
pressure pipes, storage tanks (e.g., flat bottomed
oil storage tanks), and other plate-like or flat
panel PMC structures used in aerospace appli-
cations. Aims of AT applications are, e.g., to
detect cracks [3135], impact damages, delam-
inations, leaks [3638], or to evaluate states of
active corrosion [19, 3941]. It is important to
note that well-trained and certified technical staff
is necessary to design and perform AE tests and
to evaluate test results as well according to
standards in high quality.
144
Fig. 8.4 AE monitoring during the autofrettage process of type III vessels with and without manufacturing faults
For the task of condition monitoring of
technical objects, AE methods can be applied to
find, for example, degradation due to propagat-
ing defects and to identify the conditions that
cause it, like unpredictable stresses due to
abnormal plant operation or thermal stresses or
fatigue processes. The AE method gives early
warning and directs other NDT methods to the
problem area for damage quantification. The use
of waveguides allows AE monitoring also dur-
ing hot operation. But it should be noted that
amplitude losses of transient waves by wave-
guides occursminor loss of sensitivity
(\3 dB) if waveguides are welded and much
greater loss ([20 dB) if they are clamped. The
main drawback with the application of the AE
technique is that wave attenuation and reflec-
tions within a large and complex construction
severely change the AE signal before reaching
the sensor and make source detection and loca-
tion as well as signal classification and inter-
pretation difficult or even impossible. Therefore,
AE monitoring should be concentrated in critical
areas (hot spots) with high risk of failure by
fatigue crack propagation or other degradation
mechanisms. To achieve good source detect-
ability under high level of background noises,
especially in the case of machines or other
rotating structures, the AE sensors should be
located in a way that the source-sensor distance
is as short as possible and wave disturbance is
kept to a minimum.
J. Bohse
8.5.2.1 Concrete Structures
Concrete structures (bridges, dams etc.) in service
deteriorate due to heavy traffic loads, fatigue,
aging, chemical reactions and natural disasters,
and a number of the structures are going to reach
their service-life limit. Accordingly, diagnostic
inspections on the current state of deteriorated
structures have been carried out all over the world.
Also, AE has been extensively applied to concrete
structures as it is one of the techniques with the
potential to inspect large volumes with sensors
placed in strategic locations of the structure.
Many studies of structural elements in the labo-
ratory and on complete bridge structures have
been carried out.
Generally, two AE indices for qualification of
the damages of concrete structures became
apparent (Fig. 8.5) [42]:
(a) Load ratio = load at the onset of AE activity
in the subsequent loading relating to the
previous maximum load.
(b) Calm ratio = the number of cumulative AE
activity during the unloading relating to the
total AE activity during the whole cycle.
The load ratio (similar to the Felicity ratio in
PMC) can become larger than 1.0 in a health
structure. Due to damage accumulation, the ratio
decreases to below 1.0, generating AE counts at
lower loading levels than before. AE activity
during unloading is another indication of struc-
tural instability. In the case of the health struc-
ture, AE activity is seldom observed and the
8 Acoustic Emission
Heavy Intermediate
damage damage
Calm ratio
Intermediate Minor
damage damage
Load ratio
Fig. 8.5 Concrete damage qualification by the load ratio
and calm ratio
calm ratio is small. In heavily damaged struc-
tures, load ratio is below 1.0 and calm ratio is
large. The results achieved are going to be
standardized for the inspection and evaluation of
infrastructures in service. The recommended
practice by AE [43] prescribes one criterion to
assess the damage of reinforced concrete in
service.
For better evaluation of, e.g., the repair
effectiveness, a modification of load and calm
ratios based on the observed AE activity is
proposed [44]. Besides the parameters discussed
above, the analysis of gradient of cumulative
amplitude distribution (b-value) [45] and the so-
called improved b-value (Ib-value) [46] has the
potential for the assessment of degree of dam-
age. AE indices or parameters cannot be quan-
titatively correlated with the degree of damage
but they indicate parts of the structure that need
further and detailed investigations. For example
measurement of ultrasound wave velocity could
allow a more general evaluation of concrete
damage [47].
Also, other investigations demonstrate the
capabilities of AE as a diagnostic tool as part of
any bridge inspection monitoring program and
research activities for development of proce-
dures that can be used as an automatic warning
system against structural or structural element
failure/collapse [4851].
Figure 8.6 shows results of a BAM study of
the bond quality of carbon-fiber/epoxy (PMC)
145
lamellas for sustainable strengthening and repair
of concrete bridges. The fracture behavior of the
reinforced concrete beam and the debonding
process of two lamellas from the beam during 4-
point bending test were analyzed based on the AE
activity and intensity of AE events linear located
by different pairs of AE sensors along the lam-
ellas. Located AE events and sources with release
of high AE energy indicate critical beam zones of
particular high damage. AE events are caused by
crack propagation sources in the concrete beam
as well as damage and debonding micro-pro-
cesses of the PMC lamellas. Increasing AE
activity and energy release during the last steps of
high loading indicates impending macro-failure
that occurs by abrupt complete debonding of both
lamellas.
Other examples and information about new
developments in wireless sensing and AE array
techniques are described in [52].
8.5.2.2 Steel Bridges
AE is one of an ensemble of methods also for
steel bridge condition assessment [53, 54].
Detection of cracks in fracture-critical members
of steel bridges (Fig. 8.7) led to the deployment
of AE testing in combination with other NDE
methods. First-hit channel analysis, planar
location, and spatial/temporal clustering analysis
are used to determine whether the crack was
actively growing. Typically, the AE results are
validated by corroborating results from, e.g.,
ultrasonic testing and radiography.
8.5.2.3 Offshore Production Platforms
To date, AE monitoring applications on offshore
installations for oil and gas production have
usually been performed after a fatigue problem
has been suspected and generally after the
structure has been in service for some consid-
erable time [55, 56].
AE monitoring is concentrated on critical
areas (Fig. 8.8), e.g., welded node joints and is
conducted during extreme weather conditions of
winter periods, which is statistically representa-
tive of the full range of loading cycles (Fig. 8.9).
Both AE sensors and gauge length strain sensors
for monitoring are used.
146
Fig. 8.6 AE sensor configuration (top left) and AE
results last time interval of highest load levels is shown
only): bending load-time profile and rates of located AE
events (top right). Linear location of AE sources and
Of course, problems related to background
noise and the attenuation of sound in offshore
installations must be solved. It was found that
structure-borne noise at frequencies above
80 kHz, originating from mechanical (crack)
sources on the platform, was practically absent
J. Bohse
cluster with different AE energy versus time (bottom left)
and cumulated AE energy of located events versus load
(bottom right)
in the structure below the water line. In contrast,
water-borne noise from subsea sources was
significant. AE sensors are attached to the dry
inside surface of the structure and attenuation
falls between the in-water and in-air behavior.
As an online filtering method, a quite sharp two-
8 Acoustic Emission
Fig. 8.7 Local AE monitoring of known existing cracks in a steel bridge [54]
or three-dimensional delta T (difference between
arrival times) space clustering for resolving
crack growth AE in high background noise is
applied (Fig. 8.10).
This method of filtering relies on the wide-
band, repetitive character of the stress waves
produced during crack growth, and the repro-
ducibility of the burst signal characteristics
measured at each of the sensors in an array.
There is also a tendency for the crack growth
events to occur in rapid succession during a
period of crack extension with large signal-to-
noise ratio (burst signal amplitude to ASL),
which is a further useful feature for detection
purposes. Figure 8.11 shows the cumulative AE
burst count over the period of a storm, together
Fig. 8.8 Floating
production platform
showing location of subject
cracking [55]
147
with a strain parameter corresponding to the
stress range in the associated brace.
8.5.2.4 High Energy Piping Systems
The structural integrity of superheat and hot
reheat segments of high energy piping systems
has remained a major safety and operations
maintenance issue to prevent catastrophic fail-
ures. From extensive industrial full-scale tests
since 1986, it could be shown that AE technique
is sensitive for detection of creep cracking (e.g.,
by alignment and coalescence of creep cavities)
and characterizing in particular the early stage of
high temperature creep degradation which is
evidenced by the development of isolated cavi-
ties around inclusions in the grain boundaries.
148
Fig. 8.9 View of starboard aft column from just below
deck level during storm conditions [55]
Fig. 8.10 (2D) and (3D) delta T space location plots for
the propagating fatigue crack [55]
The majority of findings have been in seam-
welded elbows, bends, and hanger locations on
horizontal line segment and seamless bends as
J. Bohse
well. AE online monitoring, using waveguides
welded to the piping surface and a linear location
array along the length of piping is assessed as
more sensitive than UT (TOFD, focused/phased
arrays) and MT examinations and covers the
entire pipe circumference [57, 58].
8.5.2.5 Wind Turbine Blades
A further approach of AE in-service monitoring
lies in the field of location and characterization
of damage processes in wind turbine blades
made from polymer composite materials
(Fig. 8.12). This would require the development
of a low cost, flat, and low weight AE sensor
network that allows on-board processing of AE
data and could be mounted at the inner side or
integrated into the laminate structure of blades
during manufacturing process. The network
could be based on piezo-fiber or piezo-foil
sensors.
Intermittent monitoring during periods of
high loading would likely result in a valid
health check for the blade and could be con-
ducted with the turbine operating and/or using
the loading on the blade in high wind conditions
when the turbine has shut down. A broadband
radio transmission system could transmit the AE
data wireless from the rotating frame to the
ground [59, 60]. A general problem that has to
be solved is separation of AE signals from
damage processes and friction or environment-
(e.g., air flow) based noises.
8.5.2.6 Composite High-pressure
Vessels
Another field of application is high-pressure
composite vessels for storage and transport of
gases. There are three different types of vessels:
(a) type II/200 bars (metal liner with composite
wrapping in the cylindrical part) for com-
pressed natural gas (CNG),
(b) type III/300700 bars (metal liner with
complete composite wrapping) for CNG or
hydrogen,
(c) type IV/300700 bars (all-composite, fila-
ment wound GF, CF or hybrid fibre-epoxy
shell with a thermoplastic liner inside) for
compressed air or hydrogen.
8 Acoustic Emission
Fig. 8.11 History of AE
records and nominal stress
range in brace during storm
[55]
Fig. 8.12 AE sensors during operating tests of a wind turbine with root mounted radio transmitters (left) and
amplitude (by channel) versus time (right) [59]
Besides manufacturing control discussed in
Sect. 8.5.1, another topic of AE is in-service
inspection for the detection and location of
damaged areas in composite vessels during slow
pressurization and evaluation of its structural
integrity based on these data [13, 14, 6163].
As example a small type IV cylinder (CF-
epoxy shell) used for storage of compressed air
at 300 bars is shown. It could be demonstrated
that detection of heavy damages by impacts
and flaws (delamination) are still possible long
after damage initiation (Fig. 8.13).
149
High wave attenuation of composite structures
requires use of either high frequency AE sen-
sors (100300 kHz) to provide only local area
monitoring of high stress areas (0.40.7 m) or
low frequency AE sensors (3060 kHz) to
provide global coverage (0.92.0 m or greater
depending on the material). But lower frequen-
cies may result in the pickup of unwanted noise
sources. It is common to use two frequency
ranges simultaneously. Due to the anisotropic
behavior of composite structures the accuracy of
planar location algorithm is limited. In these
150
Fig. 8.13 Planar location of impact damage at type IV
vessel
cases procedure of zone location is helpful as
shown in Fig. 8.14.
Sensors (channel) 3 and 4 were attached
nearest to the location of damaged area and,
hence, detect most AE activity, also 5,000 pres-
sure cycles after impact damage which simulate a
service period of several years. From AE retesting
with hydraulic pressurization after 5,000 pressure
cycles a felicity ratio of 0.9 was obtained. This
value indicates significant damage and possibly
decreases of burst pressure. Also, high energy and
progressive activity of AE caused by rubbing or
friction processes of loosened damage areas dur-
ing complete depressurization of vessels can
indicate severe damage. R&D investigations
concerning the SHM of type III and type IV (700
Fig. 8.14 Zone location
of impact damage at type
IV vessel
J. Bohse
bars vessels for storage of hydrogen) for auto-
mobile application are in progress. Results indi-
cate a good chance for successful use of AE
monitoring (Fig. 8.15).
Cumulative AE energy of vessel (3) indicates
a drastic rise of damage from an early cycling
period which results in a significant shortening
of its lifetime. However, there is also the prob-
lem of how to separate AE signals from damage
accumulation and noises from friction processes
to get explicit information about the state of
damage. One approach is filtering of AE data
with respect to signals of high amplitude or
energy detected during period of high pressure
level or in cases of impact effects (Fig. 8.16).
8.5.2.7 Aircraft and Aerospace
Structures
Besides many other NDT methods, the potential
of AE techniques using permanently mounted
sensors for in-flight applications is also checked.
It refers both full-scale (global) SHM and fatigue
sensitive elements or local areas in primary air-
craft structures as well. However, this application
is yet under research. Another example concerns
AE monitoring for aerospace application. The
loss of the Space Shuttle Columbia as a result of
impact damage from foam debris during ascent
led NASA to develop and implement on-board
impact detection technologies (Fig. 8.17) [64].
8 Acoustic Emission 151

Fig. 8.15 Continuous AE

monitoring during pressure
cycling of type III
(700 bars) vessels

Fig. 8.16 AE
characteristic during time
segment of pressure
cycling (type III, 700 bars
vessel)

AE sensor responses were utilized to monitor velocities to simulated hypervelocity microme-

a wide variety of impact conditions on space teoroid and orbital debris impacts. The poten-
shuttle components ranging from insulating tial of AE monitoring of impact damage is
foam and ablator materials, and ice at ascent discussed.
152 J. Bohse

Fig. 8.17 Key

components of the Shuttle
wing leading edge impact
detection system [64]

8.5.2.8 Power Transformer AE results, however, can give more information,

R&D and verification of AE procedures for
testing and continuous monitoring of power
transformer to detect and locate partial dis-
charge(s)/arcing or gassing sources is being
conducted for the past 30 years. The use of AE
testing is to detect faults during operation,
especially transformer with identified faults
(Fig. 8.18). A routine monitoring of transformer
health is by oil sampling and the occurrence of
dissolved gases indicates a fault condition only.
e.g., under what conditions the fault is active and
where the fault is located (Fig. 8.19). In some
cases these details can keep the transformer
online long-term, could reduce repair time and
costs, or may help avoid a major failure [65, 66].
8.5.2.9 Mine Cavities and Underground
Repositories
AE long-term monitoring of salt mines with
potential as underground repositories for storage

Fig. 8.18 Remote

controlled continuous AE
monitoring of a Generator
Step Up (GSU)
Transformer [65]
8 Acoustic Emission 153

Fig. 8.19 AE detection of a winding fault (left) and location of a range-changer fault (right) [66]

of nuclear waste has been carried out. The aim
of AE measurements was to investigate the
micro- and macro-fracturing processes. The
results should give a contribution for the eval-
uation of the stability of cavities and the
hydraulic integrity of the salt rock by location of
concentrations (cluster) of AE events and
determination of their magnitudes by a network
of borehole sensors (Fig. 8.20) [67].
In order to get information about the source
mechanisms, the moment tensor analysis has
been applied. Most investigated AE signals were
caused by events from mixed-mode of shear and
tensile cracking [68].
8.5.2.10 Rotating Machines
and Structures: General Aspects
of AE Techniques Application
Most applications of AE technologies for con-
dition monitoring and diagnostics of rotating
machines (e.g., bearings, pumps, gearboxes,
engines, generators, turbines, compressors, and
machine tools), rotating structures (e.g., wind
blades, wheel-rail systems, wheel set axles, ship
propellers) or in-service corrosion and fatigue
monitoring of aircrafts or products for transport
(e.g., ships, road tank vehicles, rail tank-wagons)
of dangerous goods such as crude oil, acids,
bases, or pressurised gases, however, are still in

Room 9n Room 9s

Drift
Room 3
Room 2
20 m

Fig. 8.20 Perspective view of cavities and the main drift at two levels (Rooms 9n and 9s and Disposal Rooms 2 and
3). The black dots indicate the AE sensors in boreholes; the light dots represent the locations of 41.521 AE events [67]
154
Table 8.2 AE source mechanisms and types of resulting
signals
AE source mechanism AE signals
Fatigue crack growth Burst type
(transient)
Tool cracking (chipping, outbreak) Burst type
Cavitation Burst type
Collapse of bubbles Burst type
Impacts between rolling elements and Burst type
damaged bearing shell
Wearing Continuous
Rubbing of fracture surfaces Continuous
Erosion Continuous
Leakage Continuous
Abrasion of metal fragments Continuous
the stage of research and application studies, see
[69101]. Defects or damages which could be
detected by AE are, e.g., formation and propa-
gation of fatigue cracks, wearing, fretting, sur-
face pitting, cavitations, grooves, chatter marks,
flaking, and leakage (see also Table 8.2).
Sources of background noise generate AE
signals mostly consisting of a continuous noise
part superimposed with bursts could be:
strong electric noise (e.g., electro-magnetic
fields, switching of fluorescence lamps)
welding processes
hydraulic noise (turbulent streaming of fluids,
pumps, etc.)
mechanical noise (friction, rolling)
deformation due to thermal expansion.
The detectability of AE sources from defec-
tive operating condition is strongly influenced by
material and geometry of the structure
monitored:
strength, hardness, and brittleness of mate-
rialthe higher the better
size of defect or crackthe larger the better
detection thresholdthe lower the better
wave propagation and transition of waves
across the boundaries of machine compo-
nents cause losses of the wave amplitude by
reflection and attenuationAE sensor must
be attached as close as possible to the part
of structure to be monitored (e.g., AE is
non-sensitive to defects at internal rings)
J. Bohse
Operating parameters:
load level ? high friction force or addi-
tional bending moments are helpful; no
loading no AE!
rotation speed ? RMS value increases but
no defect detection at very high speeds due
to increasing background noise
lubrication conditions ? e.g., thickness of
lubricating film influences AE activity and
intensity; break or total lack of lubricating
film cause metalmetal contacts with
increased friction
temperature ? e.g., temperature of lubri-
cant influences AE activity and intensity.
8.5.2.11 Machine Elements: Train Axles,
Shafts, Gears
The demand for safer and faster surface trans-
portation such as railway imposes many chal-
lenges for the inspection of critical components
such as train axles and wheels. During an EU
project extensive AE measurements were per-
formed on various trains and trams to develop
novel methodologies and techniques for the
inspection of wheel sets [102]. The aim is to use
AE for online detection of defects on wheels
such as flats, bearing failures, and possibly sig-
nificant cracks (Fig. 8.21). AE sensors were
mounted on the rail in order to diagnose wheel
problems by monitoring the AE waves trans-
ferred through the rail in real-time and while the
vehicles were moving (Fig. 8.22).
In Fig. 8.23 results of AE detection of a
wheel defect is shown.
Fig. 8.21 Flat defect on a wheel created by emergency
breaking of the train [102]
8 Acoustic Emission
Fig. 8.22 A number of AE sensors are mounted on the rail [102]
Fig. 8.23 AE signals
from a wheel defect as
shown in Fig. 8.21 [102]
In running shafts and gear wheels, early
detection and location of cracks is possible by
acquisition and analysis of AE [103]. Due to
superpose with signals from other noise sources
the threshold-dependent analysis of the number
and intensity of AE events is not sufficient. One
155
solution is the recording of complete waveforms
and evaluation of the short-time excitations in
frequency domain using wavelet analysis. This
offers a higher resolution in time domain, espe-
cially for high frequent events compared with an
FFT. For the detection of gear defects by AE
156 J. Bohse

Fig. 8.24 Wavelets of AE

signals from a tooth crack
(bottom) compared with
reference condition (top)
[103]

Fig. 8.25 Wavelets of AE

signals from pitting
(bottom) compared with
reference condition (top)
[103]

Fig. 8.26 Extracting

gear-mesh frequency using
long duration AE
waveform a AE waveform,
b average signal level
(ASL), c ASL spectral
energy [104]
8 Acoustic Emission
analysis, the wave path should be as short as
possible to minimize interferences of AE signals
from faults by, e.g., ball bearings and other
machine parts. The crack initiation and crack
propagation at the root of a tooth shows early
changes in the wavelet plot, which are periodic
with rotational speed (Fig. 8.24). Propagating
pitting shows a different behavior (Fig. 8.25).
Both the different faults show a characteristic
development during the lifetime of a gear wheel.
The recording of complete, continuous
waveforms detected from AE sources indepen-
dently of threshold value (AE waveform
streaming) is more appropriate for some specific
applications [104]. In this chapter, the applica-
tion of waveform streaming is applied on
detecting corrosion pitting on gear tooth under a
high background noise environment. The chap-
ter also presents the impact of the waveform
streaming approach in terms of understanding
threshold effects on waveform signatures, in the
ability to set and analyze different digital filters,
and in the extraction of low frequency vibration
information (gear-mesh frequency) (Fig. 8.26).
It is advantageous to extract vibration informa-
tion using long-duration AE waveforms. The
gear-mesh frequency characterizes the lower
frequency global response of a structure that is
typically measured during vibration tests.
ASL spectral energy plot indicates that the
streamed AE waveform can be effectively used
to extract a gear mesh-related feature that is
not available with the conventional AE signal
processing technique. However, AE sensors with
an adequate low frequency response must be
applied.
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Tool condition monitoring process using acoustic
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 Non-destructive Evaluation
Anton Erhard
Nondestructive testing (NDT) methods are
employed in the technical field as a precaution-
ary to avoid accidence or emergency situations
for the human and the environment. A risk sit-
uation in the technical field could happen if the
load of a component is increasing and the wall
thickness due to defect growth is decreasing
until a critical defect situation. The result of such
scenarios could be catastrophic breakdown of
the component with sometimes severe aftermath
for the human. For this reason, the detection of
defects is an essential part of quality control of
engineering systems and their safe use. Appli-
cations of NDT techniques, however, are much
deeper and broader in scope than just the
detection of defects, because for the estimation
of the component integrity and the timely initi-
ation of preventive accident management mea-
sures, the history and extension of the defects
should be known for further safety evaluation of
the component, e.g., with the help of fracture
mechanic procedures. Of course the detection of
defects and the knowledge about their position at
the component into the volume or on the surface
is important and is the first step in the direction
to technical diagnostic, i.e., diagnostics is used
to determine the causes for problems like
material degradation, damages, or accidents.
A. Erhard (&)
Bundesanstalt fr Materialforschung und prfung,
Unter den Eichen 87, 12205 Berlin, Germany
e-mail: anton.erhard@bam.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_9, Springer-Verlag Berlin Heidelberg 2013
9
Within the meaning of diagnostics in the present
chapter the definition is: identification of the
defect size and defect character (if possible).
Mostly, if the character is known, the defect
growth velocities can be estimated using syner-
gies of well-known mechanisms. Together with
a-priori information an evaluation of the com-
ponent safety is possible. Unfortunately, the
determination of the real character of a defect
employing NDT methods is difficult. It is often
satisfactory to know the shape of the defect, i.e.,
more volumetric, that corresponds with pores or
slag inclusion and more planar that corresponds
with cracks or lack of fusion. From that infor-
mation diagnostics about the generation of the
flaws and about the safety is derivate. Further,
the time of flaw geneses is important. In [1] there
are mentioned three stages for flaw generation:
The first stage is during primary manufactur-
ing, e.g., castings and forgings.
The second stage is fabrication into structures,
in which welding is the most important process.
The third stage is the flaw generation during
operation.
As mentioned above, the knowledge of the
flaw extensions is essential for the diagnostic of
the component, i.e., the integrity assessment.
Therefore, in the next chapter NDE methods
which have a potential to measure these exten-
sions (defect sizing) are described. The funda-
mentals of these NDE techniques are explained
in some books and publications and are not part
of this book.
161
162
9.1 Estimation of Defect Sizes
and Character
One of the oldest NDT methods is the visual
inspection technique (VT) and is carried out on
everybody a number of times during their life-
time [24]. VT can be carried out in almost all
areas where preventive maintenance is required.
Mostly, it is not in regard to people that this
technique is very important in the industry. The
separation between good and bad specimens
during the fabrication of mass-produced prod-
ucts is a visual inspection and is carried out
around the world in a manifold way every day.
In the stage of flaw generation during operation,
corroded surfaces are a good example for the
application of VT methods (Fig. 9.1). Also, the
diagnosis is sometimes reliable based on
the consistence of the corrosion products and the
analyses of the environment.
When the loading of a component is higher
than the tensile strength, cracks can occur on the
surface and into the volume of the material. The
detection of this type of defect is dependent on
the crack size as well as on the crack opening
displacement and usually only detectable using
auxiliary equipment such as lenses, endoscopes,
or cameras for visual inspection. The serious use
of this equipment is compared with the right
light under the optimum incidence angle.
An example for such a detected crack at the head
of a screw of core baffle at a core container is
shown in Fig. 9.2.
Fig. 9.1 Corroded surface on a fitting
A. Erhard
Fig. 9.2 Pole end plates with fatigue crack [5]
Sometimes, the inspection of surfaces
employing the VT is ambiguous. This is given if
the applied loads are a summary of chemical
substances from the environment and mechani-
cal loads during the operation of the component,
e.g., due to internal hydraulic pressure, tensile,
compressive, or torsion stresses. A typical defect
mechanism for such a scenario is stress corro-
sion cracking (SCC). Normally, defects based on
this mechanism are not detectable with VT.
Other NDT methods have more advantages for a
safety detection of this type of defect. In the
following, some examples using eddy current
technique, (ET), magnetic flux techniques (MT),
and ultrasonic techniques (UT) are described.
The corrosion mechanism of SCC is well
known on stainless steel and nickel alloy com-
ponents. In general, two different mechanisms
are considered, intergranular SCC (IGSCC) and
trans-crystalline SCC (TCSCC). Both the
mechanisms are characterized by a high growth
rate and therefore such defects should be found
as soon as possible. The detectability with spe-
cial emphasis on the sizing capability is essential
for integrity, and therefore the safety of the
component for further operation. The right
diagnosis of failure behavior is the most signif-
icant part of the component integrity assessment.
9.1.1 Eddy Current Testing
Eddy current (EC) testing methods were opti-
mized in the past for the inspection of stainless
steel, nickel, and carboniron components.
9 Non-destructive Evaluation
Fig. 9.3 Sensitivity pattern of absolute, difference and multi-difference EC coils (left to right)
Especially in the field of chemical and nuclear
plants, research investigations on the reliability
of EC techniques were forced and carried out
successfully. Other industrial markets have also
participated in these research programs.
It should be noted here that the aircraft industry
had some advantages from the results received
in the different research programs, because the
detection of corroded areas beneath the painting
was a challenge in this industry market.
Aluminum alloy components are widely used
in the aircraft industry. In [6] possible corrosion
mechanisms on different aircraft components are
described. These corrosion mechanisms are
pitting, corrosion fatigue, stress corrosion
cracking, crevice corrosion, and filiform corro-
sion. A certain detection of each of this type of
corrosion leads to an optimized eddy current
probe with the aim to have a diagnose potential
about damage mechanism and the component
integrity via the shape and depth of the corroded
area. The following examples should give an
impression of the optimization of EC coils for
imaging the EC data. Conventional EC probes
have an aperture pattern as shown in Fig. 9.3. On
163
the left-hand side is the pattern of a typical
absolute coil, in the middle is the pattern of a
coil in difference arrangement, and on the right
is the pattern of a multidifferent switched coil.
For the entire coils, a remarkable pattern is the
area in the middle. In this middle region there is
a lack of sensitivity (blind spot).
A quantitative evaluation of corroded areas
smaller than the sensitivity pattern with these
types of EC probes is impossible, excluding
corroded surfaces with an extreme extension
much larger than the sensitivity pattern [7].
An optimized EC probe without the blind spot
must have optimal image performance. The basic
idea to develop such an idealized probe is
described in [8]. On the assumption that the
interaction of the EC probe with the defect in the
test specimen can be described mathematically
by a convolution integral, a system for the char-
acterization of the probes have been developed.
The experimental results in Fig. 9.3 are an
example of the experiment carried out. Further,
software simulation of EC signals reduce the
experimental investigations. For instance the
computer-aided system should make it possible
164
Fig. 9.4 EC probe without a blind spot
to reach a certain predefined point spread func-
tion. The simplest point spread function has a
probe, which consists of a single cylindrical as
shown in Fig. 9.3 left. But an image presentation
of a corroded surface is impossible using this
probe. Also, the sensitivity aperture of the probes
in the middle and right are not the solution for the
given problem of the image presentation of cor-
roded areas beneath the painting of aircraft
components. An optimum for corrosion visuali-
zation is a punctual aperture (Dirac function).
Based on this advisement a new EC probe was
designed and built, without the blind spot. The
measured sensitivity aperture is shown in
Fig. 9.4. First measurements using this probe are
carried out at a test specimen with boreholes of
different depths starting from the probe surface
(Fig. 9.5a) and representing a corroded area. The
measured EC field distributions are shown in
Fig. 9.5b as a quasi-three-dimensional plot and in
Fig. 9.5c as a gray scale plot. The borehole shape
is clearly recognizable as well as the differences
in the amplitude. The amplitude increases with
increasing borehole depth until saturation. There
is no significant deference in the amplitude
between a borehole depth of 0.4 mm and deeper.
Nevertheless, this kind of probe seems a good
A. Erhard
tool for measurement of hidden corroded areas,
e.g., corrosion beneath a painting.
The results presented in the following are
published in [7, 9] and were received in co-
operation with Daimler-Benz Aerospace. The
application of the testing system on a TOR-
NADO aircraft is shown in Fig. 9.6 left. The
probe manipulator device is mounted on the
underside of the wing surface. The maximum
scanning area is 110 9 90 mm2 and the mini-
mum track distance is 0.02 mm. A wing has a
length of approximately 3.5 m. There are 174
titanium fasteners in this length. These fasteners
are used to join the skin and rear spar together.
The nominal sheet thickness in the area of these
fasteners is 4.1 mm. The aim of these investi-
gations was the detection of corrosion starting
from the wing surface near or around the fas-
teners. A representative example of a corroded
cavity in the vicinity of a titanium fastener
beneath the painting is presented in Fig. 9.6
right-hand side. At the top the shape and the
depth of the corroded area is inaccurately
imaged by the conventional probe due to the
blind spot of this probe. For remembrance, the
sensitivity plot of this type of probe is shown on
the left-hand side. The image presentation in the
middle of the right-hand side of Fig. 9.6 shows
the corroded area measured with the new
developed probe. Clearly visible is the fastener
and the adjacent corroded region. For a better
impression of the quality of the measured dam-
aged surface, the picture of the corroded area is
also shown. This picture has a really good
accordance with the measured one. The gray
scale of the measured image gives the depth of
the corrosion in sufficient accuracy. The safety
check of aircraft components based on such
image presentation is reliable and helps to avoid
accidents. In the middle of the bottom an old
German coin was scanned with the new EC
probe to demonstrate the potential of this probe.
9.1.2 Ultrasonic Testing
Imperfections such as cracks, pores, or inclusions
cause soundwave interactions which result in
reflection, scattering, and general dampening of
9 Non-destructive Evaluation 165

Fig. 9.5 Consequences of the probe point spread func- mm, (b) test result with a conventional probe having a
tion on the quantitative results using a test pattern, blind spot, (c) result of the newly developed probe
(a) Schematic order of the flat bottom holes; depth in without blind spot

Fig. 9.6 Left Testing system on the underside of the the top right the conventional probe, at the middle right
wing of a TORNADO aircraft. Right Comparison of the the developed probe
testing results for the eddy current scanning probes. At

the sound wave [1014]. Ultrasonic testing (UT) range, higher than approximately 20 kHz and up
for defect detection is carried out using ultrasonic to the range of some hundred MHz. Decreasing
waves at high frequencies above the audible the prices for computer ultrasonic techniques has
166
Fig. 9.7 Fetus at the 35th week [15]
a high potential for increases in defect sizing.
Such techniques are the synthetic aperture
focusing technique (SAFT), the time of flight
diffraction technique (TOFD), and the tomogra-
phy or modified techniques physically based on
these techniques. On the other hand, the market
for new ultrasonic equipment also had a renais-
sance, as well as the new ultrasonic probe design,
like phased array arrangements. Further, the
visualization of ultrasonically measured data has
also increased. Thus, better data evaluation is
achieved because the context between the result
on the image and the reality has a higher degree of
plausibility compared to an A-scan presentation.
Ultrasound was applied in the field of NDT
earlier than in medicine, but visualization of the
data in a unicolor-scale image was first used in
medical ultrasound diagnostics (Fig. 9.7).
Unfortunately, such a presentation of flaws in
technical materials is for the time being impos-
sible. The cause is due to the in general
unknown structure in the vicinity of a flaw,
whereas in medicine the structure of a fetus is
well known, i.e., for the image generation a
priori information can be used. Another reason
for the poor images using ultrasonic waves is the
relation of the object (flaws), the ultrasonic
wavelength of which is of the same size.
A. Erhard
In the technical field, information about the
flaw type is also based on a priori information
obtained on similar materials or components with
similar loadings and under similar environmental
conditions. Nevertheless, comparable results
cannot be obtained because the statistical data are
extremely slight compared with medicine. Thus,
already due to the design, some requirements are
considered in relation to the material, the geom-
etry, and manufacturing. These requirements are
part of the German basic safety concept (BSC),
which includes the application of non-destructive
examination methods from the beginning to the
end of life [16]. All of the three induced flaw
stages must be considered if NDE techniques are
performed for material or component examina-
tion. Advanced NDE methods have been devel-
oped and used for defect detection and sizing
especially in nuclear power plants components
and in heavy forging specimens. The ultrasonic
setup for inspections in this particular case is the
phased array technique [1719].
As usual in ultrasonic examination, the suc-
cess of the inspection depends strongly on the
correct choice of the ultrasonic probes. This is
also valid for the application of phased array
probes, although these probes have more degrees
of freedom. This chapter presents an assortment
of phased array probes. Information about the
different kinds of phased array equipment and
the manifoldness of phased array probes in the
market can be found in the pertinent literature as
well as in the brochure of the manufacturer. In
general, for the probe design, two possible ways
are feasible:
Generation of longitudinal waves and sound
field steering around the straight angle of
incidence by coupling the array directly on the
surface.
Generation of shear waves, the array is onto a
wedge with a fixed angle of incidence and
sound field variation around this angle.
With the knowledge of Snells law a choice
of the wave types, longitudinal or shear waves,
is also possible. The relative orientation of the
elements onto the wedge offers other possibili-
ties of sound field variations [20]. The variation
of the angle of incidence is shown schematically
9 Non-destructive Evaluation
Fig. 9.8 Variation of the angle of incidence and skewing angle
Fig. 9.9 Basics of SAFT
in Fig. 9.8a; the variation of the skewing angle is
demonstrated in Fig. 9.8b in which the elements
are perpendicularly oriented compared to
Fig. 9.8a. In consequence of Fig. 9.8a, b both
sound field variations are possible with one
arrangement using a matrix array as visualized
in Fig. 9.8c. Meanwhile, the number of different
types of phased array probes for different
applications is increasing and is available in the
market. The examples for the estimation of
defect sizing are received using phased array
probes of different types.
The diffraction tomography or SAFT, a
solution of inverse problems regarding the dif-
fraction phenomena of scattered signals, is also
used for data evaluation. Figure 9.9 shows the
basic idea behind the SAFT method with a
scatter in a material and an ultrasonic probe
(transmitter/receiver). The transmitter sends an
ultrasonic pulse at the time t = t0. After a time,
depending on the sound velocity of the material
as well as the distance to the transmitter, the
scatterer receives the signal and generates a
167
signal, which is recorded by the receiver on the
scanning surface. The result generated by mov-
ing the probe along the surface provides a
scatterer hyperbola or diffraction curve. The
principle of the SAFT reconstruction approach is
as follows [21]:
Developing a reconstruction method is pos-
sible under the assumption that a number of
independent point sources can describe as arbi-
trary scatterer: Discretization of the reconstruc-
tion area and calculation of the scattered
hyperbola for every pixel coordinate (x0 ,y0 ,z0 )
with the known material sound velocity. Inte-
gration of the scalar measured data F(x,y,z)
along the hyperbola and storage of the integra-
tion result in the corresponding pixel. The
assumption of independent point sources means
that the problem becomes linear; nonlinear
effects such as the interaction between scatterer
are negligible. For monostatic measurements,
i.e., where the transmitter and receiver are the
same (pulse echo technique), the reconstruction
formula is:
168
ox0 ; y0 ; z0
ZZ
U x; y; z; t0 t
sM
p! eration and the SAFT methods for presentation
x  x0 y  y0 z  z0
2 dxdy
c the incidence angle is varied between 30 and
When a scatterer actually does exist at the
regarded pixel, integration along the actual time
local curve will provide a very high amplitude
value at this particular pixel, because all signals
are in phase (focus effect) at this pixel. By
contrast, if a scatter is not present at the regarded
pixel, the value becomes less although the local
time curves and hypothetical scatter hyperbola
intersect. In other words, the overall result after
the reconstruction process provides an image of
the scatterer. The area near the scatterer is
characterized by low signals (noises).
Figure 9.10 presents an example from ultra-
sonic measurements carried out at the feed water
nozzle of a steam generator in a nuclear power
plant. A crack-like defect was detected in the
base metal near the crossover between the base
metal and thermo sleeve. The nozzle material
was carbon steel with a quasi-isotropic sound
velocity distribution. It is the managements
decision whether the nozzle is usable for oper-
ation anymore, the nozzle is repairable, or the
nozzle must be cut out and replaced by a new
Fig. 9.10 SAFT reconstruction of a crack type defect at the steam generator feed-water nozzle
A. Erhard
one. To make a decision, the depth of the defect
must be known. Due to the geometry of the
nozzle, an ultrasonic NDE method is preferred.
A phased array probe for ultrasonic sound gen-
and evaluation are employed. During scanning
60 with a step width of 5. Original A-scans at
every measurement point on the surface are
stored in the computer memory for repeated
reconstruction in the manner described above.
The reconstruction process provides the result
shown in Fig. 9.10. An extension in-depth of
2.4 mm was determined. Based on this result a
safety check of the component supported by
fracture mechanic calculations was carried out.
Together with the environmental conditions of
the feedwater nozzle the overall diagnostic
assessment was made. This flowchart was the
basis for the management decision. In this
particular case, the plant management decided to
cut out the nozzle and replace it with a new one.
The defect sizing potential of SAFT in the
NDE field is beyond discussion here and is used
as an inspection system in the industry. In com-
bination with the phased array technique the
increase in the defect detectability is obtained.
Meanwhile, SAFT is required in some codes and
standards for defect detection and sizing and
therefore is an important tool for component
safety evaluation. Overall, the integrity
9 Non-destructive Evaluation
Fig. 9.11 Principle of the TOFD technique
assessment of a component can be carried out
with the help of this technique. Thus the gain of
safety for human life is achieved.
Ultrasonic inspection is mostly carried out
using the so-called pulse echo technique which
is based on the geometrical reflection at the
defect. In contrast to these techniques the time of
flight diffraction method (TOFD) is by using
ultrasonic diffraction at the flaw [2224]. The
sound field is diffracted on the flaw boundary
within a large divergence (assumption: ultra-
sonic probe with a broad divergence angle) and
received by a second probe opposite to the
transmitter. In general, angle beam probes pro-
ducing longitudinal waves are in favor. One of
the drawbacks of this method are the very low
signals received, sometimes marginally higher
than the noise. There is still a discussion going
on about the defect detection potential of the
TOFD approach. To avoid misunderstandings to
the readers of this book this discussion will not
continued here. However, there is a consensus
about the sizing potential of TOFD. This
potential is stressed below [25].
The general setup for TOFD is shown in
Fig. 9.11; there are two main sound paths, the
lateral wave and the back wall echo. This figure
also shows the sound paths from an included
crack. Determination of the crack depth d and
the transit time difference Dt between the lat-
eral wave and longitudinal wave must also be
considered. However, the received signals
indicate only the total time from triggering the
169
transmitter to the arrival of a pulse at the
receiver.
The TOFD approach is a redundant technique
for the estimation of defect sizes. For the special
geometries the probe arrangement has to be
modified. Modification means the scanning
direction during the inspection as well as the
probe itself, e.g., phased array probes.
An example for a modified TOFD arrangement
is presented in Fig. 9.12. It is the steam gener-
ator feedwater nozzle as described for the SAFT
reconstruction. The probe arrangement for the
nozzle inspection is as follows: One of the two
probes is fixed and the other is moving along the
scanning distance as marked in the drawing. The
defect depth evaluation in this special case is
different to that known from the literature and
must be regarded during the evaluation of the
measured data. Critical in relation to the accu-
racy of the defect size is the determination of the
sound path by the evaluation of the A-scan
because this depends on the skill of the operator.
The reason is the diffraction echo, which is
sometimes very weak.
Experiments on cladded test pieces were
carried out with a phased array probe configu-
ration. Phased array deployment for TOFD
measurement is a common probe arrangement.
The advantage is the beam steering of phased
array probes in such a way that the divergence
angle can be enlarged by an angle scan, similar
to the application for SAFT (Fig. 9.10). For such
an array assembling the crack tip signal is
170
Fig. 9.12 Probe arrangement on a steam generator feed
water nozzle
increasing and in the consequence also the signal
to noise ratio. For the example presented in
Fig. 9.13 two phased array probes each with
eight elements are used. In the figure the results
of a 150 mm thick test specimen with a spark-
eroded notch under the cladding is presented.
The notch depth was 6 mm. The example was
measured while coupling the probes on the base
material (see sketch at the right). The back wall
and the interface between the cladding and the
base material are clearly visible. From the dif-
ference in the time of flight between the back
wall and the interface indication the cladding
thickness was determined to approximately
5 mm. This value is in good accordance with the
actual cladding thickness (56 mm). The eval-
uation of the tip signal delivers a depth extension
of about 5 mm. It should be mentioned that real
crack tips have mainly weaker diffracted signals
than spark eroded notches. Therefore, the results
should be taken into careful consideration and a
generalization is not possible for any case.
The TOFD approach for defect sizing esti-
mation is a tool which is required in standards
and codes for some practical applications, e.g.,
for weld inspection. The technique becomes
more important since the combination with
phased array was practically proved.
If the wall thickness of the components is
increasing up to 2,000 mm, defect sizing using
ultrasonic techniques becomes more difficult due
to the very long time of flight and the probability
of interaction with the material structure. These
A. Erhard
components are for instance turbine shafts,
railroad wheels, or containments for high
radioactive waste. For turbine shaft and railroad
wheels a so-called echo-tomography procedure
is the tool which can be used with advantage for
such components. The principle of echo-
tomography is shown in Fig. 9.14. A phased
array probe with a skewing range for longitudi-
nal waves of -28 to +28 (required in the code,
0, 7, 14, 21 and 28) is placed on the
specimen surface. The turbine shaft diameter is
often of the order of 1.000 mm or even more (in
the example of Fig. 9.15 the diameter was
1.932 mm). Echo indications from all scan
directions are collected in a virtual pixel-net
during rotation of the turbine shaft. This has the
result of merging signals from many different
angles and orientations into a single image rep-
resenting the data. When there is a flaw in the
turbine with more or less volume character, it
will typically provide signals from many dif-
ferent probe positions. In contrast, a defect with
a planar character (e.g., crack) provides reflected
signals within a narrow probe position. The data
storage can be carried out in two ways:
First, the maximum signals are stored in the
pixel-net. The result after one rotation of the
turbine shaft is an image with the maximum
reflected amplitudes. The evaluation is done
in the classical way; comparison the ampli-
tude with artificial reflectors.
Second, the average amplitude (aA) is stored
in the pixel-net using an average value algo-
rithm as plotted below. In addition, the hit-
numbers per pixel can be stored in the par-
ticular pixel.
Pn
Mi Mn1
aA i1
n1
With regard to high machining cost, the
examination of large forgings should start in
the earliest stages of production. In recent times
the inspection of components such as turbine
shafts are carried out using mechanized testing.
Figure 9.15 (left) shows an example of the
examination of a turbine shaft with a diameter of
about 2.000 mm. The examination was
9 Non-destructive Evaluation
Fig. 9.13 TOFD image measured at a cladded specimen
Fig. 9.14 Principle of ultrasonic echo-tomography
performed using phased array probes [26].
During the shaft rotation the incidence angles for
longitudinal waves were steered in a range
between -30 and 30 with steps of 3. For
every full circle an echo-tomogram was recon-
structed (Fig. 9.15 middle). After the whole
examination of the shaft the defect situation in
the turbine, in the radial and axial directions,
was visualized with the help of a computer
program called glassy shaft. One echo-tomo-
gram can also give a lot of information about the
171
defect situation [27]. In this particular case an
agglomerate of very small defects are placed in
the middle of the turbine shaft. The evaluation of
the maximum reflected amplitude delivers a
reflectivity equalling a 1.3 mm flat bottom hole.
All other amplitudes had minor reflectivity. The
technical diagnostic of this turbine shaft delivers
information from the melting of the shaft,
because sometimes flakes and oxide membranes
are produced in the middle of the shaft. This was
in the past the reason for center boring of turbine
172
Fig. 9.15 Turbine shaft (left) and an echo-tomogram together with detail information (right)
shafts. But another drawback must be taken into
account. When not all the flakes and oxides are
removed, defects on the surface can occur and
together with the centrifugal forces during the
rotation, cracks can start and accidents can
happen.
9.1.3 Magnetic Flux and Liquid
Penetrant Testing
The inspection results using magnetic flux or dye
penetrant inspection technique are more or less
comparable with the visual inspection, but with
the difference that for the detection auxiliary
tools, e.g., liquid penetrant medium or a yoke for
the magnetization is necessary. The only
requirement from the inspectability standpoint is
that the component being inspected using mag-
netic flux techniques must be made of ferromag-
netic material such as iron, nickel, cobalt, or some
of their alloys. Ferromagnetic materials are
materials that can be magnetized to a level which
allows the inspection to be effective. Detectable
are defects open to the surface for both techniques
and in the application of magnetic flux inspection
slightly beneath the surface. In general, the defect
extension on the surface is important information
about the condition of the examined specimen,
but for a reliable assessment of the component
integrity, the depth information must also be
A. Erhard
known. Using these techniques this information is
available only by a priori information. A priori
information could be the load of the component.
Together with the measured length of a defect the
calculation of the defect depth is sometimes
possible, e.g., by fracture mechanic laws. With
this value also the evaluation of component
integrity is achieved.
For the visualization of defects after magne-
tization often very small magnetic particles are
used. Therefore, this technique is called mag-
netic particle inspection In Fig. 9.16 the crack
into a crane hock is visible. From that picture
only the crack length is being estimated. In the
case when a defect is found in such a safety
relevant component it is beyond discussion
about a further operation with this component.
Such components or similar components are
replaced or, if possible, repaired.
Another example of a magnetic particle
inspection is shown in Fig. 9.17 for a detected
crack on a bearing. Due to the special geometry
of this specimen the crack length and the crack
depth were measured in a good estimation with
the reality. For this particular case the integrity
assessment of the bearing is directly derivate
from the measurement with poor a priori infor-
mation. Nevertheless, the magnetic particle
inspection has a place in the NDT field, e.g., in
the automotive industry.
9 Non-destructive Evaluation
Fig. 9.16 Crack on a crane hock [28]
Fig. 9.17 Crack on a bearing [28]
Liquid penetrant measurements follow the
same principle because defect depth estimation is
nearly impossible. Unfortunately, there is no
correlation between the liquid into the defect and
the defect depth and length extension. In sum, for
the visual, liquid penetrant, and magnetic particle
inspection, the following is stated: For the
integrity assessment the help of other technical
information about the component, especially the
loading and the environmental conditions, is a
must. This is, from the practical point of view, the
basic difference between the ultrasonic and eddy
current inspection techniques.
References
1. Ono,K., Dobmann, G.: Non-destructive testing 1.
General2011 Wiley-VCH Verlag GmbH & Co.
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KGaA, Weinheim, pp 15 (2011). 10.1002/
14356007.b01_11.pub2
2. Czichos, H., Saito, T., Smith, L.: Springer Handbook
of Materials Measurement Methods. Springer, Berlin
(2006). ISBN -10: 3-540-20785-6++
3. Wiech, H., Wessels, J.: Zum Stand der Sichtprfung
im Rahmen der Herstellung und der wiederkehrenden
Prfung von Komponenten, DGZfP-JahrestagungMi.
1.B.1 (2009)
4. Pernkopf, F., OLeary, P.: Image acquisition
techniques for automatic visual inspection of
metallic surfaces. NDT E Int. 36, 609617 (2003)
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pumped-storage power plants. In: 16th International
Seminar on Hydropower Plants, Vienna, Austria, 24
25 Nov 2010
6. Boller, C.: Ways and options for aircraft structural
health management. Smart Mater. Struct. 10, 432
440 (2001)
7. Thomas, H-M., Casperson, R., Einsatz des
Wirbelstromprfverfahrens zur zerstrungsfreien
Bestimmung der Angriffstiefe von Korrosionsschden
an Flugzeug Tragflchenbeplankungen, Mater Corros
46, 473-480 (1995)
8. Casperson, R., Knoche, G., Lappoehn, C., Pohl, R.,
Thomas, H-M.: Computer aided modelling of point
spread functions of eddy current probes for corrosion
testing. BAM Report; Subtask of BRITE EURAM II
Projekt No. 5879; 15.09.1994
9. Grauvogl, E., Regler, F., Thomas, HM.: A new eddy
current inspection system for quantitative corrosion
depthmeasurement on AlC wing skins; national
assotiation of corrosion engineers NACE. In: 12th
International Corrosion Congress, 1924 Sept,
Houston, Texas (1993)
10. Bving, K.G.: NDE Handbook, Non-destructive
Examination Methods. Butterworth, London (1989)
11. Hellier, C.J.: Handbook of Non-destructive
Evaluation. McGraw-Hill, New York (2001)
12. Krautkrmer, J., Krautkrmer, H.: Ultrasonic testing
of Materials, 4th edn. Springer, Berlin (1990)
13. Rose, J.L.: Ultrasonic Waves in Solid Media.
Cambridge University Press, Cambridge (1999)
14. Deutsch, V., Platte, M., Vogt, M.: Ultraschallprfung
Grundlagen und industrielle Anwendung. Springer,
Berlin (1997)
15. De zeen Magazine: The foetus project by Jorge
Lopes Dos Santos; 16 July 2009
16. Erhard, A., Otremba, F.: Degradation of Material
Properties Significant for Lifetime Extension of
Nuclear Power Plants. Mater Test 52(0102), 11
19 (2010)
17. Erhard, A., Schenk, G., Hauser T.H., Vlz, U.: New
applications using phased array techniques. Nucl.
Eng. Des. 206, 325336 (2001)
18. Brekow, G., Brackrock, D., Boehm, R., Liebel, M.:
Quantitative defect sizing on components with
different wall thicknesses using UT-SAFT. In: 6th
International Conference on NDE in Relation to
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Structural Integrity for Nuclear and Pressurized
Components (2007)
19. Mahaut, S., Roy, O., Beroni, C., Rotter, B.:
Development of phased array techniques to improve
characterization of defect located in a component of
complex geometry. Ultrasonics 40, 165169 (2002)
20. Matthies, K., et al.: Ultraschallprfung von
austenitischen Werkstoffen DVS Media DGZfP,
Berlin (2009). ISBN 978-3-87155-988-4
21. Zimmer, A.: Abbildende zerstrungsfreie Prfverfahren
mit elastischen und elektromagnetischen Wellen,
Dissertation, Kassel University (2008). ISBN 978-3-
89958-416-4
22. Erhard, A., Tscharntke, D., Montag, H-J., Tessaro, U.,
Voskamp, R., Schmidbauer, J.: SAFT and TOFD used
for defect sizing at steam generator feed water nozzle.
In: Proceedings of 4th International Conference on
NDE in Relation to Structural Integrity for Nuclear and
Pressurized Components, European Communities,
pp. 251260 (2006). ISBN 92-79-00797-1
A. Erhard
23. Silk, M.G., Lidington, B.H.: Defect sizing using an
ultrasonic time delay approach. Br. J. NDT 17, 3336
(1975)
24. Silk, M.G.: Estimates of the probability of detection
of flaws in TOFD data with varying levels of noise.
INSIGHT 38(1), 3136 (1996)
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Werkstoffen; DVS Media GmbH, Dsseldorf 1.
Auflage, Berlin (2009)
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D.: Ultrasonic phased arrays for non-destructive
inspection of forgings. Mater. Eval. 51, 669672
(1993)
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J.: Anwendung der Ultraschalltomographie an
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Editor, 20012012, The Collaboration for NDT
Education, Iowa State University, www.ndt-ed.org
 Infrared Thermography
Clemente Ibarra-Castanedo and Xavier P. V. Maldague
10

Abstract
Infrared thermography also commonly referred as thermal imaging, or
simply thermography, is a nondestructive testing (NDT) technique that
has received vast and growing attention for diagnostics and monitoring in
the last few decades. This is mainly due to the fact that commercial
infrared or thermal cameras, the main instrument for performing infrared
thermography, are continuously improving in both sensibility and in
spatial resolution, and they are getting faster and relatively less
expensive. Every year or so, it is possible to acquire a better camera
for about the same cost as the preceding model from the year before.

improving in both sensibility and in spatial reso-

10.1 Introduction
10.1.1 Infrared Thermography
Infrared thermography also commonly referred as
thermal imaging, or simply thermography, is a
nondestructive testing (NDT) technique that has
received vast and growing attention for diagnos-
tics and monitoring in the last few decades. This is
mainly due to the fact that commercial infrared or
thermal cameras, the main instrument for per-
forming infrared thermography, are continuously
C. Ibarra-Castanedo (&)  X. P. V. Maldague
Computer Vision and Systems Laboratory,
Department of Electrical and Computer
Engineering, Laval University, 1065, avenue de la
Mdecine, G1V 0A6, Quebec, Canada
e-mail: Clemente.Ibarra-Castanedo@gel.ulaval.ca
X. P. V. Maldague
e-mail: Xavier.Maldague@gel.ulaval.ca
lution, and they are getting faster and relatively
less expensive. Every year or so, it is possible to
acquire a better camera for about the same cost as
the preceding model from the year before.
A similar thing can be said with respect to com-
puters, required for control, data processing, and
image display, which provide more computing
power at a lower price year after year. Hence, the
fields of applications are expanding from classical
building or electronic components monitoring to
more recent ones such as inspection of artworks or
composites materials.
The term infrared comes from the Latin pre-
fix infra meaning below and the word red, as
a reference to the position of the infrared spec-
trum at a frequency lower than (or below) the
red end of the visible spectrum (see Fig. 10.5).
The term thermography comes from the Greek
prefix thermos, meaning hot, and the Greek
suffix graphein, meaning to write. Hence,
infrared thermography can be thought as an

H. Czichos (ed.), Handbook of Technical Diagnostics, 175

DOI: 10.1007/978-3-642-25850-3_10,  Springer-Verlag Berlin Heidelberg 2013
176
imaging method to represent a map of temper-
atures from an object.
A formal definition can be found in the NDT
Handbook on Infrared technology [1] and
adapted as follows:
Infrared thermography is a nondestructive, non-
intrusive, noncontact technique that allows the
mapping of thermal patterns, i.e., thermograms, on
the surface of objects, bodies or systems through
the use of an infrared imaging instrument, such as
an infrared camera.
This definition is intended to encompass a wide
variety of applications including biological, civil
engineering, aerospace, cultural heritage, etc.
Different thermographic approaches can be
adopted depending on the situation as described
next.
10.1.2 Approaches in Infrared
Thermography
Infrared thermography can be divided into two
approaches: passive, in which materials and
structures are natural at different temperature than
ambient; and active, for which an external stim-
ulus is required to induce a thermal contrast [2].
The experimental configuration for passive
infrared thermography is illustrated in Fig. 10.1.
As can be seen from this figure, an object or
system (1) having a distinctive thermal contrast
with respect to the environment can be moni-
tored using an infrared camera (2). A control
unit and a computer system (3) can be used to
display and process images if required.
The passive approach is often qualitative, such
as the diagnosis of the presence of a given
abnormality or hot spot with respect to the
immediate surroundings. Typical applications are
the monitoring of electrical and electronic com-
ponents or the detection of humidity or insulation
problems in buildings. Nevertheless, interesting
passive thermography novel and potentially
quantitative applications also exists, including
the inspection of civil engineering structures
using solar loading cycles, water ingress detec-
tion in aircraft structures upon landing, and
C. Ibarra-Castanedo and X. P. V. Maldague
automated people screening for deceptive
behavior recognition, among many others.
Active thermography finds a large number of
applications in NDT since practically any form
of energy can be used, provided that the thermo-
physical properties, for the defective and the
non-defective areas, are different enough to
produce a measurable thermal contrast. More-
over, since the time when the required external
stimulus is applied can be precisely controlled,
quantitative characterization is possible.
The experimental configuration for active
infrared thermography is similar to the passive
approach, as can be seen in Fig. 10.2, with the
difference that an energy source (4) is required
to generate a thermal contrast in the object or
system (1). As schematized in Fig. 10.2, the
energy source can be located in the same side of
the camera (2), i.e., in reflection; or in the
opposite side of the camera, i.e., in transmission.
A control unit is required to synchronize the
energy source with the acquisition system, and a
computer system (3) can be used to display and/
or process images. In the case of active ther-
mography, signal processing is often mandatory
to improve contrast, and for quantification.
Generally, the reflection configuration is best
suited to detect defects located close to the
heated surface while the transmission configu-
ration allows detecting defects close to the rear
surface because of the spreading effect of the
thermal front. Obviously, the transmission
approach is not always easy or possible to per-
form. Still, some interesting applications can be
found. For instance, when the part is hollow, it
may be of interest to use internal stimulation
with flow of liquid (water) or gas (air). In this
configuration, change in flow temperature (hot to
cold or the reverse) allows to discover abnormal
variations of wall thickness or blocking passages
because of the delayed arrival of the thermal
perturbation. It should be mentioned, however,
that the defect depth cannot be estimated in
transmission mode given that the heat front
travels the same distance whether a defect is
present or not, and whatever its depth.
10 Infrared Thermography 177

Fig. 10.1 Experimental Control

setup for the active
approach

Object
IR Camera

Display/Processing

Fig. 10.2 Experimental

setup for the passive
approach
Reflection Control

Transmission

IR Camera
Object Processing

10.1.3 Excitation Methods in Active configurations do not allow easy automation or

Thermography
As mentioned earlier, practically any kind of
energy source can be used in order to produce a
thermal contrast between the sound material and
a surface or subsurface defect. Energy can be
delivered using one of several mechanisms:
conduction: heating blankets, cold/hot water
bags, snow or ice;
convection: hot/cold air/water;
thermal radiation: halogen lamps, Xenon
photographic flash tubes, infrared heaters;
electromagnetic radiation: induction heating;
microwave heating
mechanical stimulation: sonic or ultrasonic
vibration;
electrical;
chemical; and
others.
Thermal stimulation such as with ice, snow,
cold air, or water is possible. However, these
repeatability. For this reason, most of the time,
heating sources are preferred. Heating sources
can be conveniently sub-divided as:
optical: photographic flashes constitute a
classic configuration known as flash or pulsed
thermography. It is also common to use hal-
ogen lamps to heat for longer periods. IR
lamps are also employed, for instance, to line
scan large surfaces with the help of a con-
veyor, an xy table, or a robot. In all cases,
light (containing radiations from the ultravi-
olet, visible, and infrared spectra) is projected
to a surface where it is transformed to heat
and propagates by conduction inside the
sample [3, 4].
mechanical: transducers are used to inject
sound or ultrasound waves to the specimen,
propagating through the specimen and produc-
ing heat by friction (rubbing and slapping of
surfaces) mostly in the defective areas. This is
quite interesting and useful to reduce,
178
Fig. 10.3 Heating modes: a point; b line; and c surface
considerably, non-uniformities of heating and
improving in this manner defect visibility [57].
induction: a coil is employed to generate
eddy currents at a depth inversely proportional
to the frequency of the electromagnetic field
used to generate them. This type of heating
source is limited to conductive materials; still,
several important applications can be found.
As is the case for mechanical excitation,
induction heating is less affected by non-uni-
form heating since heat is produced locally
[810].
microwave: a time-gated microwave source
introduces heat into the specimen and, for
homogeneous specimens; this allows detec-
tion of subsurface microwave absorbing fea-
tures (such as water-filled areas, metal wires,
or fibers). Quantitative information of these
features including their depth and thermal
diffusivity is possible by analyzing the time
and spatial dependence of the surface tem-
perature [1115].
There is no excitation source that can be
universally adopted to solve all cases, it should
be chosen according to the problem in hand. For
example, photographic flashes provide a strong
and fast (*210 ms) heat pulse, with results
being consistent after repeated testing. It con-
stitutes an excellent choice for the detection of
subsurface delaminations in carbon fiber
C. Ibarra-Castanedo and X. P. V. Maldague
composite materials, for example, among other
applications. Nevertheless, photographic flashes
might not be the best solution for inspecting
small surface or subsurface cracks in metallic
parts, since the non-uniformity of heating would
strongly hinders defects. Instead, ultrasonic or
induction heating are more appropriate tech-
niques since, under these configurations, heat is
produced at the defective area (and not heating a
large surface), considerably reducing the impact
of non-uniform heating [16, 17].
Some of the most important characteristics of
the excitation source (either cool or warm) are
[2]: repeatability, to compare among results
obtained on many identical parts; uniformity, to
reduce uneven thermal stimulation that might
produce spurious hot or cold spots that may be
interpreted as subsurface flaws; timeliness, since
an adequate synchronization is needed between
the excitation source and the image acquisition
system in order to perform image analysis
especially important for quantitative processing;
and duration, which should be adjusted
according to the thermal properties of the object
being inspected, for instance, longer heating
periods are needed for thicker, less diffusive
materials having deep defects.
Regardless of the heating source, heating can
be performed under different modes, as sche-
matized in Fig. 10.3:
10 Infrared Thermography
point: only a point of the objects surface is
heated, e.g., the whole inspected surface can
be scanned with a laser;
line: a vertical or horizontal line is projected
to the surface being inspected, e.g., with a
laser or with an IR lamp; or
surface: an area of the inspected object is
heated at once.
In addition, heat can be delivered using dif-
ferent stimulation waveforms:
modulation: using periodic signals, e.g.,
sinusoids;
pulse: short (few milliseconds) pulse;
square pulse: long pulse (several seconds or
even minutes);
step: continuous heating (from a few to sev-
eral seconds); and
scanning: continuous stimulation on a static
object from a moving source (or inversely, the
source can be static while the object moves).
Figure 10.4 illustrates the different combina-
tions of approaches, configurations, excitation
modes, energy sources and stimulation wave-
forms, giving rise to several active thermo-
graphic techniques, as discussed below.
10.1.4 Active Thermography
Techniques
Several active thermography techniques have been
proposed using specific configurations (schema-
tized in Fig. 10.4) adapted to specific applications.
The main active techniques are [1, 2]:
lock-in thermography (LT), in which peri-
odic heating at a given frequency is used in
permanent regime to measure the amplitude
and/or phase delay of the thermal response;
pulsed thermography (PT), in which a short
(a few milliseconds) energy pulse is used to
heat the inspected object, surface temperature
is monitored under the principle that defective
areas cool down at a different rate than non-
defective areas;
square pulse thermography (SPT), which is
similar to PT but a longer (from a few seconds
to several minutes) pulse is used, the surface
temperature is monitored during both heating
and cooling;
179
step heating (SH), in which the object is
heated for several seconds or minutes, similar
to SPT, with the difference that only the
heating phase is of interest; or
point or line scan thermography (LST), in
which a point (e.g., laser) or line heating
source (IR lamp) moves along the surface of
the inspected specimen, while it heats up the
surface the IR camera follows it at a fixed
distance and at the same speed;
Some of these techniques will be described in
detail in the following sections. They all share,
however, some interesting advantages and limi-
tations with respect to other NDT techniques, as
discussed below.
10.1.5 Advantages and Limitations
of IR Thermography
All NDT techniques have strengths and weak-
nesses. In the case of thermography, some of the
advantages are [1, 2]:
fast inspection rate;
contactless, no coupling is needed as in the
case of conventional ultrasounds. It should be
noted, however, that vibrothermography
requires, a coupling media between the
transducer and the specimen, and that induc-
tion thermography (IT) coils have to be rela-
tively close to the inspected surface;
security of personnel, there is no harmful
radiation involved as in the case of X-ray
radiography. However, high power external
stimulation (such as powerful flashes) requires
eye protection, and heat-induced ultrasound
requires protective ear plugs;
imaging capabilities, results are relatively
easy to interpret since they are (often)
obtained in image or video formats;
applications are varied and numerous;
unique inspection tool for some inspection
tasks e.g., as in the case of some ceramic
coatings, and rivet corrosion hardly inspected
with other NDT approaches [2].
On the other hand, there are some difficulties
specific to infrared thermography [1, 2]:
non-uniform heating, difficulty to obtain a
quick, uniform, and highly energetic thermal
180 C. Ibarra-Castanedo and X. P. V. Maldague

Fig. 10.4 Infrared approaches configurations modes energy sources waveforms

thermography
classification diagram passive transmission point optical modulation

active reflection line mechanical pulse

surface induction square pulse

microwave step

scanning

stimulation over a large surface (particularly of the electromagnetic spectrum and the place of
for the pulsed active approach). For this rea- the infrared band on it.
son, several processing techniques have been
proposed as discussed next;
thermal losses, convection, and heat radiation
10.2 Fundamentals Concepts
that might induce spurious contrasts affecting
the reliability of the interpretation;
10.2.1 The Infrared Band
cost of the equipment, IR camera, and thermal
and the Electromagnetic
stimulation units for active thermography.
Spectrum
This is relative, active thermography is more
expensive than some NDT techniques (visual
Figure 10.5 schematizes the entire electromag-
inspection, some ultrasound devices, etc.), but
netic (EM) spectrum, which classifies the dif-
has very competitive costs when compared to
ferent electromagnetic radiation forms according
more sophisticated equipment such as phase
to their wavelength k [m] and frequency f [Hz],
array (ultrasound or eddy currents) systems;
which are inversely correlated through the fol-
capability to detect only defects resulting in a
lowing expression:
measurable change of the thermal properties
from the inspected surface; ckf 10:1
ability to inspect a limited thickness of
material under the surface; where c [m/s] is the speed of light in vacuum
emissivity variations, low emissivity materi- (=299,792,458 m/s).
als strongly reflect thermal radiations from the Alternatively, according to quantum theory,
environment, surface painting can be energy is radiated and absorbed in discrete
employed to increase and equalize emissions, energy elements (called quanta), which are
when possible. proportional to their frequency:
Some basic concepts are reviewed in the
E hf 10:2
following chapters, starting with an introduction
10 Infrared Thermography 181

UV Microwaves

low to extremely
Thermal or low frequencies
Rays optical Radio
DC
radiation current
Cosmic
photons

voice
freq.
X Rays
THz FM AM

10-14 10-13 10-12 10-11 10-10 10-9 10-8 10-7 10-6 10-5 10-4 10-3 10-2 10-1 1 101 102 103 104 105 106 107
pico nano micro milli meter deci centi kilo mega Wavelenght [m]

UV IR THz
10 -11 10 -12 10 -13 10 -14 10 -15 10 -16 10 -17 10 -18 10 -19 10 -20 10 -21 10 -22 10 -23 10 -24 10 -25 10 -26 10 -27 10 -28 10 -29 10 -30 10 -31 10 -32 Energy [J]
10 22 10 21 10 20 10 19 10 18 10 17 10 16 1015 10 14 10 13 10 12 10 11 10 10 10 9 10 8 10 7 10 6 10 5 10 4 10 3 10 2 10 1 Frequency [Hz]
tera mega

80%
atmospheric
transmission
Orange
Yellow
Indigo

Green
Violet

Cyan

Low atmospheric
UV Blue NIR SWIR MWIR transmittance LWIR THz
Red window

430 500 565 625 0.7 m 1 2 3 5 8 14 100 1000 m

10 nm 400 450 520 590 nm 700 nm

Visible Infrared
Fig. 10.5 The infrared bands in the electromagnetic spectrum

where h is a universal (or Plancks) constant objects, i.e., electromagnetic waves, and can be
(6.6256 9 10-34 Js). studied by following radiometry principles as
Hence, EM radiation can be classified with described later.
respect to their energy as well: more energetic
wave forms (with higher frequencies and shorter 10.2.2 Radiometry
wavelengths) are located at the left of Fig. 10.5
and vice versa. For instance, c-rays at one end of Radiometry is concerned with the measurement
the EM spectrum (left) have a very short of radiant energy in any portion of electromag-
wavelength (in the order to the size of the netic spectrum. In practice, however, the term is
nucleus of an atom) but they are the most often limited to the optical (or thermal) portion
energetic and oscillate at very high frequencies. of the electromagnetic spectrum [18, 19], i.e.,
On the other hand, radio waves, which are close from 0.01 to 1,000 lm, which includes the
to the other end of the EM spectrum (right side), ultraviolet (0.010.4 lm), the visible (0.4
oscillate at much lower frequencies and they are 0.7 lm), and the infrared (0.71,000 lm).
less energetic but have much larger wave- Related terms are photometry, which refers to
lengths. For instance, AM radio waves have the measurement of visible radiation exclu-
wavelengths comparable to the size of the tallest sively, and spectroradiometry, which is the
skyscrapers (such as the Burj Khalifa in Dubai, measurement of absolute radiometric quantities
which is *830 m tall), while wavelengths of in narrow wavelength bands.
radio waves at extremely low frequencies are in Contrary to what some people might think, an
the order of the average distance from Earth to infrared camera is not a thermometer per se, but
Sun (*150 million km)!. rather, it should be considered as a radiometer.
Although, several and distinctive uses for EM Respecting some hypotheses and with a proper
radiation can be sought depending on their fre- temperature calibration (as discussed below), it
quency, wavelength, or energy, all these radia- becomes possible to translate radiometric values
tion forms are at the base the same kind of measured by the camera into temperature.
182 C. Ibarra-Castanedo and X. P. V. Maldague

visible mid long

IR IR
10
10

Wien
displacement
N,b [W / m m]

law
5
10 0.5 m 40,000 K: Blue star
2

5,800 K: The Sun

1 m 3,000 K: Common light bulb (100 W)
800 K: An object starts to shine
3.6 m
0 310 K: Human body's normal temperature
10
273.15 K: 0oC
10.6 m
2.735 K: Background Cosmic Radiation

-5
10

-10
10
-2 .3 .8 3 5 8 14 400 4000
[m]
Fig. 10.6 Spectral radiance curves for a black body as defined by the Plancks law

Basic theory on radiation was the result of
over 40 years of research contributions from
many dedicated scientists starting with Kirch-
hoffs enouncement of his law in 1859 and his
blackbody definition in 1860, followed by the
work of Stefan (1879) and Boltzmann (1884);
and Wien in 1893; among others, and that cul-
minated with the enouncement of Plancks law
in 1900. A complete discussion of the radiom-
etry quantities is presented in several dedicated
works [2, 18, 19]. The concepts of black body
and emissivity, are of outmost importance for
infrared thermography as discussed below.
10.2.3 Black Body and Plancks Law
A black body is an ideal object or system
capable of absorbing all incident electromag-
netic radiation regardless of the wavelength (or
frequency) and the angle of incidence. Similarly,
it also re-emits this radiation uniformly in all
directions. For a black body in thermal equilib-
rium and at temperature T [K], the spectral
radiance Nk,b [W/(m2srlm)] is defined by
Plancks law:
2hc2
Nk;b 5
 hc
k exp kkT 1
where h is the Plancks constant
(=6.626 9 10-34 Js), c is the velocity of light
(=3 9 108 m/s), k is the Boltzmanns constant
(=1.381 9 10-23 J/K), k [lm] is the wavelength
of the emitted radiation, and T [K] is the tem-
perature of the black body cavity and subscript
b denotes black body. Figure 10.6 shows the
spectral radiance curves for some representative
black body temperatures as defined by Eq. (10.3).
It can be observed that there is a direct cor-
relation between black body temperature and its
peak emission or maximum spectral radiance
kmax [lm], which can be described by the Wien
displacement law:
2897:7
kmax 10:4
T
Some observations can be made from
Fig. 10.6 and Eq. (10.4):
the peak emission for the sun surface tem-
perature (*5,800 K) is located at 0.5 lm,
which is right in the heart of the visible
spectrum, no wander why sunlight provides an
excellent illumination source for human
vision;
tungsten incandescent light bulbs at 3,000 K
emit part of its energy (area under the curve)
in the visible spectrum (0.30.7 lm). How-
ever, their peak emission is about 1 lm, i.e.,
 10:3
outside the visible, and even more energy is
emitted in the infrared band (in the form of
heat). This provides a good indication of the
poor lighting efficiency of filament bulbs;
10 Infrared Thermography
the peak emission for an object at 800 K is
about 3.6 lm, which is in the mid wave
infrared. Surfaces at temperatures below
(approximately) this value are not visible to
human eye in the daylight. Hence, in order to
detect such radiation in a contact-less manner,
a radiometer sensible to EM radiations at
longer wavelengths is needed;
the peak black body emission for objects at
310 K (close to the human body tempera-
ture = 37 C) is about 9.3 lm, which is in the
long-wave infrared spectrum. Hence, a radi-
ometer working in this wavelength would be
an excellent choice to detect human thermal
emissions;
there exists a thermal radiation filling all
empty spaces of the observable Universe with
a constant temperature around 2.735 K. The
peak emission at this temperature is around
1,060 lm, which is in the microwave portion
of the spectrum. This radiation is commonly
known as the microwave cosmic background
radiation and it is believed that it is some sort
of residual energy from the Big Bang.
Plancks law is a valuable tool to estimate the
spectral distribution of a black body, which
corresponds to the theoretical maximum possi-
ble emission from any real object. Of impor-
tance in NDT, the energy emitted by a body (real
or black body) is a function of his surface tem-
perature. However, the energy detected by an IR
sensor, depends as well on the real object sur-
face properties, mainly its emissivity, as dis-
cussed below.
10.2.4 Emissivity
Figure 10.6 presents the spectral radiance at
different temperatures of an ideal black body. In
the case of real objects, only part of the energy is
radiated from the surface, this fraction of the
black body spectral radiance is given by a sur-
face property called emissivity e [dimensionless].
Kirchhoff defined emissivity, as the ratio of
thermal radiation emitted by a real surface at a
given temperature to that of a black body at the
same conditions (temperature, wavelength, and
angle of emission) [20]:
183
Nk
e 10:5
Nk;b k; T
Emissivity values depend on parameters such
as temperature T [K], angle of emission h
[radians], radiation wavelength k [lm], and
surface condition (roughness, oxide layers,
physical, and chemical contamination). The term
emissivity may refer to one of the following
definitions:
total emissivity: integrated over all the
wavelengths;
hemispherical emissivity: integrated over the
entire hemispherical space;
monochromatic or spectral emissivity: at a
particular wavelength;
directional emissivity: in a specific direction.
Emissivity values vary between 0 and 1: a
surface having e = 1 is considered a black body;
a surface with e = 0 is called a white body,
while anything in between (0 \ e \ 1) can be
called either a gray body, if the emissivity has a
constant value; or a selective radiator if the
emissivity varies with the wavelength. For most
common thermographic applications though, it
is assumed that emissivity do not depend on
wavelength.
A surface having a low emissivity tends to
behave as a mirror (following Kirchhoffs law of
thermal radiation). In this case, it is difficult to
measure its temperature by a radiative mea-
surement method since radiations emitted by
neighboring bodies perturb the measurements by
reflecting on the surface of interest. This is
somehow analog to looking at an object located
at the bottom of a pool under bright sunshine:
spurious reflections on the water surface act as a
mirror and make it difficult to see the object.
Various techniques can be deployed to enhance
emissivity:
covering the inspected surface with high
emissivity (e [ 0.9) paint. Many authors
report the use of high emissivity paints such
as: TremcladTM flat black or 3 M Black Vel-
vetTM, washable paints are also interesting;
using a reflecting cavity (to artificially
increase the emissivity through multiple
reflections). Notice, this technique is valid for
184
spot temperature measurement, but not for
imaging [21];
performing simultaneous observations of the
surface in different spectral bands (as in the
case of two-color pyrometers); or
relying on thermal imprint transfer on a high
emissivity material on which the observation
is performed [2].
10.2.5 Heat Transfer Mechanisms
and Thermo-Physical Properties
Heat transfer can be defined as energy in transit
due to a temperature difference [20]. It is a
valuable tool helping to explain observed phe-
nomena such as abnormal surface temperature
patterns. For instance, in studying building
envelopes, it helps to compute heat losses and
insulation factors. In power plants, heat transfer
is used to evaluate the size and position of heat
sinks on power transformers for instance. Heat
transfer is concerned with the calculations of
temperature distribution and heat transfer
exchanges in a given system knowing its oper-
ation conditions (direct problem) and also the
opposite, i.e., finding the operation conditions
from known temperature distribution and heat
transfer exchanges (inverse problem).
There are three heat transfer mechanisms [20]:
conduction: the transfer of energy from the
more energetic to the less energetic particles
of a substance due to interactions between
particles;
convection: the combined energy transfer due
to the random molecular motion (diffusion)
and the bulk motion of a fluid; and
radiation: the energy transfer in the form of
electromagnetic waves due to thermal emis-
sions by matter. Contrary to conduction and
convection, radiation does not require a
medium, but it can also occur (more effi-
ciently!) in a vacuum.
Some basic heat transfer concepts will be
covered in the following discussions, more
detailed information on heat transfer mecha-
nisms can be found in recognized publications
on the matter [20, 22, 23].
C. Ibarra-Castanedo and X. P. V. Maldague
The main thermo-physical properties related
to infrared thermography inspection are sum-
marized in Table 10.1 and discussed below.
10.2.5.1 Density, q; and Specific Heat, cP
Density, q [kg/m3], is a measure of mass per unit
volume. The specific heat, cP [J/kg K], is the
ratio of the amount of heat required to raise the
temperature of a unit mass of a substance by one
unit of temperature to the amount of heat
required to raise the temperature of a similar
mass of a reference material, usually water, by
the same amount. They both are considered as
thermodynamic properties in the sense that they
pertain to the equilibrium state of the system.
When combined (qcP), they provide an indica-
tion of the ability of the material to store thermal
energy, i.e., their heat capacity [20]. Specific
values for representative materials are shown in
Table 10.1.
10.2.5.2 Conductivity, k
Thermal conductivity, k [W/m C], is a thermo-
physical property that provides an indication of
the energy transfer rate by conduction for a
particular material. For the same thermal gradi-
ent, heat flux will increase with k. In general
[20]: ksolids [ kliquids [ kgas.
10.2.5.3 Diffusivity, a
Thermal diffusivity, a [m2/s], measures the
materials ability to conduct heat in relation to
its capacity to store it [20]:
k
a 10:6
q cP
More diffusive materials respond faster to
thermal changes, i.e., they reach thermal equi-
librium before less diffusive materials. Thermal
diffusivity is therefore an important quantity in
all transient conduction problems.
10.2.5.4 Effusivity
Effusivity, e [Ws/m2K], is a thermo-physical
property relevant to transient surface heating
processes [24], which is present in all materials
(solids, liquids, pastes, powders, and gases).
10 Infrared Thermography 185

Table 10.1 Thermo-physical properties of selected materials, modified from [72]

Material k (W/ q (kg/ c P (J/ a (m2/ e (Ws1/2/
m K) m3) kg K) s) 9 10-7 m2 K)
Common Aluminum 237 2,702 903 971 24,047
materials (pure)
Aluminum 150 2,702 903 615 19,131
alloy
Asphalt 0.062 2,115 920 0.32 347
Ceramic 0.8 2,100 700 5 1,084
CFRP
|| fibers 7 1,600 1,200 36 3,666
^ fibers 0.8 1,600 1,200 4.2 1,239
Concrete 1.4 2,300 880 7 1,683
Epoxy 0.201 1,200 1,220 1.4 542
Glass 1,351
GFRP
|| fibers 0.38 1,900 1,200 1.7 931
^ fibers 0.3 1,900 1,200 1.3 827
Gypsum 0.51 4.7

KevlarR 0.04 1,440 1,400 0.198 284
Lead 35.3 11,340 129 241 7,186

Plexiglass 0.19 1,190 1,470 1.1 577
Steel
Mild 46 7,900 440 132 12,645
AINSI 302 @ 15.1 8,055 480 39 7,641
300 K
Tin 66.6 7,310 227 401 10,513
Wood (oak) 0.17 545 2,385 1.3 470
Simulated Air 0.024 1.2 1,006 199 5
defects Mylar 11.0
Polyamide 0.25 1,140 1,670 1 690
Teflon 0.25 2,170 1,050 1 755

Effusivity measures the material ability to
exchange heat with its surroundings, i.e., how it
reacts to temperature variations. It is calculated
as the square root of the product of the mate-
rials conductivity, density, and specific heat
[24]:
p using InSb (indium antimony, among other
e k q cP 10:7
The imaging equipment is now considered.
10.2.6 Infrared Cameras and Detectors
There are two main categories for infrared
cameras used for infrared thermography that can
be classified according to the infrared spectrum
in which they operate:
mid-wave infrared (MWIR) cameras,
which are usually fast (e.g., [100 Hz for a
640 9 512 detectors matrix), very sensitive
cameras (NEDT* as low as 15 mK) typically
detector materials) focal plane arrays, requir-
ing cryogenic cooling (*77 K, using liquid
nitrogen or a Stirling engines); or
long-wave infrared (LWIR) microbolome-
ters, usually slower (e.g., \60 Hz for a
640 9 512 detectors matrix) and less sensi-
tive (NEDT [ 60 mK) than MWIR cameras
but which do not require cryogenic cooling.
186
*NEDT is the noise equivalent differential tem-
perature, which is the key figure of merit used to
qualify infrared cameras, representing approxi-
mately the minimum temperature difference
which the camera can resolve [25].
Among the important criteria for camera
selection are operating distance, indooroutdoor
operation, temperature, and emissivity of the
bodies of interest. As Plancks law stipulates,
Eq. (10.3), high temperature bodies emit more in
the short wavelengths, consequently LWIR will
be of more interest to observe near room tem-
perature objects. Emitted radiation from ordin-
ary objects at ambient temperature (300 K)
peaks in this long wavelength range (see Eq.
(10.4) and Fig. 10.6). LWIR is also preferred for
outdoor operation where signals are less affected
by radiation from the Sun. For operating dis-
tances restricted to a few meters in the absence
of fog or water droplet, the atmosphere absorp-
tion has little effect.
One study has concluded that for temperature
comprised of the [-10 to +130 C] interval,
measurements can be done without significant
difference in both MWIR and LWIR bands, with
however a slight preference for MWIR devices
for which the errors in temperature measure-
ments are generally smaller [26]. For some
special applications, e.g., for the military, bi-
spectral, or dual-band cameras operating simul-
taneously in both bands have been developed in
order to characterize more accurately target
thermal signatures.
10.2.7 Preprocessing: Non-uniformity
Correction (NUC)
and Temperature Calibration
10.2.7.1 Noise Considerations
As seen above, in IR thermography, the two
quantities of interest are temperature spatial
distribution and its time relationship. If pro-
cessed appropriately, these quantities enable
detection and quantification of subsurface
abnormalities [27]. Other parameters derived
from these two quantities can be obtained such
as the temperature contrast, which is of interest
since it is less affected by noise. Noise in IR
C. Ibarra-Castanedo and X. P. V. Maldague
thermographic NDT can have various causes
such as [2, 28]:
noise from the IR detector;
electronic noise, such as noise resulting from
digitalization;
noise from external sources, such as back-
ground radiation, non-uniform heating in the
case of the active approach;
noise caused by the objects lack of homog-
eny, optical, and structural: absorptivity and
emissivity variations;
volume noise, variations in thermal properties
that are not regarded as defects.
Moreover, the testing procedure itself may
lead to disturbances if not performed carefully,
e.g., recording of the data, timing of the heating,
and selection of non-defect reference points. If
properly designed devices (12 or 14-bit interface
IR cameras) are used, digitalization noise can be
neglected. Moreover, if care is taken during the
inspection then only two kinds of noise are to be
considered: noise from the detector and struc-
tural noise. In practice, the volume noise is more
important. Consequently, a time domain analysis
provides a more reliable procedure in IR ther-
mographic NDT since volume noise has then a
lower effect. Finally, if noise is a problem,
thermograms can be smoothed through median
filtering, local averaging of pixels in a restricted
kernel (common method in 3 9 3 kernel, the
center pixel being replaced by the average of all
the pixels in the kernel) or more sophisticated
smoothing by sliding Gaussians [2].
Prior to the qualitative and quantitative
analysis of thermographic data, it is necessary to
preprocess the raw image sequence. This
involves two steps: (1) non-uniformity correc-
tion (NUC), which includes correction for
vignetting, noise suppression, and restoration of
bad pixels; and (2) conversion of raw pixel
values to temperature following a calibration
procedure [2].
10.2.7.2 Vignetting Effect
An example of vignetting is shown in Fig. 10.7.
This phenomenon is explained as follows [29]: if
we form a cone of rays from a point in the object
space, limited by the diaphragm of the lens, and
10 Infrared Thermography
Fig. 10.7 Image of a uniform temperature target (50 C)
acquired with an IR camera, the vignetting effect is visible
(the three squares correspond to reference points)
intercept this cone with the image plane that is
perpendicular to the lens axis, we shall find that
the intercept is a circle if the object lies on the
optical axis and more generally an ellipse if the
object is laterally displaced. Moreover, for many
lenses, the front and rear apertures are too small
to fully transmit oblique rays and a part of the
light cone may be cut off, causing an amplitude
reduction at the edges of the image.
In Fig. 10.7, the central bright area corre-
sponds to the portion of the sensor fully reached
by radiation and the dark area is due to a loss of
radiation caused by the limited lens aperture.
The three dots in Fig. 10.7 correspond to loca-
tions of the three reference points (discussed
below). Vignetting is also more severe if
expansion rings are used to restrict the field of
view due to the limited effective aperture
obtained in this case [30].
Vignetting depends both on pixel location
and on temperature difference between the target
and the ambient. Figure 10.8 illustrates the
impact of temperature on the vignetting effect
using thermograms recorded at three black body
temperatures, (respectively, 9, 22 and 50 C for
Fig. 10.8a, b and c. Cross-views of the temper-
ature distributions are presented next to the
thermograms to illustrate the effect of tempera-
ture on vignetting. It is noticed that vignetting is
present at low (9 oC, Fig. 10.8a) or high (50 oC,
187
Fig. 10.8c) temperature, while at ambient tem-
perature (22 oC, Fig. 10.8a) vignetting is prac-
tically unnoticed. Also noticed, is the fact that
vignetting has an opposite behavior (concave vs.
convex curvatures) depending if the temperature
is below or above ambient.
A complete preprocessing (NUC and tem-
perature calibration) example is presented in
Fig. 10.9 for a carbon fiber reinforced plastic
(CFRP) specimen with 25 Teflon insertions of
different sizes (from 3 to 15 mm in lateral size,
D) and at several depths (from 0.2 to 1.0 mm in
depth, z). Figure 10.9a shows the specimen
geometry and Fig. 10.9b presents a raw ther-
mogram, i.e., with no correction of any kind, at
t = 209 ms.
10.2.7.3 Fixed Pattern Noise
Fixed pattern noise (FPN) is the result of dif-
ferences in responsivity of the detectors to
incoming irradiance. It is a common problem
when working with focal plane arrays (FPA).
FPN for a particular configuration can be
recovered from a black body image for later
subtraction from the thermogram sequence.
Figure 10.9c shows an example of FPN extrac-
ted from a black body image at 18 C. The result
of subtracting Fig. 10.9c (FPN) from Fig. 10.9b
(raw thermogram) is shown in Fig. 10.9f. This
image was also corrected for vignetting and
defective pixels as explained below.
10.2.7.4 Defective Pixels
A defective pixel, also commonly referred as
badpixels, can be defined as an anomalous pixel
behaving differently from the rest of the array.
For instance, a dead pixel remains unlit (black)
while a hot or stuck pixel is permanently lit
(white), see Fig. 10.9d. In any case, defective
pixels do not provide any useful information and
only contribute to deteriorate the image contrast.
A map of defective pixels is generally known
from the FPA manufacturer or they can be
detected manually or automatically, the value at
defective pixels is then replaced by the average
value of neighboring pixels.
188
Fig. 10.8 Black body
temperatures at different
temperatures: a 9; b 22;
and c 50 C
10.2.7.5 Temperature Calibration
The next step consists of converting gray level
values into temperature. To do this, a series of
black body thermograms, ranging from the
minimum to the maximum operation tempera-
tures, are acquired. Least square regression is
then used to fit black body temperatures to
camera gray levels using a polynomial function
of the form:
T g a0 a1  g a2  g2 . . . an1  gn1 10.2.7.6 Post-processing: Noise
a n  gn
10:8
where g is the camera gray level, and n is the
polynomial degree, which is usually set between
3 and 4 to properly fit data.
C. Ibarra-Castanedo and X. P. V. Maldague
Figure 10.10 shows typical calibration curves
for three different infrared cameras. It is
important to point out that such a calibration
procedure is only valid for a specific experi-
mental setup. If the experimental conditions
change, it is obviously necessary to repeat the
process. For instance, such changes may involve
change of the objective, change of the operating
range of the camera or its integration time.
Smoothing
One of the most useful post-processing tech-
niques is noise smoothing. For instance, neighbor
processing can be performed by passing a mask or
kernel through the image. More elaborated noise
removal techniques are available; see for instance
10 Infrared Thermography 189

(b)
(a)
Lateral size, D= 30 cm A-A
3 mm
A z=
5 mm
1.0 mm
7 mm
10 mm
0.6
15 mm

30 0.2
cm

0.4
5 cm
0.8
5
A cm

10 plies 4000 6000 8000 10000 12000 14000

thick

(c) (d)

-400 -200 0 200 400 600 0 0.2 0.4 0.6 0.8 1

(e) (f)
Frame Rate = 157.83Hz, Integration Time = 1.244 ms
60

50

40
Temperature

30
Data
T = -29.0339
20 + 0.014862g
-1.4194e-006g2
10 + 7.7618e-011g3
-1.6834e-015g4
0
0 0.5 1 1.5 2
Gray level x 10
4
22 23 24 25 26 27 28


Fig. 10.9 a CFRP specimen with 25 Teflon inclusions
of different sizes and at several locations; b raw
thermogram at t = 209 ms after heat pulse; c FPN;
d thermogram showing defective pixels and the
vignetting effect; e temperature calibration curve; f ther-
mogram is corrected for FPN, badpixels, and vignetting
and calibrated in temperature
190 C. Ibarra-Castanedo and X. P. V. Maldague

Fig. 10.10 Typical

calibration curves for
different cameras

Fig. 10.11 a Unfiltered; (a) (b)

and b filtered with a
Gaussian (r = 2): spatial
profiles through the defects
(top); phasegrams
(middle); and segmentation
results using Cannys
method [2] for edge
detection (bottom)

Fig. 10.11, which shows the impact of Gaussian
filtering on defect segmentation results.
Figure 10.11a and b show the results before
and after applying the sliding Gaussian method
[2], respectively. Data was obtained from a steel
plate (50 9 100 9 2 mm3) with three flat-bot-
tom holes having the same depth (z = 1 mm)
and area (25 mm2) but different geometry:
1 9 25, 2.5 9 10, and 5 9 5 mm2.
As seen from the previous paragraphs, there
are many and varied energy sources, which can be
employed in different ways to inspect an object.
Most of the time heating sources are used since
they are easier to adopt for practical application
and cooling devices can however also be adopted
with analogs results. A detailed description of
these techniques is presented in the following
paragraphs starting with lock-in thermography.
10 Infrared Thermography
10.3 Lock-in Thermography
10.3.1 Basic Theory
Lock-in thermography (LT) also known as mod-
ulated thermography [31] is a technique derived
from photothermal radiometry [32]. In the later,
a small surface spot is periodically illuminated by
an intensity modulated laser beam to inject ther-
mal waves into the specimen. The thermal
response is recorded at the same time using an
infrared detector and decomposed by a lock-in
amplifier to extract the amplitude and phase of the
modulation [33]. Photothermal radiometry is a
raster point-by-point technique that requires long
acquisition times, especially in the case of deep
defects involving very low modulation frequen-
cies. Furthermore, extra hardware, i.e., lock-in
amplifier, is needed in order to retrieve the
amplitude and phase of the response.
Fortunately, it is possible to dramatically
simplify and speed up the acquisition process for
NDT applications by replacing: (1) the laser beam
with one or several modulated heating sources,
e.g., halogen lamps, that cover the entire speci-
men surface instead of only a point; (2) the
infrared detector with an infrared camera capable
of monitoring the whole (or a large part of the)
surface, typically 320 9 256, 640 9 512, or
higher pixel matrix configurations; and (3) the
lock-in hardware with a software capable of
recovering mathematically the amplitude and
phase of the response. This is what is known as
lock-in thermography [34].
Sinusoidal waves are typically used in LT,
although other periodic waveforms are possible.
Using sinusoids as input has however the
advantage that both, frequency and shape of the
response are preserved; only the amplitude and
phase delay of the wave may change with
respect to the input signal. This property of the
sinus and cosines functions is known as sinu-
soidal fidelity.
Energy is radiated to the specimen surface
using, for instance, a set of halogen lamps. At
the surface, energy (UV, visible, and IR) is
transformed to heat and the thermal waves
191
propagate through the material by conduction.
Internal defects act as barriers to heat propaga-
tion, which produces changes in amplitude and
phase of the response signal at the surface.
Heat diffusion through a solid is a complex
3D problem that can be described by the Fou-
riers law of heat diffusion (or the heat
equation) [23]:
1 oT
r2 T   0 10:9
a ot
where a = k/qcP [m2/s] is the thermal diffusiv-
ity of the material being inspected, k [W/mK] its
thermal conductivity, q [kg/m3] its density, and
cP [J/kgK] its specific heat at constant pressure.
The Fouriers law 1D solution for a periodic
thermal wave propagating through a semi-infinite
homogeneous material may be expressed as [35]:
 
z=l 2p  z
T z; t To e cos  xt 10:10
k
where T0 [C] is the initial change in tempera-
ture produced by the heat source, x = 2pf [rad/
s] is the modulation frequency, f [Hz] is the
frequency, k [m] is the thermal wavelength [35]:
k 2pl 10:11
and l [m] is the thermal diffusion length, which
determines the rate of decay of the thermal wave
as it penetrates through a material [35]:
r r
2a a
l 10:12
x pf
Figure 10.12 depicts the damping experi-
enced by a thermal wave as it travels through a
solid, an aluminum semi-infinite plate at 10 Hz
in this case, according to Eq. (10.10). As can be
seen in this figure, the amplitude of the wave-
form is already 1/535 its initial value after a
distance equivalent to a thermal wavelength, i.e.,
z = k, from Eqs. (10.10) and (10.11):
T(k,t) = T0e-2pcos(2p - xt) = T0/
535cos(xt).
According to Eqs. (10.11) and (10.12), the
thermal wavelength for a thermal wave depicted
192
12
10
A [arbitrary units]
8 The lamps send periodic waves (e.g., sinu-
6 soids) at a given modulation frequency x, which
z depends on the specimens thermal properties
4
e T=T 0 535
2 z=
0
-2
0 0.002 0.004 0.006 0.008
z [m]
Fig. 10.12 Thermal wave propagation by conduction
through an aluminum semi-infinite plate at 10 Hz
in Fig. 10.12 (f = 10 Hz through aluminum),
would be slightly more than k = 11 mm. A
thermal wave having the same frequency but
traveling through plastic (with a thermal diffu-
sivity 880 times lower than aluminum, see
Table 10.1), would have a thermal wavelength
close to k = 0.4 mm. This simple analysis
highlights an important observation, i.e., that
thermal waves propagate deeper in more diffu-
sive materials.
On the other hand, the frequency of a thermal
wave has also an impact on the thermal wave-
length. For instance, still in reference to the case
depicted in Fig. 10.12 (f = 10 Hz through alu-
minum), if the thermal wave frequency is
changed to f = 1 Hz the thermal wavelength
will be k = 35 mm. This led us to a second
interesting remark: a thermal wave can penetrate
deeper at low frequencies. These two observa-
tions are important to know when planning the
inspection of a part in order to correctly select
the working frequency and to determine the
depth of internal defects when possible.
10.3.2 Experimental Setup and Data
Acquisition
Figure 10.13 depicts a typical lock-in thermog-
raphy experimental setup. Two lamps are shown
although it is possible to use several lamps
C. Ibarra-Castanedo and X. P. V. Maldague
mounted on a frame to reduce the non-uniform
heating and/or to increase the amount of energy
delivered to the surface.
and the defect depth, see Eq. (10.12) above. At
z=
least one cycle is required although ideally,
periodic heating should be sustained until a
steady state is achieved.
ez Figure 10.14 shows an example of the raw
0.01 0.012 output signal for a sinusoidal input at two dif-
ferent points. As can be seen, noise is omni-
present and processing is required not only to
extract the amplitude and/or phase information
but also to de-noise the signal.
A four point methodology for sinusoidal
stimulation can be employed [34, 36] to calcu-
late the phase and amplitude from the response
signal as illustrated in Fig. 10.15.
The sinusoidal input signal I, is represented
on the top of Fig. 10.15, the response signal S is
depicted at the bottom. As mentioned before,
input and output have the same shape when
sinusoids are used, there is only a change in
amplitude and phase that can be calculated as
follows [36]:
q
A S 1  S 3 2 S2  S4 2 10:13
 
S1  S3
/ arctan 10:14
S2  S4
The 4-point method is fast but it is valid only
for sinusoidal stimulation and is affected by
noise. The signal can be de-noised in part by
averaging several points instead of a single one
and/or by increasing the number of cycles.
Another possibility is to fit the experimental data
using least squares regression [37] and to use
this synthetic data to calculate the amplitude and
the phase. These two alternatives contribute to
slow down the calculations.
More often, however, data processing is
performed using the discrete Fourier trans-
form or principal component thermography.
These techniques are described below.
10 Infrared Thermography 193

Fig. 10.13 Experimental halogen

setup for lock-in lamps
thermography thermal
internal wave
defect (sinusoidal)

I
control
t
unit
A IR
camera
t
Steady
state PC

specimen

3250 I
Raw data [arbirary units]

3235

3220 t

3205 s
0 0.5 1 1.5 2
Time [s] s1
s4
Fig. 10.14 Raw data output for 2 different points from a s3
s2
lock-in thermography experiment (modulated frequency:
f = 1 Hz). Two periods are shown

t
10.3.3 Advantages, Disadvantages,
Fig. 10.15 Four point methodology for amplitude and
and Applications phase delay estimation by lock-in thermography

Given that LT requires to perform an experiment

for each and every inspected depth and there is a
stabilization time before reaching a permanent
regime, inspection by lock-in thermography is in
general slower than other approaches such as
pulsed thermography, which will be described in
the following section. Nevertheless, LT phase-
grams probe deeper, are less affected by non-
uniformities of heating and by environmental
reflections than raw thermograms. A complete
LT experiment is carried out by inspecting the
specimen at several frequencies, covering a wide
range from low to high frequencies, and then a
fitting function can be used to complete the
amplitude or phase profiles for each point (i.e.,
each pixel). Nevertheless, since a direct rela-
tionship exists between depth and the modulat-
ing frequency, depth estimations from amplitude
or phase data are possible without further
194
processing. In addition, the energy required to
perform an LT experiment is generally less than
in other active techniques, which might be
interesting if a low power source is to be used or
if special care has to be given to the inspected
part, e.g., cultural heritage pieces, works of art,
frescoes, etc. [38].
Some typical applications include determi-
nation of coatings thickness, detection of del-
aminations, determination of local fiber
orientation, corrosion detection, and inspection
of cultural heritage [33, 38].
10.4 Pulsed Thermography
10.4.1 Basic Theory
In pulsed thermography (PT), the specimen
surface is submitted to a heat pulse using a high
power and fast heat source such as photographic
flashes. After the heat pulse reaches the surface,
the thermal front propagates, by diffusion, under
the surface. As time elapses, the surface tem-
perature decreases uniformly for a piece without
internal flaws. On the contrary, subsurface dis-
continuities, e.g., porosity, delaminations, dis-
bonds, fiber breakages, inclusions, etc., can be
thought as resistances to heat flow that change
the diffusion rate and produce abnormal tem-
perature patterns at the surface. If these patterns
are large enough they can be detected with an IR
camera, only a few mK is needed for detection
using modern thermal imaging equipment.
The 1D solution of the Fourier equation for
the propagation of a Dirac heat pulse, i.e., an
ideal waveform defined as an intense unit-area
pulse of larger brief duration that have no
measuring equipment is capable of distinguish-
ing it from even shorter pulses [39], in a semi-
infinite isotropic solid by conduction has the
form [23]:
Q z2
T z; t T0 p e 10:15
kqcP pt 4at
where Q [J/m2] is the energy absorbed by the
surface and T0 [K] is the initial temperature.
C. Ibarra-Castanedo and X. P. V. Maldague
60
z = 0 mm
z = 0.05 mm
50
z = 0.1 mm
z = 0.25 mm
T [arbitrary units]
40
30
20
10
0
0 50 100 150 200 250
t [s]
Fig. 10.16 Thermal profiles at four depths (z = 0, 0.05,
0.1, and 0.25 mm) for an aluminum plate subjected to a
uniform heat pulse
A Dirac heat pulse is composed of periodic
waves at all frequencies and amplitudes.
Although it is not possible to reproduce such a
waveform in practice, a photographic flash pro-
vides an approximately square-shaped heat
pulse, and can be considered as a fairly good and
convenient approximation. In this case, the sig-
nal can be decomposed by periodic waves at
several (but not all) frequencies. The shorter the
pulse, the broader the range of frequencies.
From Eq. (10.15), the thermal profiles at dif-
ferent depths for an aluminum specimen sub-
jected to a uniform heat pulse follows the behavior
portrayed in Fig. 10.16. The profiles correspond
to 4 depths: z = 0, 0.05, 0.1, and 0.25 mm.
Thermal evolution for deep defects starts at zero
and reaches a peak intensity at a given time
(longer for deeper defects) and then slowly decays
approximately as the square root of time. Shal-
lower defects show higher peak intensities earlier.
At the surface, the behavior is somehow different
starting at a high temperature and monotonically
decaying following approximately the square root
of time. At the surface (z = 0 mm), Eq. (10.15)
can be rewritten as follows:
Q
T 0; t T0 p 10:16
e pt
where e = (kqcP)1/2 [m] is the effusivity, which,
as discussed earlier, is a thermal property that
10 Infrared Thermography
Fig. 10.17 Experimental
setup for pulsed
thermography
internal
defect
specimen
measures the material ability to exchange heat
with its surroundings.
As can be seen from Eq. (10.16) and
Fig. 10.16, surface temperature will decay as a
function of t -1/2. Also seen from Fig. 10.16,
deeper defects will be observed later and with a
reduced contrast. In fact, the observation time
t is function (in a first approximation [2]) of the
square of the depth z and the loss of contrast c is
inversely proportional to the cube of the depth z:
z2 1
t and DT  10:17
a z3
where a is the thermal diffusivity of the material.
These relations indicate two limitations of the
IR thermography: observable defects will gen-
erally be shallow and the contrasts will be weak.
An empirical rule of thumb states that the radius
of the smallest detectable defect should be at
least one to two times larger than its depth under
the surface. This rule is often valid for homo-
geneous isotropic materials; in the case of
anisotropic media, validity is more constrained.
One reason for the success of PT is the quick-
ness of the inspection relying on a short thermal
stimulation pulse [40]. Such quick thermal stim-
ulation allows direct deployment on the plant
floor with convenient heating sources and the
brief heating prevents damage to the component
(heating is generally limited to a few degrees
above the initial component temperature).
195
flashes
I
t
heat pulse
(2 15 ms)
control
transient unit
T
state IR
t camera
PC
I
Although Eq. (10.16) is only an approxima-
tion of the complex 3D diffusion problem
described by Fouriers law, i.e., Eq. (10.9),
several processing techniques have been based
on this simplification to perform qualitative and
quantitative analysis, as discussed below. The
experimental setup is presented first.
10.4.2 Experimental Setup and Data
Acquisition
When compared to LT, data acquisition in PT is
fast and straightforward as illustrated in Fig. 10.17.
Two photographic flashes are employed to heat up
the specimens surface, after what, the thermal
changes at the surface are recorded with an infrared
camera. A synchronization unit is needed to con-
trol the time between the launch of the thermal
pulse and the recording with the IR camera.
Data is stored as a 3D matrix (see Fig. 10.18a)
where x and y are the spatial coordinates, and t is
the time. Temperature decreases approximately
as t1/2 (at least at early times), as predicted by Eq.
(10.16), except for the defective areas, where the
cooling rate is different (see Fig. 10.18b).
Although heat diffusion is a complex problem,
the relationship between defect depth and time,
simplified through Eq. (10.16), has been exploi-
ted by several researchers to develop qualitative
and quantitative processing techniques. There are
several techniques that have been developed or
adapted from other fields to process pulsed
196
Fig. 10.18 Temperature (a)
evolution: a data 3D
y t
matrix, and b temperature
profile for a defective
(dotted line) and non-
defective (continuous line) T Sa (t)
pixels
T d (t)
x
defect
t1 t2 t3
thermographic data, some of the most commonly
used include: thermal contrast, differential abso-
lute contrast, pulsed phase thermography, ther-
mographic signal reconstruction, and principal
component thermography. These techniques are
discussed in detail below.
10.4.3 Advantages, Disadvantages,
and Applications
Pulsed thermography is fast (a few seconds) and
easy to deploy. There are numerous processing
techniques available although many of them are
complex when compared to lock-in. Thermal-
based techniques are affected by non-uniform
heating, emissivity variations, environmental
reflections, and surface geometry. These prob-
lems, however, are dramatically reduced using
advanced processing algorithms. For instance,
pulsed phase thermography allows the recovering
of amplitude and phase data as in LT with the
advantage that, since a heat pulse can be seen as a
set of several periodic thermal waves launched at
once, several data points (amplitude or phase) can
be extracted from a single experiment.
10.5 Vibrothermography
10.5.1 Basic Theory
Vibrothermography (VT), also known as ultra-
sound thermography [41] or thermosonics [42],
utilizes mechanical waves to directly stimulate
internal defects without heating the surface as in
optical methods, e.g., LT and PT. If we thought
C. Ibarra-Castanedo and X. P. V. Maldague
(b)
T w(t)=Nt
T Sa (t)
T d (t)
t
... tN t t1 t2 t3 ... tN
of photothermal radiometry as being the prede-
cessor of optical lock-in thermography as men-
tioned before, vibrothermography can be
considered as the successor of optoacoustics or
photoacoustics [4244], in which microphones
or piezoceramics in contact with the specimen
and a lock-in amplifier were used to detect the
thermal wave signature from a defect. This was
performed in a point-by-point manner and lack
of practical interest at the time. The theory
behind, however, was the base for the later
development of VT.
In classical ultrasound testing, a transducer is
placed in contact with the sample with the help
of a coupling media. The ultrasonic waves travel
through the specimen and are transmitted back
to the surface where the transducer pick-up the
reflected signal (pulsed-echo technique), or they
are collected on the opposite side (transmission).
In any case, the principle of defect detection is
based on the differences in specific acoustic
impedances (Z) between materials. In VT,
ultrasonic waves travel freely through a homo-
geneous material, whereas an internal defect
produces a complex combination of absorption,
scattering, beam spreading, and dispersion of the
waves, whose primary manifestation will be in
the form of heat. Heat then travels by conduction
in all directions; an IR camera can be directed to
one of the surfaces of the specimen to capture
the defect signature.
Ultrasonic waves are ideal for NDT in the
sense that, defect detection is independent of its
orientation inside the specimen, and both inter-
nal and open surface defects can be detected.
Hence, VT is very useful for the detection of
10 Infrared Thermography
cracks and delaminations. Sonic waves, audible
for humans, vibrate between 20 Hz and 20 kHz.
The range for ultrasonic waves, not audible to
humans, is between 20 kHz and 1 MHz. Most
transducers operate from close to the sonic upper
limit 15 kHz to the ultrasound range at a maxi-
mum of 50 kHz. Unlike electromagnetic waves,
mechanical elastic waves such as sonic and
ultrasonic waves do not propagate in a vacuum;
on the contrary, they require a medium to travel.
They travel faster in solids and liquids than
through the air. This brings an important aspect
of VT: although contactless (through air) ultra-
sonics schemes have been investigated [45], the
common approach in VT is to use a coupling
media such as a piece of a humid fabric, water-
based gels, or aluminum, between the transducer
and the specimen to reduce losses. Hence, the
contactless characteristic of infrared ther- specimen, they travel through the material and
mography is lost in a sense, since the ultrasonic
probe needs to be in contact (or very close to it)
with the specimen in order to stimulate it. Image
acquisition, however, can of course, still be
carried out from a distance using an IR camera.
The next paragraph describes the experi-
mental setup for a VT experiment.
10.5.2 Experimental Setup and Data
Acquisition
All active thermography techniques (LT, PT,
SPT, etc.) can be carried out using any type of
energy source, i.e., optical, mechanical, induc-
tive, or other. However, PT is traditionally
associated with optical sources, since these were
the first to be employed. In the case of sound or
ultrasound stimulation, lock-in or pulsed con-
figurations can be adopted of course, but the
terminology is different.
For instance, when amplitude modulation is
used, the terms lock-in vibrothermography,
amplitude modulated ultrasounds, ultrasound
phase thermography, and some others. This
approach is illustrated in Fig. 10.19.
In a similar manner, when using pulsed
excitation it is commonly known as burst vi-
brothermography. The experimental setup for
burst thermography is presented in Fig. 10.20.
197
The ultrasound wave is produced by a transducer
made of a stack of piezo elements and concen-
trated in a titanium horn that acts like a hammer.
Hence, the part being inspected should be firmly
immobilized (but without damaging) to avoid
cantilever effects, clapping and sliding of the
transducer. The transducer horn should be
pressed against the sample as well to improve
the coupling transmission of the ultrasound into
the specimen. Insertion of a material between
the transducer and the sample is necessary not
only as a coupling medium, but also to avoid
damage of the sample and correct misalignment.
A bad coupling implies a poor ultrasound
transmission but more seriously it creates
unwanted heat in the vicinity of the ultrasound
injection point.
After the elastic waves are injected to the
dissipate their energy mostly at the defects so
that heat is locally released. The thermal waves
then travel by conduction to the surface, where
they can be detected with an IR camera.
It should be mentioned that it is also possible
to modulate the frequency either in lock-in or
burst VT [46]. This procedure is sometimes
called wobbulation. The idea is to cover a range
of ultrasonic frequencies, instead of only one,
since it is not always possible to predict the right
frequency for a particular application. Ultrasonic
wobbulation can be compared to a heat pulse,
which is composed of thermal waves at many
frequencies. Wobbulation is useful as well to
prevent the appearance of standing waves, which
are produced when working at the natural har-
monics resonance frequency of the material. In
practice, however, it is sometimes preferable to
repeat the acquisition at a different frequency
since the commercial transducers commonly
used are not suitable for frequency modulations.
When compared to optical/external tech-
niques, the thermal wave travels half the dis-
tance in a VT experiment since heat propagation
is performed from the defect to the surface,
whereas for optical techniques heat travels from
the surface to the defects and back to the surface.
Hence, VT is very fast, even faster than PT. A
typical experiment last from a fraction of a
198 C. Ibarra-Castanedo and X. P. V. Maldague

Fig. 10.19 Configuration control

for lock-in PC
unit
vibrothermography ultrasonic
transducer
(15-50 kHz)
coupling
material
2
1, 2 1
lock-in I

t
internal IR
defect 2
camera
A 1
t

specimen steady state

Fig. 10.20 Configuration control

for burst PC
unit
vibrothermography ultrasonic
transducer
(15-50 kHz)
coupling
material

burst
T

internal IR
defect camera
t
heat up +
transient cooling

specimen

second to several seconds. In addition, the 10.5.3 Advantages, Disadvantages

longer the transducer operates at the surface; the
most heat is released at the contact surface,
increasing the probability of damaging the area.
Furthermore, the pressure applied between the
horn and the specimen has a great impact on the
thermal response [47].
Although raw thermograms present some-
times good enough contrast to detect defects,
some processing is required most of the time. As
for the case of LT and PT, the FFT algorithm
can be used and amplitude and phase images are
recovered through Eqs. (10.24) and (10.25).
and Applications
In either lock-in or burst configurations, VT is
very fast. Sample preparation is much longer
though, it is necessary to relocate the transducer
(and to immobilize the specimen again) to cover
a large area for inspection. Hence, VT is more
suitable for relatively small objects. It is the
most appropriate technique to inspect some
types of defects, e.g., detection of micro cracks
[16, 17]. On the contrary, it does not perform
very well in some other cases in which
10 Infrared Thermography
application of optical techniques are straight-
forward, e.g., water detection. But probably the
most inconvenient aspect of VT is the need of a
coupling media between the sample and the
transducer, and the need of tightly holding the
specimen. On the other hand, there is only
minimal heating of the inspected specimen since
energy is usually dissipated mostly at the
defective areas, although there might be some
localized heating at the coupling and clamping
points. Precautions must be taken to avoid the
damaging of the sample surface with the horn,
and also to find an appropriate insertion point for
the sonic energy that will not create blind spots
where anomalies are undetectable. Moreover,
there are a numerous experimental aspects that
must be addressed at every experiment [47, 48].
For instance, the pressure applied between the
horn and the specimen, the contact area between
the horn and the specimen and the duration of
the stimulation have a great impact on the
thermal response.
Finally, the longer the transducer operates at
the surface; the most heat is released at the
contact surface, increasing the probability of
damaging the area.
10.6 Induction Thermography
10.6.1 Basic Theory
This technique uses the concept of electromag-
netic induction to generate high-density currents
in an electro-conductive material. The heat
produced by the induced currents diffuses in the
material and the specimen surface temperature
rise is measured with an infrared camera. As in
the case of optical and mechanical excitation,
active thermography with induction heating can
be used to detect surface and subsurface defects
in a safe and contactless manner, and can be
deployed in the form of either energy pulses
(pulsed thermography) or amplitude modula-
tions (lock-in thermography).
The principle of defect detection by induction
thermography is based on the fact that more heat
is generated around defects (located within the
199
eddy currents penetration depth) than in non-
defective areas in the material due to an increased
current density [49, 50]. Contrary to optical
techniques for which heat is applied to the spec-
imen surface, in induction thermography heat
reaches a certain depth that is dictated by the
penetration depth or skin effect. The skin effect is
the tendency of an alternating electric current to
distribute itself within a conductor so that the
current density near the surface of the conductor
is greater than that at its core. The skin depth d,
given by the following expression [51]:
q
d p 10:18
p  l0  lr  f
where l0 [H/m] is the magnetic permeability of
vacuum (4p 9 10-7 H/m), lr [dimensionless] is
the relative permeability, q [Xm] is the resis-
tivity of the material under inspection, and f [Hz]
is the excitation frequency.
Nevertheless, depending on the material and
the test configuration, the detection of defects
might not be limited to the eddy current depth of
penetration. Instead, the depth range for defect
detection with induction thermography is a
combination of eddy-current penetration depth,
given by Eq. (10.18), and the depth range of the
thermal wave, given by Eq. (10.12) due to the
modulated induction frequency (Fig. 10.1).
For example, in ferromagnetic material such
as carbon steel, even if the eddy currents are
limited to the surface (due to the skin effect),
heat can diffuse much deeper, providing, for
instance a good sensitivity to corrosion. Detec-
tion of defects up to 4 mm under the surface has
been reported [52].
10.6.2 Experimental Setup and Data
Acquisition
Among the different active thermography tech-
niques, eddy current thermography is probably
the most suitable for the development of hand-
held portable scanning systems. Figure 10.21
illustrates a typical experimental setup. The
induction coil used for heating can be easily
shaped and adapted to the specimen geometry. It
is even possible to generate currents with a
200
Fig. 10.21 Experimental
setup for induction
thermography Induction
heating
Induction coil
internal
defect
specimen
specific orientation in the material in order to
select the type of defects to be stimulated. Up to
now, different approaches have been proposed to
deploy the eddy current thermography technol-
ogy: pulsed, lock-in, and line scan. Nevertheless,
in many cases, the electromagnetic induction is
generated with air core coils, which are simple
to build but, depending on the configuration,
they might not provide an adequate coupling
with the specimen. For small specimens, an
optimum coupling can be achieved by placing
the sample inside the coil. However, such con-
figuration is difficult to implement when large
components are to be inspected and the induc-
tion coil has to be placed over the specimens.
Depending on the coil orientation and lift-off,
the power requirement to create a sufficiently
large temperature contrast on the surface can be
very high and the coil may become quite hot
during the inspection if there is no cooling sys-
tem. To be successful in the development of a
portable eddy-current thermography system, it is
essential to reduce the power requirements as
much as possible. Such reduction in power can
be obtained by reducing the size of the induction
coil, and by concentrating the magnetic field in a
small zone of interest in the material. Previous
works have investigated the use of ferrite
material to concentrate the magnetic field into
the specimen to reduce the power requirement
[53]. With a smaller and cooler induction coil, it
will be much easier to perform manual in-
C. Ibarra-Castanedo and X. P. V. Maldague
control
PC
unit
IR
camera
t
heat up +
transient cooling
service inspection. The main drawback will be a
longer time to cover a large surface [53].
10.6.3 Advantages, Disadvantages,
and Applications
Induction thermography is potentially most suit-
able to portable systems among the active tech-
niques, since the electromagnetic coils can be
considerably small and shaped to fit the object
geometry. The principal difficulty to overcome
this sense would be the size of the power source
required to generate eddy currents. The main
limitation related to induction thermography is
the requirement for the inspected part to be
electro-conductive, which reduces the number of
materials suitable for induction thermography
inspection. Still, it is a very attractive technique
for some specific applications such as crack
detection in metallic parts of regular geometry
as is the case for the rotor wedges [54].
10.7 Other Techniques
10.7.1 Step Heating Thermography
(SHT)
Contrary to the pulsed thermography stimulation
scheme, for which the temperature decay is of
interest, here the increase of surface temperature
is monitored during the application of a step
10 Infrared Thermography 201

Fig. 10.22 Experimental

setup for step heating
thermography

Fig. 10.23 Surface

temperature profiles versus
t1/2 for a series of zirconia
coatings of different
thicknesses for a 1 s step
heating pulse of:
a theoretical computations,
b experimental results

heating pulse. Variations of surface temperature
with time are related to specimen features as in
PT. This technique is also referred as time-
resolved infrared radiometry or TRIR [55].
Figure 10.22 shows the experimental setup for
SHT experiments. An argon laser is used to point
or line heat the specimen and is time gated using
an acousto-optic modulator allowing a variety of
pulse lengths. If the specimen is opaque at the
argon wavelength (0.514 lm) then surface heat-
ing is obtained.
Dedicated electronics allow synchronizing laser
heating with respect to IR camera frame rate (notice
that the IR camera operates here in the line mode).
SHT finds many applications such as for
coating thickness evaluation (including multi-
layered coatings) and integrity of the coating-
substrate bond determination or evaluation of
composite structures.
Figure 10.23 shows the effect of coating
thickness on specimen temperature [55]. Tem-
perature is plotted versus the square root of time
since this linearizes the result for the semi-infinite
response. All the curves of Fig. 10.23 exhibit the
same linear behavior at early times but at later
times each curve begins to drop below the semi-
infinite case at a characteristic time tc set by the
coating thickness following Eq. (10.17):
L2
t 10:19
a
where L is the coating thickness.
For times longer than tc, the heating front
reaches the substrates (of higher thermal con-
ductivity than the coating for this example) and
the rate of temperature decreases. In the case of
a thermally insulated substrate, instead of a drop
202
as shown in Fig. 10.23, the rate of temperature
increases (the curves would depart above the
semi-infinite case).
10.7.2 Line Scan Thermography
Line scan thermography (LST) configuration
allows large panels to be inspected at a fast pace,
up to 1 m2/s in some instances. This may be
convenient for inspection of laminates, to look
for bonding integrity between a core and a skin.
Three types of measurement are possible:
temperature line scan at a specific time;
collection of temperature line scans as function
of time over a location of the specimen); and
an image at a specific time (TRIR xy are
constructed on a line by line basis with the
specimen mounted on a positioning stage
moved step by step, of course TRIR x
y image can be obtained at any desired time
interval after starting the heating pulse).
The distance d between the thermal stimulation
area and the observation area is an important
parameter, which is related to potential subsurface
flaw depth. This configuration may be reverted, in
this way the line heater is mounted on the slide and
the part is not moving. The inspection can proceed
in transmission (IR camera on one side and heater
on the other) or in reflection (IR camera and heater
on the same side). Such lateral motion is advanta-
geous since heating uniformity is obtained along
the moving direction, which may not be the case of
a static configuration. In addition, such lateral
motion allows interesting image processing pos-
sibilities by integrating multiple images for noise
reduction [2].
In the configuration schematized in
Fig. 10.24a, the sample is moving while the
heating source and the IR camera are static.
Figure 10.24b shows a photo of an actual
inspection using such a configuration. It is also
possible of course, to move the heater through
the sample, while the camera and the inspected
object are static, as in Fig. 10.24c. Last, an
alternative configuration would be one in which
the object is static, while the camera and the
heating source move across the surface.
C. Ibarra-Castanedo and X. P. V. Maldague
For the last configuration, a robot can be
employed. In order to maintain a fast inspection
pace in case of repetitive inspection tasks on
same parts or for the inspection of large struc-
tures, it may be of interest to mount the ther-
mographic inspection head on a robotic
manipulator. In one reported case, as compared
to a traditional radiographic or point by point
ultrasonic method, such thermographic robot-
ized scheme enabled to reduce inspection costs
by 3060 % (inspection of diffusion bonded
structures used for the F-15E fuselage [56]).
Two approaches are possible for such task: the
robot arm can be moved to preprogrammed
locations or the robot can precede with more
autonomy by mapping itself the shape curvature
of the part to inspect with a tridimensional range
sensor [2]. In the second approach, the self-
navigation capability of the system relaxes the
positioning of the structure to inspect; Fig. 10.25
shows a picture of such an inspection system.
This system works with a two-step procedure.
In the first step, the thermographic system is
disabled while the ranging system performs the
3D survey of the surface. Two lines of 256
ranging points are recorded (one at a time) and
these points are associated three by three to form
triangles whose normal is computed. These ori-
entations are used to determine whether or not the
robot end-defector orientation and height above
the surface are adequate. If correct, the robot
pursue its displacement otherwise a correction is
applied in order to maintain the perpendicular
orientation of the head with respect to the scanned
surface. After complete surface scanning, all the
triangles are projected over a parametric model of
the inspected surface. At this point the observed
surface is modeled and the system is ready for the
second step during which the ranging system is
turned off and the thermographic inspection
proceeds. Robot movements are based on the
model of the surface recorded during the initial
step. At this point a scanning strategy is required
so that heat spreading from one field to the next is
minimized. The complete system is controlled
from a computer. A 1.2 kW back-reflector line
heating is used.
10 Infrared Thermography 203

Fig. 10.24 a Configuration for the inspection of large components mounted on a moving slide, b sample moving,
c heater moving

Fig. 10.25 NDT Robotic inspection with self-navigation capability: a schematic diagram; b inspection head (insert)
and complete configuration with the robot; and c inspection of a complex shaped specimen

For specific applications, additionally to cost automation of the inspection procedure and data
reduction as discussed previously, such robotic acquisition.
thermographic inspection procedure has several Regardless of the active thermography tech-
advantages in term of reliability, repetitively, nique, active thermographic sequences are
204
affected by noise. It is thus important to discuss
now about a few of the most important pro-
cessing techniques.
10.8 Data Processing
10.8.1 Thermal Contrast-Based
Techniques
Thermal contrast is a basic operation that despite
its simplicity is at the origin of several of the PT
analysis. Various thermal contrast definitions
exist but they all share the need to specify a
sound area Sa, i.e., a non-defective region within
the field of view. For instance, the absolute
thermal contrast DT(t) is defined as [2]:
DTt Td t  TSa t 10:20 few images (at least one image at time t0 in
with T(t) being the temperature at time t,
Td(t) the temperature of a pixel or the average
value of a group of pixels, and TSa t the tem-
perature at time t for the Sa. No defect can be
detected at a particular t if DT(t) = 0.
Typically, a sound region in the image is
identified either automatically or by an operator
and next DT is computed for all the thermograms
in the temporal sequence. Advantages of com-
puting DT is a better visualization of defect with
respect to the background, on the other hand
DT is linearly related to the absorbed energy and
this limits comparisons among experiments.
Besides the absolute thermal contrast, there
exist a few other thermal contrast definitions that
are intended to reduce the impact of optical and
thermographic non-uniformities and artifacts,
these are [2, 28]: the running contrast, the
normalized contrast, and the standard con-
trast, are defined as follows:
DTtabs Td t  TSa t 10:20a
Td t  TSa t DTtabs
DTtrun 10:20b
TSa t TSa t
Td t TSa t
DTtnorm  10:20c
Td tmax TSa tmax
C. Ibarra-Castanedo and X. P. V. Maldague
Td t  Td t0
DTtstd 10:20d
TSa t  TSa t0
where tmax is the time of maximum thermal
contrast, t0 is the time before heating.
The main drawback of all these thermal
contrast is establishing TSa , especially if auto-
mated analysis is needed. Even when TSa defi-
nition is straightforward, considerable variations
on the results are observed when changing the
location is well-known [57].
10.8.2 Differential Absolute Contrast
In the differential absolute contrast (DAC)
method [58], instead of looking for a non-
defective area, an ideal Sa temperature at time
t is computed locally assuming that on the first
particular, see below) this local point behaves as
a Sa in accordance to Eq. (10.16), i.e., there is no
defect visible. The first step is to define t0 as a
given time value between the instant when the
pulse has been launched t0, and the precise
moment when the first defective spot appears on
the thermogram sequence, i.e., when there is
enough contrast for the defect to be detected, t1.
At t0 , there is no indication of the existence of a
defective zone yet, therefore the local tempera-
ture for a Sa is exactly the same as for a defec-
tive area [59]:
p
TSa t0 T t0 epQ
pt0
) Qe pt0  T t0
10:21
From this result, TSa can be computed for
every pixel at time t. Substituting Eq. (10.21)
into the absolute contrast definition, i.e., Eq.
(10.20), it follows that [59]:
r
t0
DTdac Tt   T t0 10:22
t
Actual measurements diverge from the solu-
tion provided by Eq. (10.22) as time elapses and
also as plate thickness enlarges with respect to
the non-semi-infinite case. Nevertheless, DAC
has proven to be very efficient in reducing
10 Infrared Thermography
Fig. 10.26 a Raw 3D thermogram; and b automated DAC procedure applied to a Plexiglas plate with six flat-
bottomed holes at different depths
artifacts from non-uniform heating (as seen in
Fig. 10.26) and surface geometry, and to provide
a good approximation even for the case of
anisotropic materials [60] at early times.
Originally, proper selection of t0 required an
iterative graphical procedure, for which a
graphical user interface was developed [61]. An
automated algorithm is also available [62].
Furthermore, a modified DAC technique has
been developed as well [63]. It is based on a
finite plate model, which includes the plate
thickness L explicitly in the solution, extending
in this way the validity of the DAC algorithm to
later times.
10.8.3 Phase Thermography
with the Discrete Fourier
Transform
The discrete Fourier transform (DFT) can be
used to extract amplitude and phase information
from lock-in thermography and pulsed thermo-
graph data. Later, the term pulsed phase ther-
mography is used [64]. The DFT can be written
as [39]:
X
N1
Fn Dt T kDt expj2pnk=N Ren Imn
k0
10:23
205
where j is the imaginary number (j2 = -1),
n designates the frequency increment
(n = 0,1,N); Dt is the sampling interval; and
Re and Im are the real and the imaginary parts of
the transform, respectively.
In this case, real and imaginary parts of the
complex transform are used to estimate the
amplitude and the phase [64]:
q
An Re2n Im2n 10:24
 
Imn
/n tan1 10:25
Ren
The DFT can be used with any waveform,
such as transient signals as in pulsed thermog-
raphy and burst phase vibrothermography, and
has the advantage of de-noising the signal.
Although very useful, Eq. (10.23) is slow.
Fortunately, the Fast Fourier transform (FFT)
algorithm is available [65] to be implemented or
can be found in common software packages.
One of the most interesting characteristics of
the phase (and amplitude) data is that they
confers the possibility to perform quantitative
operations in a straightforward manner. As dis-
cussed previously, a direct relationship exists
between the depth of a defect and the thermal
diffusion length, l [43], i.e., Eq. (10.12). For
instance, empirical expressions have been
206
proposed [66, 67] to relate the depth of a given
defect to the heat source frequency using a
relationship of the form:
r Phase / is of particular interest in NDE given
a
z C1  l C1  10:26 that it is less affected than raw thermal data by
p  fb
where fb is known as the blind frequency [68],
i.e., the frequency at which a given defect have
enough (phase or amplitude) contrast to be
detected (at frequencies higher than fb is not
possible to detect it), and C1 is an empirical
constant.
It has been observed that C1 * 1 when using
amplitude data [43], while reported values when
working with the phase are in the range
1.5 \ C1 \ 2 [43, 6669], with C1 = 1.82 typ-
ically adopted [66, 67] following the research
work by Thomas et al. 1980 [70]. The phase is
therefore of more interest in NDT than the
amplitude, since deeper probing is possible.
Moreover, the ratio involved in Eqs. (10.14) and
(10.25), cancels part of the artifacts related to
non-uniform heating, environmental reflections,
emissivity variations, and surface geometry
variations.
Figure 10.27 shows an example of phase-
grams obtained at 4-modulating frequencies by
processing lock-in thermography data with the
FFT algorithm.
10.8.4 Pulsed Phase Thermography
In the case of pulsed thermography, data is
transformed from the time domain to the fre-
quency spectra using the one-dimensional DFT,
i.e., Eq. (10.23). This is known as pulsed phase
thermography (PPT) [64, 71]. The use of the
DFT, or more precisely the FFT on thermo-
graphic data was first proposed by Maldague and
Marinetti in 1996 [64]. As for the case of LT,
the amplitude and the phase can be computed
from Eqs. (10.24) and (10.25). The frequency
components can be derived from the time
spectra as follows:
n where S is the scaling factor that is related to the
fn 10:27
N  Dt
C. Ibarra-Castanedo and X. P. V. Maldague
where n designates the frequency increment
(n = 0,1,N), Dt is the time step, and N is the
total number of frames in the sequence.
environmental reflections, emissivity variations,
non-uniform heating, surface geometry, and
orientation. These phase characteristics are very
attractive not only for qualitative inspections but
also for quantitative characterization of materi-
als. For instance, a depth inversion technique
using the phase from PPT and Eq. (10.26) is
available [72].
The FFT is typically used to extract ampli-
tude and phase information. Nevertheless, it is
also possible to use different transformation
algorithms such as the wavelet transform [73].
The later has the additional advantages of pre-
serving the temporal information after the
transformation and to use wavelets as the basis
function instead of sinusoids. Wavelets are
periodic waves of short duration that allow to
better reproduce a transient signal and to use
different scales or resolutions [74]. The wavelet
transform is expressed as follows:
Z1
Wf S; T f thST tdt Re jlm
1
10:28
where f(t) is the time depending signal whose
WT is computed, S is the shifting factor (asso-
ciated with the frequency as in FFT), and T is the
translation factor associated with the time, f(..) is
the temporal function the wavelet is to be
computed on, t is the time, Re is the real part of
the transform, Im is the imaginary part of the
transform, i is the imaginary number (-11/2),
and * means the complex conjugate. Function
hST(t) is generated by translating and scaling the
Motherwavelet h(t):
1 tT
hST t p h 10:29
S S
frequency and T the translation factor associated
10 Infrared Thermography 207

f = 0.01 Hz f = 0.04 Hz f = 0.1 Hz f = 0.5 Hz

Fig. 10.27 Phasegrams at different frequencies for a 7.6 cm thick honeycomb plate inspected by lock-in
thermography

with the time. In a reported application, the
Morletwavelet was selected as the Mother
wavelet [2]. Since a univocal relationship exists
between the translation factor and depth of zone
of interest, calibration, and inversion of this
parameters are possible.
10.8.5 Thermographic Signal
Reconstruction
Thermographic signal reconstruction
(TSR) [75,76] is an attractive technique that
allows increasing spatial and temporal resolution
of a sequence, reducing at the same time the
amount of data to be manipulated. TSR is based
on the assumption that, temperature profiles for
non-defective pixels should follow the decay
curve given by the one-dimensional solution of
the Fourier Equation, i.e., Eq. (10.16), which
may be rewritten in the logarithmic form as:
 
Q 1
lnDT ln  lnpt 10:30
e 2
The first term in Eq. (10.30) is a constant
corresponding to an offset related to the absor-
bed energy and material property, and the sec-
ond term corresponds to a straight line of slope
-. Next, an n-degree polynomial is fitted for
each pixel [76]:
Typically, n is set to 4 or 5 to insure a good
correspondence between data and fitted values.
Synthetic data processing brings interesting
advantages such as: significant noise reduction,
possibility for analytical computations, consid-
erably less storage is required since the whole
data set is reduced from N to p ? 1 images (one
per polynomial coefficient), and calculation of
first and second time derivatives from the syn-
thetic coefficients is straightforward.
In addition to raw temperatures that can be
reconstructed in TSR, it was shown that first and
particularly second time derivative were efficient
at deciphering faint signals [77]. Furthermore,
TSR data can be used in combination with other
algorithms, e.g., the combination of PPT and
TSR has proven to be very effective in reducing
noise and allowing the depth retrieval of defects.
Figure 10.28 presents the phasegrams at three
frequencies for the case of PPT applied to raw
thermograms (top) and to synthetic data
obtained by TSR from a military aircraft com-
ponent. The de-noising effect of the polynomial
fitting is evident when comparing raw (top) and
synthetic (bottom) results at 0.039 and 1.2 Hz,
Fig. 10.8b and c, respectively.
10.8.6 Principal Component
Thermography

lnDT a0 a1 lnt a2 ln2 t . . . Principal component thermography (PCT)

ap lnp t exploits the decomposition of the time-varying
10:31 temperature signal using more appropri-
ate functions than oscillatory ones as in PPT
208
Fig. 10.28 De-noising of phase by applying the PPT algorithm to synthetic data by TSR: raw (top) and synthetic
(bottom) PPT phase at f = a 0.015, b 0.039, and c 1.2 Hz [75]
because of the monotonic nature of infrared
NDT (IRNDT) signals. In fact, PCT decomposes
data into a set of orthogonal statistical modes
(known as Empirical Orthogonal Functions or
EOF) obtained through Singular Value Decom-
position (SVD). Assuming data are represented
as an M x N matrix A (M [ N). Then the SVD
allows writing:
A U  R  VT 10:32
with R being a diagonal NxN matrix (with sin-
gular values of A present in the diagonal), U is
an MxN matrix, and VT is the transpose of an
NxN matrix (characteristic time). If IRNDT data
(typically temperature are used) is arranged as
time along the columns and space along the
rows, then it is shown that the columns of
U represent a set of EOFs describing spatial
variations of data, the first being typically (but
not always, see Fig. 10.29) associated with the
spatial field with exponential decay and second
to the non-uniform field correlated with struc-
tural anomalies [78]. It should be noticed that
simultaneous manipulation of three matrixes
limits the size of involved matrixes.
C. Ibarra-Castanedo and X. P. V. Maldague
Figure 10.29 shows the first five EOFs for a
CFRP specimen obtained after applying PCT.
The inclusions, ranging from 3 to 15 mm in
lateral size, are distributed in rows having the
same depth (from top to bottom: z = 1.0, 0.6,
0.2, 0.4, and 0.8 mm). Two cases are consid-
ered: data with no preprocessing (vignetting,
fixed pattern noise) at the top row, and prepro-
cessed data with cold image subtraction at the
bottom. Later EOFs show mostly noise. For the
uncorrected case, the first image (EOF1) shows
the vignetting effect and the fixed pattern noise
(FPN). The FPN is still present at the second
image (EOF2), but it no longer shows any
vignetting, non-uniform heating shows up
instead. Interestingly, the next three EOFs do not
present any of these degradation sources, only
defects, and the specimen fiber matrix are seen.
From these images, it is possible to detect 22 of
the 25 inclusions.
For the case when PCT is applied to prepro-
cessed data, there is no vignetting or FPN but is
still strongly affected by non-uniform heating.
Non-uniform heating is well distinguished in
EOF1 but is no longer visible on later EOFs.
Defect visibility is improved with respect to the
10 Infrared Thermography
Fig. 10.29 PCT results for the case of uncorrected data (top), and for preprocessed data (bottom) with cold image
subtraction: a EOF1; b EOF2; c EOF3; d EOF4; and e EOF5
uncorrected case; it is possible now to detect 24
of the 25 inclusions with EOF2 to EOF5, and the
fiber matrix can be seen in EOF2.
10.8.7 Statistical Method
Statistical behavior of regions of interest such as
background and defects has also being exploited
for depth classification. The principle, illustrated
in Fig. 10.30, is that temperature, phase, and
amplitude can be modeled under some circum-
stances (such as in case of white noise sour-
ces) by a Gaussian random process [2].
This statistical technique involves two pha-
ses. First, a calibration or learning phase in
which data images with defects of known depths
and background location are made available so
that local means m and standard deviation s are
computed at each time increment and for each
zone of interest (background and known
defects). In the subsequent analysis step,
unknown pixels are analyzed and individual
probabilities are computed with m and s for a
given pixel to be part of a given class. Assuming
statistically independent events, individual
probabilities (at different time increment) can be
multiplied together to form a global probability.
The winning rule is then simple: the largest
wins. This statistical method can be deployed
with raw temperature, contrast, or PPT (ampli-
tude or phase) data.
209
10.8.8 Quantification
10.8.8.1 Defect Detection
One of the issues of using thermographic NDT is
to reveal presence of subsurface flaws. In fact it
is reported that in 80 % of the applications, one
is only interested to detect defects on a go/no go
basis. In this respect, a primitive approach is just
to have an operator looking at live thermograms
on the screen: dynamic filtering by the eye-brain
entity reduces noise and if correctly trained, the
operator will be able to distinguish between
defect and non-defect area.
If an automated approach is preferred, as in
case of repetitive inspection and/or to have a
more objective and reliable discrimination, a
convenient approach is: first to compute contrast
images and then apply a threshold of value Tth.
In the case of a hot thermal perturbation, the
following approach is simple: if pixel values are
greater than Tth in the contrast images they are
set to 1, otherwise they are set to 0. A defect is
indicated by a value of 1 in the processed image.
The obvious difficulty of this approach is to
select the value of the threshold. To circumvent
this difficulty, different algorithms are proposed
to automatically detect defects [2]. The inter-
esting point of these algorithms is that they are
based on a distance criteria instead of an
amplitude threshold. Figure 10.31 shows the
result of one of the algorithms.
210
Fig. 10.30 Statistical method for defect characterization: a learning phase, b analysis phase, c PPT phasegram for an
aluminum plate with simulated corrosion (43, 52, and 62 %)
It is often important to record a sequence of
thermograms since thermal contrasts evolve as a
function of time. Hundred of images are easily
recorded on a typical experiment, even if a
logarithmic time scale is used to save disk space
(i.e., more thermograms are recorded at the
beginning of the experiment when thermal
events are quick while thermograms are aver-
aged by time zones with more images averaged
together at later time when the signals get
weaker, thus improving the signal to noise ratio).
Obviously, the processing of hundred of images
C. Ibarra-Castanedo and X. P. V. Maldague
is a tedious task, the moment method initially
introduced by Balageas [79] is interesting to
compress all this data. Practically, it is imple-
mented by summing together all the thermo-
grams in the time interval (t1, t2) when thermal
contrasts from defect are likely to arise. Such
moment method can also be implemented in the
case of lateral inspection, i.e., when the part and
the infrared inspection head moves with respect
to the other.
It is of interest to have statistical criteria in
order to valid the detection procedure. The
10 Infrared Thermography
Fig. 10.31 First part of the algorithm and segmented
image of a graphite epoxy panel damaged by impacts.
Crosses indicate the position of the defects (seeds) as
located by the algorithm. What seems to be a false
Tanimoto reliability detection criterion [2] can
be used for this purpose, it is defined as follow:
NR  NM
R 10:33
NR NF
with NR being the number of real defects, NM the
number of missed defects, and NF the number of
false readings. If a great number of specimens
can be inspected and possibly destroyed to
confirm the existence of defect, or inspected
using another method such as X-rays or ultra-
sounds, a reliable value of R can be established.
10.8.8.2 Defect Sizing
In this section, we address the issue of defect
sizing. The traditional approach for defect sizing
is the gradient image for which the gradient of the
contrast image is computed when thermal con-
trast is maximum. At the basis of this approach is
the following argument: defect visibility is at its
maximum at peak contrast, when defect detection
is more likely to occur. This is particularly true
211
reading is visible on the left, although the delamination
can stretch over large distances. Static configuration,
field of view 4 9 4 cm
for weak defects (for instance reports indicate that
limit of visibility for thermographic corrosion
detection is about 8 % [30]). It is reported that
such gradient method is accurate to about 5 % in
the case of polymer and CFRP components [2].
More recently, however, authors have reported
about an early detection which is based on the
following argument: of course, if we wait for
maximum thermal contrast to develop, the visi-
bility of a defect will be enhanced but on the other
hand waiting for this to happen also blurred the
edges of the defects due to the tridimensional
spreading of the thermal front. In this respect,
authors suggested to rely on the contrast image as
soon as it emerges from the noise [80] or when the
slope of contrast curve is at its peak [81, 82]. Yet,
a refinement to the early detection procedure
was proposed by the mean of an iterative tech-
nique to correct the shrinkage due to the thermal
front spreading during the elapse time of defect
detection: a series of thermograms are recorded
following the pulse heating and for each ther-
mogram defect size is taken as half the maximum
212 C. Ibarra-Castanedo and X. P. V. Maldague

Fig. 10.32 a Temporal

contrast evolution curve
above graphite epoxy plate
with defect (hole of 5 mm
diameter drilled 2 mm
under the front surface).
The 40 time zones are
shown from 5 to 120 s.
Every line plotted
corresponds to the thermal
contrast along the image
rows (average of three)
passing just above the
defect for a given time
zone, b evolution of the
maximum contrast Crow(k,
jmax) from (a)

amplitude, a plot of defect size as function of the
square-root of the time is then established, and the
fit line at time zero yields to defect size with a
small overestimation (4 % was noticed in the case
of mild steel corrosion inspection). Important to
notice, this iterative approach fails for very small
defects or at very long times where edge effects at
opposite sides of the defect overlap [83].
10.8.8.3 Defect Characterization
Thermal contrast-based methods can be used for
the quantitative characterization using tempera-
ture contrast values computed at specific times,
such as time of maximum contrast tmax, half
maximum contrast t1/2, time of maximum slop
tslope, or time of the beginning of thermal contrast
tearly. An example is presented in Fig. 10.32 for
the case of a graphite epoxy plate with flat-bot-
tom-holes.
It is then possible to extract quantitative
information from a sequence of thermograms
using empirical correlations. For instance, the
following relationship can be used to estimate the
defect depth z on graphite epoxy specimens (valid
for large close to surface defects since the error is
rapidly growing with depth) [84]:
1=2
z 0:6722  DT 0:258  tMax 10:34
Other relations of interest have been estab-
lished for other parameters, although these
10 Infrared Thermography
relationships are only approximations since based
upon a one-dimensional model, they are never-
theless of practical use. For instance, the well-
known Parkers relation allows establishing the
value of diffusivity [2]. The principle is : a sheet
of material of thickness L is heated from one side
while the temperature is recorded from the other
side. The time t1/2 needed for the temperature to
reach half of its maximum value gives the thermal
diffusivity using [85]:
1:38  L2
t1=2 10:35
ap2
In the same respect, it is possible to quantify
the corrosion in metal components using the
following formula [74]:
DL TS
1 a 10:36
L Td
where Ts, Td are excess temperatures in sound
and defect areas, respectively, L is the original
material thickness, and DL is the thickness of
material remaining. This last relationship is
valid for a long period of time due to the adia-
batic cooling process (for metal components)
and at the center of corroded areas since it is
based on a one-dimensional heat transfer model.
Reported error for this relationship is between 0
and 20 % [74].
10.8.8.4 Blind Frequency with the Phase
Blind frequency based on phase is an interesting
quantitative inversion method [67, 68, 72]. From
Eq.(10.10), phase / is defined as / = z/l, where
l is the thermal diffusion length expressed by
l = (2a/x)1/2, with modulation frequency x
and, thermal diffusivity a, so that defect depth z :
1 specimen along depth layers corresponding to
z / p 10:37 the distribution of thermal properties at such
x
Following the thermal diffusion length defi-
nition, there exists a range of modulation fre-
quencies for which defects are not visible. High
frequency thermal waves propagate close to the
surface and inversely, low frequency thermal
waves propagate deeper (as with ultrasounds).
By identifying the thresholding frequency called
213
the blind frequency xb [68], that is the frequency
for which a defect at a given depth becomes
visible, an inversion procedure can be devised
[72].
The phase contrast defined similarly to the
absolute thermal contrast in Eq. (10.20):
D/f /d f  /Sa f 10:38
where /s is the phase value in a reference sound
area Sa. Interestingly, on D/(x) curves, xb
corresponds to the point where phase reaches
zero. In experimental situations where noise is
present, it is necessary to introduce a certain
threshold to extract xb. Next, depth is extracted
from the calibrated line of z versus (1/x)1/2.
Following Eq. (10.37), a linear relationship
can then be established between defect depth z,
and the inverse square root of the blind fre-
quency fb (with xb = 2pfb):
r
a
z C1 C2 10:39
fb
where reported values for C1 are around 1 for
amplitude data, and between 1.5 and 2 (when
working with phase data obtained by photo-
acoustics [43] and lock-in thermography [67]),
with a value of 1.8 typically adopted. The
regression constant C2 gives an indication of the
fitting error.
The phase contrast defined above can be used
to determine fb, although automatic determina-
tion without the need of a sound area definition
is also possible [74].
10.8.8.5 Thermal Tomography
The idea of thermal tomography, originally
introduced by Vavilov [86], is to slice the
specific depths [2]. By as analogy with com-
puted X-ray tomography (CT), such slices are
called thermal tomograms. However, tomogra-
phy principle cannot be applied directly to the
heat transfer process, which occurs not through a
straight direction but according to a diffusion
propagation scheme. Instead of being based on
angular projections as for CT, thermal
214
Fig. 10.33 Thermal
tomography (TT):
illustration of occurrence
of time of maximum
contrast tc_max as a function
of subsurface flaw depth
tomography (TT) is based on the surface tem-
perature evolution of the inspected component
following the initial thermal perturbation (pulse
thermography stimulation as seen in Sect. 10.4).
As analogy with CT, time increments are asso-
ciated with angular projections. In fact, TT is
essentially a different method of processing the
thermograms sequence and presenting the pulse
thermography data.
TT principle can be understood with respect
to Fig. 10.33. On this figure, thermal contrasts
under sample surface are drawn (observation is
in reflection following the initial pulse thermal
perturbation). Recalling Eq. (10.17), it is noticed
that the occurrence of the time of maximum
thermal contrast tmax is proportional to the
square of the depth (at least in homogeneous
materials), consequently deeper defects will
experience longer tmax. If, from the thermogram
sequence, we extract, for every pixel (i, j) in the
field of view, the time tmax when the thermal
contrast is maximum at this location (i, j), we
obtain the distribution of all the tmax values for
all the pixels in the image. This distribution is
called timegram TGMc_max. Figure 10.34 illus-
trates the method to compute timegram image
TGMc_max.
Interestingly, timegrams can be obtained with
respect to different parameters such as time for
half contrast, time for maximum contrast slope,
etc. Assuming uniform heating of the inspected
surface, areas of the specimen having uniform
thermal properties (such as thermal resistance)
will have the occurrence of the parameter of
interest showing up the same time window in the
timegram. On the contrary, subsurface flaws
C. Ibarra-Castanedo and X. P. V. Maldague
having different thermal properties will experi-
ence different values of the parameter of interest
and consequently, will exhibit different time
values in the timegram. This yields to possibly
defect detection if the timegram is sliced. Such
a slice is called a thermal tomogram and it is
obtained by thresholding timegram TGMx in a
fixed gate time (t1, t2), x being the parameter of
interest. An illustration of this analysis is shown
in Fig. 10.35.
TT technique brings another way to look at
thermal information in terms of time rather than
amplitude as in standard pulse thermography
processing. It brings some advantages concern-
ing interpretation of results since detected
structures appear directly in term of depth (if
converted from the time domain). As a draw-
back, we can mention the amount of computa-
tion needed since all images in the sequence
must be processed.
10.8.9 Artificial Intelligence: Neural
Networks
Our attempt in this last topic of the section is not
to cover the topic of neural networks, this out of
the scope of this text. We just want to open the
discussion on this processing technique, which
starts to be applied in the field of IR thermo-
graphic NDT with the basic goal to enable the
automatic data interpretation [87].
As it is well known, neural nets offer inter-
esting properties for thermographic analysis
since they are adaptive and robust. Their archi-
tecture is inspired from biology. The basic idea
is really simple. A neuron is like a cell with
10 Infrared Thermography
Fig. 10.34 Thermal
tomography principle:
computation of timegram
TGMc_max
various inputs x1, x2, xn, and one scalar output
y. The neuron multiplies the inputs by weights
w1 to wn and combines these products linearly
S = x1w1 ? x2w2 ? . ? xnwn. The output
signal y is not significant unless it reaches a
certain threshold T which fires the neuron:
y = f(S - T). From this single building block
neuron, various architectures are possible with
many neuron layers, feedforward and feedback
systems, and with supervised or unsupervised
learning (learning means specifying values for
weights wi). See [88] for more details. As it is
sometimes heard about neural net: the beauty is
they work, the problem is it is hard to know why!
Nevertheless many groups are now implement-
ing diagnosis tools based on neural nets.
For instance, in one reported study, neural
nets are trained to automatically detect defects
215
which are subsequently sorted as a function of
depth [87, 89, 90]. In a typical pulse thermog-
raphy application, a timegram and a maxigram
images are generated from a sequence of ther-
mograms in order to reduce the amount of data
to handle (maxigram: maximum value of ther-
mal contrast and timegramsee above on ther-
mal tomographytime at which it occurs).
These values (on a pixel by pixel basis) are
passed to a two-input one-output four-layer
neural network. The output of this network is a
defect/no-defect status. In a second step, a 50-
input 13-output three-layer neural network
serves for the characterization. The inputs are 50
points extracted on the contrast profile of sus-
pected bad pixels recognized in the first step.
The outputs are twelve defect depth classes and
one non-defect class. The first step allows
216 C. Ibarra-Castanedo and X. P. V. Maldague

Fig. 10.35 Thermal


tomography of Teflon
insert in carbon epoxy
specimen using the tc_max
parameter: a raw image,
b smoothed image,
c timegram TGMc_max,
d tomogram of the layer
0.81.5 mm, e tomogram
of the layer 1.41.8 mm,
f tomogram of the layer
1.82 mm. Specimen:
4.25 mm thick 28 layers
black-painted CFRP panel
with a 10 mm diameter
Teflon implant inserted at
the 8th layer (1.2 mm
under the front surface).
Arbitrary amplitude units

reducing the processing time since only the
suspected pixels are processed for depth classi-
fication. These networks are independently
trained with the back propagation algorithm on a
specific data set.
10.9 Conclusions
specific application, one or other technique will
be more appropriate. In any case, signal pro-
cessing is necessary in order to reduce the
impact of noise (optical and thermographic) in
order to improve image signal-to-noise ratio and
defect contrast, as well as to perform quantita-
tive analysis (defect depth, size, or thermal
properties).

In this text, we have tried to bring together an

appropriate blend of fundamental and practical
concepts that are of interest to apply IR ther-
mography for diagnostics and monitoring. The
main experimental techniques were discussed,
including the basic theory, the experimental
aspects, and the principal advantages and limi-
tations of each configuration. Depending on the
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(QIRT 94, Eurotherm Seminar 42, fd. Eur.
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82. Favro, L.D., Han, X., Kuo, P.K., Thomas, R.L.:
Image of early time behavior of reflected thermal-
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Thermosense XVII, Proceedings of SPIE, vol.
2473, pp. 162166 (1995)
83. Mulaveesala, R., Tuli, S.: Digitized frequency
modulated thermal wave imaging for NDT. Mater.
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Characterization and nondestructive testing of
Carbon-Epoxy composites by a pulsed
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G.L.: Flash method of determining thermal
diffusivity, heat capacity, and thermal conductivity.
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R.L., Favro, L.D.: Dynamic thermal tomography:
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structure by using multiple IR image processing. In:
Thompson, D.O., Chimenti, D.E (eds.) Review of
Progress in Quantitative Non Destructive Evaluation,
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89. Ross, T.J.: Fuzzy logic with engineering applications,
2nd edn. 650 pages, June 2005
 Industrial Radiology
Uwe Ewert, Gerd-Rudiger Jaenisch, Uwe Zscherpel,
11
Kurt Osterloh, and Bernhard Redmer

Abstract
Industrial radiology is typically applied for the volumetric inspection of
industrial products and installations [1, 2]. The basic setup consists of a
radiation source in front of the object to be inspected and an area detector
behind the object. The classical detector is an X-ray film. New electronic
area detectors are gradually substituting the film. The radiation source
can be an X-ray generator, a gamma source or a particle emitter,
generating e.g., neutron or proton radiation.

length in steel or 2 m in concrete (at radiation

11.1 Introduction energy of 12 MeV).
Radiology dates back to the discovery of
Industrial radiology is typically applied for the
X-rays by Roentgen in 1895 and the discovery
volumetric inspection of industrial products and
of gamma radiation by Becquerel in 1896. After
installations [1, 2]. The basic setup consists of a
the development of high-vacuum X-ray tubes
radiation source in front of the object to be
with energies up to 100 keV in 1913, radiolog-
inspected and an area detector behind the object.
ical techniques have been introduced into
The classical detector is an X-ray film. New
industrial practice. The description of the first
electronic area detectors are gradually substi-
computerized tomography (CT) system by
tuting the film. The radiation source can be an
Hounsfield and Cormack in 1973 was a further
X-ray generator, a gamma source or a particle
milestone in the development of radiation tech-
emitter, generating e.g., neutron or proton radi-
niques in medical and industrial applications. In
ation. Objects of any possible materials and
acknowledgement, all four scientists received
thicknesses can be inspected, provided the
Nobel prices. Over the last decades, tremendous
appropriate radiation source and energy is
progress in hardware has been encountered, such
selected. There are practical limitations to the
as the development of radioscopic systems with
upper material thickness, e.g., 50 cm penetration
X-ray image intensifiers, microfocus X-ray tubes
and digital detector systems. This progress was
accompanied by an enormous increase in com-
U. Ewert (&)  G.-R. Jaenisch  U. Zscherpel  puting capabilities which made the introduction
KurtOsterloh  B. Redmer of digital techniques possible, such as digital
Bundesanstalt fr Materialforschung und-prfung,
Unter den Eichen 87, 12205, Berlin, Germany
image processing and enhancement, automated
e-mail: uwe.ewert@bam.de defect recognition, data reconstruction, and

H. Czichos (ed.), Handbook of Technical Diagnostics, 221

DOI: 10.1007/978-3-642-25850-3_11,  Springer-Verlag Berlin Heidelberg 2013
222
three-dimensional (3D) CT applications. Nowa-
days, the increased capabilities of digital detec-
tion systems, such as phosphor imaging plates
(IPs) (computed radiography) and flat-panel
detectors (digital detector arrays), indicate a new
era in radiology.
11.2 Fundamentals of Radiology
11.2.1 Generation of Radiation
Radiation is used in industry, due to its capa-
bility to penetrate opaque material to visualize
the inner structure of components. The radiation
photon has a dual character, appearing some-
times like a particle and at other times like a
wave. Consequently, the radiation photon is
characterized by its energy E or its wavelength k
or frequency m. Planck postulated that the energy
of a photon is proportional to its frequency
E hm 11:1
with Plancks constant h. All photons have equal
velocity,
cmk 11:2
no electric charge, and no magnetic moment. X-
ray or gamma radiation is fully characterized by
its energy. They are distinguishable only due to
their origin but not due to their properties.
X-rays are usually produced by the deceler-
ation of high-energy electrons impinging by a
metallic target as Bremsstrahlung. Gamma rays
are of nuclear origin. Whereas X-rays originate
in the electron structure of the atom, gamma rays
are emitted by the de-excitation of atomic nuclei
in a nuclear reaction. The emission of gamma
rays is usually associated with the emission of
alpha and beta particles.
X-rays are generated in X-ray tubes which
consist of a cathode and an anode made of a high
melding heavy metal (Fig. 11.1). Electrons are
emitted from the cathode and accelerated to the
anode in a high-voltage electrical field. When
the electrons with kinetic energy mev2/2 hit the
U. Ewert et al.
target / anode
actual
cathode focal size
X-rays
vakuum window
filter
effective
focal size
Fig. 11.1 Principle of the X-ray tube
target of the X-ray tube the energy is trans-
formed into the production of by several ways:
(1) bremsstrahlung with a continuous spectrum,
and (2) characteristic radiation (Fig. 11.2).
Bremsstrahlung is produced when the elec-
tron interacts directly with the nucleus of the
target atom. The electron is stopped by the
nucleus (near field) and all its kinetic energy is
transformed into a quantum of radiation.
Because most of the impinging electrons also
interact with the electrons of the target atoms,
they lose a part of their energy and remove an
electron from an atom. The remaining kinetic
energy of the electron can be transformed into an
X-ray photon. In general, X-ray photons of
several different energies are emitted forming
the continuous bremsstrahlung spectrum. The
voltage of the accelerating electrical field gives
the maximum energy of the emitted X-ray
photons.
When an electron is removed from the target
atom by the impinging electron, the atom is left
in an excited state. Recombination processes
within the electron shell yield the emission of
one or more photons with energy characteristic
for the atom. As a result, the continuous
bremsstrahlung spectrum is overlaid by charac-
teristic spectral lines (compare Fig. 11.2).
The target of an X-ray tube can stop all
impinging electrons (thick or absorption target)
as used in most of the industrial X-ray tubes, or
11 Industrial Radiology 223

60
27 Co
5.24 a

(99.85%)
(0.15%) 60
Ni*
28
1.173 MeV
60
28 Ni*
1.332 MeV

60
28 Ni

Fig. 11.3 Disintegration series of Co-60

Fig. 11.2 Typical X-ray spectrum

stop only a part of the electrons (thin or trans-
mission target) as used in microfocus tubes.
Because most of the electrons energy is con-
verted into heat (about 95 %), overheating of the
target has to be avoided. Therefore, the anode to
which the target is attached typically consists of
a material with high thermal conductivity, such
as copper. Often, it is necessary to cool the
anode with a circulating coolant. Another way of
solving the problem of localized overheating of
the target is by using a rotating anode.
Gamma rays are emitted during the sponta-
neous decay of unstable isotopes. The decay is
accompanied by the emission of alpha or beta
particles. Each emission transforms the parent
isotope into a daughter isotope having a different
mass and nuclear charge. This process continues
until the daughter isotope is stable. This is
characterised by the half-life T required for one
half of the original number of atoms to decay or
change to the daughter atoms. The number of
atoms disintegrating per unit time can be
expressed by
N N0 ekt 11:3 described assuming a narrow beam geometry
with the total number of parent atoms N0, and
the decay constant k. The half-life T is given by
T ln 2=k 0:693=k 11:4
Artificially produced isotopes such as Se-75,
Ir-192, and Co-60 are widely used as sources of
radiation for technical radiography. The emitted
gamma-ray spectrum consists of separated lines
with energies characteristic for the particular
isotope. These isotopes are obtained by neutron
bombardment of the naturally existing stable
isotopes Co-59, Ir-191 and Se-75
59
Co + n ! 60 Co+ c
191
Ir + n ! 192 Ir +c 11:5
74 75
Se + n ! Se +c
Figure 11.3 shows the disintegration scheme
for Co-60. As a result, two gamma lines with
1.173 and 1.332 MeV are observed.
11.2.2 Interaction with Matter
and Attenuation Law
Photons interact with a nucleus or an orbital
electron of the attenuating material. The inter-
action of photons with matter can be classified
into three predominant types: (1) the photo-
electric effect, (2) scattering, and (3) pair pro-
duction. Photodisintegration is neglected due to
its minor contribution. The attenuation law is
and monochromatic radiation (Fig. 11.4). Con-
sidering an incremental attenuating layer of
thickness dx at depth x, the change in the beam
intensity dI in dx is proportional to the intensity I
at that depth x and the thickness of the layer dx
dI lIdx 11:6
224 U. Ewert et al.

I0
M L K

h
I
d dx K-X
I -dI

e-

IP

Fig. 11.5 Photoelectric interaction of an incident pho-

Fig. 11.4 Attenuation law
with the proportionality constant l, which is the
linear attenuation coefficient given in one per
unit length. The integration of Eq. (11.6) yields
IP I0 eld 11:7
where I0 is the intensity of the incident beam and
IP is the primary intensity after penetrating
material of thickness d. The equation (11.7) is
referred to as the attenuation law. A linear
attenuation coefficient is given by the sum of the
interaction coefficients for each of the various
processes mentioned above
l s rS p 11:8
Here, s is the attenuation coefficient due to
the photoelectric effect, rS due to scattering, and
p due to pair production.
Photoelectric effect: If a photon of energy
E transfers its total energy to an electron in some
shell of an atom, the process is called photo-
electric effect (Fig. 11.5). The energy of the
photon can be sufficient to lift an electron from
an inner to an outer shell or to remove the
ton with an orbital electron may yield X-ray fluorescence
due to recombination of electrons from higher to lower
orbital
increases abruptly because more electrons from
the inner shells are available for interaction. The
energy at which this sharp increase occurs is
called absorption edge, which is characteristic
for every atom. Otherwise, the absorption coef-
ficient decreases with increasing photon energy.
The energy dependence of the linear absorption
coefficient for lead is shown in Fig. 11.6. As
secondary effects, recombination processes
within the electron shell yield either X-ray
fluorescence (see Fig. 11.5) or the emission of
Auger electrons.
Scattering of photons: Scattering can be
coherent, which is known as Rayleigh scattering,
or incoherent, which is called Compton scatter-
ing (Fig. 11.7). Whereas a photon transfers its
total energy to an orbital electron while
10000
L edge
R
1000 C
K edge
100
[cm]-1

electron completely and to ionize the atom. In 10

the second case, the photoelectron obtains a 1
kinetic energy given by the difference between
0.1
the photons energy and the binding energy of
that particular electron. As the energy of the 0.01

photon increases an absorption becomes possible 0.001

0.01 0.1 1 10 100
by inner shell electrons also add more and more h [MeV]
to the total absorption. When the energy of the
Fig. 11.6 Linear attenuation coefficient l for lead as
photon reaches the binding energy of a particular
function of energy hm: s photoelectric effect, rR Rayleigh
shell of electrons the absorption coefficient scattering, rC Compton scattering, and p pair production
11 Industrial Radiology
... M L K
'
h
h h
e-
Fig. 11.7 Scattering effects: Compton scattering in which an incident photon ejects an electron and a lower energy
photon (left); Rayleigh scattering of a photon without energy loss (right)
undergoing an absorption event, it loses no or
only a part of its energy and is redirected if a
scattering event occurs.
The analysis of the Compton process shows
that the energy of the scattered photon E is
always less than that of the primary photon
E [ E. The energy difference is transferred to
the struck electron as kinetic energy. The energy
shift predicted depends only on the scattering
angle and not on the nature of the scattering
medium. The larger the scattering angle the
larger the energy shift observed. The relation-
ship between the scattering angle and the energy
shift can be found from the conservation of
energy and momentum during the collision if
assuming particle properties of the photon. The
scattering of a photon by a free electron is
described by the KleinNishina formula pro-
viding an accurate prediction of the differential
cross-section with respect to the solid angle of
scatter. If considering electron binding effects
the KleinNishina formula has to be corrected
by the incoherent scattering function. It decrea-
ses the free electron cross-section in forward
direction, for low energies E, and for high
atomic numbers Z. The linear Compton coeffi-
cient for lead can be found in Fig. 11.6. In
general, it decreases with the photon energy
starting at an energy characteristic for the
material.
The coherent or Rayleigh scattering involves
no energy loss of the photon upon being scat-
tered by an atom. It is only a photon process that
does not produce electrons. The angle distribu-
tion for coherent scattering of a photon by a free
225
... M L K
h
electron does not depend on the photons energy
and is given by the Thomson formula, which is
equivalent to the KleinNishina formula at zero
energy. To count for electron binding effects, the
Thomson formula has to be corrected by the
form factor. It yields a strong forward directivity
of Rayleigh scattering, which increases with the
photon energy. Rayleigh scattering occurs only
for soft radiation for which the binding energy of
the electrons in their atomic shell is important. It
is most important for elements of high atomic
number and low photon energies. The Rayleigh
cross-section decreases with energy (comp.
Fig. 11.6). The contribution of this type of
coherent scattering to the total attenuation
coefficient is never greater than about 20 %.
Pair production: If the photon energy
exceeds double the electron mass of rest, i.e., if
E hm [ 1:022 MeV, the photon is converted
in the electrical field of the nucleus into an
electron and a positron. This process is called
pair production (Fig. 11.8). Photons with lower
energy are not able to produce an electron
positron pair. The photon energy that exceeds
the needed minimal energy for producing an
electronpositron pair appears as kinetic energy
of the pair. The probability of occurrence of this
process increases approximately logarithmically
with the energy above the threshold value and
then levels off for extremely high photon ener-
gies (compare Fig. 11.6). The produced pair
loses its kinetic energy within a very short time
of about 10-12 s. The remaining resting electron
positron pair has a lifetime of about 10-9 s
before annihilation. As a result, two gamma
226 U. Ewert et al.

h >2m0c 2
+m0c2

0

-m0c2
E =m0c2

Fig. 11.8 Pair production (left) and positron electron annihilation (right)

variety of influencing factors originating from

Fig. 11.9 Relative importance of photon interactions
photons are emitted in opposite direction with
energy of exactly 511 keV.
Attenuation of radiation: As seen in
Fig. 11.6, different attenuation mechanisms are
dominant at different energies. The photoelectric
absorption is the dominant effect for lower
energies, whereas Compton scattering becomes
important for medium photon energies. For
higher energies, pair production is the most
probable interaction mechanism. Figure 11.9
shows the relative importance of the different
photon interactions with matter. The lines show
the values of the atomic number Z and the
energy for which the two neighboring effects are
of equal importance.
the inspected object (material, thickness), the
radiation source (radiation quality), the imaging
system (detector properties), geometry (focal
spot size, source-to-object distance, object-to-
detector distance), and image noise (photon
statistics and fixed pattern noise of detectors).
The image quality is typically determined by
image quality indicators (IQI). It can also be
predicted from essential parameters as the Sig-
nal-to-Noise ratio (SNR), the effective attenua-
tion coefficient leff and the basic spatial
resolution SRimage
b [3].
Contrast: The forming of a radiographic
image can be easily explained in terms of a
simple step object (Fig. 11.10). The intensity or
density difference visible between two thick-
nesses at a given detection intensity I (signal) or
density in an object on a radiograph represents
the radiographic contrast in the image (approach
for small thickness differences):
CI I1  I2 11:9
with the intensities I1 and I2 after penetrating a
material of thickness d1 and d2, respectively.
I0 I0
d

d1 d2

11.3 Image Quality in Radiography IS IP1 IS IP2 IS

I
I1
11.3.1 Contrast, Noise, I2 IP1 IP2
and Unsharpness
IS
The image quality is the characteristic of a
x
radiographic image which determines the degree
of visible detail. It is influenced by a large Fig. 11.10 Image formation
11 Industrial Radiology
Introducing IP = IP1 as reference primary
intensity, a linear relation follows between the
absolute contrast DI and the thickness difference
from the attenuation law of Eq. (11.6)
DI IP lDd 11:10
For the interpretation of radiographs the rel-
ative contrast is important with which an indi-
cation is imaged
DI
Cr 11:11
I
with I = IS ? IP giving the total intensity. For
small thickness differences follows with
Eq. (11.8)
IP lDd l The first two noise sources can be influenced
Cr Dd Crs Dd 11:12
IS IP 1 k
with the scatter ratio k = IS/IP contrast and the
relative specific contrast Crs = l/(1 ? k).
Hence, the relative contrast and the relative
specific contrast increase with the attenuation
coefficient, but decrease with increasing scat-
tering ratio and increasing material thickness.
The term l/(1 ? k) is also named leff. The
scatter ratio increases with the material thick-
ness. It is e.g., about 0.1 times the thickness of
steel (in mm) for X-ray inspection with film (if
film is in contact with the object). The influence
of the X-ray energy is low in comparison to the
dependence on the material and material thick-
ness. Gamma sources and linear accelerators
generate radiation which produces lower scatter
ratios than X-ray tubes and, therefore, the rela-
tive specific contrast is higher in comparison to
X-ray radiography at equivalent energy and high
material thickness.
Noise and granularity: The perception of any
indication depends on the contrast-to-noise ratio
(CNR) and image unsharpness. The image noise
is determined quantitatively as the standard
deviation of the mean value of the intensity or
density in a projected area of constant object
thickness. Density fluctuations are described as
granularity of film systems. The visual impres-
sion is the graininess. The term noise is used
dominantly in digital radiology.
227
Different noise sources have to be considered
in digital radiography which have their origin in:
Exposure conditions: Photon noise, depend-
ing on exposure dose (e.g., mA 9 s or
GBq 9 min). This is the main factor! CNR
increases with higher exposure dose.
A limitation for the maximum achievable CNR
at a given radiation energy is:
Detector: Structural noise of DDAs and IPs
also called fixed pattern noise (due to
variations in pixel-to-pixel response and
inhomogeneities in the phosphor layer).
Object:
Crystalline structure of material (e.g.,
nickel based steel, mottling)
Surface roughness of test object
by the exposure conditions and detector selec-
tion. The achieved CNR of images depends on
the exposure dose (low-dose application). The
CNR increases with the square root of
mAminutes or GBqminutes, due to the
improved photon quantum statistics. The struc-
ture noise of films and IPs depends on its man-
ufacturing process and can be influenced
basically by the selection of the specific detector
type (e.g., fine or coarse grained film). Film
development and IP scanner properties contrib-
ute also to the final noise figure. The structure
noise of detectors and all noise sources
depending on the object properties determine the
maximum achievable CNR and limit, therefore,
the image quality independently on the exposure
dose (high-dose application) [3]. Only with
Digital Detector Arrays, the structure noise (due
to different properties of the detector elements)
can be corrected by a calibration procedure,
since the characteristic of each element can be
measured quite accurately [4].
Unsharpness: The sharpness of the outline of
an image is directly affected by the geometrical
unsharpness generated by the source size, the
source-to-object and the object-to-detector dis-
tances (SOD, SDD), and the inherent unsharp-
ness ui of the detector.
The blurring of an edge feature due to a final
focal spot size s is defined as geometrical un-
sharpness ug (Fig. 11.11, left)
228
b 11.3.2 Visibility of Flaws and Image
ug s M  1  s 11:13
a Quality Indicators
with magnification factor M according to
Fig. 11.11 (right)
ab
M : 11:14
a
Additionally, the detector system contributes
to the system unsharpness. Due to the properties
of the detector an additional edge blurring is
observed. In case of film radiography, it can be
attributed to e.g., the use of intensifying screen
and the scattering of photons or electrons in the
film emulsion. This contribution is called
inherent unsharpness ui.
The total unsharpness ut observed in a
radiograph when neglecting the effect of motion
during exposure can be approximated by
q CNR leff  SNR  Dd
ut ui2 u 2 : 11:15
g
The optimal geometry for taking radiographs
with minimum effective unsharpness (ut divided
by magnification) can be determined if the
inherent and geometrical unsharpness are chosen
equivalent. From this condition, the optimal
ratio of the source-to-object and object-to-
detector distances follows
 a
S
: 11:16
b opt ui
As long as the projection d = Md of an
object of size d is larger than the total un-
sharpness the contrast of the indication is not
decreased and follows Eq. (11.8). If the un-
sharpness exceeds d a decrease of the indication
contrast is observed (compare Fig. 11.12).
a b
s ug
Fig. 11.11 Geometrical unsharpness (left) and magnification (right)
U. Ewert et al.
Figure 11.13 illustrates the effect of signal,
contrast, and noise on the detectability of a
notch in a radiographic image. The visibility of
fine flaws and IQIs for human observers
depends on the normalized contrast-to-noise
ratio, CNRN per material thickness difference
and its lateral shape in the two-dimensional
(2D) radiograph [3].
CNRN is the normalized CNR which is the
ratio of the CNR to the effective pixel size
(SRimage
b ) of digital images. For small flaws and
IQIs, CNR can be approximated by the product
of the relative specific contrast Crs = leff
(effective linear attenuation coefficient), the
SNR and the thickness change Dd generating the
contrast (signal change).
11:17
The basic spatial resolution (effective pixel
size in an image) SRimage
b can be measured by
different ways. The nondestructive testing
(NDT) community mostly uses the duplex wire
method due to its simplicity (EN 462-5, ISO
19232-5 and ASTM E 2002). The measurement
with the duplex wire IQI provides a total image
unsharpness value (uT) in lm. The basic spatial
resolution of a digital image, SRimage
b , is calcu-
lated by:
SRimage
b uT = 2 11:18
Figure 11.14 illustrates the contributing
parameters to the specific normalized Contrast-
to-Noise Ratio, CNRspecific . The visibility of
N
flaws of constant lateral size depends on three
essential parameters as given in the following
a b
d
d
11 Industrial Radiology 229

D inspect. This applies to wire IQIs (EN 462-1,

ut = 0
D is fixed (see standards ASTM E 1025, ASTM E
ut < d
ut
D
ut > d
ut
Fig. 11.12 Influence of unsharpness to image contrast
equation, which is an approximation for IQIs
and small flaws:
CNRspecific leff  SNR=SRimage : 11:19
N b
This is an essential context for digital radi-
ography [3].
The visibility of flaws and IQIs for human
operators is calculated as a product of CNRN and
the square root of the lateral projected area of
flaws and IQIs [3, 57]. The human operator can
perceive larger flaws at a lower CNR and,
therefore, also at a lower SNR (see Fig. 11.15).
Almost all contrast IQIs change their hole or
wire diameter with the material thickness to
ISO 19232-1 ASTM E 747) as well as to the
hole diameters in plate and step hole IQIs
(ASTM E 1025, EN 462-2, ISO 19232-2).
If the ratio of IQI thickness to hole diameter
1742, EN 462-2, ISO 19232-2), the visibility
(depending of a constant human perception
threshold (PT)) of plate hole or step hole IQIs
depends on the square root of CNRN. In ASTM
E 747 and E 1742 and related ones, the equiv-
alent penetrameter sensitivity (EPS) is used to
describe the visible contrast sensitivity of a
human operator in percentage of the wall
thickness.
Note: A sensitivity of e.g., 2 % means that a
hole in a thin IQI plate of 2 % thickness of the
material to inspect with a hole diameter of two
times the plate thickness (2T) is just visible in
the radiograph. This is described as 2-2T sensi-
tivity or 2 % EPS in the standards.
The equivalent IQI sensitivity (EPS in %)
can be calculated for a given material thickness
ttestplate from the essential parameters [see
Fig. 11.14 and Eq. (11.20)] as follows (see also
ASTM E 746 and E 1025):
s
PT 0 SRimage
b
EPS : 11:20
ttestplate leff  SNR

Fig. 11.13 Influence of

signal, contrast, and image
noise on detail visibility
Intensity

Intensity

Contrast Contrast

Signal Signal
(base material) (base material)

Length Length

Notch visible! Notch not visible!

Contrast/Noise is high Contrast/Noise is low

Signal/Noise is high Signal/Noise is low
230 U. Ewert et al.

Essential Parameters in Digital Radiography

Compensation
Material, Exposure time
keV, Gamma source is possible
Tube current, Activity
Scatter protection Detector efficiency
Screens and filters Source-to-Detector Distance

SNR - Signal to noise ratio

CNR N eff SNRITotal eff specific contrast,
= effective attenuation coefficient
w SRb SRb effective pixel size in the image,
basic spatial resolution of image

Visibility of small flaws

Depends on Hardware: effective pixel size
Specific normalized Magnification
contrast-to-noise ratio Focal spot size, source size

The normalized SNRN is considered as the equivalent value to the selection of a film system
and a required minimum opt. density.

Fig. 11.14 The visibility of flaws and IQIs of same
lateral size in a digital radiograph depends on the specific
normalized contrast-to-noise ratio CNRspecificN = leff
SNR/SRb. SRb is typically measured in the radiographic
image as SRimage
b , if magnification technique is used. For
contact radiography, SRb can also be taken as the
effective detector pixel size, SRdetector
b

Human Observer Model: Perception Threshold PT

What do you see? Detector = 50 m pixel size

Noise = 1000
0.5T 1T 2T 4T 8T Signal = 30000 Large area flaws are better
CNR = 2.5 visible than small ones at
same Contrast-to-Noise
Alateral
Ratio
CNR = 1.25 Each row has indications
with same CNR = Cdepth/

CNR = 0.625 Each column has holes

Flat bottom holes of different depth and diameter with same diameter
2T = 0.5 mm / 0.02
SRb image = 50 m
Calculated CNR min = 1

A lateral Cdepth PT human perception threshold

PTconst = Alateral area of just visible indication
SRb Cdepth mean contrast of just visible indication
noise of image (N)
Rose approach, 1946 SRb basic spatial resolution (effective pixel size)

Fig. 11.15 The visibility (perception threshold of
human eye) of holes in IQIs depends on the normalized
CNRN (=CNR/SRb) and the diameter of the IQI holes
(*square root of hole area). An X-ray image of a 20 mm
thick steel plate with different drilled flat bottom holes
was generated with a digital detector (simulation). The
depth of the flat bottom holes and, consequently, the
contrast was doubled from the lower line of holes to the
upper one. The noise was constant in the whole image.
The diameter was always doubled, starting from the left
column to the right one. The diameter of the 1T hole
corresponds to 0.25 mm (5 pixel)

with PT0 & 2100 %, trials for clear visibility of
holes on a monitor. This formula applies if the
basic spatial resolution is much smaller than the
wire or hole diameter of the IQI to be visualized.
The smaller the EPS value, the smaller flaws and
IQIs can be visualized. A small EPS value
means the contrast sensitivity is high. All three
of the essential parameters in Eq. (11.20)
determine the image quality. Improving one
parameter can compensate for reduction of
11 Industrial Radiology
others. For instance, the increase of tube voltage
increases the SNR but reduces the leff. If SNR
increases faster than leff decreases, the total EPS
improves [8].
11.3.3 Image Quality Indicators
and Standards
Image quality indicators (IQIs): IQIs are stan-
dardized devices comprising a series of elements
of increasing sizes, which enable a measure of
the obtainable image quality. IQIs are usually
included in every radiograph to check on the
adequacy of the radiographic technique. The
elements of IQIs are commonly wires and steps
or plates with holes. IQIs together with their
usage are described in detail in the European
standards EN 462 part 15, the ISO standards
ISO 19232 part 15 and in the USA standards
ASTM E 747, E 1025, and E 2002.
Wire type IQIs consist of wires that are
arranged by diameter and have all the same
length (Fig. 11.16a). The wire material is chosen
to match the material of the investigated object.
It measures the thickness resolution of the
radiographic technique.
The European step hole IQI system is based
on a series of steps of different thickness d and
holes of diameter equal to the step thickness
(Fig. 11.16b). The material is chosen to match
the material of the investigated object. The
image quality value is given by the number of
the smallest hole, which is visible on the
radiograph.
The American plate hole IQIs (ASTM E
1025, E 1742) consist of a small rectangular or
circular piece of metal usually containing sev-
eral holes, the diameters of which are related to
the thickness of the plate. The ASTM pene-
trameter contains three holes of diameters 1T,
2T, and 4T, where T is the thickness of the plate.
The material is again chosen to match the
material of the investigated object. The IQI
gives the equivalent penetrameter sensitivity
(EPS) in terms of contrast resolution, which is a
measure for the minimal resolvable thickness
difference together with the minimal resolvable
231
Fig. 11.16 Selection of image quality indicators,
described in European standards: a wire IQI; b step hole
IQI; c duplex wire IQI
detail influenced by the total unsharpness (see
also Fig. 11.14).
Duplex wire indicators (Fig. 11.16c) are used
when it is necessary to evaluate and measure the
total image unsharpness (spatial resolution or
basic spatial resolution) separately from contrast
sensitivity measurements. Every element con-
sists of two round wires of certain diameter,
which equals the spacing between the wires.
High attenuating material is chosen for the wires
such as tungsten and platinum. The largest ele-
ment without identifying space between the
images of the two wires is taken as the limit of
discernibility.
Table 11.1 provides an overview about the
most important standards on digital industrial
radiology (DIR). In 2005, Europe and the USA
published the first complete set of CR standards.
Especially, at ASTM the standardization is
pushed ahead over the last 10 years. The next set
of standards of DIR with DDAs was published in
2010. Now, the revision of the CR standards is
under discussion. At CEN and ISO, a common
standard is under preparation (ISO 17636),
which will substitute the EN 1435 for
232 U. Ewert et al.

Table 11.1 Overview on Digital Industrial Radiology standards and new drafts of CEN, ISO, ASME, and ASTM
without standards on computed tomography
EN 13068
EN 14096, ISO 14096
EN 14784 CR (2005) Goes after revision to
ISO16371
ISO 10893-7 (2010)
ISO/FDIS 17636-2 (2012)
prEN 16407 (2012): Corrosion and
wall-thickness measurement
ASME (BPVC, S.V, Article 2)
ASTM CR (2005) Revision on the way
ASTM DDA (2010)
ASTM DICONDE (2010) (data format)
ASTM E 2422-05, E 2660-10, E 2669-10
Radioscopy
Film digitisation
Part 1: Classification of systems,
Part 2: General principles
Steel tubesNDT of welds with DDA and (CR)
NDT of welds: CR and DDA to substitute EN 1435
Practice with film, CR and DDA for double wall and tangential
technique
Radiography and Radioscopy with Film, CR, DDA,
Classification (E 2446-05), Long term stability (E2445-05),
Guide (E 2007-10), Practice (E 2033-06)
Characterisation (E 2597-07), Guide (E 2736-10), Practice
(E 2698-10), Long Term Stability (E 2737-10)
Standard practice for digital imaging and communication
nondestructive evaluation (DICONDE)
(E 2663-08, E 2699-10, E 2669-10, E 2738-10, E 2767-10)
Digital reference image catalogs,
light alloy, titanium and steel castings

radiographic weld inspection. It will consider with high contrast of structures and flaws of
Film (part I) and CR and DDAs (part II) for weld the organic materials (e.g., explosives). Also
inspection. moisture in aircraft components can be detected
with high contrast. More details about neutron-
radiography and also positron and electron
11.4 Particle Based Radiological radiography can be found in the ASNT hand-
Methods book [2].

X- and c-ray radiography are the methods of

highest importance and acceptance in industry.
Nevertheless, there are also other methods which
are based on the attenuation of neutrons, pro-
tons, positrons, and electrons. Neutron radiog-
raphy is dominantly used in aircraft and military
industries and in research. The attenuation of
neutrons in materials follows other laws than X-
and c-radiography. Figure 11.17 shows the dif-
ferent attenuation coefficients for thermal n- and
X-radiography as function of the element num-
ber in the periodic system. Materials which
contain the elements H, B, Li, Cd, Gd, Sm, Eu
attenuate neutrons much more than construction
metals as Al, Fe, Co, Ni. This enables the radi-
ography of organic components in metallic
encapsulation as rocket motors and ammunition
11.5 Film Radiography
The radiography in medicine and industry is
subjected to different conditions. Medical
applications have to be performed with mini-
mum exposure dose for the patient. Therefore,
the typical film system consists of fluorescence
screens and film. The optical film density is
typically between 1 and 2. Industrial applica-
tions for NDT use generally exposure dose val-
ues which are 10100 times higher. The
resulting NDT image quality is characterized by
higher sharpness and contrast sensitivity.
Industrial radiographic films contain usually a
higher silver content, which allows obtaining a
higher optical density (blackening). NDT films
11 Industrial Radiology
Fig. 11.17 Comparison of mass absorption coefficients
for the elements for both X-ray and thermal neutrons.
(after: Thewlis, Argonne National Laboratory)
are applied for density values between 2 and 4.5.
Special high brightness viewing stations are
required. Medical viewing equipment is not
sufficient. NDT film systems consist of double
layered films with thin lead screens at front and
back side. The X-rays penetrate the film and
expose front and back side. The lead screens
convert X-rays to fast electrons, which expose
the film more efficiently than the X-rays. These
screens are used for intensifying the exposure in
particular for high-energy X-rays. Since the lead
screens convert the photons to electrons instead
of light, the exposed radiographs are not blurred
by scattered light. Radiographs taken with fluo-
rescence screens have an edge unsharpness of
0.20.4 mm depending on screen thickness and
X-ray energy. Film lead screen systems have an
Table 11.2 Application areas of digital industrial radiology (DIR)
Digital industrial radiology
Film replacement
Standards, Non-standard applications
Regulations
Welding Wall thickness, corrosion,
erosion
Casting Buildings, bridges
Electronics Plastics, composites
Food, tires, wood
233
edge unsharpness of 30 lm to few hundred
microns depending on screen thickness and
radiation energy.
NDT film systems are classified correspond-
ing to the standards ISO 11699, EN 584, JIS K
7627, and ASTM E 1815. The classification
requires the user to select the film type and the
developer as well as the certified developer
temperature and immersion time to prove con-
formity with the standards.
11.6 Digital Radiological Methods
11.6.1 Application Areas
Users of industrial radiology, who are interested
to move from classical film radiography to DIR,
should know which particular field they want to
enter into. Basically, there are unregulated and
regulated areas (standards, guidelines, and oth-
ers). Table 11.2 describes the four basic appli-
cation areas.
Before new methods and detectors will be
described, the advantages of traditional film
radiography should be summarized. One of the
major advantages of X-ray film radiography is
its practicability. Important X-ray film properties
are:
They are dust- and waterproof packed;
They consist of flexible and break-proof
material;
The storage period after film development is
[50 years (expected shelf life [500 years);
New industrial areas
Serial part inspection Computed tomography
Automated defect recognition 3D-casting inspection
(ADR)
Completeness test Ceramic composites,
plastics
Dimensional check Special applications
234
Table 11.3 Classification of digitization systems by
technology
Principle Scanner type
Point-by-point digitization Laser scanner
Line-by-line digitization CCD line scanner
Array digitization CCD camera
The readability is independent from techno-
logical development (e.g., independent of data
format).
11.6.2 Film Digitization
Film digitization systems can be classified by the
scanning technology (see Table 11.3).
For example, digitization with a laser scanner
proceeds as shown in Fig. 11.18. The film pas-
ses a collection tube. A laser beam (wavelength
about 680 nm, red) with a fixed diameter (e.g.,
50 lm) scans the film. The diffuse transmitted
light through the film is integrated by the col-
lection tube and registered by a photomultiplier
(PMT) on top of the collection tube (not shown
in Fig. 11.18). During the scan, the oscillating
galvanometer mirror deflects the laser beam and
moves the spot along a horizontal line on the
film. The film is advanced with a constant speed.
The resulting voltage at the photo multiplier is
proportional to the light intensity behind the
film. After logarithmic amplification a digitiza-
tion with e.g., 12 bits yields gray values that are
proportional to the optical density of the film.
Fig. 11.18 Principle of a laser scanner (LS 85,
Kodak, USA) for NDT films
U. Ewert et al.
The essential difference to other digitization
principles is the reversed optical alignment. The
laser scanner illuminates the film with focused
light and measures the diffuse light intensity
behind the film. All other methods illuminate the
whole area of the film with diffused light (the
film is illuminated with a diffuser) and measure
the light intensity that passes the film in one
direction at each spot (camera objective or
human eye in classical film inspection).
Complementary metaloxidesemiconductor
(CMOS) cameras, which generate a logarithmic
output signal relative to the input light intensity,
are also available. In this case, the digitized gray
values will be proportional to the film density, and
do not follow the exponential characteristics as
digitized with charge-coupled device (CCD) chips.
The standard ISO/EN 14096-1/2 defines the
qualification procedure and the minimum
requirements for film digitizers in NDT. This is
particularly important for microradiography.
NDT applications employ X-ray energies of 20
12,000 keV. The standards require a spatial
pixel size of 15250 lm depending on the
energy. This corresponds to a required spatial
resolution of 16.7 lp/mm (line pairs per milli-
meter) for energies \100 keV and e.g., 1 lp/mm
for 1,300 keV.
On the basis of the image quality of film
radiography the standard requires three quality
classes: DA, DB, and DS. The user may select
the testing class based on the needs of the
problem:
DS: the enhanced technique, which performs
the digitization with an insignificant reduction
of SNR and spatial resolution; application
field: digital archiving of films (digital
storage);
DB: the enhanced technique, which permits
some reduction of image quality; application
field: digital analysis of films; films have to be
archived;
DA: the basic technique, which permits some
reduction of image quality and further reduced
spatial resolution; application field: digital
analysis of films; films have to be archived.
11 Industrial Radiology 235

11.6.3 Image Processing Table 11.4 Typical image-processing filters

Filter Advantage Disadvantage
A digital image is physically not more than Low-pass Increases the SNR Reduces the
a data file in a computer system readable by a filter spatial
program for displaying its contents on a screen (smoothing) resolution
or printout dot by dot. That means it consists of High-pass Increases the contrast Increases the
filter of fine details in noise
an array of individual image elements, usually relation to intensity
called picture elements (pixel). The pixels are in changes in a wide
practice small rectangles (squares) showing range
a certain color and brightness. Median Increases the SNR, Reduces the
The image resolution depends on the number filter removes single peaks spatial
and outliers resolution
of pixels within a given area; the more the bet- (single white or black
ter (Fig. 11.19). Radiography commonly deals pixels such as salt and
only with gray-level images. pepper
The numerical values of any pixels within an distortions), does not
smooth edges
image can be subjected to various kinds of cal-
Edge filter Enhances edges or Increases the
culations. Each pixel is characterized by a gray extracts edges to lines noise
(intensity) value, which is proportional to its
brightness. The most trivial step is to adjust
brightness and contrast. This allows one to are essential to select the range of interest. The
overcome the lower brightness of monitors gamma transformation alters the linearity of the
compared to commercial film viewers. While the transfer from the original digital values listed in
human eye can only distinguish between some 60 the image file to its brightness displayed on the
and 120 gray values (at a given adaptation, screen, taking into account the brightness sensi-
equivalent to 67 bits of information) a digital tive perception of human eyes.
image may contain up to 65,536 gray levels (i.e., Multiple-point calculations take advantage
16 bits). The contrast and brightness operations from relationships between adjacent pixels of
the image (matrix operations). They are based
on a variety of so-called filter algorithms that are
supposed to extract the desired features from the
total image information. They may eliminate
unwanted large, patchy intensity fluctuations or
noise masking other image details. Typical fil-
ters are describes in Table 11.4. Processing of
radiographic images shows astonishing results
that can be found, together with filter recipes, in
different textbooks [9, 10].

11.6.4 Computed Radiography and its

Industrial Application

Phosphor imaging plates (IPs) are image media

for filmless radiography. The technique is also
called computed radiography (CR). IPs are
Fig. 11.19 Radiographic image of a test weld BAM5,
a 1,024 9 512 pixels; b 64 9 32 pixels routinely used in medicine and biomedical
236
autoradiography. Different systems are available
for NDT applications. Novel applications in
addition to film radiography emerge taking
advantage of the higher sensitivity (shorter
exposure time) and the digital processing as well
as the capability to analyze digital radiographs
with affordable computer systems. A set of
standards was published 2005 in Europe and the
USA, which defines the classification and prac-
tice of CR systems [11].
IPs are handled nearly in the same way as
radiographic films. After exposure, they are read
by a laser scanner producing a digital image
instead of being developed like a film (Fig. 11.20).
Any remaining latent image can be erased with a
bright light source so that the same IP can be
recycled up to more than 1,000 times. An IP
consists of a flexible polymer support which is
coated with the sensitive layer which is sealed with
a thin transparent protective layer. The sensitive
layer of the most common systems consists of a
mixture of BaFBr doped with Eu2+. X-ray or c-ray
quanta result in an avalanche of charge carriers
i.e., electrons and holes in the crystal lattice [12].
Fig. 11.20 Principle of application of phosphor imaging
plates (IPs) for computed radiography (CR). The plate is
exposed in a lightproof cassette. The scanner reads the IP
with a red laser beam. All exposed areas emit stimulated
blue light. The photomultiplier collects the blue light
through a blue filter and converts it into an electrical
signal. The signal intensity values are converted to digital
gray values and stored in a digital image file. Remnants
of the image on the IPs are erased by intensive light.
They can be used usually 1001,000 times if they are
handled carefully
U. Ewert et al.
These charge carriers may be trapped at
impurity sites i.e., electrons at a halogen
vacancy (F-center) or holes at an interstitial Br2+
molecule (H-center). Red laser light (600
700 nm) excites electrons trapped in a Br-
vacancy (FBr-center) to a higher state from
which they may tunnel and recombine with a
nearby trapped hole. Transfer of the recombi-
nation energy excites a nearby located Eu2+ ion.
Upon return to its ground state this Eu2+ ion
emits a blue photon (390 nm). This process is
described as photostimulated luminescence
(PSL).
The advantages of IP technology are:
High linearity with radiation dose.
High dynamic range, up to 105.
Sensitivity higher than with film.
Reusable for 1,000 cycles.
No chemical darkroom processing.
Capability for direct image processing.
The disadvantages are
Limited spatial resolution, except in new less
sensitive high-definition systems.
High sensitivity in the low-energy range,
Sensitive to scattered radiation.
The available systems of phosphor IPs and
corresponding laser scanners cover radiation
dose differences of up to a factor of 105. This
feature reduces the number of exposures for
objects with a high wall-thickness difference. It
also compensates partly for incorrectly calcu-
lated exposure conditions. The number of so-
called test exposures is reduced. The IP reader is
typically separated from the inspection site. CR
is based on flexible IPs [12]. High-definition CR
systems can provide a basic spatial resolution of
better than 40 lm. This is sufficient for weld and
casting inspection of small components at lower
X-ray voltages as well as large components. The
optimum X-ray voltage for CR is different from
film radiography [13]. For coarse-grained IPs,
the tube voltage should be reduced by about
20 % in comparison to film radiography. Details
of the procedure are described in ISO 17636-2
(final draft, 2012).
11 Industrial Radiology
11.6.5 Weld Inspection
The inspection of welds and castings is tradi-
tionally performed by film radiography. Since
the optical photography has been almost com-
pletely converted from film to digital photogra-
phy, the trend is also visible in radiography.
Nevertheless, the conversion rate from film to
digital radiography applications is slow. Initial
developments have been reported for application
of CR for weld inspection of pipelines. Fig-
ure 11.21 shows a typical application. The CR
with IPs permits faster inspection if the
requirements are taken from ASME BPVC
Section V Appendix 2. This standard allows
higher unsharpness and less contrast sensitivity
than the European EN 1435, class B, which is
difficult to achieve with sensitive imaging plates.
The new ISO 17636-2 (final draft, 2012) takes
into account that the requirements of EN 14784-
2 are almost not acceptable for efficient CR
applications in weld inspection. The recom-
mendations were modified for digital detectors
Fig. 11.21 Example of
applications of computed
radiography (CR) for
pipeline inspection,
provided by CIT in the
FilmFree project [27]
237
(IP and DDA). In about 50 pages, all require-
ments and recommendations are described per-
forming digital radiography with optimum
image quality for weld inspection.
11.6.6 Measurement of Pipe Wall
Thickness for the Evaluation
of Corrosion, Erosion
and Deposit
A typical application of the CR technology is
radiographic corrosion inspection in the chemi-
cal industry [14]. Figures 11.22 and 11.23
present typical examples of thermally insulated
pipelines and the related radiographic measure-
ment procedure. The insulation is covered with
an aluminum envelop. The radiographic
inspection can be performed without removing
the insulation. This is a considerable advantage
relative to the other known methods. Radio-
graphic pipe inspection for corrosion and wall-
thickness measurement is a major NDT tech-
nique for predictive maintenance. CR is also
238 U. Ewert et al.

Fig. 11.22 Computer-based inspection of an insulated pipe by tangential projection radiography in a petrochemical
plant (VEBA OIL, 2000)

Fig. 11.23 Computer-based inspection of an insulated pipe by tangential projection radiography. The wall thickness
is measured with the profile function by an image-processing software tool in the marked areas [28]
11 Industrial Radiology
Fig. 11.24 Scheme of a flat-panel detector: The scintillator converts X- or c-rays into light, which is detected by the
photodiodes. They are read out by thin-film transistors (TFT) on the basis of amorphous silicon, which is resistant to
radiation
more and more applied for inspection of valves
and armatures for functionality check and
deposit search.
11.6.7 Radiography with Digital
Detector Arrays
11.6.7.1 Detector Type and Working
Principle
Two types of digital detector arrays (DDAs),
also called flat-panel detectors, are available on
the market. The first design (Fig. 11.24) is based
on a photodiode matrix connected to thin-film
transistors (TFTs) [15, 16]. These components
are manufactured of amorphous silicon and they
are resistant against ionizing radiation. Alterna-
tively to the amorphous silicon panels CMOS
arrays can be applied. The photodiodes are
charged by light which is generated by a scin-
tillator converting the incoming X- or c-rays.
This scintillator can be a polycrystalline layer
that causes some additional unsharpness by light
scattering or a directed crystalline system which
acts like a face plate with lower unsharpness due
to inhibited light scattering (Fig. 11.25). The
next generation (second type of DDAs) of flat
panels is based on a photoconductor like
239
amorphous selenium [15] or CdTe on a multi-
microelectrode plate, which is also read out by
TFTs (Fig. 11.26b) or CMOS arrays. Direct
converting photodiode systems (Fig. 11.26a) are
not used in NDT, due to their low quantum
efficiency.
DDAs are suitable for in-house and in-field
applications. In-field applications are charac-
terized by harsh environmental conditions in
some areas, which imply the risk of hardware
damage and restrict the mobile application of
DDAs. First DDAs are on the market which are
protected against moisture and mechanical
load. Alternatively, digital data may be
obtained by film digitization or directly by the
application of CR.
Line Detectors
The classical concept of NDT with line detectors
is based on a fixed radiation source, moving
objects, and a fixed line camera. This is the
typical concept for baggage, car, and truck
inspection. Line detectors are available with
a resolution of 0.2550 mm. The most common
principle is the combination of scintillator and
photodiodes. The scintillator is selected in
accordance to the energy range.
240
Fig. 11.25 Principle of amorphous silicon flat panels
with fluorescence screens. a Additional unsharpness is
generated in the phosphor layer due to light scattering.
b Needle crystals of CsI on the surface of the
Fig. 11.26 Principle of direct converting flat panels
with amorphous silicon thin-film transistor arrays for
read out. There is no light scattering process involved.
The spatial resolution is determined by the pixel size of
the detector array. a Photodiodes convert directly the X-
11.6.7.2 Application of DDAs
High Contrast Sensitivity Technique
with DDAs
DDAs can provide a significantly better contrast
sensitivity than films and IPs [4, 1719]. This is
known as High Contrast Sensitivity technique
(HCS) [4]. The signal response of the different
DDA detector elements can be corrected by a
calibration procedure, since the characteristic of
each element can be measured quite accurately.
Figure 11.27 shows the effect of SNR increase
(equivalent to CNR increase) on the visibility of
fine flaw indications [4, 17]. The digitized fine
grained film provides an SNR of 265 in the base
material region. The DDA image was measured
with an SNR of about 1,500 and a magnification
of 3.5. It shows significantly more flaw
U. Ewert et al.
photodiodes improve the spatial resolution because the
crystals conduct the light to the photodiodes like fiber
light conductors
ray photons to electrons. This technique is suitable for
low-energy applications. b A photoconductor (e.g.,
amorphous selenium or CdTe) is located on microelec-
trodes in a strong electrical field. Radiation generates
charges, which can be stored in microcapacitors
indications than the digitized film image. The
increase of the SNR is the key parameter for the
increase of the contrast sensitivity corresponding
to Fig. 11.14 and Eq. (11.18).
Testing of Heat Exchangers
Since decades the state-of-the-art in NDT of
tube-to-tube sheet welds is radiographic
inspection based on Gammamat B3 containing
an Ir 192 isotope as radiation source and NDT
film as detector (see Fig. 11.28). For this appli-
cation, the vacupaced films have to be punched
light-tight to pass the radioisotope source
through the film caused by the one-sided
accessibility of the tube sheet. Special wall-
thickness compensators are used to account for
wall-thickness changes in penetrating direction
across the inspected weld regions. The
11 Industrial Radiology 241

BAM 5, 8mm steel

Fuji IX25
SNRnorm~ 265

DDA Technology
provides better
Best (slowest) NDT film image quality than
film with a
special calibration
procedure!
Images high pass
filtered for better
presentation

PerkinElmer 1620
SNRnorm~ 1500
Magn. = 3.5
DDA exposure
Fig. 11.27 Improved detail visibility of flaws by increased SNR of the DDA image in comparison to digitized film
image of weld sample BAM 5

Possible tube dimensions: 12*1.5 up to 76.1*4 (diameter*thickness)

Materials: carbon and stainless steel, Ni-alloys, Zr, (Ti, Ta)
Joint design shall be considered

Heat exchanger Gamma source Film

Ir 192, Radiator: 1 x 0.5 mm

Radiation protection container
WLE/AD - Plant Inspection, Welding Engineering; PVT Meeting Freeport 2004 14

Fig. 11.28 Classic design for inspection of tube-to-tube tube-to-tube sheet weld and exposes the film which is
sheet welds. The gamma source is shifted from the situated between radiation protection container and tube
radiation protection container into the tube through an X- sheet
ray film with a central hole. The radiation penetrates the

sensitivity of this testing method is limited by boarders, NDT teams from different countries
the properties of the radiation source. Since heat need to be involved. Nowadays, the testing with
exchangers are shipped worldwide over country radioisotopes becomes more and more
242 U. Ewert et al.

X-ray tube Warrikhoff MCTS 130A-0,6 and

Testing of Heat Exchanger Welds CdTe-Detector Ajat DIC100TH
with a specialised
Digital Detector Array
Through the Detector
Practice test:
Alekseychuk, Zscherpel, Rost

Fig. 11.29 Digital X-ray endoscope for inspection of comparison to the system with Ir-192 and film. Further-
tube-to-tube sheet welds. A rod anode X-ray tube [21] more a reduced controlled area is required and the
and four DDA tails [20] are integrated for fast digital inspection speed is about 10 times faster than for the
inspection [14]. The image quality is improved in classical inspection

complicated due to tough radiation protection and a line camera. The camera consists of an
regulations and transport limitations. integrated circuit with about 1,200 photodiodes.
A direct converting detector, based on CdTe A GdOS scintillator screen is coupled to the
semiconductors, was redesigned [20] in 2006. diodes. New applications take advantage of TDI
Together with a rod anode X-ray tube [21], a (time-delayed integration) technology to speed
managable unit was designed with four detector up the scan [24]. Several hundred lines are used
tiles arranged around the rod anode, which passes in parallel. The signal is transferred from line to
though the detector plane (see Fig. 11.29). line synchronously with the movement of the
The handling of this inspection unit as well as object or the scanning system. The information is
the computer based image acquisition reduces integrated on the chip and the speed enhance-
the expense for this RT inspection considerably. ment corresponds to the number of lines used.
All problems with film chemistry, any consum-
ables and isotope transportation are avoided
now.
In this way, the single-sided access for weld
inspection was realized as an X-ray endoscope.
The controlled area could be reduced since the
unit provides best image quality in the range of
7090 kV X-ray voltage compared with Ir 192
requirements (max. Energy about 650 keV) as
used before.

Mechanized X-ray Inspection of Welds

High-resolution lines have been introduced for
weld inspection [22, 23]. Figure 11.30 shows a
mechanized X-ray inspection system, which is
based on an X-ray tube, a manipulation system
Fig. 11.30 View of the line scanner. The X-ray tube
and camera are mounted on a manipulator for mecha-
nized inspection of pipes
11 Industrial Radiology
Fig. 11.31 Reconstructed
crack in an austenitic
weldment compared
to the metallographic
cross-sections
Specialized tomographic routines were
developed to reconstruct a 3D image of the weld
[22, 23]. This method is very sensitive to cracks
and lack of fusion. The depths and shape of these
defects can be reconstructed and measured.
Figure 11.31 shows the image of a reconstructed
crack in an austenitic girth weld in comparison
to a cross-sectional metallography.
The High Contrast Sensitivity Technique was
combined with planar tomography and the To-
moCAR setup. It enables a significantly higher
detail resolution than classical film radiography
and digital laminography. The test sample BAM
5 (8 mm mild steel, Fig. 11.32 left) was
inspected with TomoCAR. About 700 projec-
tions were acquired in an angle range of 40.
Each projection was taken at 100 kV with an
SNR [ 200. After reconstruction, it was possi-
ble to classify and size the different flaws. The
weld root (Fig. 11.32 right bottom image) is
dominated by a lack of penetration. In the center
of the weld (Fig. 11.32 right central image), the
welding material is presented with lower density
than the base material. At right side of the cen-
tral lateral crack, the welding material did not
intermix with the base material. Lack of fusion is
visible. At the left of the central lateral crack, the
welding material did intermix with the base
material. In the cover layer of the weld
243
(Fig. 11.32 right upper image), a variety of lat-
eral cracks is visible. Such a detailed image
presentation cannot be achieved with X-ray film
or any other NDT method.
11.6.8 Automated Evaluation of Digital
X-Ray Images: Serial Inspection
in Automotive Industry
Fast digital X-ray inspection systems are used in
the serial examination of industrial products since
this technique is capable of detecting flaws rather
different in their nature such as cracks, inclusions,
or shrinkage. They enable a flexible adjustment of
the beam direction and of the inspection per-
spective as well as online viewing of the radio-
scopic image to cover a broad range of different
flaws. This economic and reliable technique has
become of essential significance for different
applications. The configuration of such systems is
schematically represented in Fig. 11.33.
The object, irradiated from one side by X-
rays, causes a radioscopic transmission image in
the detector plane via central projection. The
relation between the focusdetector distance
(FDD) and the focusobject distance (FOD)
determines the geometrical magnification of the
image. An image converter such as an X-ray
image intensifier, a fluorescence screen or a
244
DDA measurementwithHamamatsu
Fig. 11.32 Left Photograph of test sample BAM 5 with
different IQIs. Right The slices at the right side show the
welded root (right bottom) with lack of penetration, the
Fig. 11.33 Schematic setup of a digital industrial radiology system
digital detector array (DDA), also called a flat-
panel detector, converts the X-ray image to a
digital image.
Light alloy castings are widely used, espe-
cially in automotive manufacturing. Due to
imperfections of the casting process, these com-
ponents are prone to material defects (e.g.,
shrinkage cavities, inclusions). These parts are
frequently used in safety-relevant applications,
such as steering gears, wheels, and increasingly in
U. Ewert et al.
Cover layer with cracks
Central layer with cracks and lack of fusion
Root layer with lack of penetration
central layer of the weld (right central) with lack of
fusion and the cover layer of the weld (right upper) with
a variety of lateral cracks
wheel suspension components. These parts have
to undergo a 100 % X-ray inspection for safety.
A fully automated X-ray inspection system
for unattended inspection can guarantee objec-
tive and reproducible defect detection (see
example in Fig. 11.34). The decision whether to
accept or to reject a specimen is carried out
according to the users acceptance specification.
These systems are known as automated defect-
recognition (ADR) units.
11 Industrial Radiology
Fig. 11.34 Defect detection with an automated system.
Left original image; right detected flaw
Automated X-ray inspection is also used for a
novel field of application: the check of com-
pleteness and function. This is of importance, if
the presence and deformation of parts have to be
checked. Furthermore, distances and spatial
dimensions can be examined.
11.7 Applications of Radiology
for Public Safety and Security
Public safety and security is yet another appli-
cation field of DIR. Since explosives entail a
considerable threat it is a central issue of all
security measures to detect them in time. There
exist a variety of different methods for explosive
detection [25].
11.7.1 Inspection of Unexploded
Ordnance
Grenades containing warfare substances are
identified by the presence of a liquid surface
visible in the respective radiograph (Fig. 11.35
They have to be inspected to assign them to the
appropriate way of safe disposal. To detect a
putative liquid filling, the suspected ammunition
is radiographically inspected in a tilted position.
If this shows the surface of the liquid, then the
grenade is filled with a warfare substance (such
as e.g., mustard gas or phosgene). Image pro-
cessing reveals further details. Figure 11.36
shows how the digital radiograph of a shrapnel
grenade was enhanced by image processing [26].
Features rather invisible in the original image
such as the central tube through the shrapnel
245
Fig. 11.35 Inspection of a grenade of World War I,
filled with chemical warfare. The chemical agent can be
detected, by visualization of the liquid-level line inside
the grenade
Fig. 11.36 Radiograph of a shrapnel grenade: a original
image, and b high-pass-filtered image
spheres appear clearly after a band pass filtering
enhancing edges and shapes together with auto-
matic digital noise perception and compensation.
11.7.2 Dual-Energy Radiography
for Baggage Control
The dual-energy technique is widespread in
modern baggage-inspection equipment. It pro-
vides additional information about the chemical
composition of the inspected material. The
technique takes advantage of the fact that radi-
ation of different energy is absorbed differently
by the various elements. The absorption is a
function of the atomic number of the absorbing
elements. As a consequence, radiographs taken
at a lower and a higher X-ray energy level are
not identical. The ratio between the logarithmic
gray values of such a pair of images represents
the chemical composition of the absorbing
material and is independent of its layer thick-
ness. Figure 11.37 shows a dual X-ray tube set
and a typical dual-energy radiograph of a bag.
This technique provides the operator with color-
coded images, where the color indicates the
246 U. Ewert et al.

Fig. 11.37 Dual X-ray tube assembly for dual-energy numbers (e.g., metals); greenmedium atomic numbers
inspection of baggage and typical image of a bag. The (e.g., glass, polyvinyl chloride); yellow to brownlow
atomic number of the components in the object are atomic numbers (e.g., carbon hydrates)
usually represented by the color: bluehigh atomic

chemical composition of the inspected speci- 7. Rose, A.: Television pickup tubes and the problem of
men. This can provide hints of the presence of vision. In: Marton, L. (ed.) Advances in Electronics
and electron Physics, vol. 1. Academic, New York,
explosives or contraband. Advanced versions of pp. 131166 (1948)
inspection units include an additional spec- 8. Ewert, U., Bavendiek, K., Robbins, J., Zscherpel, U.,
trometer to measure the spectrum of the scat- Bueno, C., Gordon, T., Mishra, D.: New
tered radiation. This method is rather sensitive compensation principles for enhanced image quality
in industrial radiology with digital detector arrays.
and allows the detection and specification of Mater. Eval. 68(2), 163168 (2010)
various chemical compounds within the object. 9. Lindley, C.A.: Practical image processing in C,
acquisition, manipulation, storage. Wiley, New York
(1991)
10. Gonzalez, R.C., Woods, R.E.: Digital Image
Processing, 2nd edn. Prentice-Hall, New Jersey
References (2002)
11. CR-Standards, CEN EN 14874; ASTM E 2007,
E 2033, E 2445, E 2446
1. Halmshaw, R.: Industrial Radiology, Theory and
12. Ewert, U., Stade, J., Zscherpel, U., Kaling, M.:
Practice. Chapman Hall, London (1995)
Lumineszenz-Speicherfolien fr die Radiographie.
2. Bryant, L.E., McIntire, P. (eds.): Radiography and
Materialprfung 37, 474478 (1995)
radiation testing. In: Nondestructive Testing
13. Ewert, U., Heyne, K., Zscherpel, U., Jechow, M.,
Handbook, vol. 3, 2nd edn. ASNT, Columbus (1985)
Bavendiek, K.: Optimum Exposure Conditions for
3. Ewert, U., Zscherpel, U., Heyne, K., Jechow, M.,
Computed Radiography Depending on Fixed Pattern
Bavendiek, K.: Image quality in digital industrial
Noise and Efficiency of Imaging PlateScanner
radiography. Mater. Eval. 70(8), 955964 (2012)
Systems. In: AIP conference proceedings 1335 of
(ISSN 0025-5327)
review of progress in quantitative nondestructive
4. Bavendiek, K., Heike, U., Meade, W.D., Zscherpel,
evaluation, QNDE, San Diego, July 18th23rd, 2010,
U., Ewert, U.: New Digital Radiography Procedure
pp. 493500, ISBN 978-0-7354-0888-3
Exceeds Film Sensitivity Considerably in Aerospace
14. Zscherpel, U., Ewert, U., Rost, P., Schmid, M.,
Applications 9th ECNDT, Berlin, 2529 Sept 2006,
Spartiotis, K., Warrikhoff, A.: X-ray endoscopy for
Proceedings CD, NDT.NET publication, http://www.
inspection of tube to tube sheet welds in heat
ndt.net/article/ecndt2006/doc/Th.3.2.1.pdf
exchangers. In: 18th World conference on NDT,
5. Rose, A.: A unified approach to the performance of
1620 April 2012, Durban, South Africa, http://www.
photographic film, television pickup tubes and the
ndt.net/article/wcndt2012/papers/
human eye. J. Soc. Motion Picture Eng. 47(4), 273
335_wcndtfinal00335.pdf
294 (1946)
15. Ewert, U., Zscherpel, U.: New detectors and
6. Rose, A.: The sensitivity performance of the human
perspectives in industrial radiography, NAARR.
eye on an absolute scale. J. Opt. Soc. Am 38, 196
Bulletin XII(1), 5971 (2005)
208 (1948)
11 Industrial Radiology
16. Casagrande, J.M., Koch, A., Munier, B., de Groot, P.:
High Resolution Digital Flat-Panel X-Ray
DetectorPerformance and NDT Application, 15th
edn. (WCNDT, Rome 2000) see http://www.
ndt.net/article/wcndt00/papers/idn615/idn615.htm
17. Ewert, U., BAM Berlin, U. Zscherpel, BAM Berlin,
K. Bavendiek, YXLON International GmbH,
Hamburg, Digitale Radiologie in der ZfP
Belichtungszeit und KontrastempfindlichkeitDer
quivalenzwert zur optischen Dichte des Films,
DGZfP-Jahrestagung, Rostock, 24 May 2005,
Proceedings CD, v23.pdf and ZfP-Zeitung 97,
2005, S. 4147
18. Ewert, U., Zscherpel, U., Bavendiek, K.:
Replacement Of Film Radiography By Digital
Techniques And Enhancement Of Image Quality.
In: Annual conference of Indian NDT society,
Kalkutta, 46 Dec 2005, V.S. Jain-Lecture,
Proceedings, S. 3-15, NDT.NET publication, 2007,
http://www.ndt.net/article/v12n06/ewert.pdf
19. Ewert, U., Zscherpel, U., Bavendiek K.: Strategies
for Film Replacement in RadiographyFilms and
Digital Detectors in Comparison, WCNDT,
Shanghai, 2008, NDT.NET publication, http://www.
ndt.net/article/wcndt2008/papers/68.pdf
20. DIC100TH (Unique Tube to Tube sheet weld
inspection system) based on a CdTe/CMOS direct
converting DDA, Ajat Oy, Espoo, Finland, http://
www.ajat.fi/index.php?option=com_content&view=
article&id=39&Itemid=51
21. X-ray tube MCTS 130A-0,6 by rtw Rntgen-Technik
Dr. Warrikhoff GmbH & Co. KG http://www.
247
rtwxray.de/index.php?app=SA&id=tubes&col1=
open#CollapsiblePanel1
22. Redmer, B., Robbel, J., Ewert, U., Vengrinovich, V.:
Mechanised weld inspection by tomographic
computer-aided radiometry (TomoCAR). Insight
44(9), 564567 (2002)
23. Redmer, B., Ewert, U., Neuendorf, B., Jakob, M.:
Tomographic 3D-Radiometry for the Visualisation
and Measurement of the Defects of Girth Seams, 9th
ECNDT, 2529 Sept 2006, Berlin, http://www.
ndt.net/article/ecndt2006/doc/We.3.2.3.pdf
24. Dupius, O., Kaftandjian,V., Drake, S., Hansen, A.,
Casagrande, J-M.: FFreshex: A combined System for
Ultrasonic and X-Ray Inspection of Welds, 15th edn.
(WCNDT, Rome 2000) see http://www.
ndt.net/article/wcndt00/papers/idn286/286.htm
25. Schubert, H., Kuznelsov, A. (eds.): Detection of Bulk
Explosives. Kluwer Academic Publishers, Dordrecht
(2004)
26. Osterloh, K., Zscherpel, U.: Ways of Digital Image
Processing to Obtain Fast and Unbiased Results. In:
18th World conference on nondestructive testing, 16
20 April 2012, Durban, South Africa, http://www.
ndt.net/article/wcndt2012/papers/284_wcndtfinal00284.pdf
27. EU project FilmFree, reference numberFP7-
SME-2007-1-GA-222240,
http://www.filmfree.eu.com, (20052009)
28. Softwaretool ISee!, radiographic image analysis
software by Alekseychuk, O., BAM VIII.3, http://
www.dir.bam.de/ic
 Computed Tomography
Jurgen Goebbels
12.1 Principle
Computed tomography (CT) with X- and
Gamma-rays is a well-known imaging method,
established first for medical use [1]. Applica-
tions to non-destructive testing were published
in the early 1980s [2]. CT offers the possibility
to map non-invasively the three-dimensional
local absorption of X-rays of samples and
components, which correspond to the inner and
outer structures. The result of a CT measurement
is usually given in the form of a 3D image
matrix. Each point represents a single volume
element in the sample, a voxel. CT delivers an
absolute measure, the linear attenuation coeffi-
cient l, for the absorbed X-ray radiation aver-
aged over one voxel. Depending on the sample
diameter, the maximum material thickness
which has to be penetrated and the used equip-
ment, details as small as a few lm, can be
characterised and resolved [3]. With Synchro-
tron CT with their advantage of parallel beam
and high photon flux even at monochromatic
energies, these limits are at present in the
nanometre range [46].
J. Goebbels (&)
Bundesanstalt fr Materialforschung undprfung,
Unter den Eichen 87, 12205 Berlin, Germany
e-mail: juergen.goebbels@t-online.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_12,  Springer-Verlag Berlin Heidelberg 2013
12
12.2 Scanning Methods
and Reconstruction Algorithms
Generally the samples have to be irradiated from
all directions, i.e. over 360. For special appli-
cations a reduced set of projections can be used.
The terms for this are Limited angle CT,
Laminography, etc. [7, 8].
Depending on the applied scanning method
different reconstruction algorithms can be
applied [9]. The most used algorithm is the fil-
tered back projection algorithm for single slice
CT and fan beam geometry and its extension to
cone beam tomography, the Feldkamp-David-
Kress (FDK) algorithm [10]. The known
expansions are the Spiral-CT, first developed for
medical CT with line detectors [11]. Using flat
panel detectors Spiral-CT [12, 13] allows to
overcome the limitations of the FDK algorithm,
which is an approximation valid only for small
opening angles of the X-ray cone beam. In the
following only results of complete scanning CT
are described.
12.3 Applications
The main applications of CT handled exten-
sively in this chapter are: density distribution
and material composition, porosity and porosity
distribution, flaws and related properties, fibre
reinforced materials, corrosion phenomena and
dimensional control.
249
250
Fig. 12.1 Green alumina
component. Right side
flaws and density or
porosity gradients in radial
and axial intersection. Left
side density scale
12.4 Density Distribution
The advantage of non-destructive methods is
that such methods can be applied to sensitive
components like green state ceramics. CT is the
only method which gives information about the
3D density distribution in such samples. With
CT it is possible to determine green-body den-
sity variations with high local resolution even in
complex-shaped components. Density gradients
caused by shaping process, the influence of press
parameters, irregular filling conditions or chan-
ges in the moisture content of the granules are
only a few examples which can be detected,
quantified and used for an optimised production
process.
The first experiments with 2D CT were done
by investigating ceramic samples [14]. Using
Cone beam CT together with a very careful
calibration of the CT system a lot of work was
done [15, 16], including a comparison with
theoretical calculations.
As an example, a green alumina component is
shown in Fig. 12.1. It has a diameter of 19 mm,
a height of 12 mm and a mean density of
2.27 g/cm3 corresponding to a mean porosity of
about 43 %. The coloured absolute density scale
is related to the mean density. The complex
shape shows high and low density regions.
Flaws can also be detected presumably caused
by the ejection process.
J. Goebbels
12.5 Porosity Size and Distribution
If the pores can be resolved and classified the
pore size distribution can be determined together
with analysing open and closed porosity
[17, 18]. Especially for cellular materials like
plastics or aluminium foam, much information can
be extracted from CT measurement such as pore
size distribution, number of nodes, wall thickness
parameters and other structural parameters that
define the properties of such materials [19].
12.6 Material Composition
With CT a biunique determination of chemical
composition of a material is usually not possible
due to the fact that the X-ray absorption is a
mixture of electron density and physical density.
Some efforts are done using more advanced
techniques like dual-energy CT [20, 21], X-ray
fluorescence tomography (mainly used in con-
nection with synchrotron radiation) and other
methods to reduce this limitation. However,
these methods cannot be applied generally due
to the essential dependence of these methods on
the sample size, material combination and X-ray
energies. For materials with phases which differ
well in the absorption an analysis of the com-
position of the samples can be performed from
classical CT image data sets only.
12 Computed Tomography
Fig. 12.2 Two slices of
the 3D-data set of two core
samples ([ = 50 mm,
height = 40 mm). The
sample at right was
contaminated artificially
with dust
Open porous asphalt, which is used to reduce
traffic noise, is such a system [22]. It is an open
graded mixture of coarse and fine aggregates,
mineral filler and a bituminous-based binder,
with air voids greater than 25 %. In practice,
when the open porous asphalt is in use on
streets, the dust infiltration is added. To char-
acterise the properties a number of samples from
laboratory experiments and from core samples
extracted from roads are investigated to deter-
mine the content of bitumen/binder, of coarse
aggregates and air before tests are performed
with dusty samples [23]. Other morphological
features like grain size distribution, open or
closed porosity and pore size distribution can be
extracted from CT measurements to characterise
the properties of these materials.
Figure 12.2 shows an example of two open
porous bitumen core samples together with the
histogram (see Fig. 12.3) belonging to it. Due to
the selected spatial resolutionvoxel size
52 lmappropriate for such core samples, the
Fig. 12.3 Histogram analysis of content of a bitumen
sample
251
two phases bitumen/filler and dust appears not to
be separated in the histogram. The ratio of phases
for the left image in Fig. 12.2 is 16.3 0.2 %
bitumen/mineral filler, 57.7 0.3 % aggregate
and 26.0 0.3 % air/porosity.
12.7 Flaw Analysis
The classical use of CT in NDT is the detection
and classification of flaws, pores, shrink holes and
discontinuities. Especially the size and the precise
location of flaws can be determined with CT. This
behaviour is also used to calibrate other NDT
methods like Eddy current and Ultrasonic Tech-
niques. There are many publications about the
detection of flaws with CT [24].
A challenge is the precise quantification of
defect size. A method for obtaining quantitative
information in 3D on CTs ability to measure the
geometry and to detect defects is to measure cal-
ibrated test pieces (reference standards) and defect
detection [25]. To obtain a test piece with inner
geometries measured by tactile means, a small
aluminium cylinder head was divided into four
pieces in such a way that the innermost surfaces
can be reached with a tactile probe (Fig. 12.4).
Reference geometries (spheres and cylinders)
were applied to define a coordinate system for
aligning the measurements in the disassembled
and reassembled states. The four pieces were
reassembled after the tactile measurement.
The test piece also contains casting defects.
In order to be able to use the assembled cylinder
head as reference sample for defect detection,
252
Fig. 12.4 Mini cylinder head no. 5, divided into four pieces, 1Al 4Al (left image). Two segments of mini cylinder
head no. 5 with the visible spheres (right image)
Fig. 12.5 The detected
defects (marked black) in
the averaged reference data
(left) and in the assembled
cylinder head measurement
(right)
measurements with higher spatial resolution and
better signal-to-noise ratio were performed on the
single parts (Fig. 12.5). For improving the reli-
ability of the reference measurements, CT mea-
surements of each part were carried out in three
different orientations, and the individual defect
detections were combined to obtain a reference
data set with a high probability of defect detection
and a low rate of erroneous detections. This new
method for comparing the defect detection in a CT
measurement to a reference data set demonstrates
individual information about every detected flaw.
An alternative method to quantify precisely
flaws in real components is the simultaneous
measurement of a test piece with well-defined
flaws. As an example a cube of a volume of
1 cm3 was constructed, composed of mono-
crystalline Si plates (thickness 0.5 and 1 mm)
with well-defined flaws. The flaws have a
diameter between 50 and 1,000 lm.
J. Goebbels
Figure 12.6 represents a 3D visualisation of
this test piece. In the well-defined flaws, the
dimensions determined by other methods are
marked red [26]. The advantage of using mono-
crystalline Si is its homogeneity and an X-ray
absorption coefficient appropriate to aluminium
castings.
12.8 Fibre Reinforced Materials
The knowledge of fibre distribution and orien-
tation, fibre density and volume content, order
parameter, fibre cracks and fibre arrangement is
essential for properties of materials such as fibre
reinforced concrete, fibre reinforced plastics,
fibre reinforced carbon, metal matrix composites
(MMC) and other materials containing fibres,
including paper. Different approaches exist to
extract information from the CT volume data set
12 Computed Tomography
Fig. 12.6 Test piece, composited from smaller parts
with well-defined flaws
about such features. Statistical methods as well
as single fibre extractions are developed and
applied for characterisation [2729].
As an early example in the framework of the
building activities at Potsdamer Platz in Berlin,
steel fibre concrete for underwater slabs were used
and core samples of fibre reinforced concrete were
tested at BAM [30, 31]. Figure 12.7 gives some
results, showing samples with low/high content of
fibres as well as with oriented and randomly dis-
tributed fibres.
An example for a statistical analysis is given
for the production process of fibre reinforced
autoclaved aerated concrete [32]. Hereby, a
preferential orientation of fibres is induced. For
better understanding of the development of the
fibre arrangement during the foaming process of
the concrete, digital radiography was used to
study the evolution of orientation in situ. The
strength and the deformation behaviour of this
building material are largely influenced by the
Fig. 12.7 Fibre reinforced concrete. Sample diameter
100 mm. Steel fibre diameter 0.6 mm, fibre length 50 mm,
steel fibre reference input: 40 kg/m3. The images show
253
fibre orientation. Therefore, information about
the fibre orientation is highly desirable. CT
allows a non-destructive study of fibre rein-
forced autoclaved aerated concrete on different
scales with laboratory equipment. The contrast
between fibres and concrete matrix is sufficiently
high even for glass fibres. Two different ways to
study the fibre orientation are compared. The
results correlate with the strength and the
deformation behaviour of the samples. A high
resolution study of the fibre environment shows
that the fibres align the adjacent pores. An
analysis of fibre orientation requires a large
amount of fibres. As fibre reinforced autoclaved
aerated concrete contains only few volume per-
cent fibres compared to fibre reinforced plastics,
a large volume needs to be studied (i.e. a few
centimetres edge length). Fortunately the fibre
geometry can be extracted reliably from CT
image data with a voxel size larger than the
smallest fibre dimension. To study the fibre
environment in detail a higher resolution was
used. CT measurements of highly structured
samples of such size can be performed with
laboratory set-ups at low expense allowing high
sample numbers. The flat panel detectors used in
recent CT set-ups allow digital radiography with
high time resolution. This was used to study the
evolution of orientation during the foaming of
the concrete.
If fibres can be assumed to be long cylinders
oriented freely in space their orientation can be
determined from the cylinder end coordinates.
Subsequent to a labelling these coordinates can
be obtained easily for each single fibre with a
self-written program. The labelling, i.e., the one-
to-one assignment of each separated object in
the CT image volume to a number and setting of
from left to right a 3D-visualisation of the analysed part of
a core sample, a sample with low content of fibres, high
content, oriented fibres and randomly distributed fibres
254 J. Goebbels

Fig. 12.8 Left the derivation of the fibre orientation and length from the maximum and minimum coordinates result
in a faint deviation from cylinder axis. Right the area projected into a plain from a fibre is a function of the polar angle

its voxels grey value to this number can be
performed with software commercially available
(for instance MAVI from Fraunhofer ITWM, or
VG Studio Max from Volume Graphics). The
self-written program determines for each grey
value (i.e. each object) the minimum and max-
imum x, y, z coordinates as well as the residual
coordinates belonging to each extreme. The
coordinates of that pair of extrema with the
highest absolute value of the difference are
closest to the end point coordinates of the cyl-
inder axis (see Fig. 12.8, left). Additionally, the
choice of these coordinates is suited best to
minimise the effects of a deviation from an ideal
cylinder shape. As far as the length L of the fibre
is much higher than its diameter D only faint

Fig. 12.9 Left 3D view of the model fibre dataset. Right in the projection is plotted into a stereographic projec-
Orientation distribution of the model dataset derived by tion. The azimuth is plotted circumferential, the polar
projection. The normalised number of zero valued pixels angle radial
12 Computed Tomography
deviations from the real length (\1 % for
L/D = 10) and orientation arise from this
treatment. The maximum deviation for the angle
amounts to 5.7 for L/D = 10 and 0.5 for
L/D = 100. The latter is fulfilled for the bundled
glass fibre of interest in this work. The orienta-
tion analysis from fibre end points provides the
polar angle and the azimuth for each fibre. From
that the total number or length of fibres per solid
angle (steradian) can be calculated and plotted
into a stereographic projection. The validity is
tested with a model fibre set, shown in Fig. 12.9.
12.9 Corrosion
CT in general is not the favoured tool for the
investigation of large structures like civil
buildings. But it is a unique tool to study non-
destructively time-dependent properties in
smaller samples and to combine the results with
other techniques, which are more suitable for
large structures. As an example the study of self-
corrosion was investigated [33, 34]. For the
electrochemical investigations, mortar cylinders
with embedded electrodes were produced
(cylinder: height 120 mm, diameter 80 mm).
The concrete cylinder simulates a constant
concrete cover (35 mm). At the centre of the
specimen a small steel cylinder (working elec-
trode) welded to a stainless steel filler wire is
fixed. The steel cylinder had a diameter of
9 mm, a height of 10 mm and a surface of
4.1 cm2. In addition to the working electrode a
Fig. 12.10 Two iso-surface visualisations of the outer surface of the concrete sample (left) and the inner electrode
together with the counter electrode (middle). Cross section of sample M1Cl4/26 (right)
255
counter electrode (platinised titanium net) was
embedded.
Finally the results of the electrochemical
studies and the results from the CT data
Figs. 12.10 and 12.11 show the embedded
electrode at different stages of corrosionwere
correlated to give a prognosis of the corrosion
progress. The mass loss determined by electro-
chemical data and the mass loss calculated from
CT data, extracting the electrode volume by
image analysis was compared. The time depen-
dence of mass loss is shown in Fig. 12.12. In
addition, the differentiation between total and
pitting corrosion is essential for the corrosion
progress and was first shown in these investi-
gations non-destructively by CT.
12.10 Dimensional Control
A characteristic of the samples is the dimension
of components, especially the form and size.
In the past 10 years the measurement and
determination of geometric features with com-
mon coordinate measurement machines (CMM)
was supported and expanded by CT as a new
sensor. A lot of efforts were done to improve the
uncertainty of the dimensional control with CT
[35, 36], using well-designed test samples as the
sample (see Fig. 12.4) which is used as a
reference sample for flaw determination.
For the results reached with an uncertainty in
the l range, the dimensional control of a micro
gear is described [37, 38]. Micro gears with an
256 J. Goebbels

Fig. 12.11 Details of the electrode of a chloride concrete sample at different stages of self corrosion

Fig. 12.12 Volume 630

reduction of electrode for
Volume / mm

two sets of samples as 620

function of time
610

600 M1Cl0/25 M1Cl0/26

M1Cl0/27 M1Cl4/25
590
2 6 10 14 18 22
Time scale / month

outer diameter of a few mm are often used in

micro sun and planet gears. Figure 12.13 shows
a micro gear made of steel with 14 teeth.
The micro CT measurements were performed
using a CT system of BAM with 80 kV voltage,
0.25 mm Cu filtering, (3.6 lm)3 voxel size and
2,048 9 2,048 pixel detector size. In total, six
independent CT measurements were recorded.
Surface data was created from the CT volume
data by an adaptive threshold process using
Volume Graphics Studio Max 2.02. The quality
of surfaces was levelled for optimal processing
resulting in polygon data sets with 1.5 millions Fig. 12.13 Micro spur-gear with 3 holes on mounting base
triangles for each set. The CT data was corrected
for first order scaling errors by correcting the The result of the actual nominal comparison
nominal voxel size with the known diameter of is the local difference between the tactile and the
the core hole of the gear (assessed by tactile CT measurement. This can be interpreted as the
micro CMM measurements). The registration of measurement error of the CT measurement (see
the CT and of the tactile point data was Fig. 12.14).
accomplished step by step. The final alignment As a result, a value of 4.8 lm can be a first
was performed by a restricted Gaussian best fit measure of the measurement uncertainty of micro
with Geomagic Studio 10 SR1 (64bit), where CT measurements of the micro gear under study.
only a rotation around the z-axis is unrestricted. It shows that one voxel measurement uncertainty
For each CT data set, finally an actual nominal of micro CT measurement can be achieved even
comparison is calculated with Geomagic Studio. for measurements of sculptured surfaces.
12 Computed Tomography
Fig. 12.14 Error of
dimension of CT
measurement
of a micro gear
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 Embedded Sensors
Werner Daum
This chapter introduces the concept of structural
health monitoring (SHM), gives an overview of
state-of-the-art sensing techniques used for per-
formance control and condition monitoring, and
reviews topical applications from different
industrial areas. Further detailed descriptions of
a wide range of practical applications can be
found, e.g., in [16].
13.1 Introduction
The final decade of the twentieth century brought
many technological achievements, not only in
regard to the development of innovative and
high-performance materials but also in regard to
advanced sensing techniques. The embedment of
sensors into materials or structures opens up new
possibilities to detect, e.g., the presence of cracks
or the onset of failure, to estimate the extent of
degradation, and to locate damaged zones. This
is the basic idea of SHM, which has gained more
importance within the past years. This is an
emerging technology that deals with the devel-
opment of techniques and systems for the con-
tinuous monitoring, inspection, and damage
detection of structures. Today SHM can be found
in a wide area of industrial applications: starting
W. Daum (&)
Bundesanstalt fr Materialforschung undprfung,
Unter den Eichen 87, 12205 Berlin, Germany
e-mail: werner.daum@bam.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_13,  Springer-Verlag Berlin Heidelberg 2013
13
from A for aircraft and ending at Z for Zeppelin.
Innovative bridge design, higher safety require-
ments, extended operation time, reduction of
maintenance, and inspection costs (e.g., less or
no visual and NDT inspection) are the driving
forces for the usage of SHM systems. The ulti-
mate goal is to eliminate current schedule-based
inspection and replace it with condition-based
maintenance or repair.
13.2 Basics of Structural Health
Monitoring
The basic idea of SHM can simply be described
as the integration of a type of sensing system
that provides information on demand about any
significant change or damage occurring in an
aerospace, civil, and mechanical engineering
infrastructure [7]. The SHM process involves the
observation of a structure over time using peri-
odically sampled dynamic response measure-
ments from an array of sensors. The extraction
of damage-sensitive features from these mea-
surements and the statistical analysis of these
features are then used to determine the current
state of structural health. For long-term SHM,
the output of this process is periodically updated
information regarding the ability of the structure
to perform its intended function in light of the
inevitable aging and degradation resulting from
operational environments. After extreme events,
such as earthquakes or blast loading, SHM is
259
260
Fig. 13.1 Conceptual
diagram of a smart
structure (after [9])
used for rapid condition screening and aims to
provide, in near-real time, reliable information
regarding the integrity of the structure [8].
During operational use SHM attempts to mea-
sure the inputs to and responses of a structure
before damage so that regression analysis can be
used to predict the onset of damage and deteri-
oration in structural condition.
By combining the information about SHM,
current environmental and operational conditions,
previous component testing, non-destructive test-
ing, and numerical modeling, a prognosis is pos-
sible to estimate the remaining useful life of the
structure. By adding an actuator network and a
related control and drive system, the structure can
be improved to a so-called smart material or smart
structure. It is able to monitor itself and/or its
environment to respond to changes in its conditions
(Fig. 13.1) [9].
As mentioned before the detection and pre-
diction of onset of damage is the main target of
SHM. Damage in engineering structures is
defined as intentional or unintentional changes
to the material and/or functional or geometric
properties of these structures, including changes
to the boundary conditions and system connec-
tivity, which adversely affect the current or
future performance of that structure. All damage
begins at the material level and, under appro-
priate loading scenarios, progresses to compo-
nent- and structure-level failure at various rates.
W. Daum
Materials degradation and failure can occur in
different ways:
Gradually (e.g., fatigue, creep, corrosion,
wear, biodegradation, chemical degradation);
Suddenly and unpredictably (e.g., fracture,
fiber breakage, matrix cracking, fiber splitting,
delamination, debonding).
All material degradation and failure precedes a
change of mechanical and/or chemico-physical
characteristics of the material. In this context
mechanical characteristics (e.g., elasticity,
strength) and chemico-physical characteristics
(e.g., thermal expansion, temperature distribu-
tion, humidity, oxidation or corrosion status) have
special meaning. These characteristics and/or
associated auxiliary variables (such as, e.g.,
strain) must be detected by means of physical
sensor effects or measurable quantities and con-
verted into a useful output signal. In all cases the
sensing system must be able to resolve the
parameter of interest as a function of both position
and time throughout the structure. The spatial and
temporal bandwidths that are required to address
these detection needs must be adapted to the
special requirements of the structure being
monitored.
Sensing capabilities can be given to materials
or structures by externally attaching sensors or
incorporating them within the material or struc-
ture during manufacturing. In the first place the
incorporation of the sensing system must be in
13 Embedded Sensors
Fig. 13.2 Cross section of
a fiber-optic sensor
embedded into concrete
(after [36])
compatibility with the material structure. This
means that the functional characteristics and
performance of the material may not be impaired
by the sensor integration. The embedding of pie-
zoelectric sensors into fiber-reinforced compos-
ites or of fiber-optic sensors into concrete are
typical examples for such a way of integration
(Fig. 13.2).
On the other hand the sensor must be robust
enough to survive the manufacturing process
(e.g., high temperatures during curing process),
withstand chemical attacks from the material
(e.g., very high pH environment in concrete), and
withstand extreme mechanical loads (e.g., highly
elastic behavior of plastics) (Figs. 13.3 and 13.4).
A wide range of physical sensor effects can
be used to detect changes of mechanical and/or
chemico-physical characteristics of a material.
Preferably electrical (e.g., piezoelectric materi-
als) or optical sensing effects (e.g., optical fibers)
are used. Table 13.1 gives an overview about
common sensor effects, which are used today for
smart materials or structures.
To monitor a complete structure or a part
of a material, different architectures of sensor
arrangement can be used. Basically, the fol-
lowing variations are of practical interest [9]:
261
A point sensor is one that monitors a partic-
ular parameter at a closely confined point
defined by the effective cross-sectional area of
the sensor element. In principle, the point
sensor only sees a sample of the measurand at
one particular point.
An integrating sensor is one that takes an
average value of a particular measurand over
an area or length that is comparable to the area
or length of the structure being monitored.
Integrating sensors are sometimes spatially
weighted (e.g., by variation of sensitivity) to
ensure that they are sensitized to particular
spatial distributions and not others.
A distributed sensor is capable of evaluating
the parameter of interest as a function of
position throughout the geometry of the sen-
sor element. The ability to perform distributed
measurements is particularly important in
SHM since it enables the derivation of the
measurand at a large number of points
throughout the structure using a single inter-
rogation port and thereby eliminates the need
for complex wiring harnesses.
A multiplexed sensor system is one that
combines a number of points, integrating or
distributed sensors into a complex system. It
262
Fig. 13.3 Strain transfer
of a two-layer coated fiber
measured by indentation
testing (after [37])
could go through an electronic interface and
use techniques derived from the field. It can
also be implemented at the sensor technology
level. Here, the multiplexing may be effected
on the measurand subcarrier.
A quasi-distributed sensor system combines a
number of integrating sensors into a single
system that is multiplexed in the measurand
carrier domain.
Finally, the role of signal processing in SHM
should not be understated. Signal-processing
procedures can be divided into basic and
advanced methods [8]. A typical basic procedure
is data normalization. Data normalization is a
procedure to normalize data sets so that signal
changes caused by operational and environmental
variations of the structure can be separated from
structural changes of interest, such as structural or
material deterioration or degradation.
The purpose of data fusion is to integrate data
from a multitude of sensors with the objective of
making a more robust and confident decision
W. Daum
than is possible with any one sensor alone. In
many cases, data fusion is performed in an
unsophisticated manner, as when one examines
relative information between various sensors. At
other times, such as those provided by artificial
neural networks, complex analyses of informa-
tion from sensor arrays are used in the data-
fusion process.
Data cleansing is the process of selectively
choosing data to accept for, or reject from, the
feature selection process. The data-cleansing
process is usually based on knowledge gained by
individuals directly involved with the data
acquisition.
Feature extraction is the process of identify-
ing damage-sensitive properties, derived from
the measured vibration response, which allows
one to distinguish between the undamaged and
damaged structure. The best features for damage
detection are typically application specific.
Numerous features are often identified for a
structure and assembled into a feature vector. In
13 Embedded Sensors
Fig. 13.4 Strain transfer
of a polyimide-coated fiber
measured by indentation
testing (after [37])
general, a low-dimensional feature vector is
desirable. It is also desirable to obtain many
samples of the feature vectors. There are no
restrictions on the types or combinations of data
contained in the feature vector. A variety of
methods is employed to identify features for
damage detection. Past experience with mea-
sured data from a structure, particularly if
damaging events have been previously observed
for that structure, is often the basis for feature
selection. Numerical simulation of the damaged
structures response to postulated inputs is
another means of identifying features. The
application of artificial flaws, similar to those
expected in actual operating conditions, to lab-
oratory specimens can identify parameters that
are sensitive to the expected damage. Damage-
accumulation testing, during which structural
components of the system under study are sub-
jected to a realistic loading, can also be used to
identify appropriate features. Fitting linear or
nonlinear, physical-based, or non-physical-based
263
models of the structural response to measured
data can also help identify damage-sensitive
features.
Statistical model development is concerned
with the implementation of the algorithms that
operate on the extracted features to quantify the
damage state of the structure. The algorithms
used in statistical-model development usually fall
into three categories. When data are available
from both the undamaged and damaged structure,
the statistical pattern-recognition algorithms fall
into the general classification referred to as
supervised learning. Group classification and
regression analysis are supervised learning algo-
rithms. Unsupervised learning refers to the class
of algorithms that are applied to data not con-
taining examples from the damaged structure.
The damage state of a structure can be
described as a five-step process. It is described
by answering the following questions [10]:
1. Is there damage in the structure (existence)?
2. Where is the damage in the structure (location)?
264 W. Daum

Table 13.1 Typical sensor effects to detect material refractive index ncladd. In such a fiber the prop-
degradation and failure agation of light can be explained by different
Material Sensor effects models. The models are based on some funda-
characteristics/ mental postulations and have certain limits of
measurand Electrical Optical
signals signals application. Ray optics explains the kinematics
Mechanical: Piezoelectric Change of of propagation. Wave optics explains diffraction
effect and interference phenomena. Electromagnetic
Strain Piezoresistive Transmission optics makes possible an exact analysis of the
effect phenomena of classic optics, including the effect
Displacement Change of Wavelength of energy at the interfaces. Finally, quantum
Vibration resistance Phase optics explains all the known optical phenom-
Acceleration Time of ena, including interaction of light with matter. In
flight
this section the explanations are limited to ray
Force Brillouin
scattering
and wave optics, because they allow a simple
Pressure
and practical understanding of fiber optic sens-
Chemico-physical: Thermo Fluorescence
resistance
ing techniques. A comprehensive and detailed
Temperature Thermoelectric Change of
introduction to all models (including Maxwells
effect equations) can be found in [11, 12].
Humidity Chemical Transmission Based on ray optics, light propagation in an
resistance optical fiber can be understood as follows. When
pH value Conductivity Wavelength light is launched into one end of the fiber and
O2 concentration Phase ncore [ ncladd is true, it propagates along the fiber
Heat flow Raman to the other end corresponding to the physical
scattering effect of the total internal reflection. Only light
Brillouin that is launched for 0 \ H \ Hmax can be gui-
scattering
ded along the fiber (assuming that Hmax is the
maximum value of the range of the accepted
3. What kind of damage is present (type)? angles H) (Fig. 13.5). It is continuously reflec-
4. How severe is the damage (extent)? ted at the interface between the core and the
5. How much useful life remains (prognosis)? cladding; the critical angle amax must not be
Answers to these questions in the order pre- exceeded. Light that strikes the end face of the
sented represent increasing knowledge of the fiber at an angle greater than Hmax is no longer
damage state. The statistical models are used to completely reflected at the core/cladding
answer these questions in an unambiguous and boundary; instead it is partly refracted into the
quantifiable manner. cladding so that it is no longer completely
available for further propagation.
The properties of light guidance through a fiber
13.3 Fiber Optic Sensing are governed largely by the profile of the refrac-
Techniques tive index of the core and cladding. In a step-
index-profile fiber the refractive index is constant
13.3.1 Basics across the entire cross section of the core and
cladding (Table 13.2) while the light rays propa-
The basic element of a fiber-optic sensor is a gate along straight lines in the core and are com-
thin optical fiber made of a highly transparent pletely reflected at the core/cladding boundary.
glass or plastic (polymeric) material. The optical The individual light rays cover different dis-
fiber consists of a core having a refractive index tances, so that there are considerable differences
ncore and a surrounding cladding having a in their respective transit times. This is called a
13 Embedded Sensors
Fig. 13.5 Light
propagation in a
multimode fiber
multimode fiber. Very small core diameters
(\10 lm) allow only one mode to travel through
the fiber (called single-mode fibers). Fibers with a
graded-index profile are made up of a core having
a radius-dependent refractive index and a clad-
ding with a constant refractive index. The rays
converging in the center travel a shorter distance,
but because of the higher refractive index there,
they travel at a lower speed. On the other hand, the
smaller refractive index near the cladding causes
the rays traveling there to have ahigher velocity,
but they have a longer distance to travel. By
choosing a suitable profile exponent it is possible
to compensate for these differences in transit time.
An optoelectronic unit, which contains a light
source and a detector, and a processing unit for
data acquisition, data processing, and instrument
control complete the fiber-optic sensing system
(Fig. 13.6). Depending on the sensor type, semi-
conductor laser diodes (LD), vertical-cavity
surface-emitting lasers (VCSEL), or light emit-
ting diodes (LED) are used preferably. As
detectors photo diode with p-i-n semiconductor
structure (PIN diode), avalanche photodiodes
(APD), or miniaturized spectrometers are mostly
integrated into the optoelectronic unit. A com-
prehensive and detailed explanation of common
light sources and detectors for fiber-optic sensing
techniques can be found in [11, 12]. For special
or high-resolution measurements more complex
measuring equipment like an optical time-
domain reflectometer (OTDR) or a high-resolu-
tion optical spectrum analyzer are used.
265
13.3.2 Fiber FabryPerot
Interferometer
A fiber FabryProt interferometer (FPI) sensor
consists of a cavity defined by two mirrors that
are parallel to each other and perpendicular to
the axis of the optical fiber. There are two
arrangements of FPI sensors: first, the (intrinsic)
in-fiber FPI sensor, where the cavity is formed
by two mirrors at locations in the length of the
fiber. The maximum distance of the mirrors
(cavity length) can reach some mm and defines
the gauge length. The second type is the
extrinsic FPI sensor (EFPI). The optical cavity is
formed by the air gap (usually about 10 lm to
100 lm) between two uncoated fiber faces
(Fig. 13.7a, b). The most widely used design is
to fix into position the two fiber ends in a hollow
tube. The fiber endfaces act as mirrors and
produce the interference fringes.
The functional principle of an FPI sensor is as
follows. The incoming light reflects twice: at the
interface glass/air at the front of the air gap [the
reference (Fresnel) reflection] and at the air/glass
interface at the far end of the air gap (sensing
reflection). Both reflections interfere in the input/
output fiber. The sensor effect is induced by force-
induced or temperature-induced axial deforma-
tion of the hollow tube. This leads to a shift of the
fiber endfaces inside the tube (because they are
only fixed at the ends of the tube), which results in
changes on the air gap length (gap width s). From
this follows a phase change between the reference
266 W. Daum

Table 13.2 Overview of the most common types of silica optical fibers used for sensors

Fig. 13.6 Principle setup

of a complete fiber-optic
sensor system
13 Embedded Sensors
Fig. 13.7 Common types
of fiber FabryProt
interferometer (after [38])
reflection and the sensing reflection that is
detected as an intensity change in the output
interference signal.
FPI sensor systems are commercially avail-
able for strain, temperature, and pressure mea-
surements. They allow local measurements of
strain in a range between -5,000 lm/m (short-
ening) and +5,000 lm/m (elongation) with a
resolution of up to 0.1 lm/m. Available gauge
lengths are in the range 1 mm to 20 mm.
Because of their excellent response time
behavior of up to 2 MHz, they can also be used
for detection of mechanical vibrations and
acoustic waves. However, the interrogation unit
used defines the dynamic behavior. With regard
to measuring performance and applicability, the
fiber FPI sensor is the most often applied inter-
ferometric point sensor type for SHM.
13.3.3 Fiber Bragg Grating Sensor
The discovery of the photosensitivity in germa-
nium-doped fibers by Hill and coworkers in
1978 was the basis for fabrication of in-fiber
reflective Bragg grating filters with a narrow-
band, back-reflected spectrum. They discovered
267
that the refractive index n of a fiber increases
when ultraviolet (UV) light is incident upon
such a fiber. Today fiber grating manufacturing
is well established at special wavelengths with a
given periodically changing refractive index and
spacing between the individual grating planes
(grating period or pitch K). Fiber Bragg grat-
ings(FBG) are usually 1 mm to 25 mm long and
act as typical point sensors.
The distance K between the grating planes can
vary; the common FBG satisfies the condition
K \ k where K is less than 1 lm (in contrast to so-
called long-period gratings with K  k, where K
is 100 lm to 500 lm). FBGs for sensor applica-
tions are primarily referred to as uniform gratings:
the grating along the fiber has a constant pitch and
the planes are positioned normally to the fiber axis
(Fig. 13.8). The principle of function is as fol-
lows: when a broadband light signal passes
through the FBG, only a narrow wavelength range
kB satisfies the Bragg condition
kB 2neff K 13:1
which is reflected back due to interference
between the grating planes (neff is the effective
refractive index of the fiber core and K is the
268
Fig. 13.8 Fiber Bragg
grating sensor
grating period). The quantity of the Bragg res-
onance wavelength kB is determined by the
grating pitch K manufactured and corresponds to
twice the period of the refractive index modu-
lation of the grating. The grating periodicity is
relatively small, typically less than 1 lm. From
(13.1) it can be derived that the Bragg resonance
wavelength kB will change when neff changes
(for example by temperature variation) or K
changes (due to pitch changes by fiber-grating
deformation). This means that changes in strain
or temperature (or both together) will shift the
reflected center wavelength. In general, kB
increases when the fiber is strained (De [ 0)
and decreases when the fiber is compressed
(De \ 0). By means of a spectrum analyzer this
wavelength shift can be measured. In this way,
one can determine strain variations (for constant
temperature) or temperature variations (without
any deformation of the grating).
Assuming uniform axial strain changes in the
grating area and the absence of lateral defor-
mation of the grating, the strain seen by a grating
can be computed by a simple linear equation
DkB ez
eK nDT 13:2
kB
where K has to be estimated by a calibration
procedure [13]. The strain sensitivity depends on
the wavelength used (Table 13.3). With regard
to thermal sensitivity the Bragg resonance
wavelength shift is dominated by the tempera-
ture-induced change of the refractive index.
Only a very small thermal-induced wavelength
W. Daum
Table 13.3 Typical strain and temperature sensitivities
of FBGs
Wavelength Strain Temperature
(nm) sensitivity sensitivity (pm/K)
(pm/le)
800 0.63 to 0.64 5.3 to 5.5
1,300 1.0 8.67 to 10.0
1,550 1.15 to 1.22 10.0 to 13.7
change comes from the thermal expansion of the
glass material (coefficient of expansion of opti-
cal fiber glass is 0.55 K-1).
Bragg grating sensors possess a number of
advantages that make them attractive compared
with other sensor arrangements:
Linear response. The Bragg wavelength shift
is a simple linear response to the sensor
deformation as shown in (13.1). In contrast to
FPI sensors the sensor signal has no ambiguity
for strain/compression changes.
Absolute measurement. The strain or temper-
ature information obtained from a measure-
ment system is inherently encoded in the
wavelength (strain and/or temperature, index
changes due to cladding affection); an inter-
ruption in the power supply does not lead to a
loss of measurement information.
Line neutrality. The measured data can be
isolated from noisy sources, e.g., bending loss
in the leading fiber or intensity fluctuations of
the light source.
Separation of the interrogation unit from
sensor. Removal of the reading unit or
exchange of leading cable using special
13 Embedded Sensors 269

Table 13.4 Commercially available interrogation units for FBG sensors

Parameter si 720 Micron optics I-MON 400E Ibsen Spectraleye SE600 FOS&S
Wavelength range 1,510 to 1,590 nm 1,520 to 1,585 nm 1,527 to 1,565 nm
Resolution 0.25 pm wavelength 1 pm
at 0.5 Hz
Uncertainty in 1 pm 5 pm 10 pm
wavelength
scanning
Maximum scan 5 Hz 970 Hz 1 Hz
frequency
Number of 2 (8 optional) [50 FBGs 1
channels
Weight 15.5 kg 0.6 kg 1.3 kg
Speciality FabryProt sensors, Vibration analysis, distributed strain 90 min battery operation
long period gratings measurements
Preferred use; Laboratory 0 C to Small system with USB interface for Handheld system for field
operating +50 C field applications, 0 C to +50 C applications, 0 C
temperature to ? 40 C

connectors with polished angled endfaces
does not influence the signal response.
Potential for quasi-distributed measurement
with multiplexed sensing elements. Because a
number of gratings (sensor array) can be
written along the fiber and be multiplexed, a
quasi-distributed sensing of strain and tem-
perature is possible by serial interrogation of a
limited number of gratings. The distance
between the gratings can be designed
according to the requirements.
There are different techniques to read the grating
response under the influence of a measurand. The
basic operation principles of fiber grating-based
Bragg grating sensors are monitoring either the shift
in the wavelength or change in intensity of the
return signal due to measurand-induced changes.
To get high-precision monitoring of wavelength
shift, laboratory-grade instrumentation based on
highly resolving monochromators or optical spec-
trum analyzers (OSA) have to be used. For appli-
cations that do not have high requirements on strain
resolution in the submicron or micron range low-
cost portable reading units are commercially
available (Table 13.4). These interrogation units fit
laboratory as well as on-site requirements. When
choosing a reading unit for on-site applications, a
set of requirements has to be considered, e.g., scan
frequency, number of gratings to be read simulta-
neously, long-term reproducibility of wavelength
shift, immunity to optical power fluctuations, low
sensitivity to temperature and vibrations, easy
handling, and a reasonable price.
To exploit the multiplexing capability of FBG
sensor, two different methods can principally be
used. Because of the wavelength-encoded nature
of grating, each sensor in the fiber can be designed
to have its own wavelength within the available
source spectrum. Then, using wavelength multi-
plexing, a quasi-distributed sensing of strain,
temperature, or other measurands associated with
spatial location of the measurand is possible. The
number of sensors depends on the bandwidth of
the source (typically about 70 nm), on the Bragg
reflection bandwidth (typically 0.4 nm) and on
the wavelength range needed for pulse shifting
due to measurand changes (sometimes up
to 3.5 nm). Using this method, up to 20 sensors
can be interrogated in series (Fig. 13.9a).
13.3.4 Low-Coherence Interferometry
An integrating or long-gauge-length sensor can
be realized by the concept of low-coherence
interferometry. It is based on a double Michelson
interferometer and a low-coherence source (e.g.,
a LED or a thermal light source) (Fig. 13.10). A
sensing interferometer uses two fiber armsa
measurement fiber that is in mechanical contact
with the structure, and a reference arm, which
270 W. Daum

Fig. 13.9 a Distributed

strain measurement in a
composite structure of a
rotor blade for a windmill
by three FBG. b FBG
signals after 10 Mio. cycles
of dynamic loading during
reliability testing

compensates for the temperature dependence of
the measuring fiber. The reference fiber must not
be strained and needs to be installed loosely near
the first fiber. When the measurement fiber is
contracted or elongated, deformation of the
structure results in a change in the length differ-
ence between the two fibers. By the second
interferometer, which is placed in the portable
reading unit, the path-length difference of the
measurement interferometer can be evaluated.
13 Embedded Sensors
Fig. 13.10 Fiber-optic
low-coherence
interferometry sensor
system, after [39]
This procedure can be repeated at arbitrary times
and, because the displacement information is
encoded in the coherence properties of the light
(coherence length of a typical LED: 10 lm to
100 lm) and does not affect its intensity. Due to
its physical principal and easy setup, not only the
precision but also the repeatability of measure-
ments is high for this sensor type. The measure-
ment system can be switched off between two
measurement events or components such as
connectors or cable can be exchanged without
zero-point data loss (Fig. 13.10).
Typical parameters of commercially avail-
able long gauge length sensor are:
Measuring length: 50 cm to several 10 m
Measuring range: 0.5 % in shortening, 1.0 %
in elongation
Precision in measurement: 2 lm (error of
measurement: De = 1.25 9 10-5)
Proportionality factor between the measured
delay and the applied deformation: (128 1)
lm/ps.
Such sensors can be provided as tube sensors
or as flat tape sensors. Tape sensors allow its
integration into composites or into interface
271
zone of multilayer materials. Several sensors can
be interrogated by multiplexing.
13.3.5 Optical Time-Domain
Reflectometry
A quasi-distributed sensor system within a
material or construction can be realized by fiber
optic techniques in the following way. By mea-
surement of the time of flight of an ultrashort light
pulse transmitted into the fiber and backscattered
on markers (splices, photoinduced reflectors, or
squeezing points) at the end of these sections, the
measurand can be determined at definite locations
along the fiber (Fig. 13.11). An elongation
(compression or contraction) of a measuring
section, determined by two reflector sites on the
fiber, changes the time of flight of the pulse:
De * Dtp[(c/2L0)n], where c is the speed of light
and n the index of refraction. Based on this rela-
tionship, the changes in the average strain of a
chain of marked sections along the fiber can be
interrogated by an OTDR device.
This method allows the evaluation of strain
profiles in large components without using
272
Fig. 13.11 Quasi-
distributed fiber-optic
sensor based on
backscattering signal
evaluation
sensor fibers containing discrete sensor points
along the fiber. The OTDR device used deter-
mines the strain resolution achievable. A high-
resolution picosecond OTDR device enables the
resolution of elongation to 0.2 mm, assuming
the minimum distance between two reflectors in
the measuring section is not less than
100 mm [14]. Using this method, a reflector
shift of 0.35 mm can be resolved, however, only
long-term reproducibility of reflector shifts of
0.85 mm can be achieved. This value is suffi-
cient to recognize dangerous changes in the
material or loss of bonding integrity. Automatic
scanning run takes between one and some 10 s
depending on the wanted precision. The sensor
sections are interrogated one after another. Off-
line measurements are preferred because the
rather expensive OTDR devices should alterna-
tively be used for other measurement tasks, too
(Fig. 13.12).
The length of the fibers evaluated by con-
ventional OTDR technique is limited by the
permissible power loss along the fiber (quality
of the markers), and can reach up to several
hundred meters, or tens of sensing sections. This
method has a serious advantage: determination
of the position of all reflectors can be referred to
one stable position (reference reflector). There-
fore, there is no propagation of error due to
propagating from one reflector to the next one.
The examples considered above were focused
on strain or deformation measurement in direction
of the fiber axis. However in composites,
transversely applied pressure, arising forces or
beginning delamination might be of interest. For
such purposes, single-mode birefringent fibers
can be embedded. Internal birefringence can be
W. Daum
induced by using a non-circular core geometry of
the fiber or by the introduction of stress anisotropy
around the core such as done in panda or bow-tie
fibers. The refractive-index difference of the two
orthogonal polarization modes produces a
differential propagation velocity. Any damage or
parameter change in the composite or material
structure will perturb the birefringence parame-
ters in the sensor fiber. Using the time-delay
measurement technique, the intensity and posi-
tion of the perturbation can be located with an
uncertainty of about 10 cm [15]. However, a
reproducible correlation between affecting
external events and optical effects in the fiber is
quite difficult because the interface zone of the
sensing fiber strongly influences the response of
the sensor. Nowadays, FBGs are written into
birefringence fibers to make multiple parameter
sensing with the capability to discriminate
between them [16].
13.3.6 Brillouin Scattering
In optical fibers Brillouin scattering arises due to
the interaction of light with phonons. Phonons are
quantized acoustic waves. In essence, the light is
scattered from variations in the index of refraction
associated with acoustic waves. Light which is
scattered off these phonons is the frequency
shifted by an amount of determined by the
acoustic velocity of the phonons. The acoustic
velocity is in turn dependent on the density of
glass and thus the material temperature. The
Brillouin frequency shift is given by
Va
mB 2n 13:3
k
13 Embedded Sensors
Fig. 13.12 Monitoring of the bonding behavior along the fixed anchor length by quasi-distributed fiber-optic sensors
(Eder Gravity Dam Germany) after [14, 40]
where Va is the velocity of sound in glass and is
a function of (T; e), n is the effective index of
refraction, and k is the free-space wavelength of
operation. The frequency shift is linearly
dependent on both the temperature and strain in
the fiber [17, 18]. The sensitivity of the fre-
quency shift is of the order 4.6 9 10-6 le-1 for
strain and 9.4 9 10-5/C for temperature.
273
Since this technique was first published, sev-
eral developments and technical innovations have
led to dramatic advances in the capabilities of the
Brillouin approach. Today, several devises based
on Brillouin optical fiber time-domain analysis
(BOTDA) are commercially available. One typi-
cal example is an arrangement where the sensing
fiber follows a double path in the structure to be
274 W. Daum

Fig. 13.13 Zones of

shifted Brillouin
frequencies within an
11 km-long optical fiber
(upper). A closer look at
these zones demonstrates
that the resolution of
3 MHz represents
a temperature resolution of
2.6 C or a strain
resolution of 0.006 % [20]

monitored. One path is attached to the structure or
embedded in the material and is thus subjected to
both temperature and strain. The return path is
loosely installed, measuring only the temperature
profile. By such an arrangement a temperature
resolution of 1 C and a strain sensitivity of 25 le
with a spatial resolution of approximately 1 m
have been achieved [19].
Figure 13.13 shows zones of shifted Brillouin
frequencies with an 11 km long optical
fiber [20]. A closer look at these zones demon-
strates the temperature and strain resolution of
13 Embedded Sensors
Fig. 13.14 a Distributed strain profile measured on a
single-mode silica fiber using BOFDA (after [22]).
b Geotextile with embedded glass fiber cables
manufactured by STFI, Germany. c Detection of soil
such a setup. The peak difference of both indi-
cations is of the order of 3 MHz, which repre-
sents a temperature resolution of 2.6 C or a
strain resolution of 0.006 %.
An alternative approach is named Brillouin
optical-fiber frequency-domain analysis (BO-
FDA) [21]. The BOFDA operates with sinusoi-
dally amplitude-modulated light and is based on
the measurement of a baseband transfer function
in frequency domain by a network analyzer. A
signal processor calculates the inverse fast fou-
rier transform (IFFT) of the baseband transfer
function. In a linear system this IFFT is a good
approximation of the pulse response of the sen-
sor and resembles the strain and temperature
distribution along the fiber (Fig. 13.14a). The
275
displacement (induced strain) in a test dike using a
BOFDA system (after [22]). d Creep behaviour of a slope
at a coal pit measured with a POF sensor-equipped
geogrid (after [23])
frequency-domain method offers some advanta-
ges compared to the BOTDA concept. One
important aspect is the possibility of a narrow
bandwidth operation in the case of BOFDA. In a
BOTDA system broadband measurements are
necessary to record very short pulses, but in a
BOFDA system the baseband transfer function is
determined point-wise for each modulation fre-
quency, so only one frequency component has to
be measured by a network analyser with a nar-
row resolution bandwidth. The use of a narrow
bandwidth operation (detectors) improves the
signal-to-noise ratio and the dynamic range
compared to those of a BOTDA sensor without
increasing the measurement time. Another
important advantage of a BOFDA sensor is that
276
no fast sampling and data acquisition techniques
are used. This reduces costs. Particularly, the
low-cost-potential of BOFDA sensors is very
attractive for industrial applications.
For stabilization and reinforcement of geo-
technical structures like dikes, dams, railway
track ballasts, embankments, landfills, and slopes
geotextiles are commonly used. The incorpora-
tion of optical fibers in geotextiles leads to addi-
tional functionalities of the textiles, e.g.,
monitoring of mechanical deformation, strain,
temperature, humidity, pore pressure, detection of
chemicals, measurement of the structural integ-
rity, and the condition of the geotechnical struc-
ture (SHM) (Fig. 13.14b). Especially, solutions
for distributed measurement of mechanical
deformations over extended areas of some hun-
dred meters up to some kilometers are urgently
needed. Textile-integrated distributed fiber optic
sensors can provide for any position of extended
geotechnical structures information about critical
soil displacement or slope slides via distributed
strain measurement along the fiber with a high
spatial resolution of less than 1 m [22]. So an early
detection of failures and damages in geotechnical
structures of high risk potential can be ensured.
Figure 13.14c shows the result of a validation
test at a test dike at the University of Hannover.
A sensor-based geotextile was installed on top of
the dike and was covered with a thin soil layer.
To simulate a mechanical deformation/soil dis-
placement, a lifting bag was embedded into the
soil and was inflated by air pressure. This
induced a break of the inner slope of the dike
and a soil displacement. The soil displacement
was clearly detected and localized by the BO-
FDA system. The distribution of the mechanical
deformation (strain) in the dike measured by the
BOFDA system at two different air pressure
values is shown in Fig. 13.14c.
However, the excellent measurement tech-
nique based on Brillouin scattering in silica fibers
reaches its limits when strong mechanical defor-
mations, i.e., strain of more than 1 % occurs. In
such a case sensors based on silica fibers cannot
be reliably used. Furthermore, silica fibers are
W. Daum
very fragile when installing on construction sites
and, therefore, special robust and expensive glass
fiber cables have to be used. For that reason, the
integration of polymer optical fibers (POF) as a
sensor into geotextiles has become very attractive
because of the high elasticity, high breakdown
strain, and the capability of POF of measuring
strain of more than 40 %. Especially the moni-
toring of relative small areas with an expected
high mechanical deformation such as endangered
slopes takes advantage of the outstanding
mechanical properties of POF. The monitoring of
slopes is a very important task in the geotechnical
engineering for prevention of landslide disasters.
To overcome the limit of glass-fiber-based geo-
textiles novel distributed fiber optic sensors based
on low-priced standard POF and using OTDR
(optical time-domain reflectometry) were devel-
oped and embedded into geotextiles [23, 24].
Figure 13.14d shows the result of a field
application of a POF sensor-equipped geogrid at a
coal pit. The 10 m long geogrid was installed
directly on top of a creeping slope. It was covered
with a 10 cm thick sand layer. The textile is
installed with the POF sensor bridging the cleft
perpendicular to the opening. Measurements
were conducted before and after installation.
Figure 13.14d shows a relative linear increase of
the POF length with time. The measurements
indicate that the creep velocity of the slope was
constant during the time of observation with an
average rate of about 2 mm per day [23, 24].
13.4 Piezoelectric Sensing
Techniques
13.4.1 Basics
The origin of the piezoelectric effect is related to
an asymmetry in the unit cell of the crystal and
the resultant generation of electric dipoles due to
mechanical distortion. However, it was not until
1946 that scientists discovered that barium tita-
nate (BaTiO3) ceramics could be made
13 Embedded Sensors
piezoelectric by application of an electric field.
The polycrystalline ceramic materials have
several advantages over single crystals, such as
higher sensitivity and ease of fabrication into a
variety of shapes and sizes. In contrast, single
crystals must be cut along certain crystallo-
graphic directions, limiting the possible number
of geometrical shapes. After the BaTiO3
ceramics, scientists discovered a number of
piezoceramics and in particular the lead zircon-
ate titanate (PZT) class in 1956. With its
increased sensitivity and higher operating tem-
perature, PZTs soon replaced BaTiO3 and are
still the most widely used piezoceramics. In the
1960s, new varieties of piezoelectrics were
developed based on both ceramics and polymers.
Piezoelectrics are available in different forms,
such as film, powder, paint, multilayered or
single fibre. They are available in several types,
such as polyvinylidene fluoride (PVDF) lantha-
nide-modified piezoceramic (PLZT), or the
popular class of lead zirconate titanate piezoce-
ramics. This list is not complete, because the
composition of the piezoelectric materials
allows a large variety of piezoelectrics, and new
piezoelectric classes are expected to be devel-
oped in the near future [25]. The properties of
piezoceramics have attracted a large group of
industries such as the aerospace and automotive
industries.
The piezoceramics offer a large selection of
materials with different electromechanical prop-
erties [26]. The common electromechanical
properties are the coupling factor, piezoelectric
charge constant, piezoelectric voltage constant,
mechanical quality factor, dielectric loss, and
relative dielectric constant. The coupling factor is
defined as the ratio of the mechanical energy
stored to the electrical energy applied, at a given
frequency or frequency range. It could also be
defined as the ratio of the electrical energy stored
to the mechanical energy applied. The coupling
factor characterizes the coupling between the
electrical and mechanical properties of the piez-
oceramic. The piezoelectric constant, d, also
called the charge constant, is the ratio of the
277
electric charge generated per unit area to an
applied force. It can also be defined as the ratio of
the strain developed by the applied electric field.
Another piezoelectric constant exists, called the
voltage constant, which is derived from the charge
constant. The piezoelectric voltage constant, g, is
the ratio of the strain developed to the charge
applied or the electric field developed to the
mechanical stress applied. The mechanical qual-
ity factor is the ratio of the reactance to the
resistance in the series equivalent circuit (RS, CS)
identifying a piezoelectric resonator. The relative
dielectric constant, also called the relative per-
mittivity, is defined as the ratio of the material
dielectric constant, , to the free-space dielectric
constant, e0 . The dielectric loss, also known as
loss tangent in the literature, is defined as the ratio
of the imaginary component of the complex
dielectric to its real component.
However, the most important electrome-
chanical properties are the coupling factor and
the piezoelectric constants. A high coupling
factor gives a greater sensitivity to the piezoce-
ramic in converting the Lamb waves into an
electrical signal. A high piezoelectric charge
constant is desirable for materials intended to
generate ultrasonic waves such as Lamb waves,
because for an applied electric field, or excita-
tion signal, a large developed strain is necessary
to propagate over a long distance.
Other non-electromechanical parameters also
exist and play a large role in the selection of the
PZT; the most important are the mechanical
elastic constants, the Curie temperature, and
thermal coefficients of expansion. The value of
the elastic constants needs to be as low as pos-
sible to reduce the local stress inside the PZT as
well as in its vicinity. The Curie temperature is
the temperature at which the piezoceramic loses
its piezoelectric properties. The Curie tempera-
ture has to be as high as possible to allow a large
working-temperature range and must be higher
than the curing temperature of the composite
laminate to prevent the loss of piezoelectric
properties. Typically, the working temperature
has to be 100 C lower than the Curie
278
temperature. The thermal coefficients of expan-
sion have to be similar to those of the composite
to reduce the stresses in the transducer and the
composite.
Four main piezoceramic materials are com-
mercially available; lead zirconate titanate,
modified lead titanate, lead metaniobate, and
bismuth titanate. For transducers used in damage
detection as well as sensitive detectors and
actuators, the class of PZT is considered to be a
suitable material because of its high coupling
factor, high charge constant, high Curie tem-
perature, low mechanical quality factor, and
thermal coefficients similar to those of com-
posites. The dimension of the embedded piez-
oceramic element has a direct influence on the
way the PZT works, that is, the functioning
characteristics of the PZT. Some PZT coeffi-
cients, such as the coupling factor, the relative
dielectric constant, or the mechanical quality
factor, are dependent on the PZT dimensions.
Moreover, the piezoceramic dimensions are
chosen by analytical methods based on the
properties of wave propagation in the composite.
13.4.2 Embedment Techniques
Two principle configurations with embedded
piezoceramic transducers are described in the
literature. The technique concerns how to embed
the PZT transducer in the composite. Some
researchers have chosen to cut the composite plies
surrounding the embedded piezoceramic trans-
ducer, as done by Elspass et al., Hagood et al.,
Moulin et al. or Warkentin and Crawley [2729].
Other researchers directly embedded the PZT
transducers to avoid cutting the fibers, as done by
Bourasseau et al., Neary et al. or Shen et al..
Elspass et al. manufactured a piezoceramic
transducer to be embedded in carbon-fiber-
reinforced thermoplastic composites [27]. The
material in the interconnectors was the same as
the composite. The two interconnectors were
placed on each side of the piezoceramic element.
The electrical insulation from the upper and
lower interconnectors was achieved by two
glass-fiber-reinforced thermoplastics, as shown
in Fig. 13.15. Cutouts in the glass- and carbon-
W. Daum
fiber-reinforced thermoplastic were performed
to allow electrical contact between the terminals
and the embedded piezoceramic element. The
manufacture of such a layout was complex.
Hagood et al., similar to Elspass et al., used a
cut-out technique to embed piezoceramic trans-
ducers in glass-fibre-reinforced polymer (GFRP)
laminates. A cut-out window had about the same
dimension as the PZT element. Slits were also
cut in the plies directly above and below the
piezoceramic element to allow the connectors to
be drawn out to the edges, as shown in
Fig. 13.16. The connectors were wires that were
soldered to the faces of the piezoceramic ele-
ment. Hagood also embedded the piezoceramic
element in conducting material, such as carbon-
fiber-reinforced polymer (CFRP). To electri-
cally insulate the piezoceramic transducer from
the surrounding material, a polyamide layer was
often used to encapsulate both the piezoceramic
element and the connectors, as shown in
Fig. 13.17.
A research group of Stanford University
developed a commercial transducer called the
Stanford multiactuator receiver transduction
layer (SMART LayerTM). The SMART LayerTM
was similar to the transducers used by Mall and
Hsu [30]. The transducer SMART LayerTM
could be customized in a variety of sizes, shapes,
and complexity, allowing its embedment in many
composite structures, such as pressure vessels,
pipes or wings, as shown in Fig. 13.18. The PZT
elements were PKI-400, with a thickness of
254 lm. The connector was made of a copper
layer bonded on a polyamide film. The connector
was shaped to provide a perfect fit to be embedded
in the composite. The conductive adhesive link-
ing the PZT element to the connector was prob-
ably a silver/epoxy compound. The transducer
could withstand over 200 C, required for
embedment in aerospace composite structures.
13.4.3 Damage Detection Using Lamb
Wave Response
Lamb waves are sensitive to damage in the
composite, resulting in changes in the Lamb wave
response. The interaction between damage and
13 Embedded Sensors 279

Fig. 13.15 Piezoceramic

element embedded in a
carbon-fiber-reinforced
thermoplastic composite

Fig. 13.16 Piezoceramic

element embedded in a
glass/epoxy laminate

Lamb waves is complex and difficult to predict.
Two different approaches to research on Lamb
waves for damage detection have been seen in the
literature. There are research groups that try to
simplify Lamb wave generation, and others that
directly postprocess the Lamb wave response
without simplification in the Lamb wave genera-
tion. To generate simple Lamb waves, researchers
use wedged PZT to create an incidence angle
between the PZT and the composite plate, which
280
Fig. 13.17 Insulation of a
piezoceramic transducer
Fig. 13.18 Piezoceramic transducer network for
embedment in composite plates (left) and pressure
vessels (right)
allows the generation of specific Lamb wave
modes. In the case of this thesis, the piezoceramic
transducers were embedded in the composites,
which excluded the use of wedges with the
transducers. Nevertheless, it is still possible to
improve the generation of Lamb waves by means
of PZT size optimization or simplify them by
using arrays of embedded transducer. The latter
has so far only been done on surface-bonded PZT
transducers. This section deals with postprocess-
ing techniques that are used to track damage
information in the Lamb wave response.
W. Daum
In 1885, the English scientist Lord Rayleigh
demonstrated theoretically that waves can be
propagated along the boundary of an elastic half-
space and vacuum or sufficient rarefied medium
(for example air). It was only in 1914 that
Stoneley generalized the propagation of waves
in two different solids. In 1917, Lamb introduced
a third solid defined as a thin layer of finite
thickness. This allowed the study of wave
propagation in multilayered materials, such as in
composites. The waves propagating in this
multilayered material were then called Lamb
waves. The term Lamb waves refers to elastic
waves propagating in a solid plate with free
boundaries. The displacements of the Lamb
waves occur both in the direction of the wave
propagation and perpendicularly to the plane of
the plate. A comprehensive description of
physical theory and application of Lamb waves
can be found in [31].
Lamb waves consist of several waves ci of the
same waveform c that propagate with different
propagation velocities vi called the group
velocities. The waveform is often called a mode.
13 Embedded Sensors
Fig. 13.19 Decomposition in symmetric and antisymmetric modes
Each Lamb wave mode can propagate symmet-
rically or antisymmetrically within the laminate,
as shown in Fig. 13.19.
The amplitude of ci depends on the composite
used. Up to now no theory exists that can exactly
predict the amplitude of the Lamb waves.
Figure 13.20 shows an example of multimode
signal containing three modes [31]. The time ti is
the time of flight of the Lamb wave mode ci. In
the present case, the Lamb wave generator and
receiver are separated by a distance d. The
response given in Fig. 13.19 does not correspond
in detail to Lamb waves, because a real Lamb
wave response would be too complex for the
educational purpose of this section.
Indeed, a Lamb wave response would include
not only the Lamb wave modes but also their
reflections, which do not exist in the multimode
response of Fig. 13.20. Besides, it is possible
that at the excitation frequency, some Lamb
wave modes might be dispersive, meaning that
their corresponding waveform may not be sim-
ilar to the waveform of the excitation signal. The
group velocity vi of the mode ci is given by:
d dispersive Lamb waves are chosen, because their
ti 13:4 corresponding waveforms generally remain the
ti
However, the number of waveforms or modes,
propagating in a laminate as well as their time of
flight can be predicted by the dispersion curves.
281
Two types of dispersion curves are mostly used
for the Lamb wave technique: the phase velocity
c and group velocity v, as shown in Figs. 13.21
and 13.22, respectively. The phase velocity cor-
responds to the ratio of the spatial component, i.e.,
the wavenumber n, to the temporal component,
i.e., that is the angular frequency x = 2pf, of
a harmonic wave. The group velocity may be
described as the energy velocity of the Lamb wave
modes in relation to the laminate. The phase-
velocity curves are mainly used to determine
whether or not the Lamb wave modes will be
dispersive, and also to obtain the wavelength k of
each Lamb wave mode generated in the laminate,
using the following relationship:
k c=f 13:5
where f is the frequency spectrum of all Lamb
wave modes generated in the laminate. To find out
whether a Lamb wave mode is dispersive or not,
the derivative of the phase velocity is used. If, at a
given excitation frequency, the derivative of the
phase velocity is zero, then the Lamb wave modes
should be non-dispersive. Most of the time, non-
same throughout the propagation. Moreover, the
phase and group velocities of a non-dispersive
wave are theoretically identical. Indeed, both
velocities are governed by the following equation:
282 W. Daum

Fig. 13.20 Example of an

excitation signal (upper)
and a multimode response

Fig. 13.21 Phase velocity

for the cross-ply laminate
[04/904/04/904/02]s
13 Embedded Sensors
Fig. 13.22 Group
velocity of Lamb waves
propagating in the laminate
[04/904/04/904/02]s
 
1 1 dc
1f 13:6
t c df
For a non-dispersive wave it is dc df 0 and
therefore (13.6) leads to v = c.
The wavelength of each Lamb wave mode is
directly related to the sensitivity of the Lamb
waves to the detection of damage. In principal a
Lamb wave of wavelength k is able to interact with
damage on the order of or greater than k. The dis-
persion curves depend on the composite material
and layout used. Often the dispersion curves are
given as a function of the product fh(frequency by
half laminate thickness). Two examples of dis-
persion curves are given in Figs. 13.21 and 13.22,
for a stacking sequence of [04/904/04/904/02]s and
the composite material HTA/6376C. In the figures,
S and A stand for symmetric and antisymmetric
modes, respectively, and the subscript corresponds
to the mode number.
The dispersion curves are important for char-
acterizing the active system that detects damage in
the composite [32]. The frequency spectrum of all
283
Lamb wave modes is, in principal, equal to the
frequency spectrum f of the excitation signal of the
Lamb wave generator. In the example shown in
Fig. 13.22, the frequency of the excitation signal is
240 kHz for a composite thickness of 4.83 mm.
Figure 13.22 therefore shows that the only Lamb
wave modes that can exist in this composite would
be the modes A0, S0, and A1 with group velocities of
1.6, 5.8 and 4 km/s, respectively. Figure 13.22
further allows determination of the wavelengths of
those modes A0, S0 and A1, which are about 6, 28,
and 41 mm, respectively. In such an example, the
mode A0 would be able to detect damage of at least
6 mm or larger, with the condition that its ampli-
tude is large enough for the mode to be measured.
Note that for higher frequencies, the wavelength of
the mode A0, for example, is smaller than 6 mm.
This would therefore allow the detection of dam-
age smaller than 6 mm. Unfortunately, the propa-
gation distance of the Lamb wave modes tends to
decrease with increasing frequency.
Several developments have occurred in this
area since the technique was first reported, which
have led to new possibilities and advances in the
284
capabilities of SHM [33, 34]. Special focus has
been given to the monitoring of composites for
aircraft applications [35].
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17. Bao, X., Webb, D.J., Jackson, D.A.: Characteristics
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18. Horiguchi, T., Kurashima, T., Tateda, M., Ishirara,
K., Wakui, Y.: Measurement of temperature and
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19. Bao, X., Webb, D.J., Jackson, D.A.: Combined
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Balageas, D.: Piezoelectric transducer embedded in a
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pp. 21618, Shenzen SHMII 1618 Nov 2005
 Micro-Diagnostics: X-ray
and Synchrotron Techniques 14
B. R. Muller and M. P. Hentschel

Abstract
Beyond classical X-ray techniques are used for the purpose of preferably
short-term applications, but some supplementary X-ray and synchrotron
techniques for higher resolution microdiagnostics take advantage of
scattering effects. In contrast to directly imaging methods their resolution
is only limited by the diffraction limit of the X-ray wavelength, far below
the atomic dimensions. These techniques of scanning topography and
refraction synchrotron tomography may permit the systematic diagnos-
tics for finding and exploiting structure/property relations like correla-
tions among atomic, nano and microstructures with macroscopic
properties. Their basic advantage over microscopic techniques is their
potential for the non-destructive characterisation of materials, far from
invasive sample treatments. They combine scattering and spatial
resolution.

selected scattering conditions permit the topo-

14.1 Scanning X-ray Topography graphic characterisation of any crystalline or
amorphous solid or liquid. The structural selec-
For the purpose of micro structural character-
tivity covers a range of six orders of magnitude,
isation, X-ray topography reveals the spatially
from 0.1 mm to 0.1 nm, based on different
resolved scattering of materials and small com-
scattering effects.
ponents. It combines the advantages of radio-
The spatial resolution up to 10 lm is
graphic imaging and the analytical information
achieved by scanning techniques under pre-
of wide and small angle x-ray scattering (SAXS)
selected scattering conditions. The simultaneous
like phase distribution, texture, microcracks,
detection of single defects covers classical NDT
interfaces and pores. Scanning techniques at
tasks as well. Single crystal topography is
applied since several decades in order to image
crystal defects [1]. As most engineering mate-
B. R. Mller (&)  M. P. Hentschel rials are polycrystalline or even amorphous new
Bundesanstalt fr Materialforschung und prfung,
Unter den Eichen 87, 12205 Berlin, Germany
scanning topography methods became desirable.
e-mail: bernd.mueller@bam.de
M. P. Hentschel
e-mail: manfred.hentschel@bam.de

H. Czichos (ed.), Handbook of Technical Diagnostics, 287

DOI: 10.1007/978-3-642-25850-3_14, Springer-Verlag Berlin Heidelberg 2013
288
14.1.1 Principles of X-ray Topography
X-ray topography is based on wide angle X-ray
scattering (WAXS) and SAXS, respectively, as
well-known from classical crystallography.
Typical sources are X-ray tubes for fine structure
analysis of monochromatic radiation of up to
18 keV (Mo-K-radiation) and down to 70
picometer wavelength. WAXS (diffraction) is
therefore sensitive to the atomic and molecular
structure far below nanometers dimensions.
Powder diffraction has marked the advent of
contemporary solid-state physics 100 years ago,
and nowadays it is an obligatory standard for the
determination of the atomic structure of
molecules [2] by exploiting the scattering angles
of diffraction lines. Beyond such isotropic scat-
tering the molecular orientation within carbon
and polymer fibres can be imaged directly by the
texture patterns of Scherrers diffraction with
pencil-beam (Fig. 14.1, left).
SAXS is a classical tool of colloid, polymer
and biological research. Particle dimensions
smaller than 50 nm are determined by Guinier
and Porod analysis (diffraction) [3, 4], but the
exposure time may reach several tenth of hours
using X-ray tubes.
Much faster is the detection of the refractive
ultra small angle scattering (USAXS) and total
reflection of surfaces and interfaces [5, 6]. At
much smaller scattering angles between seconds
to minutes of arc internal cracks, pores, or
Fig. 14.1 Beam geometry and oriented wide (WAXS) and small angle (SAXS) x-ray scattering patterns of fibres
(vertical orientation)
B. R. Muller and M. P. Hentschel
interfaces of composite fibres and wires deflect
X-rays like visible light are deflected by mirrors,
lenses and prisms, but with the essential
difference of very small deflection angles. The
typical scattering patterns of a bundle of glass
fibres are shown in Fig. 14.1, right. It reveals the
specific surface and the fibre orientation.
Although the scattering factor of the optical
deflection effects is always 100 % by definition,
only a part of the scattered intensity can be
detected due to the small scattering angles,
however, enough for scanning at typically one-
step per second.
In order to image the spatial distribution or
orientation of the investigated structures by
topography techniques, the samples are scanned,
while only a selected sector of the scattering
pattern is pointing at an X-ray detector, typically
a scintillation photo multiplier. Figure 14.2
shows the basic beam and scan arrangements for
different topographic set-ups. The sample scans
are typically two dimensional and may include
rotation as well. A standard PC controls the
X-ray counters and the microdrives.
As there are actually no commercial instru-
ments available for neither of the topography
techniques, it is necessary to modify equipment for
X-ray crystallography in order to permit sample
scanning and synchronised X-ray detection. Fur-
thermore, specific data handling and imaging
programs are required for full exploitation of the
investigations.
14 Micro-Diagnostics: X-ray and Synchrotron Techniques 289

14.1.2 X-Ray Topography by Wide
Angle Scattering
14.1.2.1 Two-Dimensional X-Ray
Scanning Topography
Scanning topography applies X-ray scattering of
the periodic molecular structure into a discrete
set of diffraction angles. According to Fig. 14.2
(top, left) a scattering angle and direction is
selected (typically between 5 and 50) and the
sample is scanned within the surface plane. The
computer stores the intensity at each scan posi-
tion. The reconstructed computer image reveals
the spatial distribution (projection) of the
material according to the setting of the scattering
angle interval. The primary beam is collimated
by a double pinhole of one millimeter diameter.
The detected scattering angles and directions are
chosen by slits in front of the detector.
Figure 14.3 demonstrates the investigation of a
high speed brake disc made of carbon fibre rein-
forced SiC (C/SiCCMC). The ceramic composite
is manufactured via liquid silicon infiltration of C/
CCMC at 1,600 C. The porous glassy carbon
matrix reacts with Si to give a SiC matrix that
protects the carbon fibres against oxidation at high
temperatures. The performance of the material
depends on the C/SiC mass ratio as revealed by

Fig. 14.2 Beam

geometries of x-ray
topographic methods by
WAXS and SAXS; X-ray
focus (X), sample (S),
detector (D)

Fig. 14.3 X-ray scanning

topography of C/SiC
CMC; insert of radiograph
corresponds to topographs
290
scanning topography: The radiographic (inverted)
image of Fig. 14.3 shows the X-ray transmission
intensity due to the density variations of a brake
disc section. The fine tetragonal structure of 2 mm
periodicity is related to the carbon fibre bundles of
the fabric laminate. But it does not explain, whe-
ther porosity or the changing of the SiC/C-fibre
ratio creates the density pattern.
The radiograph contains a bright ring sector
flaw of unknown origin. The indicated area is
inspected by Scanning Topography. Two Scherrer
diagrams of the sample are taken at different
scattering angle ranges. An adjustable diaphragm
in front of the film plane selects the limiting scat-
tering angle. One diagram contains the reflections
of both, SiC and carbon fibres, and the other one
only the carbon 002 reflection (Fig. 14.3, top).
In topographic scans, a large area detector
replaces the film. The sample is scanned twice at
the two scattering angles by 0.5 mm steps in
both dimensions. Scanning between 1 and 10
positions per second at 1 % signal standard
deviation is typical. The two topographs of
(SiC ? C) and C look very similar (Fig. 14.3,
bottom) and similar to the radiograph as the
density variation dominates the scattering vari-
ation. Solely, the ratio of the two topographs is
free from density variations, as the absorption
effect is identical in both.
The resulting ratio image (Fig. 14.3, bottom
right) shows the mass ratio (SiC ? C)/C.
Fig. 14.4 X-Ray rotation topography for polymer chain
orientation measurements; Scherrer diffraction pattern of
polypropylene (PP) with rotating slit installed between
B. R. Muller and M. P. Hentschel
The fine fabric pattern has inverted. Bright
positions indicate higher scattering intensity of
SiC. They correspond to dark positions of the
topographs (and the radiograph) because of their
higher absorption. The ratio image reveals the
mixing behaviour of the two phases. The
absence of the circular ring proves that this is
not related to the SiC or C content.
14.1.2.2 X-Ray Rotation Topography
In order to measure the molecular orientation
of materials, a rotation slit is installed
between the sample and a large area detector,
as shown in Fig. 14.4, left. At each sample
position, a full rotation of the slit (within a
few seconds) preforms a Rotation Profile,
which reveals the polar intensity distribution.
Figure 14.4, top right, gives the rotation pro-
files of polypropylene (PP) and liquid crystal
polymer (LCP) (injection molding samples).
The width at half maximum (FWHM) is
called the texture angle, which is always
related to the stiffness and strength of the
materials.
Repeated gray scale plots of the rotation
profiles at different scan positions are added to
rotation topographs (Fig. 14.4, bottom, right).
The horizontal coordinate is the rotation angle,
the vertical coordinate indicates the sample
position. The bright intensity maxima are at the
average polymer chain direction (the direction of
sample and detection area, left; single rotation profiles
and rotation topographs, right
14 Micro-Diagnostics: X-ray and Synchrotron Techniques
the highest allowable load on the component).
The technique has been applied for quality
assessment of helicopter parts [7] and for carbon
fibre orientation measurements in composite
laminates.
High precision fibre alignment and fibre con-
tent are requested for optical mirrors like the
3.5 m reflector of the projected far infrared space
telescope (FIRST) of ESA (Fig. 14.5, left). In
order to omit the deformation of the optical
reflector during mission, the allowance for the
deviation from the designed fibre direction of the
carbon fibre reinforced epoxy CFRP sandwich is
only 0.1. Differences in the fibre mass of each
direction are critical as well.
Figure 14.5 shows the experimental set-up
and the diffraction image of the CFRP sandwich
(centre). The specimen is composed of two 6-ply
high modulus C fibre composite laminates and a
CFRP honeycomb structure inside. Each of the
rotation profiles of the first and second laminate
reveals 12 reflection peaks (Fig. 14.5 right, top).
The resulting angular frequency distribution of
the 30 ply is extracted from 800 rotation pro-
files on 80 cm2 by computerised curve fit to the
rotation profiles (right, bottom). The directions
are taken relative to the 0 ply. Although the
standard deviation exceeds 0.4, the mean fibre
direction deviates only by less than 0.17. It is
determined at 0.05 resolution. The relative fibre
mass of each direction has been determined from
Fig. 14.5 Rotation
topography of CFRP
reflector sandwich material
for far infrared space
telescope (European space
agency)
291
the same rotation profiles (at 1 % resolution per
ply). Furthermore, it is possible to identify dif-
ferent types of fibres [8].
14.1.2.3 X-Ray Diffraction Microscopy
Topographic imaging can be very significant,
especially in the case of thin walled components
and when a projection image is sufficient.
However, an additional transversal resolution
would be the ultimate step to gain real 3-
dimensional information. X-Ray diffraction
microscopy provides a topographic image of a
transversal section. The beam geometry is given
in Fig. 14.2 right, top. The basic principle
requests a very narrow beam of the incident and
the diffracted rays. For practical use, focusing
single crystals fulfil this task perfectly, even at
an acceptable intensity level. The transversal
resolution is 0.4 mm, and the lateral resolution is
50 lm (Mo-K-a radiation).
Figure 14.6 images a transversal section of a
16 layer CFRP-laminate, in a typical first
applications of X-ray diffraction microscopy.
Due to the oriented diffraction properties of
carbon fibres only the fibres normal to the image
plane are imaged (black for carbon) and the
epoxy matrix is suppressed due to the weak
amorphous and isotropic scattering. Beyond the
visualisation of the ply arrangement and its
irregularities, significant vertical channels are
292
Fig. 14.6 Transversal section of 16-ply CFRP laminate
by X-ray diffraction microscopy (18 keV Mo-K radia-
tion): solely the fibre rovings normal to image plane are
imaged (black for carbon)
discovered which originate from matrix flux
during autoclave baking.
14.1.3 X-Ray Topography by Refractive
Small Angle Scattering
14.1.3.1 The Refraction Effect
In X-ray radiography and computed tomography
(CT), the interface contrast of heterogeneous
materials can be strongly enforced due to X-ray
refraction effects. This is especially desired for
materials of low absorption or mixed phases of
similar absorption resulting in low contrast.
X-Ray refraction [6, 9] is an USAXS phenom-
enon. Refraction contrast has been applied as
well for planar refraction topography, a scanning
technique for improved non-destructive charac-
terisation of high performance composites,
ceramics and other low density materials and
components [10].
X-ray refraction occurs, when X-rays interact
with interfaces (caused by cracks, pores, parti-
cles and phase boundaries) preferably at low
angles of incidence similar to the behaviour of
visible light in transparent materials e.g. lenses
or prismatic shapes. The X-ray optical effects
can be observed at small scattering angles
between several seconds and a few minutes of
arc as the refractive index n of X-rays is nearly
B. R. Muller and M. P. Hentschel
unity (n * 110-5). In other terms, due to the
short X-ray wavelength below 0.1 nm X-ray
light scattering is sensitive to inner surfaces
and interfaces of nanometer dimensions.
In analogy to visible optics, the interaction of
X-rays with small transparent structures above
several nanometer dimensions results in coher-
ent scattering governed by wavelength, struc-
tural dimensions and shape, local phase shift and
absorptive attenuation. But different from optical
conditions, the refractive index of X-rays near
one causes beam deflections into the same small
angular region of several minutes of arc, as does
the diffraction. Thus, the resulting interferences
are due to phase modulation due to the refractive
index and the absorptive and Raleigh diffraction,
both depending on the path length through
matter.
However, if the dimensions of the scattering
objects are much larger than several ten nano-
meters as common in classical small angle
scattering, the interference fringes are not
observable any more by classical small angle
cameras as they are too narrow. The resulting
smeared angular intensity distribution is then
simply described by a continuous decay
according to the rules for refraction by trans-
parent media, e.g. applying Snells law [6]. This
purely geometrical refraction approach is
appropriate for small angle X-ray (and neutron)
scattering effects by structure dimensions well
above the wavelength and applied in the
following.
If e is the real part of the complex index of
refraction n, q the electron density and k the X-
ray wavelength then n is
n 1  e with e  q  k2 and
14:1
e 105 for glas at 8 keV radiation
In contrast to optics, convex lenses cause
divergence of X-rays as n \ 1. Figure 14.7
demonstrates the effect of small angle scattering
by refraction of cylindrical lenses: A bundle of
15 lm glass fibres (for composites) deflects an
X-ray beam collimated by a pinhole system
within several minutes of arc. In fibres and
14 Micro-Diagnostics: X-ray and Synchrotron Techniques 293

Fig. 14.7 Effect of oriented small angle scattering by n, k wavelength; right normalised angular intensity
refraction of cylindrical shapes; left deflection of pencil distribution of different materials and diameters,
beam by glass fibres, n index of refraction, e real part of polypropylene

 
spherical particles, the deflection of X-rays J0  2R 3 e
occurs twice, when entering and when leaving IR 2h0 sin arctan 0
e h
the object (Fig. 14.7 left, insert). J0  2R  e2
An X-ray film or a CCD camera collects the 14:2
h3
oriented intensity distribution while the straight
(primary) beam is omitted by a beam stop. The J0 is the irradiation density of the incident
shape of the intensity distribution of such X-rays, R is the cylinder radius and 2h0 = h is
cylindrical objects is a universal function inde- the scattering angle. In case of spherical parti-
pendent from the material type, if normalised to cles or pores IR becomes
the critical angle hC of total reflection
J0  2R  e2
(Fig. 14.7 right), defined by the refractive index IR 2h0 14:3
h2C 2e: The intensity of the deflected X-rays h4
The conventional understanding of continu-
becomes nearly zero at the critical angle, with a
ous SAXS is governed by the interpretation of
small bit negligible contribution from total
diffraction effects. Both the well-known Guiniers
reflection.
theory [4] for separated particles and Porods
Applying a Kratky type high-resolution small
theory [3] of densely packed colloids are based on
angle scattering camera with slit collimation a
cross-section of 10-3 of the fibre diameter con-
tributes to the detectable intensity typically
above 2 min of arc. Total reflection of X-rays
occurs as well but only 10-6 of the cylinder
diameter is involved, and therefore negligible
but planar surfaces may scatter all the primary
intensity if well aligned. Based on Snells Law,
the angular intensity distribution of cylinders has
been modeled and fitted to measurements on Fig. 14.8 Scheme of a SAXS instrumentation with
most different fibres, as illustrated in Fig. 14.7. collimated X-ray beam, sample manipulator, a refraction
The refracted intensity IR of a cylinder (without detector for refracted intensity IR with sample or IR0
without sample and an absorption detector for the
absorption effects) can be expressed by [6]: attenuation intensity IA or IA0 of the primary beam
294
diffraction of Rayleigh scattering. Nevertheless
Porod approximates the same angular intensity
decay as in Eq. (14.3). However, both diffraction
approaches are about scattering objects two
orders of magnitude smaller.
14.1.3.2 Two-dimensional X-Ray
Refraction Topography
The SAXS instrumentation with X-ray fine
structure tube and Kratky slit camera is rela-
tively straightforward. The camera needs an
additional scattering foil for the primary beam
attenuation measurement and a micromanipula-
tion device for the sample (Fig. 14.8).
For practical measurements, the refraction
detector remains at a fixed scattering angle 2h0 ,
so that the relative surface density C of the
specimen can be measured according to [10]:
 
1 IR  IA0
C  1 14:4
d IR0  IA
with IR and IR0 from the refraction detector with
and without sample, respectively, IA an IA0 from
the absorption detector and d the wall thickness
of a sample. Apart from the choice of materials,
the relative surface density C depends merely on
the scattering angle and the radiation wave-
length. Absolute inner surface density (spe-
cific surface, surface per unit volume) is
determined by comparison with a known cali-
bration standard at retained boundary conditions
(wavelength and scattering angle) [11].
A proof of the linearity of the refraction value
C according to Eq. (14.4) and the surface density
R is realised by measuring densely packed uni-
form spheres of diameters between 0.25 and
8 lm (Fig. 14.9). The linearity holds for two
orders of magnitude and materials of different
attenuation and e (after normalising e).
For the investigation of engineering or nat-
ural materials the homogeneity of their micro
structure might be essential for their function.
An obvious example is the homogeneity of
membranes, in particular filters, in which the
pore structure is the essential quality parame-
ter. Therefore, the spatial investigation by
scanning may image and measure the material
B. R. Muller and M. P. Hentschel
Fig. 14.9 Prove of the linearity of the refraction value
as a function of the known surface density of densely
packed uniform spheres
homogeneity with respect to the distribution of
specific surface.
The essential difference of the two material
parameters can be obtained from Fig. 14.10 in
which the scanning topographs of densely
packed uniform glass spheres of different radii
(R1 = 0.25 mm, R2 = 1.2 mm) are compared
(Fig. 14.10 top, schematically).
The porosity is measured by absorption and
indicates the mass density that is nearly the same
for both radii (middle). However, the specific
surface (additionally measured by the refraction
detector) is five times larger for the small radius
spheres. This is the factor R2/R1 that is to be
expected for pure geometric reasons (same
packing density provided). Again in contrast to
all radiographic requirements the spatial reso-
lution in this kind of refraction topography, as
determined by the scanning steps and the step
width, is much larger than the individual size of
the particles. They need no individual imaging
in order to be characterised for their average
surface or diameter.
Beyond the ability of refraction topography to
image the specific surface and interface distribu-
tion, the related orientation patterns can be imaged
as well which is a straight consequence from the
oriented scattering examples of Fig. 14.4. This is
of specific relevance for fibre composites charac-
terisation and crack tensor fields as a result of
impacts.
14 Micro-Diagnostics: X-ray and Synchrotron Techniques
Fig. 14.10 Tomographs of dense packings of monodi-
spersed glass spheres of different radii (R1 = 0.25 lm,
R2 = 1.2 lm). The porosity is measured by absorption
and indicates the mass density that is equal for both radii
(middle). However, refraction topography (bottom)
reveals a specific surface which is five times larger for
the small radius spheres (expected factor R2/R1)
Figure 14.11 gives an application of X-ray
refraction topography to ceramics research. It
shows SiC ceramic samples, the green body
state (left, 44 % porosity), an intermediate
state (middle, 16 % porosity) and the ceramic
state (right, 3 % porosity). The porosity is
measured by the absorption of the primary
Fig. 14.11 Refraction
topographs of the pore size
distribution (top grey
scales) of SiC before and
after sintering at different
temperatures; porosity (p)
295
beam and the refracted intensity is a direct
measure of the specific surface. Assuming
spherical pore shapes, the ratio of the two
independent measurements reveals an average
pore size within each scattering volume of
0.1 mm3.
The topographic images of Fig. 14.11 repre-
sent the spatially resolved mean pore size dis-
tributions. Compared to the quite homogeneous
green body, the pore size is raised in the centre
area at 1,900 C while the statistical variance
remains within the narrow interval of the green
state. After firing at 2,180 C, the mean pore
size reaches 2.1 lm. Now a high variance of
50 % in pore size occurs, although the spatial
regularity looks homogeneous. Local clustering
occurs due to a considerable disintegration of
pores. The decomposition of the statistical
arrangement of different pore sizes into clusters
of similar pore sizes is a new observation in
ceramics.
14.2 Synchrotron Refraction
Computed Tomography (SRCT)
Refraction tomography by conventional X-ray
tubes has some disadvantages. It is restricted to
low X-ray energies given by the characteristic
emission of Cu-, Mo- or Ag-targets in X-ray
tubes and thus to low density materials. The
thickness of the investigated samples is limited
to a few millimetres and much smaller in case of
metals. The measurements require several hours,
because the specimen has to bee scanned and
rotated across a very narrow beam.
296
14.2.1 Experimental Set-Up of SRCT
In order to overcome the above-mentioned lim-
itations 3D synchrotron refraction tomography is
employed. The hard X-ray experimental station
(BAMline) [12, 13] at the Berliner Electron
Storage Ring for Synchrotron Radiation
(BESSY) in Berlin Germany, the available
monochromatic photon energy ranges from 5 to
80 keV. The experimental set-up is defined by
Fig. 14.12 top [13, 14].
A parallel and monochromatic beam from the
double crystal monochromator (DCM) of the
BAMline with a bandwidth of about 0.2 % is
used. While the horizontal width of the beam is
limited by the detector width, the vertical size
may be smaller than the camera height and
varies with the used photon energy (the higher
the energy the narrower the beam height due to
the limited crystal length, respectively). The
50 keV photon beam from the DCM has a hor-
izontal width of up to 30 mm and a vertical
width of about 4 mm, respectively.
Fig. 14.12 Top sketch of the experimental set up. The
refracted rays are blocked by the second crystal (red
rays). Bottom left rocking curve of the Si(111) single
crystal pairs in symmetric configuration at 50 keV with
B. R. Muller and M. P. Hentschel
As in the absorption-based CT-measurement
the specimen is placed on a rotation stage.
During the measurement the specimen is rotated
stepwise for 180 or 360, respectively. After
each step a radiograph is taken with an X-ray
sensitive detector system. It consists of a scin-
tillating screen, a microscope objective and a
2D CCD-camera. Depending on the chosen
objective and scintillation screen the nominal
Pixel size ranged from (15 x 15) lm to (0.6 x
0.6) lm.
After the measurement the radiographs are
reconstructed by filtered back projection [15],
which delivers a 3D mapping of the density
distribution of the specimen. In contrast to the
absorption-based measurement the specimen is
located between two Si(111) single crystals. The
first crystal defines the photon energy and the
divergence of the synchrotron beam according to
the Bragg equation n k = 2 d sinH [16]. The
highly collimated and monochromatised beam
from the first crystal transmits the specimen and
is attenuated according to the absorption
specimen (filled dots) and without specimen (open
circles) between the two crystals. The area under the
curves is set to equal. Bottom right demonstration of the
refraction enhanced contrast
14 Micro-Diagnostics: X-ray and Synchrotron Techniques
properties of the sample. The second crystal is
identical to the first one and reflects the beam
after transmitting the specimen to the detector
system.
By tilting the second crystal against the first
crystal around the Bragg angle, the so-called
rocking curve of the crystal pair can be recorded.
It delivers the reflected beam intensity as a
function of the deviation from the Bragg angle
(see Fig. 14.12 bottom left). The width of the
rocking curve for the Si(111) crystal pair at
50 keV was FWHM = 1.404 arc-seconds with-
out (Fig. 14.12 bottom left, open circles), and
1.764 arc-seconds with the specimen between
the two crystals (Fig. 14.12 bottom left, filled
circles). The broadening of the rocking curve is
due to the refraction effect, which deflects the
X-rays at all interfaces in the sample. As a
consequence, all scattered X-rays will be lost at
the second crystal, if the crystal pair is set to the
rocking curve maximum. This is illustrated in
Fig. 14.12 bottom right. The refracted X-rays
from the inner surfaces of the specimen are
blocked by the second crystal (red rays in
Fig. 14.12). This leads to a significant contrast
enhancement in the radiography of the sample
(marked by red stripes on the refraction picture
at bottom right of Fig. 14.12). If the second
crystal is off the rocking curve maximum (e.g.
half of the FWHM) only the scattered X-rays
will be reflected and detected by the CCD-
camera system (not shown here).
Fig. 14.13 Radiograph sections of the LCF-specimen at
50 keV photon energy all imaging the reinforcing SiC
fibres by vertical stripes (brightness shows intensity); left
absorption radiograph with white horizontal main crack
at centre due to cyclic loading (horizontal stripes at top
and bottom are caused by monochromator artefacts);
297
14.2.2 Application of SRCT to Metal
Matrix Composite
14.2.2.1 Radiographic Projections
By exploring the same specimen with and
without the refraction technique, the potential of
the SRCT can be shown impressively. The
specimen was a cylindrical (3.5 mm diameter)
low-cycle fatigue (LCF) test specimen provided
by MTU Aero Engines, Germany in an aircraft
project. As reinforcing fibre the SCS6-fibre from
Textron was taken. It has a 33 lm diameter
carbon fibre as a core with a 1 lm pyro-C-pro-
tective coating, followed by SiC and again by a
pyro-C-protective coating of 3 lm. The overall
diameter of the fibre measures 140 lm. The
fibres are coated (30 lm) with the titanium base
alloy Ti-6242 by magnetron sputtering, and then
bundled and formed by hot isostatic pressing
(HIP). Static and cyclic forces were applied in
parallel to the fibres in order to obtain the values
of several mechanical parameters. After the tests
the specimens were examined by metallographic
methods and the fractured surfaces were
analysed.
After the mechanical treatments absorption-
based Synchrotron CT measurements were car-
ried out. The nominal Pixel size of the detector
system was (1.7 9 1.7) lm. Figure 14.13 shows
Radiographs of three different experimental set-
ups. Figure 14.13 left shows a radiograph taken
without an analysing crystal. In opposite to film
middle refraction radiograph at fibre orientation parallel
to the scattering plane; inverted contrast of crack and
detailed additional cracks visible; right refraction radio-
graph at fibre orientation perpendicular to the scattering
plane; reduced crack contrast but selectively contrasted
fibre interfaces
298
radiographs, weak absorption appears bright
while strong absorption appears dark. In the cen-
tre left of Fig. 14.13, a bright horizontal stripe
indicates the main crack of the specimen caused
by cyclic loading. The reinforcing fibres cause
vertical dark stripes. Horizontal stripes at top and
bottom are due to monochromator artefacts.
During the SRCT measurement, the transmitted
beam behind the specimen is reflected by the
second crystal (analysing crystal). Figure 14.13
middle 14 shows the radiograph of the same
specimen as before, but archived by the refraction
technique. Due to technical circumstances the
nominal Pixel size was only (5.6 9 5.6) lm. In
contrast to the absorption measurement the crack
interfaces appear dark (nearly black)! This is
because the analysing crystal was set to the maxi-
mum of the Rocking curve; therefore, all X-rays
deflected at the crack interfaces due to refraction
and total reflection are not reflected, and hence
missing at the detector. Thus, the crack appears as
if it were a strong absorbing material. In compar-
ison to the absorption measurement the spreading
out of the main crack shows up much larger. Fur-
thermore, several additional small cracks above
and below the main crack are visible even if the
Pixel size is about three times larger than in the
absorption case.
Since 1997, the above described technique is
reported in the literature as diffraction enhanced
imaging (DEI) [1723] or analyser-based imag-
ing (ABI) [24, 25] for medical investigations of
cartilage and tumour cells.
A further feature of the analyser crystal is its
orientation-dependent suppression of the scattered
X-rays. That means only the vector component of
the X-rays refracted by the specimen interfaces is
suppressed, which is parallel to the scattering
plane of the crystal. The component perpendicular
to the scattering plane remains unaffected. For this
reason, the above described refraction technique is
an excellent tool to suppress scattered X-rays
dependent on their orientation.
E.g. the radiograph of Fig. 14.13 middle was
measured while the scattering plane of the ana-
lysing crystal was parallel to the fibre orientation.
Hence, mainly scattered X-rays from the crack
interfaces perpendicular to the fibre orientation
B. R. Muller and M. P. Hentschel
(and the load direction) are suppressed hence
strongly contrasted. In the other case, the scat-
tering plane of the analysing crystal was perpen-
dicular to the fibre orientation for the radiograph
shown in Fig. 14.3 right and enforces the contrast
of the fibre interfaces, even if completely bonded
to the surface. The contrast of the main crack is
less pronounced than in Fig. 14.13 middle,
because the crack interfaces are mainly oriented
perpendicular to the load direction.
14.2.2.2 Visualisation of the SRCT
Reconstructions
Figure 14.14 left shows a 3-dimensional visu-
alisation of the reconstruction by filtered back
projection from the Refraction-CT measurement
of the CMC LCF specimen. The orientation of
the scattering plane of the analysing crystal was
parallel to the fibre direction. Like in the case of
absorption CT measurements (not shown here),
the visualisation contains all the information of
the fibre distribution and orientation in the Ti
matrix. The main fatigue crack is clearly visible
(red colour).
For improved characterisation of the crack
architecture in the damaged specimen, the cracks
are measured at two perpendicular orientations of
the sample. The separately extracted damage
surfaces of different types, the fatigue cracks of
the Ti matrix (red, scattering plane of the analyser
crystal parallel to the fibre direction) and the fibre
debonding cracks (green, scattering plane per-
pendicular to the fibre direction) are shown sep-
arately in Fig. 14.14 right.
From the data analysis it is clearly perceived
that the fatigue cracks of the Ti matrix are oriented
perpendicular to the load direction and located in
the Ti matrix. The fibre debonding surfaces are
oriented parallel to the load direction and to the
fibre-matrix interfaces. The two different types of
flaws are expected to explain selectively the
materials sensitivity to different kinds of load.
The above-described novel SRCT technique
combines analytical capabilities of submicrom-
eter structure detection with the requirements of
non-destructive full volume characterisation. It
is capable to detect and visualize cracks even
beyond the spatial resolution of the detector.
14 Micro-Diagnostics: X-ray and Synchrotron Techniques
Fig. 14.14 3D-reconstruction of synchrotron-refraction
computed tomography, SRCT of MMC sample after LCF
damaging; left complete view through semi-transparent
Ti matrix (blue) on solid SiC fibres (yellow) with carbon
core, fatigue cracks of matrix visible (red); right
Furthermore, it can detect the orientation of the
cracks. The technique is expected to close an
essential gap in the spectrum of non-destructive
techniques for a better understanding of the
microstructures of materials down to the nano-
metre scale and their behaviour under thermal
and mechanical loads. X-ray refraction therefore
might help accelerating materials development,
better understanding mesostructures and partly
replace microanalysis and mechanical testing in
advanced materials science.
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images of cartilage. J. Synchrotron. Rad. 15(5),
525527 (2008). doi:10.1107/S0909049508014829
 Surface Chemical Analysis
at the Micro- and NanoScale
Wolfgang E. S. Unger and Vasile-Dan Hodoroaba
This chapter describes relevant methods of
micro- and nanosurface chemical analysis used
in technical diagnostics. Informative case studies
in diagnostics applied in a wide range of
industrial technology are presented, too.
15.1 Introduction
For a selection and application of technical
diagnostic methods, the character of the item
under consideration and the length- and time-
scales associated with damage initiation and
evolution must be considered (cf. Fig. 1.2).
Nowadays, micro- and nanotechnology is an
important driver in many fields. Therefore,
concepts of technical diagnostics have to be
appropriately extended from those which have
been conventionally applied to macrotechnolo-
gy. Reliability considerations have to be wid-
ened to cover micro- and nanoreliability.
Consequently, surface chemical analysis at the
micro- and nanoscales is an indispensable ele-
ment of the deductive conceptual approach of
technical diagnostics today. All the classes of
engineering materials listed in Chap. 2 of this
book are accessible to the modern methods of
W. E. S. Unger (&)  V.-D. Hodoroaba
BAM Bundesanstalt fr Materialforschung und
prfung, Unter den Eichen 87, 12200, Berlin,
Germany
e-mail: wolfgang.unger@bam.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_15, Springer-Verlag Berlin Heidelberg 2013
15
micro- and nanosurface chemical analysis.
Usually, the materials a technical item is made
of are subject to loads, meaning any physical
process acting on the component (cf. Chap. 3).
One of those loads is the interaction with the
components specific environment which may
affect the materials integrity. Micro- and
nanosurface chemical analysis is particularly
useful in studying tribo-chemical and environ-
mental loads. The latter ones are derived from
exposure to radiation or reactive chemical spe-
cies leading to ageing, corrosion and gas-phase
embrittlement. Examples are presented in the
Sect. 15.6.
Surface chemical analysis has to be applied (1)
when areas of interest characterized by different
chemical composition have to be identified on a
technical items surface, (2) to determine the
concentrations of constituents, elements or com-
pounds in these areas of interest and (3) to mea-
sure the variation of composition in all three
dimensions. In-depth analysis is enabled by the
combination of the analytical method with ion
sputtering or sectioning techniques as focused ion
beam (FIB) milling. A relevant parameter is the
information depth of an individual analysis
method. It may vary from some 10 lm to only a
small number of atomic layers, depending on the
analytical technique used.
The most versatile methods of surface chemical
analysis are energy-dispersive X-ray spectroscopy
(EDX) [1], electron spectroscopy for chemical
analysis (ESCA) [2], auger electron spectroscopy
301
302 W. E. S. Unger and V.-D. Hodoroaba

Table 15.1 Survey on methods of surface chemical analysis most relevant for technical diagnostics
Method Probe Carrier of analytical Fundamental principle
information and
fundamental principle
EDX, ED-EPMA (energy-dispersive x-ray keV X-ray photons core hole decay by
spectroscopy, energy-dispersive electron electrons emission of x-ray
probe microanalysis)
ESCA, XPS (electron spectroscopy for X-ray Photoelectrons and auger photoelectric effect and
chemical analysis, x-ray photoelectron photons electrons auger-process
spectroscopy)
AES (auger electron spectroscopy) keV Auger electrons non-radiative core hole
electrons decay by auger-process
SIMS (secondary ion mass spectrometry) keV ions secondary ions sputtering of solids
with secondary ion
formation

(AES) [3] and secondary ion mass spectrometry
(SIMS) [4]. All of them are mature and success-
fully applied for technical diagnostics in testing
laboratories in a wide range of application fields
[5]. A survey on popular acronyms for and the
basic physical principle behind the different
methods is given in Table 15.1. Relevant modes of
operation and measurement capabilities of these
methods of surface chemical analysis used in
technical diagnostics are summarized in
Table 15.2.
The use of these methods in testing laborato-
ries is underpinned by progressing standardiza-
tion under two ISO Technical Committees, TC

Table 15.2 Measurement capabilities of methods of surface chemical analysis

Analytical task Method Limits of Comment
resolution
Depth profiling for ESCA 10 lm lateral, Principally ion sputtering is destructive and
elements and compounds *1 nm in-depth information is reduced to elemental analysis.
by ion sputtering AES 10 nm lateral, Recently, energetic cluster ion (e.g. Ar2500+)-based
*1 nm in-depth ion guns have been developed which enable non-
destructive sputter depth profiling of organic
SIMS 50 nm lateral,
materials.
*1 nm in-depth
Layer thickness ESCA *1 cm2 lateral Thickness range: 1 monolayer to *10 nm
measurement overlayer thickness. Electron take-off angle must
be known. Sample must be flat.
EDX *0.5-3 lm lateral Thickness range: *10 nm to *1 lm. The
measurand is mass coating (or mass thickness) in
lg/cm2. Layer density must be known.
Mapping for elements and ESCA 10 lm lateral
compounds AES 10 nm lateral
SIMS 50 nm lateral
EDX *0.5-3 lm lateral
Chemical state analysis ESCA 10 lm lateral Analysis relies on databases (chemical shifts in
AES 10 nm lateral electron spectroscopy, characteristic fragment
patterns for SIMS).
SIMS 100 nm lateral
(metals and
semiconductors),
1 lm (organics)
Trace element analysis SIMS Sub lm lateral Sensitivity strongly depends on element.
15 Surface Chemical Analysis at the Micro- and NanoScale
201 Surface Chemical Analysis and TC 202
Microbeam Analysis, supporting accreditation
following ISO 17025:2005. The main objectives
in the work of both standardization committees
are to promote the harmonization of requirements
concerning instrument specifications, instrument
operation, specimen preparation, data acquisition,
data processing, qualitative analysis, quantitative
analysis and reporting of results [6].
15.2 Energy-Dispersive X-ray
Spectroscopy
EDX with electron excitation is perhaps the
analytical method which is most often employed
in testing laboratories when a quick and non-
destructive elemental analysis of a solid surface
is required at the low micrometre scale in all
dimensions. Elemental concentration at major,
minor and trace level, however, not below 0.1
mass %, can be measured with an accuracy of
several percent relative.
With respect to the terminology, EDX stays
for Energy-Dispersive X-ray spectroscopy of
specimens which are excited with electrons in a
scanning electron microscope (SEM). However,
other beam types such as X-ray or ions can be
employed to excite X-ray emission, that can be
analysed with an energy-dispersive spectrometer
(EDS), so that a more accurate denomination of
the analysis method described in this chapter is
Fig. 15.1 Inelastic mean
free path, k, for electrons
Inelastic mean free path [nm]
travelling through a solid
vs. kinetic energy
estimated for solid
elements [7]. Typical
values for practical ESCA,
AES and SEM analysis are
marked by the boxes
303
energy-dispersive electron probe microanalysis
(ED-EPMA). The alternative way of detection of
X-ray emitted by the specimen would be the use
of wavelength-dispersive spectrometry, abbre-
viated WDX or more correctly, electron excita-
tion WD-EPMA.
The SEM is an instrument vastly employed
with the primary scope to visualize the mor-
phology of the specimen surface down to the
nanometre scale. This spatial resolution superior
to that of conventional light microscopes owes
to the short mean free path length of the elec-
trons, cf. Fig. 15.1. When bombarded with a
finely focused, highly energetic (up to 30 keV)
primary electron beam, specimen atoms are
ionized and excited in a volume varying in the
range of one micrometre (cf. Fig. 15.2). This
interaction volume is colloquially called ioni-
zation pear and determined by the excitation
energy and the mean atomic number of the
elements in the specimen (or specimen density),
cf. Fig. 15.3.
SEM and EDX analysis requires vacuum in
the analysis chamber.
Radiative de-excitation processes as X-ray
emission take place when a solid is bombarded
with energetic electrons. Characteristic X-rays
due to intra-atomic electron transitions to inner
atomic shells filling vacancies created by pri-
mary electron impact (cf. Fig. 15.4) as well as
bremsstrahlung caused by deceleration of pri-
mary electrons in the specimen are emitted.
100
10
1
SEM
ESCA, AES
1 10 100 1000 10000
Kinetic energy KE of electron [eV]
304 W. E. S. Unger and V.-D. Hodoroaba

Fig. 15.2 Interaction of a

focused beam of keV
electrons with a solid
sample. Secondary,
backscattered and Auger
electrons as well as
characteristic X-rays leave
the surface and are
available for topographic
and chemical analysis

Fig. 15.3 Interaction

volume in pure Al and Au
at 5 and 15 keV excitation
energies (note the factor 10
between Al and Au scales).
Scattering trajectories
described by the primary
electrons are in blue. Those
in red represent the
primary electrons leaving Al, Al,
the specimen as 5 keV 15 keV
backscattered electrons.
(Results of a Monte-Carlo
simulation using the Win
X-Ray software package
(McGill University))

Au, Au,
5 keV 15 keV

The characteristic X-rays carry valuable
information on presence and quantity of ele-
ments in the specimen. Depending on the atomic
(sub) shells involved in the radiative transition,
dedicated notations for the characteristic X-ray
lines such as Ka1 or Ka2 (as the photon in
Fig. 15.4) and Kb, or L series, for example, La1,
Lb1 or Lc1, or M series, for example, Ma1, Mb
or Mc, in the so-called Siegbahn notation are
mostly used. The so-called IUPAC notation, for
example, K-L3 for Ka1, can be also used [8]. A
typical EDX spectrum of a high-alloy steel
certified reference material (288-1 EURO-
NORM) is shown in Fig. 15.5. The logarithmic
representation of the intensity scale has been
selected for a better visualization of the brems-
strahlung background and X-ray lines of ele-
ments at trace level concentration (Si, V, Ni and
15 Surface Chemical Analysis at the Micro- and NanoScale
Fig. 15.4 The emission of a characteristic X-ray photon
(hm) or an Auger electron e-A after decay of an inner shell
core hole, here at the K shell, created by an incident
highly energetic primary electron e- p . EK is the binding
energy of the K-shell electron. Because of its high kinetic
Fig. 15.5 20 kV X-ray spectrum of a high-alloy steel
certified reference material (288-1 EURONORM) with
W). The sharp cut-off at the excitation energy
(here 20 keV) shows that the specimen surface
is electrically conductive and no charge effects
encounter. If the specimen surface is electrically
non-conductive, in order to avoid faulty analy-
sis, either a thin conductive film (of carbon or a
metal) shall be applied on the surface. Alterna-
tively, a SEM instrument having available the
capability of variable rest gas pressure, so that
the charged specimen surface can be neutralized
by gas molecules ionized by the primary
305
energy EP, the primary electron e-p likely will excite more
than one atom in the specimen. Emission of a secondary
electron e-s originating from the electron impact ioniza-
tion is another relevant process. EF is the Fermi level and
VAC the vacuum level
the composition C 2.08, Si 0.26, V 0.05, Cr 12.00, Ni 0.3,
W 0.68 wt % and Fe, rest
electron beam, can be used when conductive
film deposition is not appropriate.
In principle, all elements of the periodic table
apart from hydrogen, helium (due to the low
number of electrons) and lithium (due to the
impossibility of the detector to discriminate the
very low associated energy of the characteristic
X-ray line at 54 eV) can be detected via EDX.
Due to their significantly larger attenuation
length relative to that of the electrons, X-rays
may propagate through solid matter lm up to
306
mm depending on the material and their energy.
This implies that from the X-rays generated in
the excitation volume (cf. Fig. 15.2), significant
parts of them, in particular the high-energetic X-
rays, may leave the specimen surface. The lower
the energy of the generated X-rays is the higher
is their attenuation.
An X-ray detector attached to a SEM port can
analyse the X-ray emitted into its acceptance angle
according to their energies. From such an X-ray
spectrum valuable information on the specimen
elemental composition can be derived. Nowadays,
an EDS is attached to almost any installed SEM.
For many years, the silicon-lithium detector,
Si(Li)-EDS, was the state-of-the-art in EDX.
Recent developments in the silicon drift detector
(SDD) technology have resulted in the break-
through of SDD-EDS spectrometers defining the
state-of-the-art now. Both the special design of an
SDD and the larger active surface (currently up to
100 mm2) result in high photon counting rates
which is essential not only for short measurements
times (usually not longer than a few minutes), but
also for improving measurement precision and
detection limits. With such modern, high perfor-
mance SDD-EDS systems results comparable with
those obtained by WD-EPMA can be attained [9].
Due to the higher signal-to-noise ratio and the
improved energy resolution, less and less amounts
of substance are possible to be analysed at spatial
resolutions significantly below 1 lm by using low
excitation energies and, correspondingly, low-
energy characteristic lines. Moreover, keeping
short the exposure of specimens sensitive to elec-
tron beam bombardment may help to avoid
unwanted sample damage.
As far as ED-EPMA quantification is con-
cerned, two ways are generally possible: (1)
quantification with reference materials (usually
called standards) and (2) standardless quan- measured under well-known conditions and
tification. In the first case, X-ray spectra of the
unknown specimen as well as of pure or However, the procedures used in the software
compound reference materials must be measured
under identical conditions. After background
subtraction, net peak intensity ratios, Iunknown/
Istandard, are calculated for all the elements
identified in the spectrum. If the elemental
concentrations of the unknown and the standard
W. E. S. Unger and V.-D. Hodoroaba
are not very different, this so-called k value (or
k-ratio) provides a first estimate of the elemental
composition of the specimen. The larger the
differences between the elemental composition
of the unknown and the standard are, the more
significant the influence of the other elements in
the specimen on the emitted X-ray intensities
becomes. The same quantity of an element in
specimens with different compositions of the
rest elements produces different X-ray intensi-
ties for detection. This fact is known as matrix
effect. The matrix effect is related to the atomic
number, absorption and fluorescence excitation
in the specimen. Reliable elemental concentra-
tions can be extracted from the k-ratios after
correction of matrix effects which is possible by
using empirical models based on physical
approaches. In a typical EDX analysis with
standards, elemental concentrations are obtain-
able with relative errors below 5 %. This figure
is getting worse when analysing elements of low
concentration or when X-ray lines at low ener-
gies are used [10]. Working at low primary
electron energies (below 2 keV) forces to take
into consideration K lines of light elements, for
example, B, C, N, O and L and M line series of
elements with higher atomic numbers. The
complex structure of the L and M line series
often results in line interferences. Many of them
are successfully resolved by using advanced
deconvolution procedures and state-of-the-art
spectrometers with superior energy resolution.
The standardless analysis is a rather comfort-
able approach to quantify the elemental compo-
sition of the specimen. Only one spectrum is
necessary to be acquired and the quantification
works quasi instantaneously via push-the-but-
ton. In fact, intensities of pure standards are
either calculated from first principles or pre-
stored in the quantification software package.
delivered by the instrument makers are proprie-
tary and traceability is limited in the latter case. In
any case, results of standardless quantification
must be associated with a range of errors signifi-
cantly larger than those corresponding to the
analysis with standards. One source of significant
15 Surface Chemical Analysis at the Micro- and NanoScale 307

Table 15.3 Results of standardless ED-EPMA analysis

in dependence on specimen preparation for the highly
alloyed steel certified reference material 288-1
EURONORM
Element ED-EPMA Certificate ED-EPMA
and [wt %] [wt %] [wt %]
detected unpolished polished
x-ray line surface surface
CK 4.9 2.08 3.1
Si K 0.3 0.26 0.4
VK 0.1 0.05 0.1
Cr K 15.5 12.00 12.1
Fe K 77.9 Rest 83.3
Ni K 0.3 0.30 0.3
WL 0.9 0.68 0.7
The unpolished specimen is covered by a thin layer of
segregated chromium oxide

uncertainties constitutes the X-ray spectrometer

efficiency [11]. Also improper specimen prepa-
ration or positioning in the microscope can lead to
faulty (sometimes even unacceptable) results. A
successful quantitative analysis can be performed
only when the elemental composition of the
specimens is homogeneous throughout the anal-
ysis volume and the specimen surface must be flat
(polished) and not contaminated. Table 15.3
highlights the importance of specimen prepara-
tion for quantification.
In many practical cases, a good qualitative
EDX analysis can give good answers to many of
the questions posed to the analyst. The reliable
identification of X-ray lines of elements present in
low concentrations or careful half-quantitative
comparisons of type more or less are often Fig. 15.6. It shows that phase distribution
appropriate approaches. When analysing speci-
mens with heterogeneous composition, the
dimensional relationship between excitation vol-
ume and homogeneous domains of the specimen
must be carefully considered. Quantification can
only be successful when the homogeneous
domains are a bit larger. EDX elemental distri-
bution mappingas alternative to the point but only after a very careful inspection using
analysisis straightforward and delivers highly
relevant qualitative or even quantitative infor-
mation, if the homogeneity criterion given above
is fulfilled. This mapping option is attractive when
Fig. 15.6 SEM micrograph of backscattered electrons
(top) and EDX map (bottom) revealing three main
phases, SiC, TiB2 and TiC and minor oxides and
tungsten carbide phases as well. Note the sub-micrometre
spatial resolution achieved for the minor phases in the
EDX map. The minor phases can be observed also in the
SEM micrograph. However, due to the relatively poor
contrast, the excellent spatial resolution is not evident
working with SDDs offering high photon count-
ing rates.
An informative example for successful EDX
elemental distribution mapping is presented in
information can be derived from the EDX data
acquired with a complex SiC-TiB2-TiC com-
posite ceramic material. All three major phases
with grains in the low micrometre range are
detected. More challenging was the detection of
minor phases, oxides and tungsten carbide.
These are also visible in the SEM micrograph
backscattered electrons ensuring better material
contrast. However, the clear identification of the
elements present in these minor, sub-micrometre
scaled phases was enabled by EDX analysis.
308 W. E. S. Unger and V.-D. Hodoroaba

15.3 Electron Spectroscopy

for Chemical Analysis

The probe used in photoelectron spectroscopy is

typically a photon beam with energies up to
*5 keV. Figure 15.7 displays a schematic dia-
gram of the photoelectron emission process for a
metal. When a primary photon beam of energy
hm, greater than a core-level electron binding
energy BE of an atom, here that of the K shell
(1s orbital), impinges on the surface photo ion-
ization occurs leading to the emission of a
photoelectron leaving a core hole in the K shell.
A singly ionized emitter atom is the final state of
this photoemission process. The core-hole state
subsequently decays radiatively or non-radi-
atively by emission of X-ray photons or Auger
electrons, respectively (cf. Fig. 15.4). Therefore,
ESCA spectra usually comprise signals origi-
nating from photoemission and X-ray excited
Auger processes as well (cf. also Sect. 15.4).
The kinetic energy KE of the ejected photo-
electron is as follows:
KE hv  BEF  UA 15:1
F
BE is the Fermi-level referenced binding
energy of the emitted photoelectron. /A is the work
function of the energy analyser used to measure the
kinetic energy of the emitted photoelectrons.
The measured kinetic energy of the photo-
electron is usually converted to a binding energy
by using Eq. 15.1. This binding energy is char-
acteristic for the orbital the photoelectron stems
from and, hence, for a given element. Qualitative
elemental analysis is enabled by using orbital
energy databases. Small chemical shifts
(B*10 eV) of this binding energy may occur due
to initial state effects (chemical bonding) and final
state effects (intra and extra atomic relaxation).
These chemical shifts correlate to the bonding
situation of the emitter atom in the solid, they
being defined by the first coordination sphere of
the emitter atom. Therefore, information on
chemical states of the emitter atom can be deliv-
ered by the ESCA method. There are databases
and handbooks that provide tabulated character-
istic photoelectron binding energy shift data for
Fig. 15.7 Scheme of the photoemission process exploited
in Electron Spectroscopy for Chemical Analysis (ESCA)
elements in different chemical state, beginning
with Lithium and ending with Uranium.
The information depth of the ESCA method
is related to the inelastic mean free path, k,
characteristic of a photoelectron at a given
kinetic energy when it travels through the solid.
The incident X-ray photons striking the speci-
men penetrate to a depth of several lm
depending on photon energy and attenuation in
the solid. Within the primary excitation, volume
photoelectrons are created by photo ionization
events (cf. Fig. 15.7). However, most of the
photoelectrons never reach the surface because
of their very short inelastic mean free paths.
Figure 15.1 shows the principal dependence of
the electron inelastic mean free path on the
kinetic electron energy in solids. For typical
kinetic energies of photoelectrons used in labo-
ratory ESCA, which are in the energy range of
02,000 eV, the information depth is in the
range of *0.5 to *7.5 nm, that is, only a very
few monolayers, depending on the material
analysed and the individual orbital of the emitter
element where the photoelectron originates from
[7]. The information depth is defined to be the
15 Surface Chemical Analysis at the Micro- and NanoScale
depth from where 95 % of the detected signal
stems from and is estimated to be 3k normal to
the samples surface.
There is a first principle-based understanding
of the correlation of the measured photoelectron
intensity with the concentration of the respective
emitter atom in a solid sample [2]. Matrix effects
can be neglected. Standard-free quantitative
analysis is possible and usually implemented in
the spectrometer software. This special feature
makes ESCA the most popular method of sur-
face chemical analysis. However, heterogeneity
of the analytical volume in depth at a scale
below the information depth 3k is a crucial point
and requires specific quantification approaches.
The detection limits of quantitative ESCA are in
the range of 10.1 at % depending on the ele-
ment under consideration.
ESCA requires ultra-high vacuum (UHV)
conditions in the analysis chamber of the instru-
ment. Characteristic X-rays are typically obtained
from Al (1,487 eV) or Mg (1,254 eV) anodes.
Most often, Al Ka radiation is used with a
monochromator in order to get rid of the Brems-
strahlung background and to improve spectral
resolution. Other anodes are in use, for example,
Ag and Cr, but not often. Alternatively, synchro-
tron radiation with X-ray energies from some
10 eV up to *10 keV is used for ESCA. HAX-
PES is one of the acronyms for HArd X-ray
PhotoEmission Spectroscopy meaning ESCA
with excitation energies [*2 keV. The use of
hard X-rays is rather attractive for ESCA analysis
of buried interlayers. Equation 15.1 reveals that
high-energy X-ray excitation results in high
kinetic energies of the emitted photoelectrons.
Consequently, the information depth of ESCA
can be increased in this case towards higher values
than the 15 nm reached by Al Ka excitation (cf.
Fig. 15.1).
A hemispheric electron energy analyser is the
most frequently one used in ESCA instruments
because of its excellent energy resolution.
Electrons emitted from the analysed sample
enter the zone between the hemispheres through
an aperture. By sweeping the potentials at the
hemispheres, photoelectrons (and Auger elec-
trons) of varying energy can pass through the
309
Fig. 15.8 Array of 10 lm copper squares on a tungsten
substrate imaged by Al Ka-excited Cu 2p and W 4f
photoelectrons using an Kratos Axis Ultra DLD laboratory
ESCA instrument in the parallel image acquisition mode
analyser and are counted by channeltron arrays,
channel plates or delay-line detectors.
Imaging ESCA is enabled by using different
technologies. One of the most relevant is scan-
ning a microfocused X-ray spot across the ana-
lysed surface. This moving X-ray spot is
delivered by a monochromator combined with a
specific X-ray SOURCE where AN electron
microbeam is moved across the Al anode sur-
face. Another technology is to use a combination
of array detectors with imaging electron optics
which deliver energy-resolved images through
parallel image acquisition.
The lateral resolution reached by recent lab-
oratory instruments is in the order of 510 lm
(see Fig. 15.8). Full spectral information can be
obtained from fields of interests with diameters
as small as *10 lm. Sub lm lateral resolution
can be obtained using a specifically designed
commercial ESCA instrument used at a syn-
chrotron beamline (cf. Fig. 15.9 and Ref. [12]).
A standard component available at commer-
cial ESCA instruments is an ion gun providing
ions which may impinge on a defined sample
area later seen by the electron analyser. The ions
gradually erode the sample surface so that when
combined with the surface analysis by ESCA, an
elemental in-depth profile is obtained from a
well-defined area of the sample. Inert gas ions,
such as Ar+, are typically used for sputtering.
The erosion rate is material dependent and can
be in the range 50100 nm min-1. Recently,
310
Fig. 15.9 Ga 3D image taken from a cross-sectioned
GaAs/AlGaAs layer stack (CRM BAM L200, Nanoscale
Strip Pattern for Length Calibration and Testing of
Lateral Resolution) acquired at 400 eV excitation energy
(synchrotron radiation) using a NanoESCA spectromi-
croscope (Omicron Nanotechnology) [12]. The periods of
the AlGaAs gratings, appearing dark because of the
lower Ga concentration, are 587, 389, 273, 193 and and
136 nm (from right to left). Note that the last three pairs
of gratings are unresolved. The width of a single bar is
the half of a period
cluster ion sputter guns providing keV Ar2500+
and C60+ projectiles enter the market, so that
also depth profiling of of polymers is enabled
[1315].
There are different modes of application of
ESCA in technical diagnostics: spectroscopy,
also for small areas (small spot ESCA), depth
profiling and imaging by element or compound
mapping.
In the spectroscopy mode, elemental identifi-
cation for elements with Z C 3 is possible with
standard-free quantification. Small spot spec-
troscopy at fields of view with diameters of
*10 lm is achieved. This permits analysis of
engineered microstructures and patches, residues,
corrosion products and contaminants that may be
non-uniformly dispersed over a samples surface.
Sequential sputtering and elemental analysis
enable depth profiling by ESCA. By monitoring
the photoemission peaks of elemental sample
constituents as function of sputtering time, the
in-depth composition of inhomogeneous sam-
ples, for example, an overlayer on a substrate,
can be determined. The primary result of an
ESCA depth profile analysis is a photoemission
peak intensity vs. sputter time presentation.
Quantification leading to atomic concentrations
[at %] is possible by using the standard-free
approach mentioned above. A measurement of
W. E. S. Unger and V.-D. Hodoroaba
sputter rates which depend on the sputtered
material enables to convert the sputter timescale
into a depth scale. However, because the efforts
to determine sputter rates for an individual
sample is often too high, usually the at % vs.
sputter time representation of depth profiles is
used to compare profiles of related samples.
There are options to acquire ultra-shallow
depth profiles with ESCA avoiding ion sputter-
ing. ESCA in the angle-resolved mode (variation
of the electron take-off angle) or with excitation
at variable X-ray energy allows the reconstruc-
tion of a depth profile of chemical species into
A depth of *10 nm, or C15 nm when HAXPES
is used.
The third mode in which ESCA data may be
taken is imaging. Elemental distribution maps
for different elements are routinely obtained.
The distribution of elements in a certain chem-
ical state may be mapped when a chemically
shifted peak is available for analysis. This fea-
ture enables imaging of compounds or phases at
surfaces.
15.4 Auger Electron Spectroscopy
Focused electron beams are the probe most often
used to excite Auger electron emission used in
technical diagnostics. Other probes such as X-
ray photons or ions, may also be used (cf. Ref.
[3]). Figure 15.4 displays a schematic diagram
of the Auger emission process in a metal. When
a primary electron beam of energy Ep, much
greater than core-electron binding energies of
the solid, here that of the K shell, EK, impinges,
ionization occurs leading to a core hole in the K
shell. Thus, the atom is left in an excited state
which decays radiatively or non-radiatively by
emission of X-ray photons or Auger electrons,
respectively. Figure 15.4 shows an electron from
the L1 level filling the hole created in the K shell
while a second electron, the Auger electron with
the kinetic energy EA, is emitted from the L2,3*
level. This results in a doubly ionized state of the
emitter atom in the solid. Various combinations
of the discrete core levels and also valence band
electrons may enter into this three-electron
15 Surface Chemical Analysis at the Micro- and NanoScale
process resulting in series of Auger transitions
with various energies characteristic of the
emitter element. These are tabulated in dat-
abases, denominated, for example, as KLL-,
LMM- or MNN series. The competing X-ray
emission (radiative core hole decay, cf. Sect.
15.2) influences the relative probability of
relaxation by Auger electron emission. The
kinetic energy of the ejected Auger electron, e-
A,
as illustrated in Fig. 15.4, is calculated by:
EKL1L2;3 EK  EL1  EL2;3   UA 15:2
where EK and EL1 are the binding energies of the
atomic energy levels K and L1. EL2,3* is the
binding energy of the L23 level in the ion and,
therefore, different from EL2,3 for the ground
state of the emitter atom. /A is the work func-
tion of the energy analyser used to measure the
kinetic energy of the emitted Auger electrons.
The kinetic energy of an Auger electron is
characteristic for the atomic levels and, hence,
for a given element. Qualitative elemental anal-
ysis is enabled. Chemical shifts, similar to those
observed in X-ray photoemission (ESCA, cf.
Sect. 15.3) may occur due to initial state effects
(chemical bonding) or final state effects (intra and
extra atomic relaxation). Thus, chemical bonding
frequently influences the fine structure of a series
of Auger transitions and the resulting chemical
shifts of their kinetic energies can be utilized to
derive chemical state information on the emitter
atom. There are popular databases and handbooks
that provide characteristic Auger electron spectra,
beginning with Lithium and ending with Ura-
nium. These spectra were obtained under con-
trolled conditions. They can be used for chemical
state identification by AES.
The information depth of the AES method is
related to the Auger electrons inelastic mean free
path, k, when it travels through the solid, and is,
similar to that for ESCA (cf. Fig. 15.1). In AES,
the incident electron beam striking the specimen
penetrates to a depth of 13 lm, depending on its
initial kinetic energy and back scattering in the
solid (cf. Fig. 15.2). Auger emission will occur
within the primary excitation volume until the
energy of inelastically scattered electron falls
311
below the threshold energy for ionization. How-
ever, most of the secondary electrons, including
the Auger electrons, never reach the surface
because of their very short inelastic mean free
paths. Therefore, in the range of typical Auger
electron kinetic energies from 0 to 2,000 eV, the
information depth is in the range of 0.57.5 nm,
that is, only a few monolayers, depending on the
material analysed and the individual Auger tran-
sition detected.
There is a well-founded principal under-
standing of the correlation of a measured Auger
electron intensity with the concentration of the
respective emitter atom in a solid sample [3].
Standard-free quantitative analysis is principally
possible. Matrix effects mostly originate from
the backscatter effect which depends on the
probed material. However, in practical quanti-
tative AES, empirical relative sensitivity factors,
RSF, are used and the concentration Ci [at%] of
element i in the thin analytical volume probed
by AES is derived for a certain matrix from
measurements of the intensities measured for
element i, Ii, and all elemental constituents j by:
.h X  i
Ci 100 RSFi Ii RSF j I j 3
j
Matrix effects are thus embedded in the
RSFs. There are RSFs for elements and selected
matrices published in the literature. Certified
reference materials are very useful to obtain
reliable RSFs. However, sample homogeneity is
required for application of Eq. (3). The primary
electron beam diameter must be narrower than
the scale of lateral heterogeneity. Heterogeneity
of the analytical volume in depth is also crucial.
The detection limits of quantitative AES are
in the range of 10.01 at% depending on ele-
ment and matrix under consideration.
AES requires UHV conditions in the analysis
chamber of the instrument. The cylindrical
mirror electron energy analyser is the one most
frequently used in AES instruments because of
its combined excellent energy resolution and
high transmission efficiency. Electrons emitted
from the analysed sample enter the zone
between the cylinders through an aperture and
are deflected by the negative potential on the
312
Fig. 15.10 Merged Al (red) and Ga (green) images
taken from a cross-sectioned GaAs/AlGaAs layer stack
(CRM BAM L200) using a PHI 700 Scanning Auger
Nanoprobe. The field of view is 256 9 256 pixels. The
AlGaAs grating periods are 16, 12 and 9 nm (from left to
right), the width of a single bar is the half of a period.
Courtesy: D. F. Paul, Physical Electronics USA
outer cylinder. By sweeping the potential on the
outer cylinder, Auger electrons of varying
energy can pass through the analyser. The pri-
mary electron gun, electron optical devices,
deflection plates and the micro channel plate
detector are mounted coaxially with the cylin-
ders of the analyser. The focal point of the
analyser is coincident with the focal point of the
primary electron beam.
Scanning auger microscopy (SAM) is
enabled by using the deflection plates which
direct the primary electron beam across the
analysed surface. Modern instruments use high-
brightness field emission primary electron guns
operated at up to 25 keV. Beam diameters less
than 10 nm are achievable. The lateral resolu-
tion reached by recent instruments is less than
10 nm. Figure 15.10 displays a SAM image of a
nanoscaled cross-sectioned layer stack revealing
ultimate resolution in the order of 5 nm.
A standard component is an ion gun provid-
ing ions which may impinge on a defined sample
position seen by the Auger electron analyser.
The ions gradually erode the sample surface so
that when combined with the surface analysis
intrinsic to AES an elemental in-depth profile is
obtained from a well-defined small area of the
sample. Inert gases, such as argon, are typically
used. The erosion rate is material dependent and
can be in the range 50100 nm min-1.
W. E. S. Unger and V.-D. Hodoroaba
There are different modes of application of AES
in technical diagnostics: spectroscopy, also for
rather small areas, depth profiling and imaging.
In the spectroscopy mode elemental identifica-
tion for elements with Z C 3 is excellent, and
quantification is possible. The yield of the charac-
teristic Auger transition series decreases as a func-
tion of increasing atomic number. However, there is
always at least one intense Auger transition avail-
able for characterization. Since AES makes use of a
focused electron beam for excitation, spectroscopy
at high spatial resolution is achieved. This permits
analysis of, for example, particles, residues, corro-
sion products and adsorbed contaminants that may
be non-uniformly dispersed over the surface.
Sequential sputtering and elemental analysis
enables depth profiling by AES. By monitoring the
Auger transitions of elemental sample constituents
as function of sputtering time, the in-depth com-
position of inhomogeneous samples, for example,
a coating on a substrate or a buried interlayer, can
be determined. The primary result of an AES depth
profile analysis is an Auger transition intensity vs.
sputter time presentation. Quantification leading
to atomic concentrations is possible when RSFs or
reference materials are available. A measurement
of sputter rates which depend on the sputtered
material enables to change the sputter time scale
into a depth scale. However, because the efforts to
determine RSFs and sputter rates for an individual
sample are often too high, usually, the Auger
transition intensity vs. sputter time representation
of depth profiles is used to compare related samples
with reasonable success.
The third mode in which Auger data may be
taken is SAM. Since the electron beam can be
focused to a rather small spot, AES may be used to
image localized small features of a sample surface.
This is accomplished in AES by rastering the
electron beam over the area being analysed while
synchronously detecting the Auger signal. This is
usually done by setting the analyser transmission so
that electrons of a specific energy characteristic of
an element reach the detector. Elemental distribu-
tion maps for different elements must be obtained
sequentially. The distribution of compounds may
be mapped when a characteristic chemically shifted
peak is available for analysis.
15 Surface Chemical Analysis at the Micro- and NanoScale
15.5 Secondary Ion Mass
Spectrometry
SIMS is based on the generation of secondary ions
by a beam of incident energetic primary ions which
induces a collision cascade underneath the surface
of the solid specimen (cf. Fig. 15.11). The energy
is dissipated from the energetic primary particle to
the constituents of the solid in the volume of the
collision cascade. Bonds are broken and atomic
and fragment particles are formed which may leave
the bombarded surface due to upward momentum
transfer. This process is known as sputtering and
has been investigated in some detail by simulations
for a wider range of typical projectiles and samples
including inorganic and organic ones. Most of the
sputtered particles are neutrals and only a small
fraction (*1 %) is in ionic state and, hence,
available for mass discrimination in a mass spec-
trometer. The surface sensitivity of the SIMS
method is substantially higher in comparison to
AES or ESCA. It is estimated that 80 % of the
detected secondary ions stem from the first two
monolayers of the analysed sample. SIMS requires
at least good high vacuum conditions in the anal-
ysis chamber of the instrument.
The quantification of SIMS data is difficult
because the secondary ion yields specifically depend
on parameters as sputtering yield and ionization
probability. Both may be extremely dependent on the
character of the bombarded material and the projec-
tile used. Furthermore, adsorbed species, which may
originate from the rest gas in the analysis chamber,
have a strong effect on the ionization probability.
That specific variability of the secondary ion yield
must be viewed as a severe matrix effect. However,
quantification with reference materials was success-
ful for selected dopants in semiconductor materials
(cf. Ref. [4]). Recently, multivariate analysis tech-
niques have been employed with success to derive
(semi)quantitative information not only from a small
number of secondary ion emission channels but by
gathering information from full SIMS spectra.
SIMS can be accomplished in two principally
different modes called dynamic SIMS and static
SIMS. For dynamic SIMS, the term dynamic ment patterns and (quasi)mol peaks. Imaging
refers to a substantial erosion of the analysed
313
Fig. 15.11 Collision cascade in a solid sample covered
by a monolayer initiated by the impact of an energetic
primary ion (red)
surface by a high flux density of primary ions.
Dynamic SIMS is restricted to the detection of only
atomic and pretty small cluster secondary ions with
high sensitivity for trace elements. It is usually
applied for element in-depth profiling and element
mapping. In the static SIMS mode, secondary ions
originate exclusively from non-damaged areas on
the sample under investigation. To reach that goal
flux, densities of primary ions have to be lower than
the static limit of 1012 primary ions/cm2 and
secondary ion yields may be rather small. That low
flux density of primary ions statistically guarantees
that every primary ion hits a virgin sample surface
not damaged by a preceding impact. In Fig. 15.12,
it is shown that atomic secondary ions preferen-
tially originate from the point of impact of the
energetic primary ion and a certain region rather
near to this point. Characteristic fragments or even
(quasi)molecular ions are desorbed from regions at
the rim of the collision cascade where the energy
transferred in a collision is sufficiently low. This is
the reason why at static SIMS conditions chemical
information on compounds and molecules residing
at the surface is obtained though SIMS is inherently
a destructive method. Valid molecular or phase
information can be obtained from the measured
ToFSIMS mass spectra as usual in mass spec-
trometry by interpretation of characteristic frag-
SIMS analysis of organic and bio materials is
314
A B C
Fig. 15.12 Surface regions of decreasing sample dam-
age (A to C) dependent on the distance from the locus of
primary impact (red arrow). Grey-scaled hemispheres
represent the volume of the collision cascade with
decreasing (A to C) momentum transferred in collisions.
Characteristic fragments and (quasi)molecular secondary
ions will preferentially originate from Region C
principally possible. ToFSIMS instruments are
used to accomplish SIMS in the static mode of
operation because of their parallel mass detection
capability and the high transmission of the mass
analyser.
Two types of SIMS instruments have been
commercialized. These are instruments (1) com-
bining a continuous primary beam of reactive ions
(O-, Cs+) with a co-axial probe forming and an
ion collecting optical system transferring sec-
ondary ions to a sector field mass analyser or (2)
combining a pulsed primary beam of: rather dif-
ferent ions (reactive ions (O-, Cs+), inert gas ions,
metal ions (Ga+, In+) and cluster ions (SF5+, Au+n ,
Bi+n , C60+ and recently Ar2500+) and a time-of-
flight (ToF) mass spectrometer.
There are different modes of application of
SIMS in technical diagnostics: Spectroscopy for
element analysis and identification of surface
species by using a fragment pattern database, also
for rather small areas, depth profiling and imaging.
A component often installed at a SIMS instru-
ment is an additional sputter ion gun providing
primary ions for depth profiling. The ions gradually
erode the sample surface so that when combined
with the surface analysis intrinsic to SIMS, an
elemental in-depth profile is obtained from a well-
W. E. S. Unger and V.-D. Hodoroaba
Fig. 15.13 Al secondary ion image taken from a cross-
sectioned GaAs/AlGaAs layer stack (CRM BAM L200)
using an ION-TOF ToF-SIMS IV instrument. The field of
view is 256 9 256 pixel. The periods of the imaged
AlGaAs gratings are 97 (unresolved), 136, 193, 273, 389
and 587 nm (from right to left); the width of a single bar
is the half of a period. A single 19.5-nm bar is imaged in
between the 389- and 587-nm-period gratings
defined small area of the sample. Recently, C60 and
Ar2500 sputter ion guns are explored as tools for
depth profiling of organic samples [1315].
All commercial SIMS instruments available as
tools for diagnostics are ion microprobes where
a finely focussed ion beam is scanned over the
sample (scanning mode of imaging) in a pres-
elected field of view. An alternative instrument
design used for imaging SIMS are ion micro-
scopes with broad beam (full field) illumination
and simultaneous imaging of secondary ions via a
lens system (parallel mode of imaging). The most
important parameter of SIMS instruments with
respect to imaging performance is the lateral res-
olution. Lateral resolution is basically defined as
the minimum spacing at which two features of the
image can be recognized as distinct and separate.
For a SIMS instrument working in the microprobe
mode, lateral resolution is determined by (1) the
width of the primary ion beam, (2) the signal
intensity per pixel, (3) the image contrast influ-
enced by mass resolution (insufficient mass reso-
lution may cause interferences between different
masses which lower the image contrast between
different phases), (4) the drift of the area of view
15 Surface Chemical Analysis at the Micro- and NanoScale
Fig. 15.14 5-kV EDX
elemental map Fe L, Zn L
and O K X-ray emission
peaks and overlaid by a
SEM micrograph taken
from a cross-sectioned and
polished zinc-coated steel
specimen. EDX analysis
clearly identifies the Zn
coating (red), the steel
substrate (blue) and the
discontinuous scale
interlayer (iron oxide,
green)
during the time of measurement, (5) the scanning
step width and (6) the dimension of the collision
cascade induced by the primary ions. The ultimate
lateral resolution which can be achieved with state-
of-the-art instruments and inorganic samples is
below 50 nm. A lateral resolution of *100 nm
which can be routinely achieved is represented by
Fig. 15.13. For organic and bio samples typically
lateral resolutions around 1 lm are achieved.
15.6 Case Studies
The case studies presented in this section originate
from various technological areas. Their common
feature is that the functionality and reliability of the
components studied depend crucially on the
chemical composition of their surfaces or the
chemical micro/nanostructure underneath.
15.6.1 Anti-Corrosion Surface Coatings
Coatings are often deposited on parts and com-
ponents in order to ensure their functionality in a
technical system. Therefore, coatings are fre-
quently analysed using the diagnostic tools
introduced in this Chapter. One example is the
analysis of a zinc coating on a low-carbon steel
part using the SEM/EDX diagnostic tool. Zinc
coatings are used to improve corrosion resis-
tance. A polished cross section was prepared to
get access to the steel/zinc interface. EDX ele-
mental mapping rapidly revealed residues of
315
scale present as a discontinuous iron oxide
interlayer between the steel base material and
the zinc coating (cf. Fig. 15.14). This scale
interlayer is the reason of the failure of the
coating and originated from a male function of
the descaling unit in the production line.
15.6.2 Surfaces for Foodstuff
Dispensing Equipment
Ni coatings deposited by plating are used to
inhibit leaching of lead from microscaled
inclusions in brass parts used in foodstuff dis-
pensing equipment. SEM/EDX element map-
ping has been used in quality assurance of those
parts. SEM pictures and EDX maps of cross-
sectioned specimens have been acquired and
revealed, for a deficient part, micro cracks in the
coating and areas on brass where the plating
process fully failed (cf. Fig. 15.15).
15.6.3 Electrical Contacts
The next case study points to system failures
which occur when elastomeric sealants carry thin
films of organic silicon compounds on their sur-
face. These originate from the production process,
for example, when silicon compounds are used as
mould release agent. The use of contaminated
sealants for housings for electronic components is
harmful for the reliability of electric contacts
inside. Reliability problems with electrical con-
tacts covered by an organic silicon compound are
316 W. E. S. Unger and V.-D. Hodoroaba

Fig. 15.15 SEM

micrographs and EDX
elemental maps Ni K, P K,
Cu K, Zn K and Pb L X-
ray lines taken from a
cross-sectioned Ni-P-
plated brass part. Note the
cracks in the Ni-P layer in
the left SEM micrograph
(red circles). The EDX
map at the right reveals
that the plating process
failed and there is almost
no Ni detectable. lm
scaled Pb inclusions in
brass are successfully
imaged, too

SE Ni-P Cu-Zn Pb SE Ni-P Cu-Zn Pb

well known. Mould release agents as polysilox-

anes (silicone oil) are often able to creep over
long distances or are dispersed in a technical
system by evaporation. When present at the sur-
face of an electrical contact which is thermally
loaded, these compounds are converted into a
non-conductive SiO2 layer. Those thin SiO2 lay-
ers on a contacts surface were found to deterio-
rate the conductivity of the contact and a failure of
the system usually occurs. In order to prevent
electronic components from malfunction, quality
control of elastomeric sealants is required. ESCA
is a diagnostic tool which is rather useful for
quantitative determination of polysiloxanes on
technical surfaces. Chemical shifts of the Si 2p Fig. 15.16 Highly resolved ESCA Si 2p spectrum of a
core-level binding energy are used to differentiate silicone contaminated rubber sealant with peak-fitting
harmful organic silicon species from inorganic analysis revealing that 57 % of the total Si surface
concentration relates to Si in organic compounds (poly-
unharmful ones, for example, silica fillers in
siloxane) and 43 % to Si in inorganic compounds
polymer sealants (cf. Fig. 15.16). A standard (silicate filler)
operation procedure (SOP) describing the ESCA
approach is published in the literature [16, 17].
Furthermore, ToFSIMS is another diagnostic 15.6.4 Components Used
tool able to detect harmful polysiloxanes on in Biotechnology and Medical
technical surfaces [16, 17]. Trace sensitivity can Diagnostics
be reached, but quantification is a severe problem.
Silicone contamination at the interface of Functional organic layers play an increasing role
composite materials, for example, coatings (lac- in biotechnology and systems used in medical
quer, metallization, etc.) at substrates, or adhesive diagnostics. When exposed to ambient condi-
joints in technical structures is also often the tions they are known to degrade chemically and
reason for adhesive failure. their functionality is lost step by step. This
15 Surface Chemical Analysis at the Micro- and NanoScale
(a) in N2 at -18 C in fore-vacuum at RT
Normalized Intensity of CNO
0 2 4 6 8 10
Ageing Time / weeks
(b) in N2 at -18 C in fore-vacuum at RT
Ratio of NHC=O
0 2 4 6 8 10 12
Ageing Time / weeks
Fig. 15.17 Amide formation on amine functional films
(APTES) on a slide versus ageing time at different
storage conditions. (a) ToFSIMS data (CNO- second-
ary ion yields normalized to the total secondary ion yield)
and (b) ESCA data (amide, NHC=O, surface concentra-
tion normalized to the total N surface concentration) [18]
phenomenon is known as ageing. One relevant
example is the functional layer, for example,
made of amino silanes, deposited on glass or
other slides. These slides are used to prepare
more complex structures used as biochips. Users
of amine slides usually store them for several
days to months prior to use under rather different
conditions. The ageing of commercial amino
functionalized (3-aminopropyl triethoxysilane,
APTES)-slides, which are used as platforms for
diagnostic microarrays, has been studied by
surface chemical analysis, here, ESCA and ToF
SIMS, in order to understand both chemistry and
kinetics of the ageing process. Shelf life of the
amine groups was determined under different
storage conditions in inert containers, that is, at
room temperature and ambient air or fore-vac-
uum and at -18 C under protective gas (N2).
The main ageing process is the oxidation of
amine groups to amides which has been proven
by a detection of specific spectral signatures, the
317
in air at RT
CNO- secondary ion emission at m/z 42 in ToF-
SIMS and the observation of the N 1s amide
component peak in ESCA. The kinetics of the
ageing reaction is represented by Fig. 15.17. The
decay of the functionality of APTES slides can
be effectively delayed by storage under vacuum
or protective gas and a shelf life of three months
can be guaranteed under that conditions.
12
15.6.5 Anti-Wear Coatings
of Tribocomponents
in air at RT
The next case study considers an engineered
material under tribological load. TiN/TiN sliding
pairs were tested by means of a pin-on-disc test rig
which was constructed in such a way that the shaft
presses the spherical pin at an angle of 90 against
the rotating disc. 3 lm TiN coatings were deposited
14 16 18 by steered arc deposition at 300 C on smooth
ground pins and discs made of hardened SAE 52100
steel. SEM had been used to image the worn sur-
faces at different sliding distances and friction
coefficients. Parallel ESCA diagnosis was applied
to derive information on the surface chemistry at the
worn pin area, and a tribochemical model was
developed based thereon (for all details see Ref.
[19]). Figure 15.18 displays ESCA Ti 2p and O 1s
spectra of the pristine coating and after a sliding
distance of *900 m. Spectra of debris are also
shown. The pristine surface is characterized by TiN
as the main constituent, TiNxOy and TiO2. Water
molecules are adsorbed at ambient conditions and
titanium hydroxide oxide is formed (TiO2 xH2O) as
revealed by the O 1s spectrum. The latter species
form a lubricant layer reducing wear and after this is
worn out tribo-oxidation of TiN becomes the
dominating process. TiO2 promotes higher friction
and wear. From ESCA Ti 2p and O 1s analysis, wear
debris is found to preferentially consist of TiO2.
15.6.6 In-Depth Chemical Diagnostics
of Functional Materials
(a) layer stacks for magnetic recording, storage
or sensing
In-depth chemical diagnostics of solid sam-
ples at high depth resolution is a request rather
often submitted to testing laboratories. All the
318 W. E. S. Unger and V.-D. Hodoroaba

Fig. 15.18 ESCA Ti 2p TiN shake up and TiNxOy TiO2 x nH2O

and O 1s data obtained for 2--
fresh and worn surfaces of Ti 2p TiO2 TiN O 1s H2Oads OH O (TiO2)
1,0 1,0
a TiN/TiN sliding pair

Normalized intensity
Wear debris
tested by means of a pin-

(pin-on-disc test)
Sliding distance
0,5 0,5
on-disc test rig. Formation
of a titanium hydroxide 0,0 0,0
1,0
oxide lubricant layer and 1,0
Tribologically stressed TiN
tribo-oxidation is observed @ friction0,5coefficient: f=0.5
0,5
which is worn out after
tribological load. TiN is 0,0 0,0

tribo-oxidized to TiO2 1,0 1,0

which is also the major TiN 0,5

coating,
0,5
debris constituent [19] as deposited
0,0 0,0

466 464 462 460 458 456 454 452 540 538 536 534 532 530 528 526

Binding energie (eV)

methods introduced in the sections of Chap. 15 4 BAM.702+3.pro

x 10
12
before are able to do that job, ESCA, AES and Sample 6 C1
O O
Peak-to-peak profile O2
SIMS by using sequential ion sputtering and Co2
Cu1
analysis, ED-EPMA by line scans along a cross- 10
Si3
Cu
sectioned surface. Figure 15.19 displays an AES Co
depth profile through a Co-CuCo layer stack on 8

a silicon substrate. Co-CuCo multi-layers show

Intensity

the giant magnetoresistance (GMR) effect and a 6

tremendous technological potential for magnetic
recording, storage and sensors is expected. 4 C
Intermixing and increasing roughness inherent Si

to sputter treatment decrease the depth resolu- 2

tion with increasing depth. This is evident when
the width of individual layers seen in the Cu and
0
Co depth profiles is carefully considered. Data 0 50 100 150 200 250

displayed in Fig. 15.19 are of highest quality Sputter Time (min)

because they were acquired using so-called
Zalar rotation in order to reduce evolution of
detrimental roughness during sputtering and
low-energy Ar ions for sputtering. Zalar rotation
means the sample rotates during sputtering
around its surface normal which is in line with
the axis of the electron energy analyser of the
used AES instrument.
(b) corrosion and wear protective coatings
Figure 15.20 displays an archetypical SIMS
depth profile analysis of an anodic oxide layer
on aluminium with a buried *2-nm Cr oxide
delta layer built in at a depth of *40 nm [20].
Anodic oxide layers substantially improve the
corrosion resistance of parts made of aluminium
Fig. 15.19 AES sputter depth profile through a stack of
40 alternating nanometre scaled Co and CuCo layers with
an oxidized Co layer on top and deposited on a silicon
wafer. A PHI 700 Scanning Auger Nanoprobe, 500 eV
Ar+ ion sputtering and Zalar rotation have been used.
Courtesy: D. F. Paul, Physical Electronics USA
or may act as solid wear-resistant layers. The
sample with the marker layer in the anodic oxide
was prepared as a test sample for optimization of
depth profiling tools used in quality assurance of
these technologically relevant coatings. Cr spe-
cies in the delta layer can be detected as Cr+ or
CrO+ secondary ions. The so-called transient
peaks for Al, AlO and H at the beginning of the
15 Surface Chemical Analysis at the Micro- and NanoScale
Fig. 15.20 ToFSIMS depth profile trough an anodic
alumina layer with a buried Cr oxide delta layer on polished
aluminium. A ToFSIMS IV instrument, 3 keV Ar+ ion
sputtering and 15 keV Ga+ primary ions for SIMS analysis
have been used. The sputtered area is 300 9 300 lm2, and
depth profile and for Al and H at the interface
are typical artefacts in SIMS depth profiles
which are explained as matrix effects.
15.6.7 Chemical Imaging at the lm
Scale
(a) lm structured surfaces for biotechnology
and medical diagnostics
Imaging SIMS is a rather useful tool to con-
trol technologies aimed on printing lm scaled
patterns of chemical moieties with specific
chemical functions on polymers and other sub-
strates [21]. Applications of patterned templates
which can be specifically modified by immobi-
lization of biomolecules in subsequent produc-
tion steps are biochemical sensors, arrays of
proteins or cells, and the combinatorial synthesis
of bio-active molecules. These end products
have to be viewed as rather complex systems
prepared by molecular engineering. Patterned
templates can be efficiently manufactured by
plasma-chemical functionalization using atmo-
spheric-pressure discharges in microcavities
which can be decreased in all dimensions down
to a few tens of micrometres. Microcavities are
formed temporarily by contacting a dielectric
substrate with a plasma stamp, and novel When optimized, the plasma printing technology
plasma printing processes are made feasible,
based on dielectric barrier discharge plasmas
319
the analysed area 100 9 100 lm2. Note that the measured
intensities are not corrected for the matrix effect and do not
reflect concentrations of the detected elements. The matrix
effect is also the reason for the decay of the Al+ yield when
the aluminium substrate is reached
(DBD). In the given example, DBD plasma
printing was used to print 400 9 400 lm2 pat-
ches in an array on a polymer substrate. Each
patch carries amines to be used in further pro-
duction steps. Imaging static SIMS has been
used to map the lateral distribution of amines
and other chemical species across patches prin-
ted by a DBD micro plasma using forming gas,
N2 ? 4 % H2 (cf. Fig. 15.21, [21]). The ques-
tion to be answered was how the visible plasma
light pattern (optical image shown in Fig. 15.21)
correlates to variations of surface chemistry
across the plasma printed areas. The optical
image is a simple approach to monitor the
homogeneity of the plasma in the cavity of the
plasma stamp. Amines, which were of spe-
cific interest in this application, are represented
by the CH4N+ secondary key fragment ion.
Other fragments characteristic for different sur-
face species which show a variety of lateral
distributions in the chemical picture delivered by
ToFSIMS imaging reflect also lifetimes of
plasma species in the cavity. Short-lived species
are only present close to the actual plasma dis-
charge whereas metastable species are charac-
terized by appreciable lifetimes enabling them to
diffuse into the dark remote plasma region.
produces homogeneous lateral distributions of
chemical species.
320 W. E. S. Unger and V.-D. Hodoroaba

Fig. 15.21 Positive static ToF-SIMS images (Field of polyethylene foil. The blue feature in the box at bottom
view 500 9 500 lm3) of selected element and fragment right position is an appropriately scaled photograph of
secondary ions taken from a forming gas (N2 ? 4 % H2) the distribution of the visible plasma radiation in the
DBD plasma printed 400 9 400 lm2 patch on a cavity [21]

Fig. 15.22 ToF-SIMS mappings taken from a duplex secondary ions (bottom) are displayed. Selected austen-
stainless steel sample. The total ion yield (top, (a)), phase itic grains are given in (b) in red, ferritic ones in green
information (top, (b)), and for Cr+, Fe+, Ni+ and CrFe+ [22]

(b) hydrogen in steel microstructures structure. Quantitative evaluation of ToFSIMS

Another application of SIMS is the imaging of element maps allows differentiating ferritic and
microstructures of duplex stainless steel samples austenitic phases (cf. Fig. 15.22 and Ref. [22]).
which are characterized by a complex two-phase Obviously, ToFSIMS is a diagnostic tool for
15 Surface Chemical Analysis at the Micro- and NanoScale
Fig. 15.23 Negative
secondary ion image of
deuterium (2H-, left) taken
from a duplex stainless
steel sample after charging
with deuterium and the
optical microscopy picture
of the microstructure taken
at the same area (right)
monitoring phenomena occurring on the scale of
the materials microstructure as for instance grain
boundary segregation, phase separation, phase-
selective corrosion, etc. SIMS imaging of hydro-
gen distributions in steel microstructures is
another highly relevant option. It is well known
that hydrogen embrittlement may lead to brittle
cracking of steel and micro-chemical diagnostic
approaches are required to understand the phe-
nomena behind. SIMS, a mass spectrometric
method, is the only diagnostic tool in surface
chemical analysis at the micro/nanoscale that has
the capability to detect hydrogen. In a first study, a
duplex stainless steel sample has been electro-
chemically loaded with deuterium. Deuterium has
been used instead of hydrogen in order to exclude
any superposition effect due to ambient hydrogen
species in the analysis chamber of the ToFSIMS
instrument. Figure 15.23 reveals accumulation of
deuterium in the austenitic grains after electro-
chemical charging. Additionally cracking has
been observed in austenite grains where the deu-
terium concentration is high (Fig. 15.23).
Acknowledgments The authors gratefully acknowledge
discussions and case study contributions by Dipl.-Ing.
F. Straub, Dr. H. Min, Dr. T. Gross and Dipl.-Phys. T. Wirth
(all BAM).
References
1. Heinrich, K.V.J.: Electron beam x-ray microanalysis.
Van Nostrand-Reinhold, New York (1981)
2. Briggs, D., Grant, J.T. (eds.): Surface Analysis. IM
Publications, UK (2003). ISBN 1-901019-04-7
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3. Unger, W.E.S.: Surface analysis: auger electron
spectroscopy. In: Worsfold, P.J. (ed.) The Encyclopedia
of Analytical Science, 2nd edn., pp. 466474. Alan
Townsend and Colin F. Poole, Elsevier (2005). ISBN:
978-0-12-369397-6
4. Briggs, D., Seah, M.P. (eds.): Practical surface
analysis. In: Ion and Neutral Spectroscopy, vol 2,
Wiley, Chichester (1992). ISBN 0-471-92082-7
5. Riviere, J.C., Myhra, S. (eds.): Handbook of Surface
and Interface AnalysisMethods for Problem-
Solving, 2nd edn. CRC Press Tayler & Francis
Group. Boca Raton (2009). ISBN 978-0-8493-7558-3
6. Business Plans of ISO/TC 201 Surface chemical
analysis and ISO/TC202 Microbeam Analysis,
www.iso.org
7. Seah, M.P., Dench, W.A.: Quantitative electron
spectroscopy of surfaces: a standard data base for
electron inelastic mean free paths in solids. Surf.
Interface Anal. 1, 2 (1979)
8. Jenkins, R., Manne, R., Robin, R., Senemaud, C.:
Nomenclature system for x-ray spectroscopy. Pure
Appl. Chem. 63(5), 735746 (1991)
9. Ritchie, N.W.M., Davis, J., Newbury, D.E.: Energy
dispersive spectrometry at wavelength precision.
Microsc. Microanal. 17(Suppl 2), 556557 (2011)
10. Newbury, D.E., Swyt, C.R., Myklebust, R.L.:
Standardless quantitative electron probe microanalysis
with energy-dispersive x-ray spectrometry: is it worth the
risk? Anal. Chem. 67, 18661871 (1995)
11. Alvisi, M., Blome, M., Griepentrog, M., Hodoroaba,
V.-D., Karduck, P., Mostert, M., Nacucchi, M.,
Procop, M., Rohde, M., Scholze, F., Statham, P.,
Terborg, R., Thiot, J.F.: The determination of the
efficiency of energy dispersive X-ray spectrometers
by a new reference material. Microsc. Microanal.
12(5), 406415 (2006)
12. Bailly, A., Renault, O., Barrett, N., Desrues, T., Mariolle,
D., Zagonel, L.F., Escher, M.: Aspects of lateral
resolution in energy-filtered core level photoelectron
emission microscopy. J. Phys. Condens. Matter 21,
314002 (2009). doi:10.1088/0953-8984/21/31/314002
13. Yu, B.-Y., Chen, Y.-Y., Wang, W.-B., et al.: Depth
profiling of organic films with x-ray photoelectron
spectroscopy using C(60)(+) and Ar(+) co-sputtering.
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Anal. Chem., 80, 34123415 (2008).doi: 10.1021/
ac702626n
14. Ninomiya, S., Ichiki, K., Yamada, H., et al.: Precise
and fast secondary ion mass spectrometry depth
profiling of polymer materials with large Ar cluster
ion beams. Rapid Commun. Mass Spectrom. 23,
16011606 (2009). doi: 10.1002/rcm.4046
15. Rabbani, S., Barber, A.M., Fletcher, J.S., et al.: TOF-
SIMS with Argon gas cluster ion beams: a
comparison with C(60)(+). Anal. Chem. 83, 3793
3800 (2011). doi: 10.1021/ac200288v
16. Gross, T., Treu, D., Unger, W.: Standard operating
procedure (SOP) for the quantitative determination of
organic silicon compounds at the surface of elastomeric
sealants. Appl. Surf. Sci. 179, 109112 (2001)
17. Oran, U., nveren, E., Wirth, T., Unger, W.E.S.:
Polydimethylsiloxane (PDMS) contamination of
polystyrene (PS) oligomers samples: a comparison of
time-of-flight static secondary ion mass spectrometry
(TOF-SSIMS) and X-ray photoelectron spectroscopy
(XPS) results. Appl. Surf. Sci. 227, 318324 (2004)
18. Min, H., Girard-Lauriault, P.-L., Gross, T., Lippitz,
A., Dietrich, P., Unger, W.E.S.: Ambient-ageing
W. E. S. Unger and V.-D. Hodoroaba
processes in amine self-assembled monolayers on
microarray slides as studied by ToF-SIMS with
principal component analysis, XPS, and NEXAFS
spectroscopy. Anal. Bioanal. Chem. 403(2), 613623
(2012). doi:10.1007/s00216-012-5862-5
19. zu Kcker, G.M., Gross, T., Santner, E.: Influence of
the testing parameters on the tribological behavior of
self-mated PVD-coatings. Wear 179, 510 (1994)
20. Shimizu, K., Habazaki, H., Skeldon, P., Thompson,
G.E.: Radiofrequency GDOES: a powerful technique
for depth profiling analysis of thin films. Surf. Interface
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21. Hinze, A., Klages, C.P., Znker, A., Thomas, M.,
Wirth, T., Unger, W.E.S.: ToF-SIMS imaging of
DBD-plasma-printed microspots on BOPP
substrates, Plasma Processes Polym. 5 460470
(2008). doi: 10.1002/ppap.200700138
22. Straub, F., Wirth, T., Hertwig, A., Hodoroaba, V.-D.,
Unger, W.E.S., Bllinghaus, T.: Imaging the
microstructure of duplex stainless steel samples
with TOF-SIMS. Surf. Interface Anal. 42, 739742
(2010). doi:10.1002/sia.3385
 Sub-Surface Microstructural Analysis
Werner Osterle
16

Acronyms

a-C:H Hydrogenated amorphous carbon

AES Auger electron spectroscopy
COF Coefficient of friction
CVD Chemical vapour deposition
EBSD Electron back scattering diffraction
EDS Energy dispersive X-ray spectroscopy
EELS Electron energy loss spectroscopy
EF-TEM Energy-filtered transmission electron microscopy
EMRP European Metrology Research Program
FIB Focused ion beam
HAADF High-angle annular dark field
HR-TEM High-resolution transmission electron microscopy
IB-CVD Ion-beam-induced chemical vapour deposition
LM Light optical microscopy
MCA Movable cellular automata
MML Mechanically mixed layer
PVD Physical vapour deposition
SAED Selected area electron diffraction
SEM Scanning electron microscopy
STEM Scanning transmission electron microscopy
ta-C tetragonal amorphous carbon
TEM Transmission electron spectroscopy
XPS X-ray photoelectron spectroscopy
Z Atomic number
ZIM Government funding of small- and medium-sized
enterprises (Zentrales Investitionsprogramm Mittelstand)

W. sterle (&)
Bundesanstalt fr Materialforschung undprfung,
Unter den Eichen 87, 12205 Berlin, Germany
e-mail: werner.oesterle@bam.de

H. Czichos (ed.), Handbook of Technical Diagnostics, 323

DOI: 10.1007/978-3-642-25850-3_16, Springer-Verlag Berlin Heidelberg 2013
324
Many performance properties of devices or
interacting machine parts are related to superfi-
cial layers which often show completely differ-
ent or at least modified microstructures
compared to the bulk materials. A quasi non-
destructive technique will be described which
enables us to obtain detailed information of a
materials state at a certain site of interest down
to a depth of 10 lm from the surface with
nanometre or even atomistic resolution.
16.1 Principals of Sub-Surface
Microstructural Analysis
Although the term microstructure includes the
word micron, it is not restricted to the micrometre
scale only, but also is used to describe features on
the nanometre scale or even millimetre scale.
The surface analytical techniques described in
the previous chapter are not suitable to obtain
microstructural information on the nanometre
scale. Either their penetration depth is of the
order of microns (SEM/EDS) thus lacking reso-
lution on the nanometre scale or they show only
very thin surface films (110 nm) but without
good lateral resolution (AES, XPS). Therefore,
cross-sectional preparation techniques are nee-
ded, enabling imaging with nanometre or even
sub-nanometre resolution by using high-resolu-
tion SEM or TEM, respectively.
Since the dimensions of many technical devi-
ces are decreasing steadily having reached the
nanometre scale already, it is quite obvious that
nanocharacterization has become more and more
important. But not only objects derived from
nanotechnology are in the focus of nanoresearch,
but also superficial layers which are either pro-
duced artificially or formed as a consequence of
machining or exposure to the environment play an
important role, even if we consider the perfor-
mance of large structures. This statement holds
especially for parts being in tribological contact
such as bearings, brakes or pistons of combustion
engines, but also for surfaces which have to
withstand corrosive environments. Very often, the
superficial zones of parts used in technical appli-
cations are thinner than 10 lm and furthermore
W. Osterle
consist of several sub-layers. Multilayer systems
with bi-layer periods of 110 nm and artificially
nanostructured surface films are also becoming
more and more interesting for certain technical
applications with tailored surface properties.
With respect to failure analysis, or even more
sophisticated, the assessment of material changes
which may later lead to failure, it is not enough to
investigate microstructural features at an arbi-
trary site, but we must be able to perform the
analysis at very specific sites from which we
know or sometimes only assume that they are
critical with respect to failure formation. For
example, the grain boundaries, shown in Fig. 2.2,
are typical weak features of a microstructure.
Therefore, in order to detect mechanisms of
intercrystalline crack formation, it is very
essential to have a very close look at certain types
of grain boundaries. Or even more locally
restricted: deposition of a protective coating may
be disturbed locally by a dust particle adhering to
the surface of the substrate material.
However, different failure mechanisms may
take place at different length scales, and thus, it
is sometimes necessary to zoom at microstruc-
tural features over 6 orders of magnitude from
the millimetre to the nanometre scale. Since this
usually cannot be achieved with one instrument,
a combination of microscopic techniques is most
essential. Furthermore, navigation tools are
beneficial for the examination of a certain fea-
ture with different techniques.
Finally, it should be mentioned that the
assessment of the impact of mechanisms taking
place at the micro- or nanometre scale on mac-
roscopic properties is a challenging task. It will
be shown that the development of models for
visualization and simulation of such mechanisms
can help a lot for obtaining a better understand-
ing for instance of nanowear and friction asso-
ciated with thin tribologically induced films.
16.2 Methodology
Usually, an investigation aiming at microstruc-
tural features as possible origins of failure
mechanisms starts with the identification of
16 Sub-Surface Microstructural Analysis
regions of interest on the macroscopic scale.
Critical locations which can readily be identified
without further preparation or magnification are
notches grooves or macro-cracks, junctions of
different materials such as welded joints and to a
certain extent also changes in surface roughness
or coverage with thin oxide films or local cor-
rosion phenomena like pitting. Often, it is not
easy to relocate a region of interest observed on
the macroscopic scale even at the lowest mag-
nification in the SEM or FIB. In that case, it is
recommended to apply some marks, for example
by using a microhardness indenter, if possible.
Of course, a number of surface features may
play a role with respect to failure mechanisms,
but cannot be detected with the naked eye
because they are too small. Then, SEM is the
method of choice to find them at the surface of a
device or specimen, show their morphology and
eventually determine chemical compositions by
EDS. State of the art nowadays is to combine
SEM with FIB in one instrument, a so-called
Dual-Beam or Cross-Beam facility. Then, a
region of interest identified by SEM may be
subjected to further more detailed investigation
by preparing a microsized cross-section which
then can be imaged by SEM, or by preparation
of a thin lamella for further TEM investigation.
The main principles of lamella preparation by
FIB technique are shown in Fig. 16.1 and
described in the following.
The first step is the deposition of a platinum
bar of approximate dimensions 20 9 2 9 2 lm3
exactly at the site where the TEM investigation
Fig. 16.1 Visualization of the most important steps of
FIB preparation of a TEM lamella, (a) deposition of a
platinum bar, (b) cutting of trenches and fixing of the
325
is planned. This is achieved by ion-beam-
induced chemical vapour deposition (IB-CVD)
within the FIB instrument. The ion beam is
scanned over a box of the desired dimensions,
while a platinum-bearing gas is injected through
a needle near to the specimen surface. Next, the
surrounding material is removed by ion milling,
the remaining lamella is fixed to a tungsten
needle by IB-CVD, and the thick lamella is
cut free with the ion beam after tilting the
specimen by 45. The needle with the fixed
lamella is part of a micro manipulator which
now is activated to lift the specimen out and
move it to the bar of a TEM grid or special
specimen holder (Omniprobe), where it is fixed
again by IB-CVD. Finally, the tungsten needle is
cut-off with the ion beam, and the fixed but free
standing lamella is ready for final ion beam
thinning. Standard TEM specimens prepared by
this technique are approximately 100 nm thick
which is sufficient for conventional TEM appli-
cations. For HR-TEM and EELS, thinner sec-
tions are needed. They can be prepared by taking
the specimens back to the FIB instrument after
the conventional TEM investigation and perform
further thinning locally, preferably at a lower
acceleration voltage of the ion beam.
Since the small holes dug with the ion beam
are not larger than 20 by 20 microns, the method
described thus far has the great advantage to be
quasi non-destructive, provided that the part
under investigation can be transferred to the
vacuum chamber of the FIB instrument. That
does not mean that there is no other method to
thick lamella at tungsten needle, (c) fixing at specimen
holder after lift-out and cutting off the needle
326
prepare cross-sections for SEM or TEM, but with
classical metallographic methods, we always
have to cut a part into pieces, and the control over
the exact position of the viewed plane often is not
precise enough. A comparison between conven-
tional cross-sectioning and the FIB approach will
be presented in Sect. 16.4, case study 2.
A further application of FIB for target prep-
aration of TEM specimens will be described in
the following. During classical metallographic
investigations, we sometimes observe certain
features which are worthwhile to be examined in
more detail by TEM, but if those features are
rare, it is almost impossible to detect them in an
arbitrary TEM specimen prepared from the bulk
material. In that case, it is desirable to prepare a
TEM specimen exactly at a site of interest which
has been detected before by a light optical or
SEM investigation. With the double beam
instrument, it is very easy to identify a region of
interest in the SEM mode and then cut out a
TEM lamella using FIB. Using two single-beam
instruments make things a bit more complicated
because contrasts during SEM- and FIB imaging
can be quite different. Nevertheless, if necessary,
it is always possible to find the same locations in
different instruments, as will be demonstrated in
case study 6 of 16.4.
16.3 Application Requirements
With respect to the title of this book, we have to
consider whether the presented method offers
the capability to serve as a diagnostic tool in the
sense described in Chaps. 13. Restrictions for
application of the method are first of all the size
of the device or system part; secondly, the vis-
ibility of a critical site at the surface; and thirdly,
the location of the feature of interest within a
superficial zone which is less than 10 lm thick.
First of all, the object of investigation must be
small enough to match the space of the specimen
chamber of the FIB instrument. Furthermore, the
working distance of the illumination system is
limited. Thus, the height of the region of interest
measured from the bottom of the specimen stage
must not exceed 20 mm. For example, a typical
W. Osterle
cutting tool has a diameter of 8 mm and a length
of 60 mm, and thus, the cylindrical faces and
edges can be investigated in a quasi non-
destructive manner, but not the tip of the tool.
Small devices or parts designed for microsys-
tems usually are no problem, provided that the
region of interest is not hidden or shadowed by
geometric conditions. If large structures have to
be investigated at a very specific sub-surface
site, it will be usually necessary to remove a
specimen from the structure. If the specimen can
be replaced after the investigation, the method
can still be regarded as quasi non-destructive.
Such a procedure could be useful, for example,
for the determination of carbonitride coarsening
of steel structures at elevated temperature in
pipes of a power plant. Actually, nanometre-
sized carbonitride particles such as V(C,N) are
responsible for retaining the high-temperature
strength of heat resistant steel grades over
10 years or more. Changes in the microstructure
during service time are symptoms of changed
material properties which may cause problems
of structures made of these materials. Thus,
documentation and, where appropriate, quanti-
fication of microstructural features are useful for
the SHM process described in Chap. 1, espe-
cially if the critical volume is too small for
measuring mechanical properties.
For a good diagnosis, it is essential to know
as precisely as possible which symptoms are
critical with respect to malfunction of a system
or system part. For example, considering an anti-
friction coating, consumption of the thin coating
by wear will limit the functionality of the sys-
tem. The situation is completely different for the
so-called self-healing materials. In that case, the
functional films are formed continuously by
tribochemical reactions and mechanical mixing
from the machine parts sliding against each
other. Thus, stable properties can be expected
until major parts of the first bodies have been
consumed by wear, provided that the species
needed for forming the films are always present
at the surface. Considering failure mechanisms
taking place on the nanometre scale, we have to
find out how such features develop into macro-
scopic failure modes.
16 Sub-Surface Microstructural Analysis
Referring to Fig. 3.1, the following material
deterioration mechanisms are appropriate for
being assessed by sub-surface microstructural
characterization. Whenever microstructural
changes take place in specific material volumes,
target preparation at those sites is essential.
Mechanical stresses leading to plastic defor-
mation usually affect the bulk structure, but
there are some exceptions resulting in local-
ized plastic deformation such as adiabatic
shear bands and persistent slip bands. The
latter may occur during fatigue loading. Zones
of localized plastic deformation, or micro-
cracking in the case of a brittle material, can
be considered as precursors of failures.
Therefore, their assessment is important.
Localization of deformation or failure mech-
anisms may also occur at elevated tempera-
tures, known as hot cracking usually along
grain boundaries. Several micromechanisms
are currently discussed for different failure
modes, such as incipient melting, ductility dip
cracking or corrosion-assisted cracking.
The interaction of environmental attack such
as corrosive media or high-temperature cor-
rosion with features of the microstructure is a
further source of local material deterioration.
Finally, the broad field of tribological behav-
iour and corresponding wear mechanisms is a
research area in which sub-surface micro-
structural characterization becomes more and
more important.
16.4 Case Studies
The method described above originally was
developed by the semiconductor industry as a
measure for controlling the thickness, morphol-
ogy and composition of functional layers. Since
functional coatings are becoming more and more
important for a large variety of technical appli-
cations, the method nowadays is used much
more widely. The first three case studies,
described in the following, show technical
applications, which all are related to coating
structures, although for different applications for
which tribological performance plays a major
327
role. The fourth study is related to tribology as
well, but in this case surface layers are formed
by tribochemical reaction and mechanical mix-
ing during the application. It will be shown that
very complicated film structures may form at the
surfaces of tribological couples of otherwise
well-known technical systems and how system
properties may be derived from modelling of
such nanostructures.
Only one example, case study 5, can be
attributed to the left side of Fig. 3.1, indicating
that there is still a very wide field of fundamental
investigations to which the method of sub-sur-
face microstructural characterization should be
applied in the future.
Finally, the last study will highlight the
potential of the method to extend classical
metallography (or petrography) by enabling to
perform a TEM study exactly at a region of
interest, which has been identified by SEM.
16.4.1 Case Study 1: Identification
of a Coating Failure
For very critical parts, such as for instance
artificial hip joints, even very tiny failures of a
functional coating may cause very severe prob-
lems, as communicated for implants made of
titanium alloy provided with thin hydrogenated
amorphous carbon (a-C:H) coatings [1, 2]. With
our method of revealing sub-surface regions
beneath surface sites showing faint irregularities,
we were able to reveal the origin of porous
structures and microcracks which are responsi-
ble for the access of corrosive media to the
coatingsubstrate interface, thus initiating a
mechanism of nanocorrosion [3] which finally
may induce coating degradation during tribo-
logical tests. Figure 16.2 shows two examples of
such failures obtained by TEM imaging after
having prepared a thin lamella by FIB. The
origin of the first one (Fig. 16.2a) is a silica
nanoparticle, a typical residue from surface
polishing with colloidal silica. If such particles
remain at the surface, neither the titanium bond
layer nor the a-C:H layer is deposited properly.
The funnel-shaped void, however, was filled up
with wear debris, making it very difficult to
328
Fig. 16.2 Cross-sections through micron-sized failures of a-C:H coating on Ti-6Al-4V
detect the failure by SEM from the surface. The
second example shows a microcrack caused by
an insufficiently polished surface asperity. The
location of the crack was detected by SEM
because it induced a faint depression at the
surface. Since it is almost impossible to avoid
such tiny coating failures completely, it was
recommended to abandon the application of
such thin coatings for this kind of application, at
least if the uncoated part has not the capability to
provide the necessary function.
16.4.2 Case Study 2: Prerequisites
for Application of a Diamond
Coating on Cutting Tool
The application of CVD diamond coatings to
WC/Co hard metal tools has been a challenging
task since many years. There is still a need for
further improvements with respect to higher tool
lives in heavy-duty cutting operations like
manufacturing of fibre-reinforced polymers
for aeronautic and automotive applications.
Although progress has been achieved during the
last years to prepare coatings with nanocrystalline
microstructure, adherence of the coatings to the
WC/Co substrate remains a critical issue. A
detailed characterization of the coatingsubstrate
interface is most essential for developing strate-
gies for better adherence properties. The only
method which is currently used routinely to con-
trol the coating thickness and to assess the depth
of an etching pre-treatment is to prepare a
metallographic cross-section after cutting off the
W. Osterle
tip of the tool and investigate it in the SEM. An
example is shown in Fig. 16.3a. WC grains
appear in bright contrast, cobalt in light grey, the
diamond layer in dark grey and embedding resin
again in light grey. The problems associated with
this method are the following: (1) The method is
not non-destructive. (2) The image cannot be
focused properly because presumably many of
the WC grains at the interface have been torn out
during preparation due to removal of the cobalt
binder phase during the etching treatment prior to
diamond deposition. From the width of the poorly
focused zone, the depth of etching was estimated
to be approximately 1 lm. (3) It is impossible to
see any further details in the etched zone or the
nanostructure of the diamond coating, even with
high-resolution SEM. To show the potential of the
new method, a similar cross-section albeit only
10 9 10 lm2 large was prepared with the FIB
technique. Figure 16.3b shows the microstructure
revealed by the FIB-imaging mode after having
tilted the micro cross-section by 43. Besides the
fact that the method is quasi non-destructive, the
following features can be seen clearly: cobalt,
appearing in bright contrast, is missing within a
certain zone at the substrate side of the interface.
Despite of that, smaller particles of a bright phase,
presumably cobalt, are appearing again immedi-
ately at the substratecoating interface. The
coating thickness (5.0 lm) and the thickness of
the etched zone (1.4 lm) were determined with
an online measuring tool, considering the tilt
angle of the cross-section (scale bar at the bottom
is only valid in horizontal direction).
16 Sub-Surface Microstructural Analysis 329

Fig. 16.3 Microstructure at the cemented carbidediamond coating interface, (a) SEM image of conventional cross-
section; (b) FIB image of micro cross-section

The investigation must not end at this point
since we have the opportunity to prepare a thin
lamella and obtain local chemical information at
the nanometre scale and image information at
the 0.1-nm scale by applying analytical STEM
and HR-TEM, respectively. This is shown in
Fig. 16.4. The results revealed that the small
particles at the interface correspond to both
cobalt- and chromium-bearing phases and that
these two phases always are very close together.
Although the structure of the coating was mainly
nanocrystalline diamond, some locations very
near to the interface show lattice fringes with a
spacing of 0.34 nm which indicates a graphite-
like structure.
The results confirm several hypotheses which
have been suggested in the literature:
Chemical etching removes cobalt down to
a certain depth and provides a rough
substrate surface which enhances coating
adherence [47].
Chromium, presumably in the form of chro-
mium carbide, is suitable for trapping cobalt
at the substratecoating interface, thus pre-
venting further diffusion and deterioration of
the diamond coating [5, 7, 8].
Nevertheless, the presence of cobalt at the
interface leads to local formation of non-dia-
mond, that is, graphitic carbon and thus should
be reduced as much as possible [4, 5, 9].
Nanocrystalline diamond (observed by
conventional TEM, but not shown here) is
more desirable than microcrystalline diamond
[10, 11].

Fig. 16.4 STEM/TEM investigation of the substrate-coating interface, (a) EDS mapping of carbon (red), cobalt (green)
and chromium (light blue), (b) HR-TEM micrograph showing graphite lattice planes (0.34 nm) in the vicinity of Co
330
The investigations performed thus far are not
sufficient to assess the prerequisites for good
performance of a coated tool. The problem of
restricted tool life is chipping of the diamond
coating at the sharp cutting edges [12]. There-
fore, it is necessary to perform a detailed
investigation exactly at this critical location
preferably before and after wear events have
taken place. Such investigations are planned for
the near future within a research project termed
Enhancement of tool life and process reli-
ability of CVD-diamond-coated cemented
carbide tools for machining of fibre-reinforced
plastics.
16.4.3 Case Study 3: Functionality
of an Anti-Friction Coating
for Vacuum Application
Molybdenum disulphide is one of the very few
solid lubricants which show a low coefficient of
friction (COF) when applied under vacuum
conditions. This was proved by pin-on-disc tests
of steel (100Cr6) against coated steel disc. The
coating system on ball bearing steel 100Cr6 was
built up of a 300-nm-thick chromium interlayer,
a 500-nm-thick ta-C layer (tetragonal amor-
phous carbon) providing a hard support for a
500-nm-thick sputtered MoS2 layer which serves
as a solid lubricant during the pin-on-disc tests
Fig. 16.5 TEM micrograph of layer structure in the wear track of coated disc. Note: amorphous MoS2 layer partly
crystallized; Pt-layer deposited by FIB
W. Osterle
in vacuum. The wear track on the coated disc is
clearly visible with the naked eye. When viewed
in the SEM, it shows a smooth, like polished
surface compared to the surface of the coating,
which has not been affected by tribological
action. A FIB cut in the wear track and corre-
sponding TEM lamella revealed very interesting
details which will be discussed in the following.
Although most features are already visible in the
FIB image, they can be seen more clearly in the
TEM overview shown in Fig. 16.5.
Besides the layers expected from the depo-
sition process and the platinum cap layer
deposited in the FIB instrument according to the
procedure described in 16.2, two regions of
different contrast are visible in the MoS2 layer.
Obviously, the sputtered MoS2 layer is amor-
phous, as can be seen by the uniform grey
contrast at both sides of Fig. 16.5. In the middle,
but also immediately at the surface (now inter-
face with the Pt cap layer), a speckled contrast
indicates formation of small crystallites. With
HR-TEM and selected area electron diffraction
(SAED), the crystallinity of this area was
proved, as shown in Fig. 16.6. Furthermore, it
could be shown that the basal planes of the
MoS2 crystallites are orientated more or less
parallel to the surface, a well-known prerequisite
for the low COF induced by the application of
MoS2 as a solid lubricant [13].
16 Sub-Surface Microstructural Analysis
Wear data were not as good as expected for
the double-layer coating shown here, and a pos-
sible reason for that is also visible in Fig. 16.5.
Obviously, low friction is induced by instanta-
neous crystallization and texturing of the amor-
phous MoS2 layer. If the crystallized layer is very
thin, only few wear particles will be released
from the contact, but if crystallization occurs
over the complete layer thickness, cracks can
form and larger wear particles will be produced.
One almost detached wear particle is clearly
visible on the left side of the crystallized zone.
16.4.4 Case Study 4: Towards a Better
Understanding of Tribofilm
Functionality
Whereas the previous case studies have shown
hard and soft surface layers providing a low
COF, tribologically induced surface films usually
show complicated nanocrystalline surface struc-
tures [14]. This is especially true for technical
systems based on dry friction such as automotive
brakes [15]. A typical example is shown in
Fig. 16.7. The elemental map obtained by TEM/
EDS (Fig. 16.7a) shows that iron oxide (green) is
the major constituent of the tribofilm, but that it
also contains copper (red) and barite (blue)
nanoparticles. The type of iron oxide was iden-
tified by SAED and HR-TEM to be magnetite
(Fe3O4) [16]. At higher magnification, elemental
mapping by EF-TEM revealed very tiny carbon
Fig. 16.6 a HR-TEM and b SAED-pattern showing horizontal alignment of MoS2 basal planes
331
particles within the magnetite as shown in
Fig. 16.7b. Finally, HR-TEM revealed that the
carbon nanoparticles comprise of a graphite-like
structure with curved graphene planes and a
lattice spacing of approximately 0.34 nm, as
shown in Fig. 16.7c.
Possible impacts of tribofilm nanostructures
on sliding behaviour and friction level were
obtained by modelling with the method of
movable cellular automata (MCA) on the
nanometre scale [17]. The basic model structure
was rather simple, comprising of Fe3O4 nano-
crystals mixed with a certain amount of graphite
nanocrystals. Referring to Fig. 16.7b, the size of
the cells of both constituents was defined to be
10 nm. Furthermore, it was assumed that the
tribofilms are continuous and well adhering to
the two first bodies, that is, the cast iron brake
disc and a steel fibre, as representative of a
typical reinforcing constituent of a brake pad
(for further details see [18] or [15]). With this
simple set-up, we could assess the impact of the
concentration of graphite in the magnetite film
on sliding behaviour and COF. The most
important result was that a certain amount of
graphite is needed to provide smooth sliding
conditions and stabilization of the COF at the
desired level. This is illustrated in Fig. 16.8.
Without going into details which have been
described in our papers [1518], the following
feature is important: If there is 13 vol% of
graphite mixed with the oxide layer (Fig. 16.8a),
332
Fig. 16.7 Nanostructure of a tribofilm formed at the
surface of a brake disc. (a) STEM/EDS showing Fe, Cu
and Ba distribution (green, red and blue, respectively),
(b) EF-TEM showing C distribution (bright) in Fe3O4
Fig. 16.8 Model structures obtained after sliding sim-
ulation showing oxide film on disc (orange), oxide film
on pad (green), graphite nanoparticles (blue) and steel
a granular mechanically mixed layer (MML) has
formed at the paddisc interface providing
velocity accommodation and smooth sliding
conditions in a similar manner as a liquid lubri-
cating film, although at a higher COF level. On
the other hand, if only 5 vol% graphite is avail-
able, such a granular layer was not formed and
crack-like features are extending into the bulk,
finally leading to the formation of larger wear
particles. Furthermore, the model showed that in
the latter case, the COF did not stabilize at a
constant value and fluctuations between succes-
sive time steps were large. In the meantime, more
complicated microstructures resembling the
W. Osterle
matrix (dark), (c) HR-TEM showing sites of curved
graphene lattice planes (0.34 nm) besides magnetite
nanocrystals (left)
substrates (grey), (a) structure with 13 vol% graphite, (b)
structure with 5 vol% graphite
experimental findings very closely have been
undertaken [19]. With these results, the impact of
brake pad constituents on brake performance
properties can be assessed quite well.
16.4.5 Case Study 5: Origin of Hot
Cracking of an Austenitic Steel
The background of this case study was the
occurrence of a hot cracking phenomenon
during processing of an austenitic steel of type
AISI 316 (Werkstoffnummer 1.4571 according
to German/European classification). Although
intercrystalline delamination was obvious within
16 Sub-Surface Microstructural Analysis
the damaged region, classical metallography did
not reveal any microstructural peculiarities at
the austenite grain boundaries in the damaged
region (Fig. 16.9a). Furthermore, several TEM
studies undertaken at grain boundaries in the
vicinity of the main crack did not provide further
information as well. On the other hand, SEM
micrographs of fracture surfaces corresponding
to intercrystalline cracks showed a glassy
appearance, suggesting that incipient melting
may have taken place at grain boundaries
(Fig. 16.9b). To obtain microstructural infor-
mation as close as possible to the site were
damage has occurred, it was decided to prepare a
TEM lamella immediately at the fracture sur-
face. Although it was a challenging task to
deposit a platinum cap layer on the very rough
fracture surface, a TEM lamella could finally be
prepared. Figure 16.10a provides an overview of
the cross-section as viewed by TEM. One of the
grooves visible by SEM (Fig. 16.9b) was artifi-
cially filled with platinum. The origin of the
groove is a grain boundary running from the
notch tip to the bottom right corner of the
micrograph. Thus, the network of grooves in
Fig. 16.9b corresponds to grain boundaries ori-
entated perpendicular to the fracture surface, and
the facets between grooves correspond to grain
boundaries oriented more or less parallel to the
surface. A bright seam covering the whole
specimen surface is clearly visible. A more
detailed investigation at higher magnification
revealed that the seam is amorphous iron oxide
Fig. 16.9 Intercrystalline hot crack in AISI 316 steel sample a LM of metallographic cross-section, L1L5 indicate
FIB cuts b SEM of intercrystalline fracture surface
333
with only a small amount of chromium, although
the steel contains a much higher amount, namely
16.7 % Cr. EDS line scans did not reveal any
gradient of Cr, indicating that the material
stayed at high temperature only for a short time,
which was in accordance with temperature
profiles taken during processing.
No signs of incipient melting were observed
within the whole TEM lamella, neither at inte-
rior grain boundaries nor at the fracture surface.
The glassy appearance of the fracture surface
when viewed by SEM seems to be due to the
thin amorphous oxide layer. Electron diffraction
patterns revealed either austenite or ferrite phase
and quite often also a combination of both
phases, as the pattern shown in Fig. 16.10b.
Thus, the results imply that incipient melting
was not the reason for the observed damage
mechanism. Oxidation can also be ruled out,
because time at elevated temperature was very
short, which also correlates with the thin amor-
phous iron oxide layer. It is very likely that this
layer formed after the damage has already
occurred and during the short cooling cycle. The
remaining explanation is that the cracks are due
to ductility dip cracking. This explanation is
corroborated by the fact that part of the austenite
of the damaged region has been transformed to
ferrite. As discussed by Plaut et al. [20], this has a
negative influence on hot ductility because of
different response mechanisms of the two phases,
whereas ferrite recovers austenite recrystallizes
leading to interphase fracture [20].
334 W. Osterle

Fig. 16.10 TEM investigation of a cross-section taken from the fracture surface a micrograph, b SAED pattern taken
from upper left corner showing a ferrite grain (adjacent to the crack) and an austenite grain

16.4.6 Case Study 6: Identification performance properties of structures made of

of a Rarely Occurring Phase
on a Petrographic Section
With the last example, it shall be demonstrated
how the method can be applied to extend clas-
sical metallography (petrography in this case) by
performing a TEM investigation at a small fea-
ture previously identified by SEM. The technical
background for this investigation was to increase
concrete [21]. Actually, the task was to find an
appropriate treatment to trap sulphur within a
stable phase of the microstructure. Sulphur is
incorporated into the material by using fillers
such as fly ash, certainly a versatile measure of
waste handling. The SEM investigation of a
polished section occasionally revealed a fan-
shaped constituent, as shown in Fig. 16.11. EDS
revealed a small amount of sulphur at this point.

Fig. 16.11 SEM micrograph of concrete microstructure after autoclave treatment 200 C/14 bar showing fan-like
constituent. Red frame marks region of interest for TEM investigation
16 Sub-Surface Microstructural Analysis
Fig. 16.12 TEM study of lamella taken at red frame of Fig. 16.11 (a) TEM image; (b) Elemental map showing S:
green, Al: red, K: blue; (c) SAED of sulphur-enriched phase
The morphology of the feature lead to the con-
clusion that it previously was portlandite before
it was transformed to another phase during an
autoclave treatment at 200 C. It was not pos-
sible to identify the new phase with the SEM
because the sulphur signal of the EDS spectrum
was very low and no EBSD patterns were
obtained. Therefore, it was decided to prepare a
TEM lamella exactly at the site marked by the
red frame in Fig. 16.11. Results obtained with
the analytical TEM are shown in Fig. 16.12.
Needles forming the fan-shaped feature are
visible in the conventional TEM image
(Fig. 16.12a) by diffraction contrast. The ele-
mental map obtained by EF-TEM (Fig. 16.12b)
reveals that only approximately one-third of the
needles contain sulphur, whereas a second third
was enriched with Al and the rest enriched with
K. This finding explains why only faint sulphur
signals were obtained by SEM/EDS. Further-
more, it was possible to identify the crystal
structure of the sulphur-rich phase by SAED.
The SAED pattern shown in Fig. 16.12c corre-
sponds to the pseudo-hexagonal-phase hy-
droxylellestadite: Ca10((SiO4)3(SO4)3)(OH)2.
16.5 Conclusions and Outlook
Although primarily used as a scientific tool, the
FIB/TEM technique offers some unique possi-
bilities to aid technical diagnostics and structural
health monitoring. Although application as a
335
primary method for monitoring the microstruc-
tural state of a material or the design of a mul-
tilayer thin film structure is possible and
sometimes practised in the semiconductor
industry, the usual way of monitoring is mea-
suring secondary effects such as electrical con-
ductivity, optical or X-ray signals or acoustic
emissions. Then, identification and quantifica-
tion of the microstructure are needed only once
for the determination of a master curve corre-
lating a measured property with the micro-
structural state. For example, the thickness of
single layers in a multilayer structure can be
measured accurately by X-ray fluorescence
analysis provided that the instrument has been
calibrated with a sample of the same structure
with well-known single-layer thicknesses.
The second valuable application field of the
technique is its contribution to failure analysis. It
is most important to investigate the microstruc-
ture of a failed part exactly at the critical site
which usually is a crack or fracture surface.
Previously, without the FIB technique, it was
almost impossible to perform a TEM investiga-
tion immediately at the surface at a predeter-
mined site. Case studies 1 and 5 have shown that
this is not a major problem any longer.
Nevertheless, the following problems still
exist and have to be solved in the near future: (1)
Platinum deposition is difficult if the substrate
surface is not flat. Thus, preparation of a cutting
edge of the diamond-coated tool requires an
additional preparation step. (2) Ion-beam-
336
assisted platinum deposition may destroy sensi-
tive surface films such as solid lubricant films
from a tribological surface. This problem can be
overcome by electron-beam-assisted platinum
deposition. (3) Non-conductive materials like
the concrete sample (case study 6) suffer from
charging during FIB machining with positively
charged gallium ions. This problem can be
solved by simultaneously applying an electron
beam for charge neutralization.
Since approximately five-years, instruments
combining FIB and SEM technique, so-called
Dual-Beam or Cross-Beam instruments, are on
the market. They allow handling the latter two
problems readily. In addition to many other
advantages, such instruments also offer the
opportunity to perform a 3D-characterization of
microstructures at the micron- and even sub-
micron range. This can be achieved by perform-
ing serial cuts with the FIB while simultaneously
imaging the successive cross-sections by SEM.
Finally, we should keep in mind that the reli-
ability of any kind of microstructural character-
ization depends on measurements of distances
down to the nanometre length scale. This requires
the availability of appropriate reference struc-
tures for the calibration of the instruments. High-
resolution TEM offers the unique opportunity to
trace the length scale to the well-known atomic
structure of pure materials such as a silicon single
crystal. Therefore, one of our future activities
within the European Metrology Research Pro-
gram (EMRP) will be to prepare standard speci-
mens with structures of different widths, in which
the smallest one can be calibrated referring to a
lattice spacing of the silicon wafer used for
manufacturing the standard specimen.
Acknowledgments The examples shown in our case
studies refer to funded research projects listed here in the
order of appearance in the text: OS77/13-2 (German
Research Foundation), ZIM-DiaKun (Federal Ministry of
Commerce), AiF-15983 BG (Federal Ministry of Com-
merce), OS77/14-1 (German Research Foundation),
Siemens AG Berlin, UHPC (BAM Innovationsoffensive
2008).Furthermore, technical assistance from the fol-
lowing colleagues is gratefully acknowledged: Illona
Drfel (TEM), Wolfgang Gesatzke (FIB), Claudia Pri-
etzel (TEM), Romeo Saliwan Neumann (SEM) and Heidi
Rooch (FIB).
W. Osterle
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1. Joyce, T.J.: Examination of failed ex vivo metal-on-
metal metatarsophalangeal prosthesis and
comparison with theoretically determined
lubrication regimes. Wear 263, 10501054 (2007)
2. sterle, W., Djahanbakhsh, M., Hartelt, M., Wsche,
R.: Reasons for inferior performance of ceramic on a-
C:H-coated Ti-6Al-4 V in hip simulator testing
compared to ball on flat reciprocating sliding tests.
Wear 265, 17271733 (2008)
3. Falub, C.V., Thorwarth, G., Affolter, C., Mller, U.,
Voisard, C., Hauert, R.: A quantitative in vitro
method to predict the adhesion lifetime of diamond-
like carbon thin films on biomedical implants. Acta
Biomater. 5, 30863097 (2009)
4. Kanada, K., Takehana, S., Yoshida, S., Watanabe, R.,
Takano, S., Ando, H., Shimakura, F.: Application of
diamond-coated cutting tools. Surf. Coat. Technol.
73, 115120 (1995)
5. Haubner, R., Lux, B.: On the formation of diamond
coatings on WC/Co hard metal tools. Int. J. Refract.
Met. Hard Mater. 14, 111118 (1996)
6. Zhang, Z.M., He, X.C., Shen, H.S., Sun, F.H., Chen,
M., Wan, Y.Z.: Pre-treatment for diamond coatings
on free-shape WC-Co tools. Diam. Relat. Mater. 9,
17491752 (2000)
7. Xu, Z.Q., Lev, L., Lukitsch, M., Kumar, A.: Effects
of surface pretreatments on the deposition of
adherent diamond coatings on cemented tungsten
carbide substrates. Diam. Relat. Mater. 16, 461466
(2007)
8. Tang, Y., Li, Y.S., Yang, Q., Hirose, A.: Study of
carbide-forming element interlayers for diamond
nucleation and growth on silicon and WC-Co
substrates. Thin Solid Films 519, 16061610 (2010)
9. Alan, M., Peebles, D.E., Tallant, D.R.: Diamond
deposition onto WC-6%Co cutting tool material:
coating structure and interfacial bond strength. Thin
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10. Liu, X., Klauser, F., Memmel, N., Bertel, E., Pichler,
T., Knupfer, M., Kromka, A., Steinmller-Nethl, D.:
Spectroscopic studies of nanocrystalline diamond
materials. Diam Relat Mater. 16, 14631470 (2007)
11. Almeida, F.A., Carrapichano, J.M., Fernandes,
A.J.S., Sacramento, J., Silva, R.F., Oliveira, F.J.:
Nanocrystalline CVD diamond coatings for drilling
of WC-Co parts. Int.J.Refract.Met. Hard Mater. 29,
618622 (2011). doi: 10.1016/j.ijrmhm.2011.04.008
12. Raghuveer, M.S., Yoganand, S.N., Jagannadham, K.,
Lemaster, R.L., Bailey, J.: Improved CVD
diamond coatings on WC-Co tool substrates. Wear
253, 11951206 (2002)
13. Alberdi, A., Hatto, P., Diaz, B., Csillag, S.:
Tribological behaviour of nanocomposite coatings
based on fullerene-like structures. Vacuum 85, 1087
1092 (2011)
14. Jacobson, S., Hogmark, S.: Tribofilms-On the crucial
importance of tribologically induced surface
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modifications. In: Niklas, G.K (ed.), Recent
Developments in Wear Prevention, Friction and
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conventional brake friction materials-Perceptions
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2010.11.035
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Towards a better understanding of brake friction
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Padilha, A.F.: A short review on wrought austenitic
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 Part III
Technical Diagnostics of Machines
and Plants
 Principles and Concepts of Technical
Failure Analysis 17
Thomas Boellinghaus

Abstract
This chapter introduces conceptually Part C of the Handbook Technical
Diagnostics of Machines and Plants. Although various prescriptions for
organization and performing failure analyses are existing in literature, up
to the present no approach is consistent to the concept of technical
systems in the Sects 2.2 and 2.3 (Fig. 2.6) and thus, a comprehensive
concept is outlined in this section, with a special attribute to the VDI-
Guideline 3822 Failure Analysis.

This chapter introduces conceptually Part C of
the Handbook Technical Diagnostics of
Machines and Plants. Although various pre-
scriptions for organization and preforming fail-
ure analyses are existing in literature [16], up to
the present no approach is consistent to the
concept of technical systems in the Sects 2.2 and
2.3 (Fig. 2.6) and thus, a comprehensive concept
is outlined in this section, with a special attribute
to the VDI-Guideline 3822 Failure Analysis.
17.1 Technological and Motivation
The economical-technological development in
industrialized countries is affected by two major
trends:
Th. Boellinghaus (&)
Bundesanstalt fr Materialforschung undprfung,
Unter den Eichen 87, 12205, Berlin, Germany
e-mail: thomas.boellinghaus@bam.de
1. New technical products are designed lighter
to increase speed, height or distance, i. e., to
improvement of the global quality of life.
This is achieved by the application of highly
innovative materials, by multimaterial
design, by nanostructuring of materials and
additional concepts for light weight design.
The following aspects have to be considered
with respect to new technical products and
the applied materials:
(a) Materials are frequently designed for a
single application purpose and thus, mate-
rial behaviour and properties cannot always
be transferred to other technical products.
This particularly accounts for nano-struc-
tured materials subjected to modern pro-
duction and manufacturing processes that
might significantly change their properties
before subjecting the respective component
to service, as for instance subjecting met-
allurgically nano-structured steels to laser
hybrid welding of thick-walled pipeline
sections.

H. Czichos (ed.), Handbook of Technical Diagnostics, 341

DOI: 10.1007/978-3-642-25850-3_17,  Springer-Verlag Berlin Heidelberg 2013
342
(b) Safety factors are frequently reduced to
achieve the application goals and the
materials in such components might be
loaded to the limits of their capacity.
(c) The character of the loads has changed, or
has at least to be re-considered, because
materials in modern technical components
are subjected mainly to coupled loading.
This means that different types of loads are
acting at the same time in the same process
zone on a material in a specifically
designed component. For instance, hip
endo-prostheses in the human body envi-
ronment are subjected to corrosion fatigue,
i. e., to the corrosion process caused by the
humor and the dynamic mechanical load
introduced by the leg movement are acting
simultaneously at the adjustable shaft.
However, conventional threshold values
have usually been determined for a single
type of load.
(d) The interaction and the load transfer
capabilities from one material type to
another in multimaterial-designed compo-
nents are sometimes not fully understood,
due to a lack of practical experience, but
also due to a lack of scientific knowledge.
This particularly applies to components
containing joints between polymeric and
metallic materials.
2. The service life-time of existing technical
products is very frequently extended over
the original intended usage period, for
instance to save replacement costs. This
especially regards large scale products
belonging to the technical infrastructure,
like power stations, transportation systems,
buildings etc. and is frequently achieved by
respective life-time elongation assessments,
assisted by structural health monitoring, by
risk based inspection and by preventive
repair and restauration of critical parts. The
following aspects have to be considered
with respect to existing technical products
and the applied materials:
(a) The material behaviour within the later
parts of the product life is not always
completely understood to allow consistent
Th. Boellinghaus
forecasts for further safe use. This espe-
cially concerns components loaded
mechanically at high frequencies within the
giga-cycle range.
(b) The loads during the elongated service life
part might become significantly different,
in particular if the service purpose is
changed.
(c) Hazardous operations during service
affecting the material properties are fre-
quently not recorded, but can tremendously
affect the residual loading capacities for
life-time extension.
(d) Any repair can introduce additional loads
and material property changes which can
not always be foreseen, but can signifi-
cantly reduce the life-time.
While the design of technical products with
respect to an undisturbed function and operation
for the whole life-cycle represents a major topic
in the field of component safety, the above
mentioned technical-economical development
increases the failure potential. In the case of a
failure event, engineers need reliable concepts
and procedures how to conduct failure analyses,
enabling a rush and precise identification of the
failure origins and of the measures for future
failure avoidance.
17.2 Purpose and Management
of Technical Failure Analysis
As outlined in the system approach in Sects 2.2
and 2.3, the term failure is defined as any dis-
turbance or reduction of the function of a tech-
nical system. A failure does thus not necessarily
lead to the breakdown or drop-out of a technical
system or even to a technical catastrophe. For
those, normally a sequence of events is neces-
sary, which, however, might represent a
particular investigation topic during failure
analysis [7].
Thus, failure can pertain to one or more
components (elements) of a technical system,
especially in cases of faulty component interac-
tions. Failures can occur during different parts of
its life-cycle, i. e., during production, service or
17 Principles and Concepts of Technical Failure Analysis
even during repair, replacement or recycling of
the various components. A central and by no
means trivial part of failure analysis is thus to
identify those components in a technical system
being critical for and perhaps even prone to a
respective failure type, i. e., to identify those
components where the failure has been origi-
nated. Identification of the primary or root cause
of a respective failure represents the principal
purpose of technical failure analysis and,
dependent on the results, to define corrective
actions to prevent similar failures in future.
As illustrated by Fig. 17.1, any failure inci-
dence is dependent on the interaction of three
principal influences. These are the material, the
design and the respective loading. In other
words, failures occur, if the local loading of a
material at one or more specifically designed
components in a system exceeds the local
loading capacity, usually defined by respective
material properties or threshold values and thus,
any failure cannot be attributed to only one of
these influences.
As an additional influencing factor also the
manufacturing and production process has
sometimes been considered in previous con-
cepts.1 However, concepts of component safety
and also in failure analysis should consider the
local interaction of the material, loading and
design for the manufacturing or production
process separately to the service life period. This
allows a better identification of failuresas well
as respective avoidance measuresalready
introduced during the production process, as
compared to those concerned to the service life.
Such an approach also provides a much better
insight into the loads and defects introduced
during manufacturing and production and their
effects on service life.
Figure 17.2 highlights these correlations:
During manufacturing, the local loading is pre-
dominantly introduced by the manufacturing
process of a specifically designed component.
Thinking of welding as a typical manufacturing
process, the load influencing design features are
1
VDI-Guideline 3822
343
Material Local
loading
>
Loading
capacity
Technical
Failure ?
Design Load
Fig. 17.1 Failure incidence as a consequence of a
malfunctioning local interaction of material, load and
design (compare to Fig. 17.5)
particularly represented by the shrinkage
restraint and the compliance of the to be joined
parts. Together with the respective metallurgy of
the material such local thermal and mechanical
multiaxial loading might cause cracking, typi-
cally hot or cold cracking, already during the
manufacturing process.
The consequences of local and frequently not
detected defects and imperfections already
introduced during production of a component for
its subsequent service life is often neglected
during failure analysis. This especially applies to
high and multiaxial local residual stresses and
strains introduced by the manufacturing and
production process which are then superimposed
during service life.
In most cases, failures occur under coupled
local loading. This means that different local
load types, as for instance thermal and
mechanical loads, act at the same time and at the
same location of a specific component. Thus,
and in contrast to misleading earlier concepts,
failures are categorized today by their appear-
ance under the respective local (coupled) load
types acting on a material at a specifically
designed component, as illustrated by Fig. 17.3.
Several causes of failures have to be distin-
guished [1, 3] and can be assigned to the four
categories listed in Table 17.1.
The various failure causes are significantly
dependent on the industrial branch. However,
misuse in terms of accidental or hazardous
operating as well as faulty design by inappro-
priate considerations of the various interacting
344 Th. Boellinghaus

Production or Material Environmental

manufacturing and operating
procedure conditions

roducability
Producability:
P Operability:
Coupled Coupled
loading Failure during
production
? ? Failsuerervdicuering loading

operation?
thermal thermal
mechanical mechanical
.. Design corrosive
erosive
..

Production
P roduction and Service
Manufacturing Phase Operation Phase

Fig. 17.2 Separate consideration of the local interaction between loading, material and design for the production and
the service phase

Mechanical
load
agents, managing and delivering the tasks to
various experts, consolidate the different results
and being responsible for a neutral, appropriate
Overlap and
Thermal interactions Tribological and non-ambiguous procedure, including careful
load of loads, load handling of samples. Directing failure analysis
see Fig. 3.1,
Chapter 3
agents should always act independently from the
production and service sector where the failure
Electromagnetic Environmental occurred. Such directors are responsible for the
load load accurateness of the results and thus, should be
skilled in planning and conducting failure anal-
Fig. 17.3 Basic load types and their possible overlap yses as well as in the selection of appropriate
and interactions personnel and in writing respective failure
analysis reports.
loading types appear quite more often in the last
five years than any other failure cause. In all
cases, the consequences are that specific com-
ponents of the system are experiencing loading 17.3 Procedure of Technical Failure
conditions they were not designed for and very Analysis
different types of failures might occur. Most
frequent failure appearances are fatigue and Failures analyses generally consist of several
corrosion. steps, the most important ones will be described
Due to the different loading types, conducting in the following sections. However, before
a failure analysis very often requires experts starting the failure analysis, its scope should be
from several engineering, metallurgical and clarified between agent and client:
physical branches, especially, if the importance Determination of priorities: Generally, iden-
of contributory causes has to be investigated, tification of the root cause has the top priority
new experimental or modelling techniques have within a failure investigation, but sometimes,
to be applied or an unfamiliar science field has this is especially regarding engineering
to be explored. Thus, a failure analysis should be catastrophes, the consequences and the
directed by one or a very limited number of sequence of events gain similar importance
17 Principles and Concepts of Technical Failure Analysis
Table 17.1 Overview of frequent failure causes
Failure cause category
Misuse during service
a. Usage according to the design specifications
b. Accidental conditions, hazardous operating
conditions
Design errors
a. Improper material selection and material
properties
b. Faulty dimensioning
c. Shape errors
d. Lacking considerations of interacting loading
types
Faulty processing and assembly errors
a. Improper welding and other joining
techniques
b. Missing assembly parts
Improper maintenance
a. Uncoated surfaces, incorrect lubricants and
other features of incorrect maintenance
b. Missing (risk based) inspections and
improperly long maintenance intervals
Resources and restrictions: The extent of a
failure analysis, especially duration and costs,
should preliminary be fixed. Confidentiality,
independence and restrictions regarding
availability of parts, samples and locations
have to be managed. Also restrictions
regarding the persons and authorities con-
ducting the failure analysis have to be
addressed. For instance, some governmental
institutions have limitations regarding
approvals and certificates for single parties,
and instead have to place their expertise and
advice at the disposal of the respective gov-
ernment or courts. Restrictions nearly always
345
Explanation and appearence
a. Unforeseen changes of global loading conditions during
service life, as for instance due to climate changes can cause
higher stresses and temperatures than originally expected. The
failure appearance can be very different
b. Abnormal temperatures or vibrations, impact or unforeseen
collisions etc. can cause very different failure appearances
a. This item refers to improper chemical composition, heat
treatment, availability on the market and general processing of
the material. A typical failure appearance is brittle fracture in
zones where ductile behaviour is expected
b. Incorrect geometries and cross sections might cause excessive
deformation resulting in the appearance of ductile fracture
c. Typical appearance are fatigue introduced at geometric stress
and strain raisers or corrosion in crevices not supposed to get in
contact with an aggressive environment
d. Significant lower threshold values under coupled loading are
not considered. Typical failure appearances are stress corrosion
cracking, fretting fatigue, creep and corrosion fatigue
a. Stresses and strains introduced during manufacturing and
welding processes might reduce the loading reserves during
service. Both, ductile and brittle overload fracture represent
typical failure appearances
b. This includes all types of careless assembly such as mismatch
of parts, entrained dirt etc. The apearence of failurescan become
very heterogeneous
a. Typical failure appearances are corrosion and wear
b. These might lead to very different types of a failure. However,
fatigue cracking in the Giga-cycle regime becomes a very
prominent failure appearance during the recent years
apply in cases that involve litigation, espe-
cially with respect to physical destruction of
samples etc.
Definition of the targets: In many cases, the
client is only interested in [ WHAT? \ hap-
pened. Less attention is sometimes paid to the
failure reasons, i. e., to the [ WHY? \. In
particular, if a specific failure might be gen-
eric to a batch of technical products or if a
specific failure becomes safety relevant, clar-
ification of the reasons might become urgently
important, as well as the identification of
failure avoidance measures. It is the task of
the analyzing expert to advert to such needs.
346
Summary: The items agreed upon between the
analyzing agent and the client should be
summarized and manifested, before starting
the failure analysis.
17.3.1 Failure Anamnesis
and Description
The first step of a failure analysis should always
be a summary of the symptoms, as complete as
possible. Professional agents for failure analysis
have developed an their individual checklist
based on their experience before starting their
anamnesis. Anything noticeable should be reg-
istered, since less important items at a first
glance might become key issues in later stages
of the analysis. The following items represent
the most important requirements towards a
preferably complete anamnesis.
17.3.1.1 Step 1Collection of General
Failure Background Data
and Selection of Samples
The importance of obtaining background data
cannot be overemphasized. Such data regard
generally the technical system and its compo-
nents without an explicit focus on the failure
itself. Without such appraisal, a failure analysis
can easily become incomplete and misleading.
To gain as much information as possible, col-
lection of data, interviewing of personnel,
checking of documents should be performed in a
facing and understandable, and always in a very
open and friendly manner. The following actions
should be taken:
Detailed inspection and documentation of the
complete failure situation by a photograph or
a sketch, including associated parts, prefera-
bly before clearance of the failure scene
Registration of the location of failed items and
potential traces, if failed items are not in the
original position for manufacturing or service
operation anymore
Documentation of state, dimensions, design,
manufacture, installation and global load-
specific details concerning the system as well
as assembly and interaction of all components
that might be relevant to the failure
Th. Boellinghaus
Gathering of all relevant additional informa-
tion about the plant, manufacturer, various
components, service operation and manufac-
turing history, skills of the manufacturing and
operating personnel, perhaps previously
occurred similar failures, inspection, repair
and maintenance procedures and intervals,
test and quality management certificates
All samples needed for the subsequent
investigations should be identified and be
marked with respect to their position as early
as possible, in particular before clearance of
the scene.
With the information drawn from the above
actions, it is frequently possible to identify the
failed components within a system and to nar-
row the system borderlines for the failure anal-
ysis onto all relevant interacting components
while a major rest of the system might already
be excluded from further consideration
(Fig. 17.4). However, this step has to be regar-
ded as preliminary until final and certain iden-
tification of the root cause and thus, has to be
cross-checked several times within the further
conduction of the failure analysis, in particular
when additional information might lead to a
situation that further components have to be
investigated.
17.3.1.2 Step 2Visual Inspection
and Recording Information
About Failed Components
It can only be emphasized that visual inspection
and recording information about the failed
components has to be carried out on-site. Gen-
erally, a toolbox containing essentials including
cameras, notebook, length measurement instru-
ments, magnification lenses and portable
microscopes, mirrors, conductivity meter, color
scale, etc. is required, to take the following
actions:
Documentation of state, location, dimensions,
design, operating conditions and load-specific
details concerning the failed and directly
associated components
Clarification of loading conditions and load
history, in particular with respect to coupled
17 Principles and Concepts of Technical Failure Analysis
(a) System border
Components: Wheel
including steel tire,
switch including rail,
bolts etc.
(b)
System border
Components: Visor arm,
fixing, bushing, weld
Fig. 17.4 Examples for identification of system border-
lines and limiting the number of obviously involved
components for failure investigation a Investigation of
loads (Fig. 17.3), of the failed and associated
components
Brainstorming together with the operators of
the system including the failed components
and talking to all eye-witnesses about the
failure sequence, including service history and
perhaps hazardous service operations with one
central question [ What happened?\
Gathering all available information about
obviously failed components regarding man-
ufacture, production procedure specifications,
assembly and installation, material quality and
certificates
347
fretting fatigue at rails b Investigation of weld failure at
bow visor hinges of a ferry [8]
Preliminary visual examination including
slight magnification by loupe or portable
microscope of the failed components with
respect to fracture topography, wear, abrasion
and erosion as well as crash, stress and
burning marks, color changes, marks of heat
exposition and other of thermal influences,
corrosion products, scales, lubricant residues,
deposits etc.
Comparison between the failed and non-failed
reference components or parts with essential
description of the similarities and the differ-
ences, helpful might also be a comparison
348 Th. Boellinghaus

Next component Detailed

no
investigation
Failure of towards potential
Appearence of component
o ponent relevant to failure root cause
similar failures breakdown of the system
? ? yes

Mechanical Load
Material and
microstructure System Thermal Load

Component Environmental Load

Construktion
and design Tribological Load
yes
Production Elektromag. Load
procedure and no L > LB
quality relevant to failure Appearence of
of the component similar failures
? ?

yes

Loading Loading
capacity LB L > LB ?
L L
no

Component probably not

Next component Next component
failed by technical reasons

Fig. 17.5 Procedure for stepwise investigation of the various components of the system (loading capacity mainly
influenced by the material and the design, see Fig. 17.1)

with another component exhibiting initial
stages of similar failures, if available
Reproduction of fracture surface topologies by
making replicas, if necessary, as for instance
for large unportable parts or components that
have to maintain in service operation
However, before going into detailed analysis
including laboratory experiments, further inves-
tigations might become necessary. This is par-
ticularly the case, if similar failure incidents or a
larger number of failed components have been
registered and thus, a systematic fault or generic
failure has to be anticipated.
17.3.1.3 Step 3Detailed
Documentation
of the Interaction Between
Material, Design and Loading
To understand the respective interaction
between the usually mixed materials, the
structural design and frequently coupled loading
behind a failure, all three items (Fig. 17.1)
should be investigated each by each for every
identified involved component and should be
documented in detail (Fig. 17.5). This procedure
should be carried out separately for the pro-
duction and the service part of all failure rele-
vant components (Fig. 17.2), with detailed
consideration of failure influencing defects and
loads introduced during manufacturing and
assembly of the respective components:
Assessment of the materials: This includes a
comparison of the actual applied materials
with those specified in the design documents.
Also well-known failure mechanisms for
specific materials should be considered. It
should also be clarified, if the failure can be
associated to specific material production
heats or batches. For multi-material compo-
nents, the compatibility of the various
17 Principles and Concepts of Technical Failure Analysis
materials with respect to corrosion, load
transfer capabilities etc., should be clarified.
Assessment of the structural design: A key
question is here, if similarly designed com-
ponents are in service and if those show the
same failure types. If this is not the case, a
faulty design becomes less likely. As a next
step, it should be examined, if even marginal
changes in the design regarding the con-
struction and material have been made that
might have significant consequences regard-
ing the local loading at the failed component.
Assessment of the local loads: All service
operation conditions have to be examined as
detailed as possible and should be compared
to those manifested in the design documents.
A key question is, if intended or not operation
conditions occurred that might have caused
unforeseen and significant load increases at
locations of the components not being
designed for those. As general indication for
the load history a component locally experi-
enced during service timely and locally
accumulated defects, imperfections and frac-
ture topographies have carefully to be inves-
tigated and registered.
Assessment of the manufacturing and pro-
duction process influences on the service
behavior: A key question is, if additional and
in most cases unexpected defects and loads
have been introduced during the production
process. For this, it also has to be clarified, if
even marginal alterations of the manufactur-
ing or production process have been made.
With the information and results obtained
from above investigations, a first and very pre-
liminary reconstruction of the failure history and
Numerical
Simulation
Real Full Scale Test Component
Component similar component oriented test
within the system at realistic conditions
Numerical
Simulation
Fig. 17.6 Test procedure chain
349
sequence of events might become possible.
However, only in a very few cases the failure
root cause can directly be derived from failure
anamnesis and description. A failure investigator
generally should refrain from too early hypoth-
eses of the failure origins and, in particular, from
discussing those with a client or even a third
party.
In most cases, a detailed investigation by
laboratory experiments, experimental or mathe-
matical simulation or other modeling techniques
is necessary to determine the failure root cause
and, in particular, to derive respective avoidance
procedures.
17.3.2 Detailed Investigations
For the further investigation of a failure,
numerous experimental and mathematical pro-
cedures are existing. Figure 17.6 shows the
complete chain of test procedures ranging from
real component testing to basic and mostly
analytical procedures. Generally, the more
component oriented the larger scaled a specific
test procedure is, while the even similarly
extensive basic procedures are performed with
smaller scaled samples, sometimes down to the
atomic level. Full scale or real component test-
ing is usually targeted at identification or
reproduction of type, location and time of a
failure. The aim of small scale tests is normally
to rank materials under the respective local
loading and to gain more insight into the failure
mechanisms.
The links between large and small scale tests
and respective results can often be achieved by
respective numerical simulations or other
Numerical
Simulation
Small Basic
scale test Test
Numerical
Simulation
350
mathematical modeling tools. For serious failure
analyses, it is generally essential, to carefully
select between the expected findings versus
complexity as well as time and cost extent of the
various tests and analyses.
17.3.2.1 Analysis and Investigation
Scheme
The selection of the various procedures is
strictly dependent on the various types of failure
origins and thus, it is usually necessary to reduce
the failure root cause assumptions to a limited
number based on the failure anamnesis and
description. This process requires long experi-
ence, to avoid neglection or underestimation of
important indications and facts leading to the
actual failure root cause and to avoid misleading
overinterpretation of artefacts. Selection of
appropriate test and analysis procedures is usu-
ally achieved by a detailed investigation scheme.
Such plan should be very flexible, i. e., it
should contain milestones at which it is possible
to change and switch test and analysis sequences
dependent on the respective findings or if a
particular failure origin anticipation turns out as
inconsistent, unrealistic or unlikely. In many
cases, structuring the analysis and investigation
scheme according to the respective findings by a
simple flow chart (Fig. 17.7) appears as very
helpful. The investigation plan has to be agreed
upon with the client, especially regarding costs
and time.
17.3.2.2 Sequence of Procedures
Regarding the correct sequence of testing as well
as experimental and mathematical analysis,
some key issues have to be considered in every
failure analysis:
1. Detailed documentation of the locations of
the specimens cutted out of the normally
unique parts of the failed component appears
should never be neglected. Confusion of
specimens can cause significant misinterpre-
tations regarding failure origins and loca-
tions. By an imperfect documentation,
influencing loadings cannot be associated
anymore with respect to the location where
their appeared.
Th. Boellinghaus
2. As a consequence, non destructive testing has
to be carried out before destructive testing
and the experimental procedures are usually
scaled from macroscopic towards micro-
scopic testing.
3. The sequence of cutting out specimens
should be planned that no traces leading to
additional findings are smudged during
experimental investigations. Mechanical and
thermal effects during salvage of specimens
might cause significant changes of the spec-
imen microstructure and thus, might lead to
respective artefacts and misinterpretation.
4. Fracture surfaces, regardless of the material
type, are most informative data carriers and
thus, have to be handled with special care, in
particular, if the sample material is limited
[1].
The sequence of the investigation procedures
is generally aimed at finding type, time and
location of the assumed failure, i. e., at identi-
fication where and when the actual loads might
have exceed the loading capacity of the respec-
tive material under the structural design in the
specific regions of the failed components. The
various steps have thus to be oriented at least at
one of the following two targets:
Target 1: Determination of the loading his-
tory, i. e., the local coupled loads the failed,
cracked or even fractured material zones of the
respective components have experienced, con-
sidering also the respective structural design at
such locations. This can only be achieved by
detailed experimental investigations of the rele-
vant regions to prove which load types have
acted at the failed component, if and how those
were coupled, together with sighting of the
documents gathered during the failure anamne-
sis. Frequently, loading history determination
requires additional mathematical calculations.
Target 2: Determination of the local loading
capacities and of the failure type at the respec-
tive local component regions. This predomi-
nantly requires experimental test and analysis
procedures.
Figure 17.8 summarizes the various steps of
the detailed investigation from non-destructive
to destructive and from macroscopic to
17 Principles and Concepts of Technical Failure Analysis 351

Failure anamnesis
and description

Milestone:
Failure Detailed Results and findings Yes
root cause investigation consistent to failure anamnesis
and description
assumption 1 scheme 1 ?

No

Yes Further
modifications of scheme Continuation of
meaningful ? detailed
investigations
No

Milestone:
Failure Detailed Results and findings Yes
root cause investigation consistent to failure anamnesis
and description
assumption 2 scheme 2 ?

No
Further root cause
assumptions Further
Yes
or termination of modifications of scheme
investigations meaningful ?

No

Fig. 17.7 Structuring the detailed investigations during a failure analysis dependent on the findings and root cause
assumptions

microscopic testing and additionally provides a
key question expected to be answered within
each step.
17.3.3 Determination of the Failure
Root Cause
As an important step in the whole failure anal-
ysis, the results elaborated in above mentioned
steps provides the valuable information, if the
local coupled loads acting on the respective
region of a component exceeded the loading
capacities of the material under consideration of
the specific design. Consequently, the respective
failure mechanism can directly be derived in
many cases.
This information and the failure anamnesis
then have to be logically connected to determine
the failure root cause, considering also Table
17.1. Each assumption for the failure root cause
has carefully to be pondered regarding its plau-
sibility in terms of the identified failure mecha-
nism and the described appearance. A frequently
applied way to identify the failure root cause is a
fault tree analysis (FTA), as outlined in Sect. 2.1
.
Additionally, reproduction of a specific fail-
ure by experimental simulation of the respective
scenario and by subjecting either the material or
even better a similar or a part of the failed to the
same or at least very similar load conditions
might help to put some evidence to a specifically
assumed root cause. Such tests thus require
careful consideration and transfer of the real
loads to the set up. They also represent a very
convenient way to make a specific failure or
sequence of events evident to the client, if type
and location of a fracture show some coinci-
dence in comparison to the investigated real
case.
352 Th. Boellinghaus

However, in complex cases, an explicit con-
clusion to the root cause from the appearance of
a failure and its detailed investigation is not
always feasible. A failure analysis should then at
least be targeted at sufficiently assured indica-
tions of one or more potential failure root cau-
ses. If several potential failure origins have been
identified, it should carefully be tried to separate
the most probable one from failure supporting
side-events and influences.
investigations have to be agreed upon with the
client. They also require a larger experience
from similar failure cases and again, such
actions have to consider the interaction between
the material, loading and design. As special
procedures towards a future failure avoidance,
risk based inspection and structural health
monitoring have to be mentioned which are
detailly outlined in the Section D of this book.

17.3.4 Failure Avoidance Measures 17.4 Reporting and Documentation

In many cases, a failure analysis is not only
restricted to identification of the root cause, but
also measures for avoidance of similar failures
in future have to be determined. This task might
also be associated with the development of
respective repair concepts. However, all these
Generally, a failure report should be as concise
as possible, but should still easily to understand
for the respective client and should include all
necessary graphical material and measurement
results. Also, failure prevention measures and
procedures might be included. In the lack of

Loading history: Internal

Non-destructive Hidden defects
defects, cracks, and additional
testing microstructural changes Indications ?
etc.

Visual inspection Loading history: Fracture type

Fracture
and topography, secondary
and cracks, surface phenomena
topographies consistent
to assumptions
stereo microscopy etc.
?

Loading history and capacity: Mechanical

Mechanical Strength, ductility, properties consistent Numerical
testing toughness, hardness, fatigue to specifications simulations
and creep properties etc. ?

Loading history and capacity: Properties

Fracture mechanics Fracture toughness consistent to
testing toughness, hardness, fracture type and
etc. surface ?

Microscopic Loading history and capacity: Fracture

Fracture type and topography, type consistent
examination and EDX-results to assumptions
analysis (SEM etc.) etc. ?

Materialografic Loading history: Crack paths Mathematical

Crack type, origins and
section analysis Propagation, microstructral
consitstent to previous
modelling
findings?
and micro-NDE Characteristics etc.

Loading history and capacity: Chemical

Chemical Chemical composition of the compositions consistent
analysis bulk microstructres, to specifications?
surface layers, scales etc.

Fig. 17.8 Steps of detailed failure investigation

17 Principles and Concepts of Technical Failure Analysis
general rules or standards for writing failure
analysis reports, the structure recommended in
the VDI-Guideline 3822 can only be recom-
mended here, including the following topics:
1. Title, author, client and affiliations
2. Abstract
3. Description of tasks and scope
Definition of the tasks
History, type and scope of the failure
4. Examination results
Identification of the failed component
(description of the system as well as of the
interaction between material, loading and
design)
Sampling description and plan, including
sample storage or return
Results of the various on-site investigations
Results of laboratory tests and analyses
5. Failure cause and discussion
6. Potentials for failure correction and repair
7. Failure avoidance measures
8. Distribution of reports
It can only be emphasized that an appropriate
documentation and filing is essential to enable
quick analysis of previous failure cases and
respective correlation to the presently investi-
gated ones as well as statistical overviews. This
also allows a better and faster identification of
failure avoidance and repair measures. As an
additional point, appropriate filing and docu-
mentation of similar failures might significantly
reduce the amount of a present investigation and
the respective costs. As an important feature, the
VDI-Guideline 3822 offers a comprehensive list
of failure analysis terms and definitions to avoid
353
confusions originated by different description
styles of various authors and to enable compa-
rability of findings as much as possible.
Respective relational database applications
might be useful, allowing direct incorporation of
actual failure cases together with the respective
findings and avoidance measures. For general
documentation procedures, the respective qual-
ity management standards, like the ISO 9000
and 17,025 series, should be considered.
References
1. Brooks, C.R., Choudhury, A.: Failure analysis of
engineering materials. McGraw-Hill, New York
(2002)
2. Wulpi, D.J.: Understanding how components fail, 2nd
edn. ASM International, Materials Park, Ohio (2000)
3. Dennies, D.P.: How to organize and run a failure
analysis. ASM International, Materials Park, Ohio
(2005)
4. Davies, G.J.: Performance in service. In: Bradbury,
E.J. (ed.) Essential Metallurgy for Engineers. Van
Nostrand Reinhold, London (1985)
5. Powell, G.W., Mahmoud, S.E. (eds.): Failure Analysis
and Prevention. ASM Handbook, vol. 11. ASM,
Materials Park, Ohio (1998)
6. Lange, G.: Vorgehensweise bei der Bearbeitung eines
Schadensfalles. In: Lange, G. (ed.) Systematische
Beurteilung technischer Schadensflle, pp. 16.
Wiley-VCH, Germany (2001)
7. Lancaster, J.: Engineering catastrophescauses and
effects of major accidents. Abington Publishing, UK
(1996)
8. Hoffmeister, H.: Defect and Failure Analysis of the
Bow Visor Structure of the MV [Estonia\, Report 4,
Institute for Failure Analysis and Failure Prevention
ISSV, Hamburg, Germany, 1996 (unpublished)
 Failure Analysis: Case Studies
Christian Klinger
Introduction
Failure analysis of complex systems always
requires an interdisciplinary approach to identify
and sort out, which influences contributed to the
failure of a component. Normally, the failure
mechanism(s) may be established by different
material investigations, reflecting the detrimental
influences (mechanical, thermal, chemical, tri-
bological loads), reference to Fig. 3.1 in Chap. 3
that acted on the component during fabrication,
assembly, transportation or in service.
Failure analysis is needed as a diagnostic tool
to assess the sequence of primary, secondary and
perhaps tertiary damage of different parts in a
damaged system. This is a prerequisite to
C. Klinger (&)
BAM, Federal Institute for Materials Research and
Testing, Berlin, Germany
e-mail: christian.klinger@bam.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_18,  Springer-Verlag Berlin Heidelberg 2013
18
identify the contributing causes and the root
cause for the causal failure (see Chap. 17).
Finally, the measures and improvements to
prevent the same or similar failures in future
have to be established, again by an interdisci-
plinary approach.
This in mind, failure analysis is an important
method for technical diagnostics of parts, com-
ponents and systems that failed due to errors in
design, material, fabrication or service loading.
The following two case studies are given to
depict the way forward, the methods used, the
significance of the interdisciplinary approach
and the importance of failure analysis for failure
prevention in public safety field.
355
 Investigation of Collapsed
Power Towers; Munsterland-
Blackout, Germany, 2005
Abstract End of November 2005 strong south-
west wind (8 Bft. approx. 18 m/s) and heavy
snowfall at a temperature of approx. 0 C were
predominant in the region Mnsterland, north-
western part of Germany. This led to accretion of
a considerable quantity of wet snow with ice cover
to overhead electrical lines in form of snow rolls
on the conductors. 82 transmission towers failed
catastrophically, most of them by buckling,
however, some by brittle fracture of diagonal
members. As a consequence nearly 250,000
people have been cut off from electrical power
supply for several days with major media atten-
tion. This chapter describes the forensic analysis
in order to investigate the failure cause. Therefore
extensive materials investigations, mechanical
testing of original components and specimens
thereof, estimations for the real wind and snow
loads and their combinations, structural analyses
as well as detailed evaluations on the basis of
previous investigations, literature and regulations
were conducted. It was revealed that some of the
examined components were manufactured from
Thomas steel which was partially in embrittled
condition. The investigated towers fulfilled the
design codes valid at the time of erection. How-
ever, the present line loads of the wet snow rolls
on the conductors exceeded by far the ones given
in the design codes valid at that time. The load
case leading to failure was reconstructed by the
derived positions of loads mainly caused by
unequal and asymmetric distribution of snow rolls
on left and right electrical system. The loads and
corresponding stresses acting on the structure
before failure were estimated. By comparison
with the fracture forces from mechanical testing
of original members of the collapsed tower the
component that primarily failed was localised.
The primary fracture occurred on a diagonal
member under tension made of Thomas steel
18.1
which was weakened by embrittlement. The
failure cause was a combination of heavy weather
conditions (storm, approx. 0 C and wet snowfall
leading to heavy snow rolls on conductors),
asymmetric loading conditions and the usage of
Thomas steel which was partially embrittled.
Finally, recommendations for avoiding future
failures are given.
18.1.1 The Case of Damage and Aims
of the Investigation
On November 25th/26th, 2005 strong south-west
wind with storm force (8 Bft. Approx. 18 m/s)
and heavy snowfall at a temperature of approx.
0 C were predominant in the region Mnster-
land, Germany. Due to these weather conditions
wet snow rolls with clear ice cover formed around
the conductors of several overhead transmission
lines. This led to excessive line loads of approx.
5 kg/m, Fig. 18.1.1. Some of the covered con-
ductors were sagging to the ground. 82 tension
and suspension towers of 5 different, 110 kV
overhead electrical lines collapsed mostly by
buckling, e.g. failed catastrophically, Fig. 18.1.2.
Since many suspension towers are in between
tension towers, the cascade effect led to a high
number of broken suspension towers. As a con-
sequence nearly 250,000 people have been cut off
from electrical power supply for several days.
The BAM Federal Institute for Materials
Research and Testing was assigned by the
German Federal Network Agency (BNetzA) for
the conduction of a forensic failure analysis and
an assessment of possible failure causes. The task
was to find out if there were other causes besides
the weather conditions. Following topics had to
be investigated in detail:
356
18 Failure Analysis: Case Studies 357

Fig. 18.1.1 Wet snow

roll with clear ice cover,
diameter approx. 13 cm,
line load approx. 5 kg/m.
Source RWE

Fig. 18.1.2 Collapsed

deviation tension tower
M65 and suspension tower
M66 (appearing small in
background, right). Source
operator RWE

Materials conditions of the specimens taken Sufficiency of load assumptions, in particular

from the towers.
Possible ageing of the transmission towers
material.
Description of failure mechanism(s).
Code fulfilment at the time of erection or
failure.
the assigned ice loading zone, given in former
or present (time of failure) codes.
The aims of the investigation described in this
chapter were to identify the loading situation
present during the disaster, which of the towers
collapsed first, and which substructure in these
358
towers failed first and if embrittlement of the
steel used was one of the failure causes. Fur-
thermore, one crucial task was to give recom-
mendations for the prevention of similar
disasters. Based on these recommendations the
authority BNetzA issued new requirements [1].
Contrary to other publications such as [2] or [3],
the aim of this investigation was not to predict
the failure under given loads by numerical cal-
culations. The intention was a combined ana-
lyticalexperimental proof of an evident failure
by derivation of the corresponding loading from
picture information and determination of the
reduced load carrying capacity of structural
parts.
Brittle fractures are not characteristic for this
type of mild structural steel. Pohlmann [4]
described brittle fractures of diagonal members
and corner rods he found analysing in service
failures of transmission towers in Europe. Helms
et al. [5] investigated the failure of a transmis-
sion tower of the german railways and found out,
that embrittlement is localised around the
stamped holes of steel profiles made of Thomas
steel, compare Sects. 18.1.2.3 and 18.1.2.4.
Latest publications regarding failure analyses
of transmission towers describe the simulation
Fig. 18.1.3 On site inspection, transmission tower M65 laid down. Searching for ruptures with brittle fracture
surface
C. Klinger
techniques used for structural failure prediction
in order to avoid expensive full scale tests of
transmission lattice towers [2, 3] or transmission
poles [6]. Moon et al. [7] carried out sub-
assemblage test of a half-scaled transmission
tower to estimate its performance against wind
loads and compared the experimental results
with those of numerical analysis. Forensic
analyses like those on failures of wind turbine
towers [8, 9] have not been published for
transmission tower failures until now.
18.1.2 Investigation and Results
18.1.2.1 On Site Inspection
During a visit of the failure site in the western
region of Mnsterland eleven of the failed elec-
tricity towers were inspected on December 20th in
2005, Fig. 18.1.3. Signs of surface corrosion were
not found. A corrosion induced weakening of the
structures could be excluded by simple visual
inspection, ref to chapter A. Erhard. Fifteen Sam-
ples were taken from four of the failed transmission
towers: broken diagonal members, corner rod
connections and more components. The collapsed
transmission tower named M65, Fig. 18.1.4, was
in focus of the failure investigation based on its
18 Failure Analysis: Case Studies
Fig. 18.1.4 On site inspection, transmission tower M65 in as failed position (left), Source RWE. Corner rods E3 and
E4. Diagonal members M65-, ruptures are marked (right)
function as deviation tension tower, the brittle
fracture of a component found there, its condition
and accessibility. It was assumed, that the collapse
of M65 as deviation tension tower is responsible
for the failure of the supporting towers
M66M73. Moreover, an extensive photographic
documentation shortly after failure has been
available for this tower, its neighbours and some
more towers of this transmission line BL1503.
These photos showed snow rolls with ice cover on
some of the cables, Fig. 18.1.1, and the ice load
situation at towers that did not fail. Later, more
components were taken from tower M65 to be used
for comparative component testing. Those were
selected to be an original component, unbent and
without visible damage.
359
18.1.2.2 Materials Investigations,
Analysis of Fracture Surface
Materials investigations revealed that the corner
rods and diagonal members of towers, that were
built in the 1960s or earlier, were made of Thomas
steel. The corresponding microstructure of the
steel profiles close to the stamped holes showed
signs of ageing in form of very small plate-like
nitrides of type Fe8N to some extent, Fig. 18.1.5.
These nitrides can be etched applying Frys
reagent to the microsections. The nitrides can only
be viewed in full detail using a SEM at high
magnifications. The diagnostics of the embrittle-
ment is possible by naked eye inspection, the
reason for this brittle fracture may only be seen
using high magnification SEM diagnostics.
360 C. Klinger

Fig. 18.1.5 Microsection

of specimen M27-21
(Thomas Steel), etched
(Frys reagent), SEM-
Micrograph: ferrite grains
with nitride-precipitates.
The dotted line marks a
ferrite grain whose (0 0 1)-
plane is perpendicular to
the section plane

Fractographical analysis of the fracture sur-
faces showed that all fractures were forced
fractures. Overall, no signs for fatigue failure or
for corrosion induced cracking were found by
SEM. The diagonal members mainly failed in a
predominant brittle manner. Figures 18.1.6 and
18.1.7 show the fracture surface of M65-4
before and after cleaning, respectively. For
removing the rust warm citric acid was used at
low concentration. After cleaning, the details of
the fracture surfaces were analysed in the SEM.
The SEM image from the centre region of the
M65-4 fracture surface shows intergranular
fracture, Fig. 18.1.8, whereas the image from the
edges shows ductile fracture, Fig. 18.1.9. The
cleaning process has generated etching pits all

Fig. 18.1.6 Original fracture surface of diagonal mem- plain carbon steel St 37.12 (1960), Thomas steel, mainly
ber M65-04, L-profile 60 9 60 9 6 mm3, material: brittle fracture with only a few ductile areas
18 Failure Analysis: Case Studies
Fig. 18.1.7 Original
fracture surface M65-04
after cleaning. Most of the
rust was removed
over the fracture surface which is the price for
removing most of the rust.
18.1.2.3 Metallurgy of Thomas Steel
For a better understanding of the relations
between Thomas steel and ageing as a feature of
physical metallurgy some brief basic explana-
tions are given in the following paragraphs. A
recent systematic review of terms, metallurgical
background and mechanisms of ageing as well
as its impact on mechanical and technological
properties of Thomas steel is given in [10].
In 1878 Sidney G. Thomas and Percy G.
Gilchrist introduced a method for steel making
which is suitable to use iron ores rich in Phos-
phorus. The method is based on a basic lining of
the Bessemer converter and air blasting from the
bottom of the converter. Later on the method
was called Thomas process and all steels pro-
duced by it Thomas steels. Over the decades, a
number of technological modifications of the
Thomas process had been successfully invented
to improve the properties of Thomas steels. It is
important to note that Thomas steels had been
used very successfully and gained a remarkable
economical importance worldwide. In Germany,
Table 18.1.1 Chemical composition of original steel members of tower M65 (built 1960)
C Si
Corner rod (M65) 0.1690 \0.006
Diagonal member (M65) 0.0480 \0.006
All values are in wt%
361
where solely until 1943 about 300 million tons
of Thomas steels had been molten [11], the
production had remained over a period of about
100 years until the late 1970s. At that time the
steel making by Thomas process was ceased due
to technical and economical aspects.
From a metallurgical point of view, Thomas
steels are typically characterized by elevated
contents of Phosphorus (due to the iron ore) and
Nitrogen (due to air blasting) and they are
comparably low in carbon, Table 18.1.1. The
nitrogen content [0.01 wt% makes Thomas
steels susceptible to ageing.
18.1.2.4 Ageing of Thomas Steel
Ageing is a time dependent alteration of
mechanical and technological steel properties
whereas two basic mechanisms are distinguished.
Age hardening (quench-ageing, natural ageing)
depicts the blockage of dislocations by interstitial
atoms and the precipitation of embrittling nitrides
and carbides in a supersaturated iron solid solu-
tion. Ageing after a mechanical deformation is
denoted strain ageing. Within strain ageing the
migration of interstitial atoms to dislocations and
their blockage is the predominant mechanism due
Mn P S N
0.3680 0.0338 0.0267 0.0120
0.4680 0.1040 0.0666 0.0160
362
to the high number of dislocations present. The
blockage of dislocations by interstitial atoms as
well as the complication of dislocation movement
by precipitations reduce ductility and toughness
of the material. Basically, both interstitial ele-
ments, nitrogen as well as carbon, take part in
diffusion processes within ageing. But the major
role can be attributed to nitrogen due to its higher
solubility in the iron lattice and its higher diffusion
rate [1216].
Embrittlement as result of ageing may become a
prime issue with respect to the assessment of the
loading behaviour and safety of Thomas steel
components. Outstanding examples are cut edges
and stamped holes in sheet metal, plates and pro-
files of screwed or riveted steel structures. These
material regions are exposed to significant plastic
deformation which acts as prerequisite of strain
ageing. In combination with a steel grade suscep-
tible to ageing embrittlement, like Thomas steels as
well as structural stress concentration, higher stress
triaxiality due to component thickness and loading
features like low temperature and/or higher loading
rate brittle fractures can be caused in service.
Details of a corresponding failure analysis on
Fig. 18.1.8 Magnification
of Fracture surface M65-
04, cp. Figure 18.1.7,
intergranular fracture with
etching pits. SEM, SE
mode
C. Klinger
overhead transmission line towers for railway track
supply are reported in [5].
18.1.2.5 Mechanical Testing
of Specimens and Components
In order to find out the type of steel used, stan-
dard specimens were prepared from components
from tower M65, see Sect. 18.1.2.1, and mainly
used for tensile and Charpy tests. Tensile tests
were performed in accordance to DIN EN
10002-1 [17]. Tensile strength and elongation of
all tested standard specimens (Rm * 400 MPa,
A * 37 %) were within the tolerances of
materials standards for mild steel (present and
year of erection). Standard Charpy specimens
ISO-V made of a diagonal member of M65
fulfilled the 27 J-criterion at 20 C with a value
of 47 J but failed at 0 C with a value of 21 J
and at -20 C with a value of 6 J. Thus Charpy
testing revealed low temperature embrittlement
which still was in agreement with old material
standards (DIN 17100:1957). Mechanical testing
of standard specimens did not reveal any effect
of embrittlement at all. This may be explained
by the small volume of strain aged material
18 Failure Analysis: Case Studies
Fig. 18.1.9 Fracture
surface M65-04, ductile
fracture with etching pits at
the seams of the fracture
surface. SEM, SE mode
around stamped holes in components, see
Sect. 18.1.2.4, which usually is not part of the
material volume of standard specimens.
For estimating the effect of embrittlement on
fracture forces, component type specimens con-
taining the original riveted or bolted connection
between corner rod and diagonal member were
worked out of original parts of deviation tower
M65 and tested, Fig. 18.1.10. The tests were
performed at ambient temperature and at 0 C
and resulted in both cases in more or less brittle
fractures, Fig. 18.1.11. The results were in per-
fect agreement with previous investigations [4].
The tensile tests of the structural parts, see
Fig. 18.1.11 and Table 18.1.2, revealed fracture
forces which partly achieved only 60 % of the
design capacity, the estimated minimum fracture
forces based on the corresponding codes [18].
This means that standard specimens without
holes or notches are not suitable for the identi-
fication of Thomas steel embrittlement of com-
ponents, because they did not undergo plastic
deformation and ageing. To highlight this:
component testing is the only quantitative
method to technically diagnose the embrittle-
ment of steel components made of Thomas steel.
363
Today steel for use as a construction material
for transmission towers has to comply with
Sxxx-JR requirements, e.g. a transition temper-
ature B -70 C.
The fracture surfaces of diagonal members
tested in BAM, Fig. 18.1.12, appeared almost
identical to the original fracture surface con-
cerning areas of brittle and ductile fracture,
Fig. 18.1.6. Therefore, it was concluded, that the
fracture forces of the diagonal members during
failure of the tower were about the value of
those tested in the laboratory (94125 kN), cp.
Table 18.1.2. Consequently, these fracture for-
ces were used in further static analyses.
18.1.2.6 Loading Influences, Failure
Load Case
Weather conditions (snowfall, strong southwest
wind) led to preferred deposition of snow on
conductors of overhead electrical lines (north-
westsoutheast) perpendicular to dominant wind
direction (southwest). Wet snow rolls with
13 cm and more in diameter formed, Fig. 18.1.1,
that exceeded the line loads given in former [18]
and current [19] design codes. At direction
changes of overhead electrical lines specially
364 C. Klinger

Fig. 18.1.10 Test rig for tensile testing of components (corner rod/diagonal member connection)

Fig. 18.1.11 Tensile testing of structural parts (corner rod/diagonal member connection). Brittle fracture of netto
cross-section
18 Failure Analysis: Case Studies 365

Table 18.1.2 Results of the tensile tests of structural parts of tower M65
Tested Net cross section Calc. max. force Test temperature Max. force Deviationa
component (mm2) (kN) (C) during test (%)
(kN)
B3 444 151 23 188 25
B5 444 151 23 177 17
B4 445 151 0 185 22
A5 444 151 0 182 21
C2 464 158 23 137 n.a.b
C1 464 227 23 155 n.a.b
M65-07B 464 158 23 131 -17
M65-07A 464 158 23 143 n.a.b
C3 464 158 0 158 0
C7 464 158 0 164 4
M65-01 464 158 0 170 n.a.b
M65-08A 464 158 0 125 -21
M65-09A 464 158 0 94 -40
a
Deviation between calculated maximum force and maximum force during test in %
b
Failure of bolt or rivet

designed deviation tension towers are used
which are able to carry higher horizontal loads.
During the severe weather conditions a change
in line direction led to a deposition of snow rolls
on the conductors, Fig. 18.1.1, perpendicular to
the wind direction while in the direction parallel
to the wind there were nearly no snow rolls. This
applies for nearly all overhead transmission lines
that were pulled down during that night. Starting
from the lines affected, it was investigated why
the towers failed. Extensive photographic
documentation provided by the operator (refer-
ences in [20]) showed that snow rolls of the
critical size were only existant at one field of
deviation towers but not on the other field more
parallel to wind direction. Moreover, photo-
graphs showed fields of this line BL1503 where
conductors on the right side were covered with
ice while they were not on the left side. This
could be explained by different electrical cur-
rents of left and right electric system during
snow and ice accretion. This meant for the

Fig. 18.1.12 Fracture

surface M65-09 after
mechanical tests in the
laboratory. Similar
fractographic appearance
as the original fracture
surface, cp. Figs. 18.1.6
and 18.1.7
366
Fig. 18.1.13 FE-model of
transmission tower M65,
main tower dimensions,
reconstructed failure load
case with applied forces
in kN and resulting loads
on the diagonal member
that failed initially
further investigated deviation tension tower M65
that only the conductors on the right side
(viewing direction towards increasing tower
numbers) were covered with snow rolls while
the conductors on the left side were not. This led
to an asymmetric load distribution for tower
M65. The incoming conductors had only little
snow coverage. This onesided and field-depen-
dent (unequal) loading with lineloads of approx.
5 kg/m was identified as load case before failure
of tower M65 and will be referred to as failure
load case, Fig. 18.1.13.
18.1.2.7 Load Analysis
One deviation tower (M65) and one suspension
tower (M66) were modelled for linear structural
analysis. According to the current design code
for overhead electrical lines (EN 50341-1:2001
[19]) and also according to all the earlier codes
C. Klinger
(e.g. VDE0210:1958, [18]) linear analysis is
sufficient. It could be confirmed that the trans-
mission towers M65 and M66 fulfilled the code
requirements (VDE0210:1958, [18]) applicable
at the time of erection. The calculations clearly
showed that for the forensic failure analysis
further investigation should be focused on the
deviation tower M65 as the suspension tower
M66 is much less susceptible to increasing ver-
tical loads respectively asymmetrical loading.
From the failure site inspection (see Sect.
18.1.2.1) and fracture surfaces analysis (see
Sect. 18.1.2.2) it was obvious, that rupture under
tensile loads must be considered.
A failure load case could be derived on
basis of the available information, Sect. 18.1.2.6,
which was used to calculate the forces acting on
the components prior to failure, Fig. 18.1.13.
However, on site rupture was not observed for
18 Failure Analysis: Case Studies
components of tower M65 showing the highest
calculated tensile forces, e.g. highest utilisation
factor. By comparison with experimental fracture
forces of components (diagonal members) from
tower M65, Sect. 18.1.2.5, the component
showing primary failure could be identified: Pri-
mary failure occurred at the joint of a diagonal
member under calculated tensile force FS,calc of
about 112 kN, see diagonal member M65-04 in
Fig. 18.1.4. This diagonal member with a
L-profile section 60 9 60 9 6 mm3 originally
had a design capacity FR,calc = 158 kN. Its fail-
ure reason is the weakening of this member (made
of Thomas steel) by embrittlement down to a
fracture force FR,exp of about 100 kN
(94125 kN), see Sect. 18.1.2.5. The brittle
fracture of diagonal member M65-04 occurred
due to ageing and embrittlement around the
stamped holes (highly stretched zone) for the
rivets of the joint connecting the member and
the main leg, Figs. 18.1.6 and 18.1.7. As a con-
sequence of the rupture of the diagonal member
M65-04, the neighbor diagonals M65-01 and
M65-02 in Fig. 18.1.4 ruptured in a similar way
due to a subsequent sudden increase of their load.
This caused an inevitably large deformation of
the tower beneath the cross arms and the tower
failed eventually due to lack of bracings and
buckling of the main legs.
Other failure mechanisms such as stability
failure by buckling of single highly stressed
diagonal members, Fig. 18.1.4, were under con-
sideration in linear structural analysis but dis-
carded as primary failure causes since they were
contrary to visual observations [20]. Thus struc-
tural analysis was used to diagnose the load situ-
ation just before the breakdown of tower M65.
18.1.3 Failure Causes: A Combination
of Several Contributions
The reason for the low fracture forces of the
diagonal members is embrittlement by nitrogen
that was introduced during steel production
(Thomas-procedure). With high probability the
failure load case would not have led to the weakened significantly due to Thomas steel
collapse of deviation tension tower M65 if all
diagonal members had been as ductile as mild
367
steel in usual condition and as Thomas steel
prior to embrittlement. Due to fracture of a
diagonal member under tension at least two
more diagonal members failed, Fig. 18.1.4. As a
consequence the deviation tension tower M65
failed catastrophically, Fig. 18.1.2. In the fol-
lowing eight supporting towers were pulled
down as a consequence of the cascade effect,
right in Fig. 18.1.2. The cascade effect also
applies to other overhead electrical lines with
similar orientation and situation (wind angle,
snow rolls).
The catastrophic failure of this line with tower
M65 examined in detail, was caused by a com-
bination of weather conditions, orientation of the
line regarding wind direction, onesided formation
of snow rolls probably supported by differences in
electrical currents between the conductors and
usage of members made of Thomas steel and its
embrittlement due to ageing.
18.1.4 Assessment Based on Previous
Investigations, Literature Survey
and Regulations
Ageing of Thomas steel as well as the resulting
embrittlement is well-known [4] (more refer-
ences in [20]). This embrittlement causes a
remarkable reduction of fracture forces at the
connection components [4]. Numerous previous
investigations provided by the operator of the
line show that component-tested diagonal
members possessed in some cases only 60 % of
the minimum fracture force derived from the
corresponding codes.
Line loads of approx. 5 kg/m (derived from
the size of the wet snow rolls, Fig. 18.1.1) and
their position (asymmetric distribution etc.) were
neither given in the standards relevant at the
time of erection [18] nor in the one relevant at
the time of the failure [17, 21].
The technical diagnostics used in this failure
analysis and previous investigations showed,
that power towers erected until the 1960s may be
embrittlement. Further NDT methods are needed
to analyse and prioritise the replacement or
368
refurbishment of the power towers prior to
failures.
18.1.5 Recommendations
and Preventive Actions
The results of the thorough investigation [20]
raised the awareness of authorities and public that
ageing of Thomas steel is a safety and economi-
cally relevant challenge for transmission grid
operators. In order to prevent similar future fail-
ures, recommendations are given in [20] and [1].
The following recommendations and improve-
ments for regulations/standards/codes and for
refurbishment of the existing transmission towers
[22] and building of new ones can be derived from
the failure analysis conducted. These recom-
mendations have influenced the revision of
existing and the issuing of new standards in Ger-
many {given in curly brackets below}:
The standard for construction of power towers
should be supplemented by new ice load
zones. {implemented nowadays in [23]}.
The line loads due to ice should be checked
and re-assessed regarding values implemented
nowadays in [23] and repetition period.
C. Klinger
The failure load case (load positions one-
sided, unequal in the followings fields) of ice
rolls (or similar) discussed in this chapter
should be added to the load cases in the
standard. {implemented nowadays in [23]}.
Existing electricity towers should be refur-
bished under the following aspects:
1. Identification and replacement of tension-
loaded components made of Thomas steel
which are in case of embrittlement due to
ageing vulnerable to fracture. {implemented
nowadays in [22]}.
2. Identification and replacement of tension-
loaded components made of Thomas steel
which are in case of embrittlement due to
ageing vulnerable to fracture. {implemented
nowadays in [22]}.
3. Priority refurbishment of the deviation ten-
sion electricity towers because of potentially
greater consequential damages. {imple-
mented nowadays in [22]}.
Acknowledgments The author would like to thank the
German Federal Network Agency (BNetzA) for the permis-
sion to publish the results of this failure investigation [20]
and R. Wallstabe for his assistance in preparing the english
manuscript.
 Axle Fracture of an ICE3
High-Speed Train
Abstract On July 9th 2008, an ICE-3 high-
speed train derailed during departure from
Cologne main station, Germany, due to fatigue
failure of one of the powered wheel set axles.
Due to low travel speed at this point, no serious
injuries occurred to passengers. BAM, the Ger-
man Federal Institute for Materials Research and
Testing, was charged by the public attorneys
office with the root cause analysis of this event.
The geometry of the basic parts of the bogie and
axles was controlled without finding any devia-
tions. Subsequently, the parts of the broken axle
were inspected by acoustic non destructive
testing (NDT) techniques. The fracture surfaces
of the broken parts of the axle were analysed
using a light microscope in order to find the
origin of the crack and beach marks. The domain
of the crack origin was found but could not be
analysed due to severe secondary damage.
Fatigue crack growth was identified to be the
mechanism until final forced fracture. Inhomo-
geneities of the microstructure were identified
Fig. 18.2.1 Position of the broken wheelset in the train
set ICE3: subsequent in the bogie when travelling to
Cologne, leading in the bogie when leaving Cologne
18.2
close to the location of the crack initiation by
using a combination of micro computer tomog-
raphy and ultrasonic immersion technique.
Applying a target preparation, these inhomoge-
neities were identified to be non-metallic inclu-
sions. The size of these inclusions was larger
than allowed according to standards. Most
probably, these non-metallic inclusions initiated
the fatigue crack in the highly loaded axle.
18.2.1 Introduction
18.2.1.1 Derailment of ICE3 in Cologne
On 9 July 2008, one wheel set of the powered
bogie of a trailer vehicle derailed just before
crossing the Rhein bridge at Cologne main sta-
tion, Figs. 18.2.1, 18.2.2. Since the train trav-
elled with very low speed at this moment,
fortunately there was no damage to persons and
minor damage to the rail track. The German
high-speed motor train set ICE3 rated for
Main Station to the Rhine bridge; derailment; Fractured
parts A and B, fracture surfaces FB and FA
369
370
330 km/h previously came from the high-speed
line and changed travelling direction in Cologne
main station as scheduled.
The cause for the derailment of the wheel set
was the previous fatigue fracture of its hollow
axle, Fig. 18.2.1, at the T-notch, Fig. 18.2.3.
Referring to the public interest, the public
attorneys office solicited BAMs analysis of the
root cause. The task for BAM was to look for
deficiencies of the material, manufacturing and
service of the wheel set, defects of the vehicle
and compliance with standards.
The failure case was investigated by the
author of the present chapter and documented in
detail [24] and in extracts [25].
18.2.1.2 Background Information
in Service History
Last NDT using mechanized ultrasonic testing
(UT) of the hollow axle took place in March
2008, only 150,000 km before final fracture of
the axle: no crack-type indications were recor-
ded at that time. During UT in-service inspec-
tion on crack-type defects at the outer surface,
recording level was set to approximately 2 mm
saw cut depth (SCD) [25].
A few days before fracture, the wheel set and
its axle were inspected visually, without any
Fig. 18.2.2 Derailment
due to fatigue fracture of
an axle of a German high-
speed train at Cologne on 9
July 2008, [press photo]
C. Klinger
indications recorded. The UT-inspection interval
for all hollow motor axles of this and similar
high-strength steels immediately was reduced
from 300,000 km to 60,000 km by the German
Federal Railway Authority (EBA) and in Octo-
ber 2008 to 30,000 km [26].
The final fracture occurred when the axle was
in-service *3 million kilometres which refers
to *109 loading cycles. This belongs to the very
high cycle fatigue (VHCF) range.
18.2.2 Investigation of Components
and Axle Material for Failure
Analysis
Mechanical fracture of a component in principle
occurs when the applied stress is higher than the
strength of the material either for static or cyclic
loading.
The first task is to check whether the loading
of the failed component by its neighbours or the
vehicle is in the range of all other axles (*1200
motor axles in the ICE3 fleet) that survived the
same in-service time without fracture (*1/3 of
all axles), Sect. 18.2.2.1.
If this can be approved, the second task it to
find out whether the strength of the broken axle
18 Failure Analysis: Case Studies
Fig. 18.2.3 Schematic drawing of various sections of a railway axle, denominations [47]
was reduced compared to all other axles that
survived the same in-service time without frac-
ture, Sect. 18.2.2.2.
18.2.2.1 Survey
The components and parts relevant for the axle
loading, such as longitudinal and transversal
arms, springs, dampers, clutch, motor, gearbox
breaks, bogie frame and air springs did not show
any visible defects or measures deviating from
the drawings, Fig. 18.2.4. All defects found at
the frame or the wheels could be traced back to
secondary damage after the fracture of the axle
or final derailment.
The main measures of the broken axle, sur-
face finish, surface coating between the seats
and the seats itself were in accordance with the
specification and the drawings of the axle.
To make it short, hints that would indicate
higher loading only on this axle were not found.
18.2.2.2 Material Testing: Strength
and Microstructure
Mechanical properties (hardness, strength, elon-
gation at fracture, ductility, toughness impact
energy in longitudinal and transversal direction)
and chemical composition of the axle material
371
fulfilled the requirements for 34CrNiMo6 with a
yield strength of about 900 MPa given in DIN EN
10083:1996 Quenched and tempered steel. The
impact energy did not change along the transverse
section of the axle.
The microstructure of the axle material is
equivalent to that of a quenched and tempered
steel 34CrNiMo6, Fig. 18.2.5. The macrostruc-
ture shows abnormalities in dendrite structure
which are not unacceptable. The segregation
(e.g. distribution of sulphur) and the grain size
are within specification.
These results lead to the conclusion that the
overall strength of the axle was as specified, but
there might be a local weakening at the crack
start. To find out, it was necessary to find the
crack origin area and evaluate the crack initia-
tion mechanism.
18.2.2.3 Fractography
Both fracture surfaces (FA and FB cp.
Fig. 18.2.21) clearly show fatigue fracture with
little forced fracture ratio, Fig. 18.2.6. The fati-
gue crack started at or shortly below the surface
of the T-notch, (cp. Fig. 18.2.3) close to the seat
of wheel B, Fig. 18.2.2.
372
Fig. 18.2.4 Inspection of
components in the motor
bogie to look for increased
loading on the axle
Fig. 18.2.5 Metallographic section with non-metallic
inclusion, etched
Because the fracture surfaces and fracture
edges were heavily destroyed (cp. deformation
of T-notch in Fig. 18.2.22) such that no original
traces of the crack origin were left (Fig. 18.2.6),
the crack initiation area could only be narrowed
down to *10 mm and not be analysed by SEM
or metallography. A definite answer to the
question of the exact initiation site could not be
given. The characteristics of any previous dam-
age on the outer surface in the T-notch-like
corrosion pits or ballast impact indentation could
not be found. The coating on the axle outer
surface was in good condition.
C. Klinger
18.2.2.4 Micro Computer Tomography
and Purity
The area of fatigue crack initiation was cut out
of fracture surface FA Fig. 18.2.7, shaped as a
cube of *20 mm length of the edge and
investigated using three-dimensional micro
computer tomography (3D lCT) with a resolu-
tion of 16 lm, Fig. 18.2.8.
In the cube material containing the crack
start, three obvious indications between 0.5 and
1 mm were found and localised in their coordi-
nates radialtangentialaxial. Indication A1,
Fig. 18.2.9, is shown in Fig. 18.2.8 as projection
on the surfaces of the cube.
Subsequent metallographic sample preparation
of the cube was targeted to specific areas based
on the location coordinates, Fig. 18.2.10. In higher
magnification, the indication could be identified as
non-metallic inclusion of about 700 9 110 9 40
lm, Fig. 18.2.11. SEMEDX analysis revealed
mainly mixed oxides. The sizes of the three
inclusions identified are much bigger than those
found with the classical purity assessment accord-
ing to [27, 28] in the area shown in Fig. 18.2.12.
The investigation of the purity level accord-
ing to method NF A 04-106 (equals method
[29]) in the microsection adjacent to the crack
origin, Fig. 18.2.13, revealed (Al, Mg)-Oxide
Type C non-metallic inclusions (morphology:
silicate type according to ISO 4967:1998 [27]),
Fig. 18.2.14. The lengths of some inclusions
were up to 550 lm, some clusters were almost
18 Failure Analysis: Case Studies 373

Fig. 18.2.6 Damaged

fracture surface FA with
fatigue crack arrest lines
(white) and those visible
on the opposite fracture
surface FB (mirrored,
black at 7 and 1012
oclock positions), crack
origin and small residual
fracture area

Fig. 18.2.7 Fracture

surface FA, fatigue crack
initiation area (dashed
line), secondary damage on
the fracture surface and on
the outer surface
deformation of T-notch cp.
Fig. 18.2.22
374 C. Klinger

Fig. 18.2.8 Volume

model of the cube, cp.
Figure 18.2.7, containing
the crack start area.
Projections of Indication
A1 on the surfaces (pink
lines); the yellow frame
marks section shown in
Fig. 18.2.9

Fig.18.2.9 Section of the

cube from lCT-
measurement with
indication A1; position
of section see Fig. 18.2.8

930 lm in length, (size index i = C2, 5e [27])
much larger than allowed under the relevant
specifications [28]. The purity grade according
to ISO 4967:1998 specified for those high-speed
axles in product standard EN 13261:2009 [28]
allows a maximum length of 176 lm for cate-
gory 1 steel quality (size index i = 1 [27]),
however, of EA1N steel.
The chemical analysis, Fig. 18.2.15, pointed
to non-metallic oxide inclusions due to slag, to
18 Failure Analysis: Case Studies 375

Fig. 18.2.11 Target preparation of the indication A1

Fig.18.2.10 Target preparation of indication A1 found with lCT: actually A1 is a non-metallic inclusion,
from lCT-measurementtransverse section position and size relate to the lCT results transverse
microsection, unetched
the deoxidisation process and probably also to
mould powder and perhaps rubbed-off particles
from the refractory lining (Fig. 18.2.16).
Close to the fracture at the T-notch of the axle
bigger non-metallic inclusions were found then
further away. Also, on the outer surface of the T-
notch, which is designed and manufactured in
polished state, big non-metallic inclusions were
found, Fig. 18.2.17.
Due to the fact that the non-metallic inclu-
sions of unacceptable size were found nearby the
crack origin, it was assumed that a similar
inclusion was responsible for fatigue crack ini-
tiation at the T-notch. Fig. 18.2.12 Location for the metallographic proof of
the absence of inclusions larger than permissible with
respect to ISO 4967 and EN 13261 (not in scale) [47]
18.2.3 Non-metallic Inclusions

In order to understand the role of non-metallic

inclusions and verify their contribution to the
root cause of axle fracture, their origination and
effect was investigated.
18.2.3.1 Origination of Non-metallic
Inclusions in Manufacturing
Process
Non-metallic inclusions originate from the steel
manufacturing process such as illustrated in
Fig. 18.2.16. When, for example, aluminium is
added for deoxidisation, oxidic inclusions such
as Al2O3 are formed, silicon oxides can be
introduced form mould powder etc. Besides
oxides, there may also be sulphides such as MnS
or other particles. The size of the inclusions is in
the order of 10 lm up to mm. During forging or
rolling the inclusions can be crushed, this way
forming clusters or inclusion chains. The
number of inclusions and the probability of
larger ones can be significantly reduced by
measures of secondary metallurgy, e.g. electro-
slag remelting (ESR).
376
Fig. 18.2.13 Nearly axially orientated non-metallic inclusions found in sections adjacent to the fracture surface very
close to the crack origin in the broken axle [53], axle type shown schematically
18.2.3.2 Crack-Matrix Mismatch
Inclusions differ from the matrix in several
aspects: they have different elastic constants
(stiffness mismatch), different strength and
hardness properties (strength mismatch) and
different thermal contraction coefficients (thermal
contraction mismatch). Frequently, they show a
square-edged shape which, in combination with
the difference in hardness between particle and
matrix causes stress concentrations at the corners
and, due to this, local damage in the adjacent
matrix material when the component is subjected
to applied loading. Murtaza and Akid [30] dem-
onstrated for spring steel that non-metallic
inclusions also play a role in environmental
assisted crack initiation and early growth so that
electrochemical mismatch has to be added to the
list above. How big the effect on the fatigue life is
depends on several factors such as
the size of the inclusion or inclusion cluster,
its shape,
its distance from the surface respectively from
the highly stressed regions,
its chemical composition and microstructure,
its adhesion to the matrix,
the orientation of its principal axis with
respect to the loading direction and
the elastic constants between inclusion and
matrix, see [3134].
C. Klinger
18.2.3.3 Influence of Non-metallic
Inclusions on Fatigue Strength
In the range between Low Cycle Fatigue
(LCF) with high stress amplitudes and low
number of cycles to failure and High Cycle
Fatigue (HCF) with low stress amplitudes and
up to 107 cycles to failure fatigue cracks usually
initiate at the surface of the component.
If inclusions exceed a critical size, a crack
can initiate at the inclusion subsurface in the
HCF range. This critical size is under investi-
gation for decades [3537]. It decreases with
rising of material strength. Critical sizes for high
strength steels are in the LCF range less than
100 lm [35]. Since the 1990s the influence of
non-metallic inclusions on fatigue strength is
simulated [38, 39].
In Very High Cycle Fatigue (VHCF) range
over ca. 107 load cycles, respectively low stress, in
the so called transition range to the fatigue
endurance limit, crack initiation starts subsurface
[40, 41]. VHCF cracks tend to initiate at inner
flaws or non-metallic inclusions [42]. These act as
local notches and, likely, as traps for hydrogen.
Meanwhile it turned out that the fatigue
endurance limit in its classical meaning does not
exist above 107 load cycles. In the gigacycle-
range (over ca. 109 load cycles) the size of
flaws relevant for crack initiation is further
reduced [19, 21, 40].
18 Failure Analysis: Case Studies
Fig. 18.2.14 Examples for non-metallic inclusions found in the longitudinal micro section close to crack start at
fracture edge FA; SEM, SE-mode
Fig. 18.2.15 Chemical analysis of the inclusions found
below the surface of the broken axle (according to [24])
Particularly in high strength steels, surface
defects and subsurface non-metallic inclusions
compete for the crack initiation location [44]. In
reverse, components with perfect surface finish
need to have very small inclusions. Defects less
than 3,55,5 lm [44] do not have any influence
on fatigue strength. Non-metallic inclusions
(2040 lm [45]) in normal steel grades enlarge
especially the scatter of fatigue strength values
compared with high purity steels. While the
mean fatigue strength increases little with purity,
reliability rises extensively due to the decrease
of scatter [45].
377
In the following sections the methods for locat-
ing non-metallic inclusions are reviewed and
applied to the fragments of the broken axle. The aim
was to find out if and how non-metallic inclusions
may be detected in whole axles with NDT.
18.2.3.4 NDT on Fragments
of the Broken Axle
To find out if there are further cracks in the
broken axle, following NDT was applied:
Manual operated mechanized UT on both
fragments of broken wheelset axle using a
recording level of approx. 1 mm SCD.
Manual operated mechanized UT on an axle
from same forge batch with recording level
approx. 1 mm SCD.
Manual UT close to crack with focus on
parallel cracks.
Manual MT close to crack.
Crack-type indications were not found at all.
18.2.3.5 Current NDT Methods
for Railway Axles
Inclusions of the excess size found in the broken
axle and further more of the maximum allowed
size ([28] using method [27]) were not detectable
378
Fig. 18.2.16 Sources for non-metallic inclusions during steel manufacturing [53]
with the NDT methods used once at the manu-
facturer of the axle nor with the UT methods
applied once at the manufacturer of the wheel set.
Also during the UT-measurement for transverse
and inner flaws of the hollow axle during periodic
operative inspections those inclusions \1 mm
length are not visible.
18.2.3.6 UT Immersion Technique
for Detection of Non-metallic
Inclusions
The failure investigation of the broken axle
using lCT showed, that inclusions of relevant
sizes may be detected successfully, but only in
little specimen volumes. Following the failure
analysis, the occurence, distribution and sizes of
non-metallic inclusions in the broken axle were
of special interest.
C. Klinger
Ultrasonic immersion technique in principle
is capable to detect flaws in the whole volume of
a railway axle with a resolution up to 125 lm
disk shaped reflector (DSR).
The equipment used in this investigation works
with focused beam probes at 10 and 25 MHz
which positioned in a water tank, Fig. 18.2.18 and
may be moved vertically. With the rotation of the
specimen the relevant volume *25 mm subsur-
face may be scanned. Performing a throughout
screening of 3 blocks of the broken axle using
ultrasonic immersion technique a huge number of
indications was detected. Their equivalent size
was estimated with 150200 lm. They were
located in an angle sector, Fig. 18.2.19. In
Fig. 18.2.20 all indications identified with UT are
plotted in the coordinates of the axle. Most of
them are located in an angle sector over the whole
18 Failure Analysis: Case Studies
Fig. 18.2.17 Almost axially orientated non-metallic
inclusions (visible length *50lm) found at the surface
close to the fracture edge in the transition of the broken
axle (according to [24])
Fig. 18.2.18 Block of the broken axle in UT-immersion
equipment
length of the axle, in which the fatigue crack start
was located too.
379
Fig. 18.2.19 UT immersion technique of specimen
RSWB for volumetric flaws: concentration of indications
in angle segment
18.2.3.7 Verification of UT-Indications
with lCT and Metallography
Some of those areas with high concentration of
UT-indications were cut out of axle and addi-
tionally investigated with lCT, like the cube
described in Sect. 18.2.2.4. The UT- indications
could be verified and their coordinates were
measured. Again, subsequent metallographic
sample preparation was targeted to specific areas
based on the location coordinates of the flaws
identified by both NDT techniques, and revealed
non-metallic inclusions that were similar to
those found close to the crack start cp.
Figs. 18.2.5 and 18.2.14. Again, the size of the
indication in lCT corresponds to its size mea-
sured on the micro section and is much larger
than allowed under the relevant specifications
[28]
Note that all inclusion clusters were oriented
in axial direction, i.e., parallel to the loading
direction. The projected size at the plane normal
to the loading direction was much smaller than
in the axial direction but even in the range of up
to 50 lm maximum.
380
Fig. 18.2.20 Combination of all results of UT of the broken axle: Indications concentrate in an angle segment/sector
18.2.3.8 Gap Between Required Purity
Level and NDT Performance
As a matter of principle, there is a potential gap in
the quality control philosophy of axles with
respect to defects in EN 13261 [28]. As already
mentioned the standard provides rules for maxi-
mum inclusion sizes in accordance with ISO 4967
[27]. Depending on the inclusion type (sulphide,
aluminate and silicate globular oxide) and the
category of steel quality (1 or 2) maximum
dimensions of the inclusions in axial direction
between 76 and 436 lm are allowed. The absence
of larger particles has to be proven by metallog-
raphy at a limited (approximately 200 mm2,
Fig. 18.2.12) polished area parallel to the axial
direction half-way between surface and centre in
solid and between outer and inner surface in
hollow axles at the section of the largest diameter,
Fig. 18.2.12. No guidance is given on the number
of sampling which is the more problematic as
large inclusions at critical positionswhich
could act as fatigue crack initiation siteshave to
be assumed to be very rare in reality.
It is certainly inconsistent to look for seldom
events by a very limited sample. In addition, one
could ask whether it is meaningful to look for
C. Klinger
large inclusions in the middle of the wall,
Fig. 18.2.12, and not at the potentially critical
locations in the axles such as the surface and
subsurface areas below the T notch or other
geometric transitions or the press seats,
Fig. 18.2.3, [46].
In addition to the avoidance of larger
(microscopic) inclusions a (macroscopic) defect-
free state of the axles has to be ensured by NDT
methods such as ultrasonic and magnetic particle
testing at surface as well as inside. This refers to
defects in the order of 6 or more millimetres
according to EN 13261 [28]. Note, however, that
no defects (defect size = 0) are permissible at
all at the geometrical transitions (T, U and V
notch, Fig. 18.2.3). Although correct in principle
this requirement is not realistic since NDT
methods such as standard ultrasonic and mag-
netic particle testing (which, in addition, is
restricted to areas at or close to the surface) are
hardly able to detect defects smaller than milli-
metres, at least not internal defects [46].
On one hand microscopic defects in the order
of some ten or hundred micrometres which have
to be detected by means of metallography with a
very limited sample, on the other hand the
18 Failure Analysis: Case Studies
exclusion of much larger macroscopic defects in
the order of millimetres by NDT screening of the
whole componentand in between a gap, at least
if one thinks about standard NDT methods [46].
18.2.4 Root Causes for Axle Fracture
and Failure Sequence
Coming back to the initial failure analysis of the
high-speed train axle fracture, the results of
components survey, Sect. 18.2.2.1, material test-
ing, Sect. 18.2.2.2 and investigation of the crack
initiation area, Sects. 18.2.2.3 and 18.2.2.4, now
need to be combined for identifying the root
cause(s) of axle fracture [24]. The chronology of
crack initiation, growth and time of final fracture
of the axle is established in Sect. 18.2.4.2.
18.2.4.1 Combination of Causal
Influencing Factors
The root cause for the initiation and growth of a
fatigue crack until final forced fracture of the
axle was a necessary combination of following
influencing factors; if one of those had not been
effective the fracture of the axle likely would not
have occured.
Non-metallic inclusions of excess size are
located in an angle segment of the axle over
its whole length caused by manufacturing.
Detection Gap: The recording level of the UT for
volumetric defects in the forge and wheel set-
manufacturer is higher than needed to detect
impurities according to purity level given in the
product standards requirements [28].
The axle is in terms of fatigue strength highly
utilised in the T-notch
The fracture occurred when the axle was in
service 3.09 million kilometres which refers
to 109 loading cycles. This belongs to the very
high cycle fatigue (VHCF) range were fatigue
crack initiation at impurities close to surface
is likely.
Fatigue Crack growth was faster in this high
strength steel 34CrNiMo6 than within less
strength material established in axle product
standards due to higher notch sensitivity and
high in service stress levels.
381
The fatigue crack has not been detected
because the visual examination 2 days before
fracture and the periodic ultrasonic inspection
150,000 km before fracture were not sensitive
enough or the inspection interval was to long.
18.2.4.2 Failure Sequence
Non-metallic inclusions found at and beneath
the outer surface at the T-notch of the axle
indicate that the fatigue crack initiated at an
impurity/non-metallic inclusion.
The microscopic crack grew to a technical
fatigue crack, which reached and than exceeded
registration level/threshold of UT at an unknown
point of time.
The fracture of the axle did not occur in
Cologne Main Station but on the high-speed line
ca. 50 km before Cologne. This was concluded
after evaluation of secondary damage at the axle,
the bogie frame, the brakes and the coupling as
well as documentation of temperature sensor
signals of the train and the track. Additionally
thermal degradation of rubber sealings in the
coupling 2 between motor and gearbox on this
axle was detected. This was interpreted as evi-
dence that the broken axle did run for much
more than some 100 m in Cologne Main Station.
Fortunately the relevant axle was the trailing
axle in the motor bogie when the final breakage
occurred. Therefore and due to the guidance of
the bogie frame and the wheel disc brakes the
axle did not derail while the train was travelling
at ca. 300 km/h, drove through tunnels and
crossing switches on the line. After changing
travelling direction in Cologne Main Station and
heading for the Rhine bridge on narrow arches,
the broken (and now leading) axle derailed
prompt, Fig. 18.2.1, and the train was stopped
by the emergency brake.
18.2.4.3 Measures for Prevention of Axle
Fractures
The results of the failure analysis [24] revealed on
one hand the influence of non-metallic inclusions in
highly loaded high strength steel axles under VHCF
conditions and on the other hand the gap to detect
those inclusions. Although numerous researchers
382
Fig. 18.2.21 Damaged fracture surfaces FA and FB: heavily destroyed after final fracture
and authors investigated fracture mechanics based
methods for the estimation of inspections intervals
of railway axles [46], generally accepted rules for
railway axles are still missing.
On 17.7.2009 the state attorney in Cologne
closed his investigations because the employees
of the operator Deutsche Bahn can not be prose-
cuted since the impurity of the material was not
visible for the. In principle the manufactures of
the axle may not be accused by the state attorney.
In October 2009 the wheel set industry and
the operator Deutsche Bahn decided to replace
all ICE3 axles by new ones made of less strength
material with adjusted design. The costs due to
C. Klinger
the problem with the axles were estimated to 350
Million Euro at that time.
18.2.5 Outlook: Failure Prevention
Within a literature research the influence of non-
metallic inclusions and other impurities espe-
cially on high strength steels in the very high
cycle fatigue range was reviewed [24], see Sect.
18.2.3.3. Above 107 cycles, high strength steel
and polished surface, fatigue crack initiation does
not occur at the surface but at impurities e.g. non-
metallic inclusions below surface [3537].
18 Failure Analysis: Case Studies
Fig. 18.2.22 Longitudinal section (etched) through the
crack start area at the strongly deformed fracture edge,
original contour of the T-notch (dotted line), a = axial,
In some previous failure cases, the investi-
gators were successful in detecting and docu-
menting non-metallic inclusions as fatigue crack
starter on fracture surfaces [47, 48] e.g. of a big
crankshaft made from a similar high strength
tempering steel [49].
Because the NDT methods currently required
by the product standards [28] are not sensitive
enough to detect impurities e.g. non-metallic
inclusions of the maximum allowed size as
required by the same product standard [28],
there is a big detection gap, cp. Sect. 18.2.3.8.
There are two ways to improve this unsatisfac-
tory situation for railway axles:
Improve NDT methods to detect impurities as
required in [28].
Reduce fatigue limit for the design process
with respect to the recording level of the NDT
method used in qualification process during
manufacturing. This causes an increase of
dimensions and mass of the axles.
383
r = radial, cube cut out for lCT investigation (upper
right corner)
18.2.5.1 Application and Further
Development of UT Immersion
Technique
UT immersion technique is already established
in aviation industry for big parts. It is also
applied for small inclusions in super alloys [50]
or within UT based microscopic purity assess-
ment [51] similar to Stahl-Eisen-Prfblatt SEP
1927 and DIN 50 602.
The application of UT immersion technique
for a 100 % test of railway axles on inner flaws
is possible; further validation of test parameters
is recommended [52].
18.2.5.2 Way Out of the Gap
To close the gap, one idea is to perform a more
thorough investigation on a number of carefully
chosen axles (e.g. by ultrasonic immersion
technique or destructive methods) and to use the
result for statistically specifying an upper-bound
inclusion size which, by state-of-the-art quality
384
control, will be found with a satisfying high
probability. On the other hand smaller defects
could escape its detection and have, therefore, to
be taken as existent even if the NDT record is
negative. The limit defect size could then be
used, in a worst case scenario, for the specifi-
cation of a general reduction factor for the fati-
gue strength [46]. The NDT technique has to be
developed such that defect sizes larger than this
limit are very probably be found by quality
control measures exclusively based on a meth-
odology allowing the complete screening of the
mechanically critical positions of the axles, the
T-notches and seats, Fig. 18.2.3.
Acknowledgments The author thanks the 28 additional
experts of BAM within 7 disciplines involved in the examina-
tions for their dedicated cooperation and the interesting
discussions.
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ageing of general construction steels. Arch.
Eisenhttenwes. 36, 3541 (1965)
15. Verein Deutscher Eisenhttenleute (ed.) Werkstoffkunde
Stahl, Band 1. Springer, Grundlagen (1984)
16. Dahl, W., Lenz, E.: Effect of manganese content on
quench ageing and strain ageing of carbon and/or
nitrogen. Arch. Eisenhttenwes. 46, 119125 (1975)
17. DIN EN 10002-1, Metallic materialsTensile testing
Part 1: Method of test at ambient temperature (2001)
18. VDE 0210 Rules for the design of Overhead
electrical transmission lines (1958)
19. DIN EN 50341-1: Overhead electrical lines
exceeding AC 45 kVPart 1: General requirements-
Common specifications (2002)
20. Export Report of Federal Institute for Materials
Research and Testing BAM: Failure Analysis on
transmission towers failed in the Mnsterland, BAM,
Berlin (2006)
21. DIN EN 50341-3-4: Overhead electrical lines
exceeding AC 45 kVPart 3: national normative
aspects (NNA) (2001)
22. VDE-AR-N 4210-3: Test and evaluation methods for
determining the load capacity of structural members
made of Thomas steel in steel lattice overhead line
towers with nominal voltages of 110 kV and above
(2011)
23. DIN EN 50341-1: Overhead electrical lines
exceeding AC 45 kVPart 1: General requirements-
common specifications (2010)
24. Expert report of Federal Institute for Materials
Research and Testing BAM: Gutachten BAM-V.3/
566: Schadensanalyse an der gebrochenen
Radsatzwelle 2660419 der BR 403 ICE 3.- BAM,
Berlin, 2009-03-09 unpublished
25. Klinger, C.,Bettge, D., Hcker, R., Heckel, T.,
Gohlke, D., Klingbeil D.: Failure analysis on a
broken ICE3 railway axleInterdisciplinary
approach. In: Beretta, S. (ed.) Proceedings ESIS TC
24 Railway structures Workshop on Fatigue
Strength and Fatigue Life of Railway Axles,
Berlin, 10 Oct 2010
26. EBA-Report 2008, Page 10 http://www.eba.bund.de/
SharedDocs/Publikationen/DE/Infothek/Allgemeines/
Sicherheitsberichte/sicherheitsbericht__2008,templa-
teId=raw,property=publicationFile.pdf/sicherheitsbericht_
2008.pdf
27. ISO 4967:1998: SteelDetermination of content of
non-metallic inclusionsMicrographic method
using standard diagrams (1998)
18 Failure Analysis: Case Studies
28. EN 13261: Railway applications. Wheelsets and
bogies. Axles product requirements, Annex A.
European Committee for Standardization (CEN),
Brussels, Belgium
29. ISO 4967:1988 SteelDeter:mination of content of
non-metallic inclusionsMicrographic method
using standard diagrams
30. Murtaza, G., Akid, R.: Empirical corrosion fatigue
life prediction models of a high strength steel. Eng.
Fracture Mech. 67, 461474 (2000)
31. Zhang, J.M., Li, S.X., Yang, Z.G., Li, G.Y., Hui,
W.J., Weng, Y.Q.: Influence of inclusion size on
fatigue behaviour of high strength steels in the
gigacycle fatigue regime. Int. J. Fatigue 29, 765771
(2007)
32. Liu, Y.B., Yang, Z.G., Li, Y.D., Chen, S.M., Hui,
W.J. Weng, Y.Q.: Dependence of fatigue strength on
inclusion size for high-strength steels in very high
cycle fatigue regime. Mat. Sci. Eng. A, A517, 180
184 (2009)
33. Ma, J., Zhang, D., Han, E.-H., Ke, W.: Effects of
inclusion and loading direction on the fatigue
behaviour of hot rolled low carbon steel. Int.
J. Fatigue 32, 11161125 (2010)
34. Pessard, E., Morel, F., Morel, A., Bellett, D.:
Modelling the role of non-metallic inclusions on
the anisotropic fatigue behaviour of forged steel. Int.
J. Fatigue 33, 568577 (2011)
35. Murakami, Y., Endo, T.: Effects of small defects on
fatigue strength of metals. Int. J. Fatigue 1, 2330
(1980)
36. Murakami, Y., Usuki, H.: Quantitative evaluation of
effects of non-metallic inclusions on fatigue strength
of high strength steels. II: Fatigue limit evaluation
based on statistics for extreme values of inclusion
size. Int. J. Fatigue 11, 299307 (1989)
37. Murakami, Y., Kodama, S., Konuma, S.:
Quantitative evaluation of effects of non-metallic
inclusions on fatigue strength of high strength steels.
I: Basic fatigue mechanism and evaluation of
correlation between the fatigue fracture stress and
the size and location of non-metallic inclusions. Int.
J. Fatigue 11, 291298 (1989)
38. Murakami, Y., Endo, M.: Effects of defects,
inclusions and inhomogeneities on fatigue strength.
Inter. J. Fatigue 16, 163182 (1994)
39. Zhang, J.M., Zhang, J.F., Yang, Z.G., Li, G.Y., Yao,
G., Li, S.X., Hui, W.J., Weng, Y.Q.: Estimation of
maximum inclusion size and fatigue strength in high-
strength ADF1 steel. Mater. Sci. Eng. A394, 126
131 (2005)
40. Wang, Q.Y., Bathias, C., Kawagoishi, N., Chen, Q.:
Effect of inclusion on subsurface crack initiation an
gigacycle fatigue strength. Int. J. Fatigue 24, 1269
1274 (2002)
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Bergstrm, J.: Relating gigacycle fatigue to other
methods in evaluating the inclusion distribution of a
H13 tool steel. Fourth Int. Conf. Very High Cycle
Fatig. 4, 4550 (2007)
42. Murakami, Y.: Effects of non-metallic inclusions on
fatigue strength. In: Murakami, Y. (ed.) Metal
Fatigue: Effects of Small Defects and Non-Metallic
Inclusions, pp. 75127. Elsevier, Amsterdam (2002).
(Chapter 6)
43. Sakai, T.: Review and prospects for current studies
on very high cycle fatigue of metallic materials for
machine structural use. Fourth Int. Conf. Very High
Cycle Fatig. 4, 312 (2007)
44. Yang, Z.G., Zhang, J.M., Li, S.X., Li, G.Y., Wang,
Q.Y., Hui, W.J., Weng, Y.Q.: On the critical
inclusion size of high strength steels under ultra-
high cycle fatigue, Mater. Sci. Eng. A427, 167174
(2006)
45. Yang, Z.G., Zhanga, J.M., Lia, S.X., Lia, G.Y.,
Wanga, Q.Y., Huib, W.J., Weng, Y.Q.: The fatigue
behaviours of zero-inclusion and commercial
42CrMo steels in the super-long fatigue life regime.
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46. Zerbst et al.: Safe life and damage tolerance aspects
of railway axlesA review. EFM 2012 paper to be
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48. Erscheinungsformen von Rissen und Brchen
metallischer Werkstoffe, Verlag Stahleisen, 1996
49. Bargel, H.-J., Schulze,G.: Werkstoffkunde.- Berlin,
Schroedel, 1978, S. 359360 basierend auf: Wohler, H.:
Prfbericht 1.2/11323, Schwingbruch einer
Kurbelwelle aufgrund nichtmetallischer Einschlsse.-
BAM-Berlin 1977 (unverffentlicht)
50. Gohlke, D., Behrendt, B., Matthies, K., DiIorio, I.:
Lsungsanstze fr die Bewertung kleinster Fehlstellen
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Structural assessment of railway axlesA critical
review.- EFA 2012 paper to be published (2012)
 Machinery Diagnostics
Richard S. Cowan and Ward O. Winer
For as long as there have been machines, there
have been maintenance issues, uncertainties
regarding reliability, and failures. Yet, the impact
of such occurrences has significantly changed as
manufacturing has moved away from the manual
labor of the Industrial Revolution to the electro-
mechanical systems of todays technology-driven
society. With an ever-increasing reliance on
expensive and complex machines, machinery
failures significantly affect company profits, lar-
gely due to the loss of equipment availability, the
cost of spare parts, the risk of injury to people, and
the possibility of damage to the environment.
The response of such pressures from industrial
concerns and government agencies has been to
demand that maintenance systems minimize the
risks of equipment failure. In turn, this has spurred
technology advances in providing a means to
monitor and assess the condition of tribological
elements and mechanical systems, rather than
waiting until failures occur or replacing parts as a
matter of routine. The aim of this chapter is to
present these technologies for machinery diag-
nosis in terms of failure prevention strategies and
condition monitoring approaches, and suggest
R. S. Cowan (&)  W. O. Winer
The Woodruff School of Mechanical Engineering,
Georgia Institute of Technology, 801 Ferst Drive,
N.W, Atlanta, GA 30332-0405, USA
e-mail: rick.cowan@marc.gatech.edu
W. O. Winer
e-mail: ward.winer@me.gatech.edu
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_19, Springer-Verlag Berlin Heidelberg 2013
19
how they can be applied so as to lead to the
effective management of equipment assets.
19.1 Failure Prevention Strategies
Machine failures happen in many different ways
and for many different reasons. To prevent their
occurrence at an inopportune time, a strategy
can be employed based on learning from past
events, understanding present performance, and
adopting a cost-effective maintenance approach.
19.1.1 Root-Cause Analysis
When something fails, the limitations of a
design can be quickly understood. While success
enables one to see the possibilities for reducing
conservatism by subjecting machinery to more
demands, it is only in failure that boundaries are
defined and much can be learned to increase
safety and reliability, and decrease manufactur-
ing and operating costs.
Failure analysis methodologies have progressed
to the point of becoming somewhat routine, simple,
and straightforward. It is imperative that evidence is
cataloged and all steps and parts are fully docu-
mented to preserve a thorough record.
Before defining the analytical steps required
for a failure investigation, one must first deter-
mine what will be done with the information
gained. For instance, will the failure mode
information be used to model the failure, such
387
388
that time-to-failure can be predicted for other
similar designs? This may enable the imple-
mentation of a more effective maintenance
schedule. Or, is how the component behaves in
its environment the objective? This may lead to
a longer service life. Perhaps, results from a
study may suggest that the component or system
needs to be redesigned. Given the right objec-
tive, there are many different techniques avail-
able for an analysis and someone trained in
conducting one will know which are best suited
for a particular cause.
By probing failures to their root cause, the
results should ultimately impact some aspect of
product manufacture and or use. Areas of sig-
nificance include the development of new design
approaches, the creation of redesigned configu-
rations for improved safety and reliability, and
the justification for service life extension.
To have confidence that a machine will carry out
its intended purpose, one must establish its fitness
for use as determined through its quality of design
and quality of conformance. Quality of design
infers reaching a level of attainment in perfor-
mance, reliability, serviceability, and or function as
determined through deliberate engineering and
management decisions. Quality of conformance
infers a systematic reduction of variability and
elimination of defects until every unit produced by
the machine is identical and defect free.
Understanding and improving upon quality
can minimize the likelihood of catastrophic
failure, and lead to lower costs, higher produc-
tivity, increased customer satisfaction, and ulti-
mately higher profits. Insight can be readily
obtained through statistical control and reliabil-
ity engineering methods [1].
19.1.2 Statistical Control
Statistical control can be broadly defined as those
mathematical and engineering methods useful in the
measurement, monitoring, and improvement of
quality. It dates back to the 1920s with the devel-
opment of statistically based sampling and inspec-
tion methods at Bell Telephone Laboratories, and
matured during the 1940s as the techniques spread to
other industries.
R. S. Cowan and W. O. Winer
In evaluating the possibility of failure, one
may wish to compare a set of measurements for
a given product to a set of specifications. The
designer or the customer determines these
specifications, usually called tolerance limits.
Mathematically, tolerance limits are a set of
bounds between which one can expect to find
any given proportion of a population. If one
knows or assumes that a parameter is normally
distributed with mean l and variance r2, then
tolerance limits can be constructed at any level
of confidence for a proportion of the population
using the tables of the cumulative normal dis-
tribution. Measurements recorded outside the
bounds would likely be symptomatic of a
problem.
Theoretically, all processes can be charac-
terized by a certain amount of variation if
measured with an instrument of sufficient reso-
lution. When this variability is confined to
chance variation only, the process is said to be in
a state of statistical control. However, a situation
may exist in which the process variability is also
affected by some assignable cause, such as a
worn machine component. The power of a
control chart lies in its ability to detect assign-
able causes.
A control chart, whether for measurements or
attributes, consists of a centerline corresponding
to the average quality at which the process should
perform when statistical control is exhibited, and
two control limits, called the upper and lower
control limits. A typical chart is shown in
Fig. 19.1. The control limits are chosen so that
values falling beyond them can be taken to
Upper control limit
Sample quality characteristics
Center line
Lower control limit
1 2 3 4 5 6 7 8 9 10 11 12
Sample number
Fig. 19.1 A typical control chart
19 Machinery Diagnostics
indicate a lack of statistical control. The general
approach consists of periodically taking a random
sample from the process, computing some
appropriate quantity, and plotting that quantity on
the chart. Other graphical tools that may be used
to gage system performance include the histo-
gram, Pareto diagram, cause-and-effect diagram,
and defect-concentration diagram. Each uniquely
contributes to performance improvement through
a systematic reduction of variability.
The key task in the application of statistical
control is determining the appropriate variables
on which to apply control. The number of con-
trol charts used is not as important as having the
correct chart present at the right time and place
to enable operators and management to find and
remove the source of a problem.
19.1.3 Reliability Engineering
Reliability engineering originated in the aero-
space industry during the 1950s when failure
rates of military electronic systems resulted in
limited supply and high life-cycle costs. With an
emphasis on data collection, statistical analysis,
and risk assessment, this engineering discipline
has since achieved significant credibility in
providing one the probability that a component
or system will perform a required function
without failure under a given set of circum-
stances. This is predicated on knowing what
failures to expect, and how they will become
evident over time.
The failure process is usually complex, con-
sisting of at least three types of failures: initial
failures, wearout failures, and those that fail in
between. Figure 19.2, the so-called bathtub
curve, represents a typical failure pattern. In a
well-designed system, the majority of failures
are completely random. These would be depic-
ted by the bathtub curve shown during the period
when the failure rate is lowest, and for most
purposes can be regarded as constant.
Other common forms of failure patterns are
shown in Fig. 19.3. Line A can usually be
applied to parts that seldom fail, but are sub-
jected to damage at any time. Line B represents
a failure pattern for an item that has a finite life,
389
Wear out
Break-in
Failure Rate
Time
Fig. 19.2 Three-stage (bathtub) failure curve
Probability of failure
C
D
C
B
B D
A A
Time
Fig. 19.3 Common failure patterns
with the majority of failures occurring before
that life is doubled. For example, a light bulb
guaranteed for a certain number of hours. Line C
exhibits a gradual increase of failures, true of
many mechanical moving parts subjected to
gradual wear. Line D demonstrates that when
early-age failures have been removed by burn-
in, the time to occurrence of wear out failures is
very great (as with electronic parts).
Mathematically, it is appropriate to model the
anticipated failure pattern with a distribution
formula to predict the likelihood of failure, and
hence determine the extent of reliability testing
required before endorsing a system or structure of
interest [1]. In situations where most failures are
due to wear, the normal distribution (Gaussian
distribution) may very well be appropriate. The
gamma distribution is frequently used to model
components that have an exponential time-to-
failure distribution. When a system is composed
of a number of components, and failure is due to
the most serious of a large number of possible
defects, the Weibull distribution seems to do
390 R. S. Cowan and W. O. Winer

particularly well as a model. Should complex and Table 19.1 History of maintenance approaches
competing failure modes exist, modeling should Period Manufacturing Dominant
be supplemented with results from statistically characteristics maintenance
based experiments. approach
In forming a statistical design of experiments, Up to 1940s Overdesigned Failure-based
judgment is needed in determining a factorial set maintenance
of computer simulation tests and or actual Reliable Lubricate and service
hardware tests. Upon performing these tests, 19401970s Increased Time-based
mechanization maintenance
results are analyzed using variance techniques.
Downtime Fixed-time overhauls
Through mathematics, an understanding of the issues
sensitivity of the design to each factor or inter- 19701980s Worldwide Time-based
action of factors results. By being attentive to the competition maintenance
identified characteristics that significantly Increasing Reliability-centered
impact the system or structure of interest, reli- costs maintenance (RCM)
ability improvement, and/or life extension may (inflation)
be achieved. Just-in-time
inventory
As reliabilities improve, test times corre-
1980s Highly Time-based
spondingly increase. Thus, demonstration testing
present automated maintenance
becomes less practical. An alternative to testing equipment
is to continuously monitor the structure of Safety/ Reliability-centered
interest during its development stage so that environmental maintenance
weaknesses are quickly identified. The process issues
enables misapplied parts to be found and Computer Pursuit of condition-
technology based maintenance
replaced, design errors to be corrected, and
(CBM)
defects associated with workmanship or manu-
facture to be eliminated. Accumulating test data
from different environments during the design Approaches taken to maintain systems have
process is not simple, but necessary to ferret out evolved as industry has changed as shown in
any unintended performance attributes. Table 19.1. Given product demand, historical
behavior, and management attitude, the mainte-
19.1.4 Asset Maintenance nance plans of today will likely be unique to the
system of interest, incorporating one or more
If equipment is not looked after, the impact is maintenance philosophy based on failure mode,
not immediately noticed. As a result, it is con- timing, reliability, or condition.
ceivable that a Not broke, dont fix it attitude
can prevail in an industry with the inherent 19.1.4.1 Failure-Based Maintenance
benefit of making short-term profit by saving Failure-based maintenance requires little if any
monies earmarked for upkeep. Yet, given the advanced planning. It typically takes the form of
complexity in the design and operation of most waiting until a failure occurs, at which time the
machines, breakdown is inevitable and has an reaction is to repair the damage. This is the
ever-increasing impact on profitability due to simplest approach to maintenance and is very
factors such as loss of availability, cost of effective if the cost of failure and repair are both
spares, cost of labor, cost of secondary damage, low. The drawbacks depend on the consequence
and risk of injury to people and the environment. of failure. Unexpected failures are disruptive to
The engineering challenge has therefore become existing activities, requiring plans to be altered,
one of identifying the optimum means for and may cause a loss in productivity.
insuring against catastrophic failure, while The means to implement this approach is
avoiding needless expenditure. extremely simple. The failure is defined and
19 Machinery Diagnostics
cataloged to provide information for future use,
and assigned a priority as to the urgency of
repair. Upon assembling the necessary resour-
ces, the system is restored to its original
condition.
19.1.4.2 Time-Based Maintenance
Time-based maintenance evolved due to the
economic impact of failure-based maintenance.
It is a system of addressing upkeep at fixed
periods of time, independent of the condition of
the equipment. It is very effective when the
performance and condition of equipment is
related to the passage of time, and where the
maintenance tasks can be carried out simply and
quickly, such as an oil or filter change. Often, an
annual cycle is used for shutdown, disassembly,
and mechanical inspection of the various ele-
ments of the system.
One disadvantage of this maintenance phi-
losophy is associated with the random nature of
failures. As with failure-based maintenance, an
unanticipated malfunction can lead to high
repair costs and a heavy loss in productivity. A
second disadvantage is that at the designated
time for inspection, perfectly good equipment
can be disassembled. This is not only expensive
because of downtime and labor, but exposes the
equipment to be at risk upon reassembly due to
human error and or the introduction of foreign
elements.
19.1.4.3 Reliability-Centered
Maintenance
Reliability-centered maintenance (RCM) is a
technique originating in the aircraft industry to
develop maintenance schedules on the principle
that the reliability of systems and structures and
the performance achieved is a function of design
and build quality. Two separate methodologies
are used, one for systems and the other for
structures [2].
For systems, RCM begins with a topdown
failure modes and effects analysis (FMEA). The
objective of the FMEA is to identify all plausible
means of failure for each item of a system based
on its function. Criticality analysis is sometimes
employed to rank the modes according to
391
probability of occurrence and severity. The
modes are then categorized as to being evident
to or hidden from the operator in the normal
performance of duty, and further differentiated
as to consequences sensitive to a particular
sector of industry (e.g., safety, environment,
operations, and economics). From the resulting
list, a set of questions are asked to determine the
most effective maintenance task to address each
failure mode. The outcome may dictate at a
specified time interval whether to determine the
condition of the item, rework the item, discard
the item, or do nothing. It may even suggest that
the failure mode cannot be addressed through a
maintenance task and must be redesigned.
For structures, RCM methods were developed
to establish inspection regimes to ensure struc-
tural integrity and thereby safety. Operational
and economic consequences do not apply. The
methodology is based on the assumption that
structure has a safe life, normally related to the
fatigue process, or is designed so that it incor-
porates the use of redundant load paths. For
inspection purposes, structurally significant
items are identified and rated in accordance with
their risk of damage due to fatigue, environ-
mental deterioration, and accidental damage
using a table of structural rating factors devel-
oped specifically for each application. For non-
significant areas, a low-cost visual inspection
plan is implemented.
RCM is being used effectively over a wide
range of industries as well as in commercial or
military aviation where its use is now accepted
practice. Normally, it is necessary to cost-justify
the process as it has a cost of its own, including
the time it takes to acquire the necessary skills
for implementation.
19.1.4.4 Condition-Based Maintenance
Condition-based maintenance (CBM) is safer
and economically more attractive than either the
failure-based or time-based methods. The fun-
damental concept behind CBM consists of
evaluating the system or structure from many
aspects and assessing the current state of oper-
ation or performance. Maintenance plans and
requirements are then driven by the anticipated
392
workload. The key to CBM is being able to
perceive or assume a condition as a result of
sensing, observation, or test.
Evaluation based on condition requires man-
agement support, as resources must be allocated
for the devices used to obtain information about
the behavior of the system or structure, as well
as to establish documentation and historical
information for comparative use. Trained per-
sonnel are required to implement and sustain the
effort. In an effectively run program, the savings
incurred from reduced maintenance should off-
set these costs. Success or failure is dependent
on good knowledge of the condition of the item
of interest, necessitating that condition moni-
toring is a prerequisite. The tools and techniques
required for the implementation of condition
monitoring are discussed in the following sec-
tion of this chapter.
19.1.5 Knowledge-Based Systems
Knowledge-based systems are information pro-
cessing machines that attempt to mimic the rea-
soning behavior of humans. They can operate on
the basis of rules, capturing the decision-making
process of an expert, or trained in a manner to
recognize and respond to patterns of data.
Acquiring diagnostic recommendations
through a rule-based approach to analyzing infor-
mation relies on prodding, interpreting, and rep-
resenting knowledge from human experts. Care
must be exercised to avoid misinterpretation, gaps,
or errors in programming the logic used to arrive at
an outcome. The benefit of using this method of
artificial intelligence is that results are quickly
provided to a diagnostician through a consistent
path of directives based on a fixed sequential order.
The downside is that the process cannot readily
adapt to changes because of its rigid structure.
Thus, the expert system must be periodically
reprogrammed as experience is gained, which can
be time consuming and expensive.
In an attempt to apply a more human-like
way of thinking in the programming of com-
puters, fuzzy logic may be used to describe how
to execute decisions or control actions without
having to specify process behavior through
R. S. Cowan and W. O. Winer
X1 X2 X3 X4
Hidden layer -
Z1 Z2
Fig. 19.4 Neural network structure
complex equations. Fuzzy logic is a superset of
conventional Boolean logic that has been
extended to handle the concept of partial truth
when traditional true/false logic cannot ade-
quately address situations that present a number
of ambiguities or exceptions. Viewed as a for-
mal mathematical theory for the representation
of uncertainty, which is crucial to the manage-
ment of equipment assets, fuzzy logic permits
notions like rather warm or pretty cold to
be formulated for computer use.
Research activity has been undertaken into
the possible use of neural networks in condition
monitoring and diagnostics, modeled on the
nerve cells of the brain [3]. This knowledge-
based system learns to recognize complex pat-
terns through a set of processing elements (or
nodes) that are interconnected in a network that
looks something like that of Fig. 19.4. The top
layer represents the input layer, in this case with
four inputs labeled X1 through X4. In the middle
is the hidden layer (or layers), with a variable
number of nodes that perform much of the work
of the network. The output layer in this case has
two nodes, Z1 and Z2, representing conclusions
to be determined from the inputs.
Each node in the hidden layer is fully con-
nected to all inputs. This hidden layer is where
the network learns interdependencies. The net-
work is repeatedly shown observations from
available data related to the problem to be
solved, including both inputs and desired out-
puts. It then tries to predict the correct output for
each set of inputs by gradually reducing error
19 Machinery Diagnostics
through algorithms that involve an iterative
search for a proper set of weights that will
accurately predict the outputs. Hence, raw data
is used and manipulated to update the system
and draw the best conclusion based on all
experience the network has encountered to date.
As knowledge is not explicitly declared, the
method is limited in justifying its chain of
reasoning.
The most recent development in knowledge-
based systems is hybrid intelligence, combining
the best features of expert systems, neural net-
works, and fuzzy logic. Object-oriented pro-
gramming provides the necessary structure to
enable these techniques to work together, so as to
complement their strengths, and to provide justi-
fication of the decision-making process. This is of
prime value to diagnosticians who want to
understand and decide for themselves whether the
recommendations that result are sound.
19.2 Condition Monitoring
Approaches
One of the primary considerations in designing a
tribological system is in the selection of a material
that will satisfy functional need both safely and
reliably. Such a decision process is usually
expressed in terms of physical, mechanical,
thermal, electrical, or chemical properties, linking
a candidate material structure and composition to
its intended performance objective (Fig. 19.5).
Designers generally rely on material properties
that are low in cost, easy to measure, fairly
reproducible, and associated with a well-defined
response through specifications.
Structure Performance
Atomic Bonding Stresses
Crystal Structure Corrosion
Material Temperature
Defect Structure
Properties
Microstructure Radiation
Macrostructure Vibration
Fig. 19.5 Material properties link structure
performance
393
The selection of materials on a rational basis
is far from easy. Regardless of how well a
material has been characterized and how well
performance requirements have been defined,
there will always be a degree of uncertainty as to
its ability to perform for a specified period.
The traditional method of keeping tribologi-
cal systems in good working order has been
through regular scheduled service. However,
many procedures are carried out more often than
is necessary, and can lead to disaster should a
serious fault develop between service intervals.
Therefore, there is an increasing interest in
performing maintenance on condition. A sche-
matic of a typical CBM system is shown in
Fig. 19.6. The key components consist of sen-
sors, fault classifiers, predictive models, and
model/data fusion and outputs.
Evaluation based on condition requires man-
agerial support, as resources must be allocated to
obtain information about the behavior of a given
system, as well as establish documentation for
comparative use. While the two most widely
used methods are vibration monitoring and oil
analysis, there are many other effective approa-
ches [4] as noted in Table 19.2 and discussed in
the following sections.
19.2.1 Vibration Monitoring
Vibration is defined as a periodic motion about an
equilibrium position. Its duration and magnitude
depend upon the degree of damping the effected
materials possess and the phase relationships
between the mechanism that perturbs the system
and the response that is obtained. Vibration may
be forced through unbalance, rub, looseness, and
misalignment, or freely self-excited through
internal friction, cracking, and resonance.
Once generated, vibration can be transmitted
from its source to other components or systems.
When it reaches unacceptable levels, tribologi-
cal wear and tear processes are accelerated,
which in turn initiate various failure mecha-
nisms. Hence, by monitoring for the presence
to and change of vibration patterns through the
methods of signature analysis or shock pulse, the
394 R. S. Cowan and W. O. Winer

Tribological
System

Sensors

Fault Fault
Detectors Classifiers

Output:

Predictive Model/Data Warning

Models Fusion Detection
Classification
Life Prediction

Fig. 19.6 Elements of a condition monitoring approach

Table 19.2 Condition monitoring methods

Monitoring Elements Machine Measurement
Technique Monitored Diagnosis
Vibration Bearings Imbalance Displacement
Signature analysis Gears Looseness Velocity
Shock pulse method Rotors Misalignment Acceleration
Shafts Wear Spike energy
Oil analysis Bearings Contamination Composition
Chemical/physical testing Gears Degradation Contaminants
Spectrography Rotors Fracture
Ferrography Lubricant Wear
Magnetic chip detection
Particle counting
Image analysis
Thermal monitoring Bearings Chemical reaction Temperature
Contact methods Coolant Fracture
Non-contact methods Gears Friction
Lubricant Overload
Motors Wear
Nondestructive evaluation Rotating equipment Cracks Flaw size
Visual inspection Structures Decay Frequency
Penetrant/particle inspection Leakage
Eddy current inspection Wear
Acoustic emission monitoring
Ultrasonic monitoring
Radiography
Corrosion monitoring Structures Chemical reaction Dimensions
Electrochemical methods Resistance
Material loss methods Voltage
Weight
Performance monitoring Filters Blockages Current
Flow Seals Failed rotors Flow rate
Current monitoring Motors Worn brushes Pressure
19 Machinery Diagnostics
consequences of avoidable breakdowns can be
prevented (Eisenmann and Eisenmann [5]).
19.2.1.1 Signature Analysis
As vibration exhibits a unique pattern or signature of
motion, analysis aims to provide information con-
cerning its amplitude and predominant frequencies
using data transmitted from sensor pick-up. The
means to accomplish this may vary from direct
measurement in the time domain to the sophisti-
cated application of several mathematical methods
in both the time and frequency domains [6].
The first step in the monitoring of vibration is
to capture an accurate recording of it, normally
over a period of time. The devices typically used
for this task are electronic sensors, or transduc-
ers, which convert numerous types of mechani-
cal behavior into proportional electronic signals.
Transducer outputs are usually converted into
voltage-sensitive signals that may be processed
with various electronic instruments.
Accelerometers are preferred for most vibration
monitoring applications. These acceleration-mea-
suring devices are fully contacting probes that are
mounted directly onto a mechanical element (e.g.,
a bearing housing). They are useful for detecting
low to very high frequencies (330,000 Hz) and
are available in a wide variety of general purpose
and application specific designs.
Velocity sensors, generally used for low to
medium frequency measurements (11,500 Hz),
obtain absolute velocity measurements of
machine elements. Traditional velocity coil sen-
sors or vibrometers use an electromagnetic (coil
and magnet) system to generate the velocity sig-
nal without the need of an external power source.
They are fully contacting probes that are mounted
directly onto the structure to be monitored. During
recent years, piezoelectric velocity transducers
(internally integrated piezoelectric accelerome-
ters) have replaced these devices due to cost and
durability in applications where velocity remains
the preferable measurement.
Displacement sensors are typically used to
measure changes in position and clearance. A
linear-variable differential transformer (LVDT)
converts the rectilinear motion of an object to
which it is attached into a corresponding electrical
395
signal by means of a series of inductors positioned
in a hollow cylindrical shaft and a solid cylindri-
cal core. A rotary-variable displacement trans-
former (RVDT) similarly senses angular position.
Piezoelectric transducers (doubly integrated
accelerometers) have also been developed to
measure displacement, yielding an output pro-
portional to the absolute motion of a structure.
Noncontact proximity probes, such as eddy cur-
rent sensors, can monitor the relative motion
between the proximity sensor mounting point and
a target surface. These devices are generally used
to sense shaft vibration relative to bearings or
some other support structure.
The collection, transmission, and recording of
vibration information should be done efficiently
to avoid signal degradation. Signals must be
protected from the many forms of interference
generated by electrical and mechanical compo-
nents during normal circuit operation. Transmis-
sion lines should be shielded from magnetic and
electrostatic fields with appropriate materials.
The degree of difficulty in acquiring quality
vibration signal information increases with the
complexity of the conditioning and recording
devices used. Such instrumentation may include
an oscilloscope, tape recorder, real-time signal
analyzer, and dedicated digital computer.
The machine diagnostician may find it useful
to convert the continuous analog signal measured
by a transducer to a discrete form stored at equal
time intervals in computer memory. This analog-
to-digital conversion of data, known as digitizing,
is carried out by a microprocessor. An electronic
filter may also be of use in rejecting unwanted
portions of the signal being transmitted. Both
analog and digital filters are commonly used.
19.2.1.2 Shock Pulse Method
The shock pulse method (SPM) is a technique for
using signals from rotating elements in contact as
the basis for efficient condition monitoring of
machines. It can not be used to determine which
part is at fault, but can be used to detect a lack of
lubricant and or the presence of wear when there is
no physical deformation present. This method
does not measure the vibration itself, but the
shock wave or pulse created from impact.
396
When two bodies collide, a mechanical shock or
pressure wave spreads through the material of both
bodies. Its peak amplitude is a function of the
impact velocity. The frequency of this vibration is a
function of the mass and the shape of the colliding
bodies, e.g., a rolling element and bearing raceway.
When the wave front is detected by a transducer,
the transducers reference mass reacts to the weak
shock pulses with an amplitude oscillation. Elec-
tronic filtering is used to ensure that the transducer
responds at its carefully tuned resonance frequency
of about 32 kHz, which enables a calibrated mea-
surement of the shock pulse amplitudes.
For bearing analysis, a microprocessor eval-
uates the signal using input data defining the
bearing size and rotational velocity, and pro-
vides a decibel scale measurement of the shock
pulse strength. Over time, a rise of up to 35 dB
indicates developing damage, 3550 dB indi-
cates visible damage, and above 50 dB indicates
risk of failure. Readings can be translated into
measurements of relative oil film thickness or
surface damage, whichever applies.
19.2.2 Oil Monitoring
Oil is required to perform a number of functions
in machinery, including reducing friction, cool-
ing components, and cleaning load-bearing sur-
faces. Over time, it is likely to degrade, losing its
lubrication properties due to chemical break-
down, and become contaminated by a build-up
of particles caused by component wear.
A number of techniques are available for
analyzing the condition of the oil and any wear
particles that are present [7]. Results can provide
information that is very useful in determining
the actual state of machine performance, and
lead to improved efficiencies and cost savings in
equipment operation.
19.2.2.1 Chemical and Physical Testing
The chemical and physical testing of oil necessi-
tates that a representative sample of the oil supply
be taken for analysis. In circulating oil systems,
the best location to obtain this sample is at a live
zone, upstream of filters where wear debris par-
ticles are likely to concentrate. Usually, this
R. S. Cowan and W. O. Winer
means sampling from fluid return or drain lines.
The sample should ideally be taken while the
machine is running at its normal load, speed, and
work cycle with the lubricant at normal operating
temperature. Since an important objective in oil
analysis is to obtain results of integrity, consid-
erable care must be taken to avoid contaminating
the sample. Sampling intervals are commonly
scheduled at a frequency that may be keyed to
recommended drain intervals or operating hours.
A number of parameters are available for
describing the condition of oil. Special instru-
mentation and skill is often required. For this
reason, analysis is commonly performed by
lubricant companies or outside laboratories,
offering fast and relatively inexpensive service.
19.2.2.2 Spectrography
Spectrography is an analysis method that iden-
tifies the presence of particular elements within
an oil. Results can be compared to those of an
as-new oil sample in identifying deleterious
particles and the rate in which they generate. A
typical report from this test would summarize
the results for the customer, and recommend
remedial action. Table 19.3 provides a summary
of metals that may be identified with an indi-
cation as to their possible origin.
19.2.2.3 Ferrography
Ferrography is an analysis method that identifies
the presence of ferrous wear particles suspended
in oil using a magnetic field to separate them
according to their size. Two techniques are used,
direct reading and analytical.
Direct Reading Ferrography. Direct reading
(DR) ferrography provides a direct measure of
the amount of ferrous wear metals present in a
sample of oil. The particles are separated and
measured by drawing a sample of oil through a
collector tube that lies over a magnetic plate.
Larger particles in the oil (greater than 15
microns) are strongly attracted to the magnet and
accumulate at the entrance of the collector tube.
Smaller particles, which are only weakly
attracted by the magnet, deposit equally along
the length of the collector tube. By measuring
the blockage of light using fiber optics, one at
19 Machinery Diagnostics 397

Table 19.3 Wear metal origins

Wear metal Possible origin
Aluminum Bearings, blocks, impellers, pistons, pump vanes, rotors
Antimony Bearings, grease
Chromium Exhaust valves, gears, liners, rings, rods, bearings, seals, shafts
Copper Bearings, bushings, cylinder liners, thrust washers
Iron Bearings, camshafts, clutch, cylinders, crank shafts, gears, liners, pistons, pumps,
rings, shafts, valve train
Lead Bearings, oil additives, seals, solder
Magnesium Oil additives, shafts, valves
Molybdenum Oil additives, piston rings
Nickel Gears, rolling element bearings, shafts, turbine blades
Silicon Gaskets, ingested dirt/sand, sealant
Silver Rolling element bearings, shafts, solder
Tin Bearings, bushings, seals, solder, worm gears
Titanium Bearings, turbine blades
Zinc Bearings, coolant, oil additives

the entrance of the collector tube, and the other
downstream, the quantities of large particles,
denoted by DL and small particles, denoted by
DS, are determined.
Analytical Ferrography. Analytical ferrogra-
phy allows an analyst to visually examine the wear
particles present in an oil sample by use of a
microscope. The oil is passed over a glass slide that
rests on a magnetic plate. The ferrous particles line
up from the largest wear particles to the smallest in
rows along the length of the slide, called a ferro-
gram. Nonferrous wear particles can be easily
distinguished from ferrous particles since they are
deposited randomly across the length of the slide.
Under high magnification, the particles are readily
identified and classified according to their mor-
phology (size, shape, texture, etc.). A trained ana-
lyst can differentiate between a variety of wear
particle types and assess the cause of such wear.
19.2.2.4 Magnetic Chip Detectors
As the name implies for this oil analysis method, a
magnetic plug is inserted into the lubrication sys-
tem before the filter to pick up ferrous chips created
due to material wear and tear. The rate at which
particles appear and the size of the particles can
give an indication as to the likelihood of a machine
malfunction. Larger particles are often generated
near failure. Visual inspections and cleaning of the
magnet are advised at regular intervals.
19.2.2.5 Particle Counting
A system of oil cleanliness classification was
initially ratified in 1974 by the International
Standards Organization and later updated in 1987
and 1999. Identified as ISO 4406, this standard is
used to describe a theoretically infinite range of
contamination levels in oil via a three-class code
representing the total number of particles per ml
greater than 4, 6, and 14 lm, respectively.
In an attempt to overcome the labor-intensive
nature of particle counting by human sight,
automatic particle counters have been developed,
which have certain limitations and give erroneous
counts if not used correctly. One approach uses
the principle of fluid flow decay in which oil is
passed through a screen of known mesh (usually
10 or 15 microns). The presence of contaminant
gradually blocks the pores of the screen. By
knowing the number of pores in the screen and the
volume of oil that passes, the number of particles
greater than the pore size per unit volume can be
inferred by the degree of blockage. The disad-
vantage of using this technique is that it assumes a
predetermined size distribution without actually
measuring the number of particles.
398
19.2.2.6 Image Analysis
Image Analysis, also referred to as Image Pro-
cessing, provides information to the machine
diagnostician through visually understood
means. One of the simpler methods of image
analysis in assessing used oil is the Patch Test, a
method by which a specified volume of fluid is
filtered through a membrane filter of known pore
structure. Particulates in excess of an average
size, determined by the membrane characteris-
tics, are retained on its surface. Thus, the
membrane is discolored by an amount propor-
tional to the level of particulate within the fluid
sample. Visually comparing the test filter with
standard patches of known contamination levels
determines acceptability for a given fluid.
The membrane could also be scanned using a
video camera, with the resulting image being
converted into a signal for processing by an
image analyzing computer (IAC). Particles are
identified in relation to their gray scale or color
contrast with the surface of the membrane. The
computer then applies the logic to provide par-
ticle count and a host of shape parameters,
including dimension, area, and circumference.
Potentially, this method overcomes the tiresome
task of visual inspection; however, the technique
has some shortcomings. If particles cluster
together, editing is necessary to avoid inter-
preting the mass as a single particle. If there is a
similarity between the color of the particle and
background, incorrect sizing usually occurs.
19.2.3 Corrosion Monitoring
Corrosion is a major cause of the deterioration
and premature failure of machinery. It can occur
wherever a material such as steel is exposed to
an environment of moisture, salts, and pollu-
tants. Failures due to corrosion can be costly to
repair, costly in terms of lost or contaminated
product, costly in terms of environmental dam-
age, and ultimately it may be costly in terms of
human safety. Therefore, it is wise to look for it.
This can be done either electrochemically or by
physical measurement [8].
R. S. Cowan and W. O. Winer
19.2.3.1 Electrochemical Methods
Corrosion takes place because the surface of a
component undergoes a chemical reaction with
its environment. There is an anode reaction, in
which a material goes into solution as an ion,
leaving electrons to be absorbed by a dissimilar
element in the environment that acts as a cath-
ode. This electron flow can be measured as a
voltage, the magnitude of which is dependent on
the elements involved.
Corrosion monitoring methods, such as
polarization and galvanic/potential monitoring,
assess the electrochemical activity associated
with corrosion. Results may be used to identify
situations that are likely to promote corrosion, or
to estimate the rate in which deterioration is
occurring so that corrective action may be taken
in a timely manner.
19.2.3.2 Material Loss Methods
Corrosion is a chemical attack, which can over
time destructively alter the shape, strength, and
stiffness of a machine element. Hence, by
physically or electrically monitoring for a
physical change, such as weight, one can make
an informed decision as to when to repair or
replace an affected material.
Weight Loss Coupons. The Weight Loss
technique is the simplest of all corrosion moni-
toring methods. A sample (coupon) of material
of known weight is exposed to a process envi-
ronment for a given duration, and then removed
for analysis. Upon being carefully cleaned, the
coupon is weighed. The change in weight per
time of exposure defines the corrosion rate.
The coupon requires a relatively long expo-
sure to yield accurate results. This is partly due
to the accelerated rate of corrosion of a new
coupon and the small loss of uncorroded mate-
rial from the coupon during the process of
cleaning. The significance of both of these errors
is proportionally reduced by greater material
loss due to normal corrosion. In a typical mon-
itoring program, coupons are exposed for a 90-
day duration before being removed for labora-
tory analysis. This technique is most useful in
19 Machinery Diagnostics
environments where corrosion rates do not sig-
nificantly change over long time periods.
Electrical Resistance Probes. Electrical
resistance (ER) Probes provide a basic mea-
surement of metal loss from corrosion, but
unlike weight loss coupons, the value of metal
loss can be measured at any time. The ER
technique uses the change in ER of a corroding
metal element exposed to the process stream to
estimate the degree of corrosion.
The action of corrosion on the surface of an
element produces a decrease in its cross-sec-
tional area with a corresponding increase in its
electrical resistance. The increase in resistance
can be related directly to metal loss. By taking
the results of a series of measurements at timed
intervals, a corrosion rate can be calculated. To
compensate for any temperature-induced change
in resistivity, ER probes are constructed with a
protected reference element.
19.2.4 Thermal Monitoring
The successful use of a machine often requires a
thorough understanding of how it will thermally
respond to being used. Temperature-dependent
material properties, thermally-induced deformation,
and temperature variations may be important con-
siderations in establishing safe limits of operation.
Thermal energy is often generated and
transferred when a machine begins to experience
trouble, possibly attributed to friction, over-
loading, chemical reactivity, and or insulation
damage. Manifested as an unexpected tempera-
ture rise, action is warranted to determine the
cause. Thermal monitoring methods [9] avail-
able to help diagnose a situation fall into two
categories: contact and noncontact.
19.2.4.1 Contact Methods
Contact methods for measuring temperature
infer that something is placed on or within the
surface of the component being assessed. Ther-
mal paints and crayons fall in this category.
They are easy to apply on the surface of interest
and change color when a particular temperature
range is reached, giving an observer a quick
indication of a thermal event.
399
Thermometers, such as the sealed liquid-in-
glass-type, consist of a glass tube containing
liquid. If the temperature increases, the liquid
expands and rises in the tube. The temperature is
then read on an adjacent scale. Mercury is
commonly used as the liquid for measuring
temperatures ranging from -15 to 540 C. Other
instruments, often used in permanent tempera-
ture control and measurement systems, include
the thermocouple, resistance temperature detec-
tor (RTD), and thermistor.
Thermocouple. A thermocouple is a temper-
ature transducer consisting of two wires of dif-
ferent metals (e.g., iron/constantan) joined at
both ends. If the two junctions between the
metals are at different temperatures, an electric
current will flow around the circuit at a voltage
directly proportional to the difference in tem-
perature between the two junctions (Seebeck
effect). When used for measuring temperature,
one of its two junctions is placed in contact with
the material whose temperature is to be moni-
tored. The temperature of the second junction
must be either known or controlled to at least the
accuracy expected for measurement. A meter
used to measure the voltage of the circuit may be
calibrated directly to read in degrees of tem-
perature, or provide the user a direct voltage
reading to be converted into temperature via a
standard thermocouple chart. Thermocouples are
self-powered, rugged, and are capable of mea-
suring within a large temperature range (-200 to
1800 C).
Resistance Temperature Detector. A RTD is
constructed with a wire coil or a thin layer of
metal to form a precision resistor. The resistance
value changes very accurately and repeatedly in
a positive direction when heated. By incorpo-
rating the resistor in an electric circuit and
attaching it to the material whose temperature is
being measured, temperature can be determined
from the change in resistance with the use of an
equation relating the two variables.
RTD assemblies can be used in a wide variety
of configurations to give the highest accuracy of
temperature measurement. An RTD is considered
to be very stable, measuring temperatures in the
range of -260 to 850 C. It tends to be expensive,
400
and requires a current source. Platinum is usually
used as the resistive material because it is chem-
ically inert and exhibits repeatable resistance
temperature characteristics.
Thermistor. A thermistor is generally descri-
bed as a thermally-sensitive resistor constructed
with metal oxides formed into a bead and encap-
sulated in epoxy or glass. Its resistance exhibits a
nonlinear large negative change as it is heated.
Used in the same way as an RTD, the change in
resistance recorded during a small temperature
change of a thermistor is several times greater
than an RTD making measurement easier. The
device tends to be low in cost, yet fragile. Its
temperature range is limited (-80300 C).
19.2.4.2 Noncontact Methods
The noncontact approach to measuring tempera-
ture uses the principle that all objects emit elec-
tromagnetic waves from their surface in proportion
to their warmth. By focusing this form of radiation
from its source onto a sensor, its intensity can be
interpreted and displayed as a temperature. The
main advantage of this method, applied in
pyrometers and IR imaging, is that large areas can
be quickly surveyed at a safe distance.
Pyrometer. A pyrometer is a device with sen-
sors that accept a range of radiant energy wave-
lengths from the visible light portion to the
infrared (IR) portion of the electromagnetic
spectrum. A detector, usually focused on a select
point of the surface of interest through a suitable
lens, converts the radiant energy emitted by the
surface into an electrical signal that is interpreted
to provide a temperature reading. One type of
pyrometer, the optical or brightness pyrometer,
requires manual adjustment based on what is
viewed through a sighting window. A second
type, the two-color ratio pyrometer, compares the
spectral radiance at two wavelengths to identify
the temperature. Both devices are complex and
are usually used in a laboratory setting.
Infrared Imaging. Thermal images are pictures
of heat using the radiated energy emitted from an
object. They are created by an IR thermal imager,
a device that captures a portion of the radiated
energy through a variety of scanning camera
techniques yielding a spatial map of temperatures.
R. S. Cowan and W. O. Winer
The instrument typically incorporates a cooling
system to avoid the effects of system noise created
by the sensing of its own temperature.
IR imaging systems are available with a wide
range of capabilities, features, and prices. Scan
speeds range from real-time to seconds per image.
Detectors range from being simple, single ele-
ment, and thermoelectrically cooled to state-of-
the-art, multi-element focal plane detector arrays,
incorporating closed cycle Sterling coolers. Spot
temperature measurement accuracy is dependent
on the emissivity of and distance to the target
region, and the use of a reliable method to locate
the point of interest in the image.
The latest trend in IR imaging systems is the
mating of the imaging camera to a personal com-
puter. The electronics are contained on a card that
can plug directly into the computer and take
advantage of its high-resolution display, process-
ing capability, and mass storage. New focal plane
array detectors have resulted in high-resolution
cameras that can be fabricated in significantly
smaller configurations and at much lower cost.
19.2.5 Electrical Signature Analysis
In motor-driven rotating equipment, current sig-
nature analysis provides a nonintrusive method
for detecting mechanical and electrical problems
[10]. The current signal can be measured using an
ammeter, either clipped on to the motor circuit or
installed in the machine control panel. A spectrum
analyzer and or commercial computer with signal
conditioning capability is needed to process the
signal and provide diagnoses.
When an electric motor drives a mechanical
system, it experiences variations in load caused by
gears, bearings, and other conditions that may
change over the life of the motor. The variations in
load caused by each of these factors in turn causes
a variation in the current supplied to the motor.
These variations, though very small, modulate the
50 Hz (or 60 Hz) carrier frequency.
Upon demodulating the signal from the car-
rier using Fourier techniques, abnormal signal
characteristics can be identified representing a
variety of failure precursors including rotor bar
deterioration, stator phase imbalance, and
19 Machinery Diagnostics
increased friction forces. A single measurement
of current is not likely to be informative, but
comparison with prior readings can give imme-
diate results. Hence, recording the current at
regular intervals is advised in order to identify
changes or trends toward failure.
19.2.6 Nondestructive Evaluation
Nondestructive evaluation (NDE) is an inter-
disciplinary field of study that is concerned with
the development of analysis and measurement
technologies for the quantitative characterization
of materials by noninvasive means. A wide
variety of inspection and detection techniques
are available to provide users with the speed,
accuracy, and cost-efficiency needed to probe,
identify, and diagnose features of import in
validating quality control and product fitness
[11].
19.2.6.1 Visual Inspection
Visual inspection is used extensively to evaluate
the condition or the quality of a material, ele-
ment, or structure. When performed with human
sight, visual inspection is easily carried out, is
relatively inexpensive, and has no need for
special equipment. Good eyesight, good light-
ing, and the knowledge of what to look for are
required. Visual inspection can be enhanced by
various methods ranging from the use of mag-
nifying glasses to optical probes or borescopes.
In a typical machine vision application, items
undergoing inspection are positioned under
proper lighting in front of one or more video
cameras. A lens forms an image of the item on the
camera sensor, which generates an analog signal
that is subsequently digitized into pixels that
represent light intensity at points on the item, and
collectively form an image of the item. The image
is then processed by specialized digital computers
to select or amplify key features, or convert the
image into measurements, such as size and loca-
tion. From these measures, the machine vision
system can qualify, accept, or reject an item based
on decision thresholds or classifications estab-
lished by the operator through experience.
401
19.2.6.2 Liquid Penetrant and Magnetic
Particle Inspection
Liquid penetrant inspection is a method that is used
to reveal a surface breaking flaw by the release of a
colored or fluorescent dye. The surface of the part
under evaluation is coated with a penetrant in
which a visible or fluorescent dye is dissolved or
suspended. The penetrant is pulled into surface
defects by capillary action. After a waiting period
to ensure the dye has penetrated into the cracks, the
excess penetrant is cleaned from the surface of the
sample. A white powder or developer is then
sprayed or dusted over the part. The developer lifts
the penetrant out of the defect, and the dye stains
the developer. Then by visual inspection under
white or ultraviolet light, the visible or fluorescent
dye indications, respectively, are identified and
located, thereby defining the defect.
Magnetic particle inspection is a method that
can be used to find surface and near surface
flaws in ferromagnetic materials. The technique
uses the principle that magnetic lines of force or
flux will be distorted by the presence of a flaw in
a manner that will reveal its presence.
Upon magnetizing the item of interest, iron
particles are dusted over the item or flowed over it
if they are suspended in a fluid such as kerosene. A
surface defect will form a magnetic anomaly that
attracts and holds the particles, giving a visual
indication of a defect. An inspector views the
object being evaluated, and makes a decision of
acceptance or rejection. As surface irregularities
and scratches can give misleading indications, it is
necessary to ensure careful preparation of the sur-
face before magnetic particle inspection is under-
taken. Under optimum conditions, the probability
of detecting a 2 mm flaw approaches 100 %.
19.2.6.3 Eddy Current Inspection
Eddy current inspection is an electromagnetic
approach to flaw detection that can only be used
on conductive materials. A coil, bearing an
alternating current (typically 10 Hz10 MHz),
creates an alternating magnetic field that is used
to induce circulating electric currents (eddy
currents) in the component to be inspected.
These currents flow in a thin skin beneath the
402
surface adjacent to the coil. The thickness of this
skin, between 5 lm and 10 mm, is dependent on
the shape, size, and operating frequency of the
coil, the proximity of the coil to the component,
and the conductivity of the targeted material. As
the coil scans a region of interest, the impedance
in the coil is altered when the eddy currents are
distorted by the presence of defects or material
variations. This change is measured and dis-
played in a manner that indicates the type of flaw
or condition of the material.
Eddy current evaluations can be made at
different material depths using coils of differing
size at a range of frequencies. Given eddy cur-
rents are established through induction, there is
no need for the coil to contact the component.
Therefore, the surface can be painted or coated.
Depending on surface condition, it is usually
possible to find cracks as small as 0.1 mm deep.
In automated applications, where scanning
speeds can be as high as a meter per second, best
results are obtained when the scan direction is
normal to flaw orientation.
19.2.6.4 Radiography
Radiographic inspection uses radiation as the
source for identifying abnormal characteristics
within a material. A source of radiation (X-ray
or c-ray) is directed toward the part under
evaluation with a sheet of radiographic film
placed behind it. This film is then processed and
a semitransparent image of the object is obtained
as a series of shades between black and white.
The density of the image that results is a func-
tion of the quantity of radiation transmitted
through the object, which in turn is inversely
proportional to its atomic number, density, and
thickness. The largest single image is typically
43 9 56 cm; however, larger film is available if
required.
The image can reveal internal defects such as
voids, cracks, or inclusions in the material. It can
also expose internal clearances between parts in
an assembly and any displacement of internal
components. Laminations, tight cracks, or cracks
parallel to the film plane are not readily dis-
cernible. The method is limited by material
thickness to approximately the equivalent of
R. S. Cowan and W. O. Winer
10 cm of lead, 25 cm of steel, or 60 cm of
concrete.
Given that sources of radiation can be haz-
ardous to living tissue, special precautions must
be taken when performing radiography. The
operator must use a protective enclosure or
appropriate barrier and provide warning signals
to ensure there are no hazards. Setup typically
takes a few minutes, the exposure typically
110 min, and film processing 10 min.
19.2.6.5 Acoustic Emission
and Ultrasonic Detection
Inspection
Acoustic emissions (AEs) are stress waves pro-
duced by sudden changes in the internal struc-
ture of a material. Possible causes are crack
initiation and growth, crack opening and closure,
dislocation movement, and material phase
transformation. As most of the sources of AEs
are damage related, the detection and monitoring
of these emissions are commonly used to predict
material failure.
Wideband transducers (typically 50 kHz
1 MHz) are normally used to detect the minute
random bursts of deformation, characteristic of
an AE event. Made of a thin film of piezoelectric
material, such as lead zirconate titanate (PZT),
these sensitive devices emit an electric charge
proportional to the applied stress.
As AE signals are generally very weak, a
charge amplifier is connected to the AE trans-
ducer to minimize noise interference and prevent
signal loss. The amplified signal, which is in
analog form, can then be sent via coax cable to a
filter for noise removal and routed to a signal
conditioner and or computer for further analysis.
AE signals may be recorded continuously by
one or more relatively small sensors mounted on
the surface of the structure being examined for
progressive damage. When the AE transducer
senses a signal over a certain level (i.e., the
threshold), an AE event is captured. The
amplitude of the event is defined at the peak of
the signal. The number of times the signal rises
and crosses the threshold is the count of the AE
event. The time period between the rising edge
of the first count and the falling edge of the last
19 Machinery Diagnostics
count is the duration of the AE event. The time
period between the rising edge of the first count
and the peak of the AE event is called the rise
time. The area under the envelope of the AE
event is the energy. These features and others
are correlated with defect formation and failure.
Ultrasonic inspection is an approach that uses
high-frequency waves to evaluate the quality of
a material. Pulses of ultrasonic energy, com-
monly emitted via a piezoelectric transducer
placed on the object of interest, penetrate the
material and are subsequently altered as they
travel through it due to attenuation, reflection,
and scattering. The resulting output pulse is
detected, processed, and interpreted based on its
relation to the input pulse. This can be accom-
plished through a pulse-echo arrangement,
where one transducer is used to emit and receive
ultrasound, or through a pitch-catch mode,
where one or more transducers are strategically
placed to catch the output pulse.
For potentially hazardous and hostile envi-
ronments, laser-based technology can be used
for generating the ultrasonic signal. A laser
beam, targeted at the material of interest some
meters away, can produce broadband ultrasonic
vibrations up to frequencies of about 100 MHz
without damaging the surface. These vibrations
act as sources of compression, shear, and Ray-
leigh surface waves that pass through the object
of interest. Noncontact detection of these waves
can be realized using interferometry to monitor
the induced surface for resulting effects. Hence,
no contact medium is required for ultrasonic
inspection.
Ultrasonic inspection can be applied to met-
als as well as carbon composites and ceramics. It
is most often used to search for flaws within
materials, e.g., cracks, voids, porosity, and
delamination. As the ultrasonic wave penetrates
the object, defects will reflect the signal in a
characteristic manner, which can be interpreted
by observing the amplitude of the received pulse
and the time taken to arrive. Whenever the
configuration of the object under examination
permits, a two- or three-dimensional image of
the interior of the object can be made showing
reflections of the ultrasound for use in locating
403
regions of concern. Flaw-size resolution (typi-
cally 1 mm in length) is dependent on both the
speed of sound in the material and the frequency
of the ultrasonic wave.
19.3 Tribo-System Applications
As discussed in the preceding sections, there are
several different types of measurements that can
be used to facilitate the diagnosis and prognosis
of machines, containing such tribo elements as
bearings, gears, and seals. The technical
requirements of each of these are very different,
and as a result, there is a tendency to view the
technologies in competing roles. Yet, best
results are realized if the technologies can be
used to complement each other.
19.3.1 Bearings
A fluid film bearing is used in a wide variety of
machines to support and guide a rotating shaft.
In its most basic form, the shaft is contained
within a stationary close-fitting partial or full
cylinder separated by a film of fluid. The fluid,
most commonly oil, is supplied to the clearance
space between the surfaces to create a wedge
support that prevents metal-to-metal contact as
rotation occurs.
Many application-dependent bearing designs
have been created, each developed to use the
fluid film to position the shaft or rotor at an
optimum location relative to the bearing hous-
ing. Application of a disturbing force will move
the shaft from this position, altering the pressure
field within the fluid, and hence the forces within
the bearing. The forces generated normally tend
to restore the shaft to its optimum position, but
sometimes they can lead to an unstable motion
or self-excited vibration. For an oil film bearing,
the vibration, often referred to as oil whirl,
usually coincides with the average oil velocity,
which is typically less than half of the shaft
rotational frequency. When this whirl frequency
coincides with a rotor resonance, a severe
vibratory state can occur. Known as an oil whip
condition, the fluid film support becomes
404
unstable leading to severe bearing and shaft
deterioration from metal-to-metal contact.
To be assured that a machine maintains bal-
ance, stability, and proper alignment with the
bearing supports, vibration monitoring is needed
to assess the relative motion between shaft and
bearing. A noncontacting proximity probe, such
as an eddy current transducer, is typically used.
On small, less critical machines, one probe per
bearing may be adequate, which will measure
radial vibration for the plane in which the shaft
moves away from and toward the mounted
probe. On larger machines, two probes per
bearing mounted 90 apart from each other are
advised to assess the total radial vibration by
measuring the shaft displacements within their
respective planes.
To complement vibration analysis, the fluid
used to support the shaft should be periodically
monitored. Its physical and chemical properties
must be evaluated and maintained to assure that
the film performs as designed and provides
sufficient damping to limit vibration transmis-
sion. An increase in temperature and or the
presence of such elements as aluminum, tin,
lead, copper, zinc, and iron, commonly used as
bearing materials, may indicate the onset of
wear from metal-to-metal contact.
Rolling element bearings utilize the rolling
action of balls or rollers to permit constrained
motion of one body relative to another with
minimal friction. Most are employed to permit
rotation of a shaft relative to some fixed struc-
ture. If properly lubricated, properly aligned,
and kept free from abrasives or moisture, failure
is most likely to be attributed to material fatigue,
manifested as a flaking off of metallic particles
from the raceways and or rolling elements.
Vibration analysis is one of the most common
methods used to monitor for an indication of
pending rolling element bearing failure in
machines. A sizable local defect often charac-
terizes the beginning of progressive bearing
damage on one of the bearing components.
When this occurs, subsequent rolling over the
damage can cause repetitive measurable shocks,
the frequency of which will be dependent on the
rotational speed and the geometry of the bearing,
R. S. Cowan and W. O. Winer
which includes the number of rotating balls or
rollers n, ball or roller diameter d, bearing pitch
diameter D, and the contact angle between the
rolling element and races a. It can be shown [12]
that a defect in the bearing outer race will gen-
erate a frequency, fo, that may be computed with
the following expression:
fo nf =21  d=Dcosa 19:1
where f is the rotational velocity of the inner ring
relative to the outer.
Likewise, for bearing defects on the inner
race, the emitted frequency, fi, may be deter-
mined by:
fi nf =21 d=Dcosa 19:2
and for a ball or roller defect, the emitted fre-
quency, fb, may be calculated by:
 i
fb f D=d  d=D cosa2 19:3
Note that a rolling element defect will contact
both raceways in one revolution, such that fb is
twice the rate of rotation of the ball or roller
about its own axis.
The fundamental train frequency, more
commonly referred to as the cage defect fre-
quency, fc, may be determined by:
fc f =21  d=Dcosa 19:4
where the + is used for outer ring rotation and
the - is used for inner ring rotation.
Bearing dimensional data are often available
from the bearing manufacturer for use in com-
puting the defect frequencies. It must be recog-
nized that the equations assume that the balls or
rollers are rolling and do not slide. In real
machines with reasonable loads, the elements do
slip, and as a result the calculated and measured
frequencies will probably not be identical.
A new bearing will exhibit some, or all of the
defect frequencies at very low amplitudes. As
defects occur, the amplitudes at the associated
defect frequencies will increase and may shift as
the load distribution changes and the rolling ele-
ments begin to slide. When the vibration mea-
surements exceed a level predetermined by
19 Machinery Diagnostics
Fig. 19.7 Frequency spectra of failing bearing
experience, the unit should be shutdown for
bearing replacement. Figure 19.7 illustrates the
changes that a frequency spectrum, obtained from
vibration accelerometer readings, will undergo as
an outer race spall develops for a bearing with an
outer race defect frequency of 164 Hz.
Oil debris monitoring can provide a good
backup to vibration monitoring, especially when
vibration levels are high enough to render con-
ventional vibration analysis ineffective. Quantity
of debris (especially ferrous debris) and size
range of the debris can indicate the rate of
degradation. Studying debris morphology adds
the ability to determine the kind of failure (e.g.,
skidding, spalling) and potentially the cause
405
(e.g., high-temperature discoloration of debris
indicates a lubrication-source failure). Temper-
ature measurement can be useful in supporting
preventive maintenance actions, such as lubri-
cant change or addition.
19.3.2 Gears
The frequencies associated with gear meshing
usually dominate any vibration spectra measured
on a typical gearbox due to the loads transmitted
through the gear teeth [13]. These forces are
relatively high in comparison to other gearbox
components such as bearings. Although vibra-
tions can be measured at any location within or
406
on the gearbox, it is common to place the
recording sensors (e.g., accelerometers) on
bearing housings to avoid resonance of the
gearbox casing and to ensure the most direct
path from their source, the gear teeth.
The technique of trending vibration data
relies on observing a change in vibration over
time. This necessitates the recording of base
levels of vibration after the gearbox has been
run-in. When the measurements exceed a level,
predetermined by experience to indicate the
onset of problems, all changing frequencies
should be itemized for diagnostic use.
With a well-meshed pair of gears, only the
fundamental gear meshing frequency, fm, is
likely to be observed. For a single contact and no
loss of power:
fm x1 N1 x2 N2 19:5 analysis given impacts occur only once per gear
where x is the rotational velocity and N is the
number of gear teeth of each gear, differentiated
by subscript as gears 1 and 2.
As the gears wear, the amplitude of the fun-
damental gear mesh frequency will increase.
Harmonic frequencies at twice or even three
times the gear mesh frequency will be produced,
such that fx, the frequency for gear 1 or 2 at the
xth harmonic is:
X
x referring to the motion the seal experiences.
fx1 fm ix1 19:6a Static seals such as O-rings and gaskets are used
i1
X
x made of polymers, whereas gaskets are available
fx2 fm ix2 19:6b in a variety of materials, ranging from cork to
i1
Harmonics can occur when the loading and
unloading of gear teeth is uneven, or when gear
misalignment or scuffing alters the path of
contact such that the gear teeth no longer follow
a true involute curve. Pitting on the surfaces of
gear teeth from a breakdown in lubrication or
overloading also gives rise to harmonics.
Sidebands normally appear in a frequency
spectrum when uneven gear wear causes the
gear meshing frequency to be modulated. The
difference in frequency between the sideband
R. S. Cowan and W. O. Winer
and the gear meshing frequency indicates the
rotational speed of the shaft on which the worn
gear is mounted.
Given gearboxes are noisy and generate
significant levels of vibration, it can be difficult
to differentiate the source of an abnormal
machine condition with a high degree of confi-
dence in a timely manner. Therefore, it is often
useful to supplement the vibration data with
information obtained through other monitoring
techniques. For instance, oil debris analysis is
useful in detecting a breakdown in material. A
recorded increase in oil temperature is indicative
of an increase in friction or power loss. Both
approaches would be of value in diagnosing the
fracture of an individual gear tooth from fatigue
or sudden overload. Such an occurrence can be
very difficult to observe through frequency
revolution, which is an infrequent number of
impacts in comparison with all other gear
meshing events.
19.3.3 Seals
In tribology, a seal is a mechanical device
designed to prevent the movement of fluid or
contaminant from one chamber to another. It can
be classified as either being static or dynamic,
between machine joints. O-rings are typically
metals such as copper. Some, such as room-
temperature vulcanizing (RTV) silicone rubber,
can be formed in place. Operating temperature,
chemical compatibility, and differential pressure
drive material selection and design.
Dynamic seals, such as lip seals and
mechanical face seals, experience either rotary
and or reciprocating motion. Lip seals are
widely used to seal low-pressure differentials
and are limited to relatively small amounts of
radial motion. The lips are loaded against a shaft
by the pressure differential, or by springs inter-
acting with the lips. When relative velocities and
lip loads are high, a considerable amount of heat
19 Machinery Diagnostics
is generated leading to the need for some form
of lubrication. Mechanical face seals are usually
used for high-pressure differential applications
such as centrifugal pumps, compressors, and
turbines. Ideally, the sealing faces operate on a
hydrodynamic film that is just thick enough to
prevent asperity contact so as to minimize wear,
leakage, and heat generation. Squealing is often
indicative of dry operation, likely due to a lack
of fluid at the sealing faces.
Leakage is the most obvious clue that tells
that a seal needs rebuilding or replacement. This
could be a catastrophic leak or simple weepage
that has gotten to the point of becoming a nui-
sance. An upper limit of leakage is usually set
for a specific seal and system, and depends on
system size, the fluid being sealed, equipment
disassembly, and seal replacement cost. In some
cases, the leaked fluid can be collected and
measured volumetrically or weighed to establish
leakage per unit time.
Oil monitoring can be extremely useful in
detecting seal degradation. Wear debris can
result from the pitting, blistering, flaking, and or
pealing of seal face materials caused by chemi-
cal attack, contamination, and or serious mis-
alignment. Ceramic materials may chip or break
from thermal and mechanical shock. Elasto-
meric materials may disintegrate from chemical
incompatibility or excessive heat.
Often, the pressure differential across the seal
can be measured as a means of diagnosing a seal
problem using standard pressure transducers.
These readings may be recorded over time to
provide a history of any degradation of perfor-
mance. Less frequently, temperature, vibration,
and/or friction torque can be measured to assist
in the evaluation of performance.
It should be noted that seals might leak when
instrumentation suggests there is nothing appar-
ently wrong. In troubleshooting, it is important to
inspect all the sealing elements, using a procedure
that keeps all pieces tied together and tagged with
any information that may offer insight. Any evi-
dence of a wear pattern can be very useful in
diagnosing a problem that may be related to
design, assembly, or operation.
407
19.3.4 Lubricants
The most important action to take for maximizing
machine life when lubrication is required is to
implement a proactive maintenance program
predicated on the selection of an appropriate
lubricant and utilizing lubrication best practices to
prevent and remove contaminants. This necessi-
tates selecting the correct lubricant for the appli-
cation, and then keeping it clean, dry, and cool.
Most lubricant base oils can be placed into
three general categories: mineral, synthetic, or
vegetable. Mineral and synthetic base oils are
most common to the hydrocarbon processing
and power generation industries. Vegetable base
oils are used in applications where food contact
and environmental impact are a consideration.
Mineral base oils can be further classified as
paraffinic or napthenic. Each type has its relative
advantages and disadvantages. In general, paraf-
finic oils will have a more stable viscosity
response to changing temperatures. Paraffinic oils
also have excellent oxidation stability and are
relatively nonreactive. By contrast, napthenic oils
perform better at low temperatures (low pour
point) and have better solvency. Most mineral oils
used in industry are paraffinic. A formulated
lubricant may be a blend of paraffinics and nap-
thenics to achieve the desired balance of proper-
ties in the final product. Synthetic base oils
comprise a wide variety of fluids that have a broad
range of applications, advantages, disadvantages,
and costs. Synthetic lubricants must be carefully
selected and consist of such types: polyalphaole-
fins (PAO); dibasic acid esters (Diester); polyol
esters (POE); polyalkylene glycols (PAG);
Phosphate Esters; Silicones; Alkyl Benzenes; and
Polybutenes. Some of these lubricants may be part
of larger categories and others can be broken
down into further subcategories.
While lubricant base oils have inherently good
properties, they may need to be enhanced to suffi-
ciently meet the challenges of the application.
Additionally, the base oil may have some unde-
sirable properties that must be suppressed. Addi-
tives can be used to maximize the base oils good
properties and minimize its undesirable properties.
408
Additives can comprise anywhere from less
than 1 % to over 25 % of the composition of a
formulated lubricant. In general, lubricants for
internal combustion applications will have higher
additive content than those for industrial appli-
cations. These additives are expensive and can
significantly impact the final cost of a lubricant.
Additionally, while additives are used to enhance
the performance of a lubricant, they can also
impart undesirable side effects if used in the
wrong concentration or in conjunction with other
additives. It is important to note that additives will
have varying miscibility in different base oils, and
proper procedures must be used to insure that they
can be completely dissolved into the base oil and
not separate out. If not, the complete system will
not perform as desired.
Managing contaminant condition below
alarm levels or before machine/lubricant degra-
dation can begin, provides the best value for the
maintenance dollar. Even under the best of cir-
cumstances, a lubricant will eventually degrade.
Upon monitoring its condition as discussed in
Sect. 19.2.2, actions can be implemented to
refresh or replace the lubricant before serious
machine damage begins. If damage is initiated
due to operating, contaminant, or lubricant
problems, the machine may be shut down
immediately to minimize damage, or actions
may be implemented to extend machine runtime
to a suitable shutdown opportunity, depending
on the situation.
Following lubrication best practices will
maximize machine availability, machine life,
and lubricant life. Machine downtime is mini-
mized, as well as unit repair costs, lubricant
purchase, and disposal costs. The value of the oil
analysis will be enhanced by improving the
signal-to-noise ratio of the information captured
in the oil. In some cases, such as oil sampling,
failure to use best practices can result in missing
critical information or getting a false positive
that may not be indicative of actual machine
condition. On a larger scale, lubrication best
practices can contribute to preserving natural
resources, improving safety and health, and
minimizing environmental impact.
R. S. Cowan and W. O. Winer
19.3.5 Hydraulic Systems
Many of the failures in a hydraulic system show
similar symptoms: a gradual or sudden loss of
high pressure, resulting in loss of power or speed
in the cylinders. In fact, the cylinders may stall
under light loads or may not move at all. Often
the loss of power is accompanied by an increase
in pump noise, especially as the pump tries to
build up pressure. Any major component (pump,
relief valve, directional valve, or cylinder) could
be at fault with the cause attributed to one or
more reasons, including high contamination
levels, wrong oil viscosity, high-temperature
operation, and cavitation [14].
Contaminants of hydraulic fluid include solid
particles, air, water, or any other matter that
impairs the function of the fluid. Particle con-
tamination accelerates wear of hydraulic com-
ponents. The rate at which damage occurs is
dependent on the internal clearance of the com-
ponents within the system, the size, and quantity
of particles present in the fluid, and system pres-
sure. Particles smaller than 5 lm can be highly
abrasive. If present in sufficient quantities, these
invisible silt particles can cause rapid wear,
destroying hydraulic pumps and other compo-
nents; hence, highlighting the importance of
monitoring hydraulic fluid cleanliness levels at
regular intervals. If the high levels of silt particles
present in the hydraulic fluid are identified and the
problem rectified early enough, the damage to a
hydraulic pump and the significant expense of its
repair can be avoided.
Most hydraulic systems will operate satisfac-
torily using a variety of fluids, including multi-
grade engine oil and automatic transmission fluid
(ATF), in addition to the more conventional
antiwear (AW) hydraulic fluid, provided the vis-
cosity is correct. Viscosity is an important factor
when selecting a hydraulic fluid. Note that as the
temperature of a petroleum-based hydraulic fluid
increases, its viscosity decreases. If fluid temper-
ature increases to the point where viscosity falls
below the level required to maintain a lubricating
film between the internal parts of the component,
damage will result; thus, highlighting the
19 Machinery Diagnostics
importance of monitoring fluid temperature.
When a hydraulic system starts to overheat, the
system must be shut down so as to identify the
cause for subsequent repair.
Cavitation occurs when the volume of hydraulic
fluid demanded by any part of a hydraulic circuit
exceeds the volume of fluid being supplied. This
causes the absolute pressure in that part of the flow
circuit to fall below the vapor pressure of the
hydraulic fluid, resulting in the formation of vapor
bubbles within the fluid, which implode when
compressed. Cavitation causes metal erosion,
which damages hydraulic components and con-
taminates the hydraulic fluid. In extreme cases,
cavitation can result in major mechanical failure of
pumps and motors. While cavitation commonly
occurs in the hydraulic pump, it can occur just
about anywhere within a hydraulic circuit. In a
hydraulic valve, metal erosion in the body of the
valve can be so severe that the valve is no longer
serviceable, thus highlighting the importance of
checking the operation and adjustment of circuit
protection devices, including anticavitation and
load control valves, at regular intervals.
The vast majority of hydraulic systems in oper-
ation today have internal leaks, most of which are
planned. They are designed with a specific function
in mind, and in many cases, are documented by the
original equipment manufacturer as the amount of
acceptable leakage under normal operating condi-
tions. Internal planned leakage is typically via small
pathways that allow a fluid from a higher pressur-
ized zone of a system to travel into a lower pres-
surized zone to lubricate, clean, and cool a specific
component or area. These planned internal leaks do
not allow the fluid to exit the hydraulic circuit, so
there is no visual indication of its presence. The
most common cause of excessive internal leakage is
wear of component surfaces during normal opera-
tion. Leakage can also result from poor system
design, incorrect component selection, poor quality
control tolerances during the manufacturing of a
component, and incorrect overhaul of rebuilt com-
ponents. System performance, reliability, and
increased operating temperatures are the first visual
signs of excessive internal leakage. Identifying and
controlling hydraulic system leakage requires an in-
depth approach to record keeping and surveillance.
409
In addition, dedication to performing repairs and/or
modifications aimed at the root causes of the leaks,
along with a method of monitoring, will ensure that
the repairs are effective. Low fluid viscosity or
excessive heat (reducing the effective viscosity of a
fluid) will increase leakage rates. This form of
internal leakage reduces system performance and
decreases fluid film support, which will also result in
premature wear of the equipment surfaces and the
fluids properties.
Eventually, all of the aforementioned condi-
tions will affect the hydraulic system perfor-
mance. Detection of unplanned internal leakage
in most cases would rely on specific tools to
examine the location and quantity of the leak.
Performance issues or the inability of a circuit to
perform its designed function typically triggers
the installation offlow meters in various locations.
Noncontact IR thermometers are useful for non-
obtrusive measurement of operating temperatures of
equipment. An abnormal temperature increase at a
relief valve could indicate that the valve is in a
bypassing condition. Ultrasonic detection has pro-
ven to be another effective method of determining
high pressure or high velocity leaks in various
locations of valve and cylinder leakage. This method
enables the localization of the internal leakage; but
similar to temperature reading, the results are not
quantifiable into the amount of leakage.
The only quantifiable method is to measure
the flow or quantity of fluid loss in a given time
frame using a flow meter [15]. Detection and
quantification of the fluid consumption is the
first step in external leak control. Up-to-date
reservoir management records must be main-
tained to determine when and how much fluid
was required to top-up a reservoir. These records
should be used along with visual inspections to
determine the location and the leak rate of any
detected anomalies. Quantification of the leak-
age rate and location will allow for the oppor-
tunity to prioritize repairs.
In many cases, the source of the leaks cannot be
determined, as they are difficult to see. To alle-
viate this problem, dyes sensitive to black light
have been formulated to assist in the location and
identification of external leaks. The dye is for-
mulated to be compatible with the existing
410
hydraulic fluid and machine surfaces. The dye is
mixed into the reservoir after which the mixture
will emit a bright green/yellow glow when struck
by the rays of a black light. This method of visual
detection helps determine whether the fluid being
viewed is from an active leak.
19.4 Concluding Remark
The uncertainty of the future necessitates that to
effectively manage the utility of machinery, one
must be flexible and resourceful in choosing and
using a failure prevention technology. Upon
identifying where and how often to take mea-
surements, collect readings, and set alarm levels, a
review process should be devised to allow for the
replacement or adjustment of the technology
based on operating experience. Possibly, the most
important part of such a review is that it can result
in updating the sensitivity of the technology in
order to avoid the stigma of its having reported a
false alarm, or having missed an indicator that
would have avoided failure. With this accom-
plished, methods for machinery diagnosis will
continue to develop and prosper, driven by their
contribution in assuring that performance com-
mitments will be profitably and reliably met.
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3. Kosko, B.: Neural Networks and Fuzzy Systems: a
Dynamical Systems Approach to Machine Intelligence.
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4. Rao, B.K.N. (ed.): Handbook of Condition
Monitoring, 1st edn. Elsevier Science Ltd, Oxford,
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5. Eisenmann Sr, R.C., Eisenmann Jr, R.C.: Machinery
Malfunction Diagnosis and Correction. Prentice Hall,
Upper Saddle River, NJ (1998)
6. Newland, D.E.: An Introduction to Random
Vibrations, Spectral and Wavelet Analysis. Wiley,
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R. S. Cowan and W. O. Winer
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Hydraulic Plant: a Concise Introduction and Guide.
Chapman & Hall, New York (1996)
8. Moran, G.C., Labine, P. (eds.): Corrosion Monitoring
in Industrial Plants using Nondestructive Testing and
Electrochemical Methods. ASTM, Philadelphia, PA
(1986)
9. Omega Engineering, Inc.: Temperature Handbook,
Stamford, CT (1998)
10. Tavner, P.J., Penman, J.: Condition Monitoring of
Electrical Machines. Wiley, New York (1987)
11. Bray, D.E., Stanley, R.K.: Nondestructive
Evaluation: a Tool in Design, Manufacturing and
Service. CRC Press, Boca Raton, FL (1997)
12. Harris, T.A.: Rolling Bearing Analysis, 4th edn.
Wiley-Intersciemce, New York (2000)
13. Smith, J.D.: Gears and their Vibration: A Basic
Approach to Understanding Gear Noise. Mercel
Dekkar, New York (1983)
14. Totten, George.G.: Handbook of Hydraulic Fluid
Power Technology. Marcel-Dekker, New York (2000)
15. Omega Engineering Inc.: Flow, Level and
Environmental Handbook, Stamford, CT (2008)
For Further Information
Condition Monitoring and Engineering Management
(COMADEM), 307 Tiverton Road, Selly Oak, Bir-
mingham B29 6DA, UK. International consultants on
all aspects of condition monitoring and diagnostic
engineering management. \www.comadem.com[
Center for Nondestructive Evaluation, Iowa State Uni-
versity. A research center focusing on the research
and development of new theories and techniques for
use in quantitative NDE. \www.cnde.iastate.edu[
Maintenance Technology Institute, Monash University,
Victoria 3800, Australia. \www.eng.monash.edu/
mti[
Vibration Institute, 6262 S. Kingery Highway, Suite 212,
Willowbrook, IL 60527. A nationally recognized not-
for-profit organization dedicated to the exchange of
practical information about vibration and condition
monitoring. \www.vibinst.org[
Society for Machinery Failure Prevention Technology,
5100 Springfield Street, Suite 420, Dayton, OH
45431-1264, formed as a mechanism for the inter-
change of technical information among the scientific
and engineering communities to gain an understand-
ing of the processes of mechanical failures. \
www.mfpt.org[
The Machinery Information Management Open Systems
Alliance, MIMOSA, is a non profit trade association
dedicated to developing and encouraging open infor-
mation standards for Operations and Maintenance in
manufacturing and other environments. \
www.mimosa.org[
 Part IV
Structural Health Monitoring
and Performance Control
 Principles, Concepts and Assessment
of Structural Health Monitoring
Werner Daum
This chapter introduces and describes the con-
cept of structural health monitoring (SHM) to
engineers and designers of technical structures,
and to the owners/operators of such structures. It
formulates general principles for integrating and
implementing measurement and signal process-
ing technologies in the context of SHM to
diagnose the condition, performance and health
of a technical structure. Information and rec-
ommended methods for designing instrumenta-
tion, data acquisition, data processing, and data
analysis for any SHM application are offered.
20.1 General
Technical diagnostics as a general term covers a
wide range of technical examination procedures
and methods. A common understanding of this
term is given by the following definition [1]:
Technical diagnostics is the examination of
symptoms and syndromes to determine the nat-
ure of faults or failures of technical objects.
A symptom is a perception, made by means of
human observations and measurements, which
may indicate the presence of an abnormal
condition with a certain probability.
W. Daum (&)
Bundesanstalt fr Materialforschung und prfung,
Unter den Eichen 87, 12205 Berlin, Germany
e-mail: werner.daum@bam.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_20,  Springer-Verlag Berlin Heidelberg 2013
20
A syndrome is a group of symptoms that col-
lectively indicate or characterize an abnormal
condition.
The examination of symptoms and syndromes
of technical objects can be done by continues
examination (so-called (online)-monitoring, for
example, by sensors and measuring systems) and
scheduled discrete examinations [e.g. by visual or
non-destructive testing (NDT)]. With regard to
(online)-monitoring, technical diagnostics can be
divided into two typical fields of application,
which are called condition monitoring (CM) and
SHM.
According to ISO 13372, CM is the detection
and collection of information and data that
indicate a state of a machine [1]. A machine in
this sense is a mechanical system designed
expressly to perform a specific task, such as the
forming of material or the transference and
transformation of motion, force or energy. The
state of a machine deteriorates if faults or fail-
ures occur (see Sect. 1.1).
Whereas CM is clearly focused on machines,
SHM is dedicated to continuous structure sur-
veillance: The objective of SHM is to monitor the
in situ behaviour of a structure accurately and
efficiently, to assess its performance under vari-
ous service loads, to detect damage or deterio-
ration, and to determine the health or condition
of the structure. The SHM system should be able
to provide, on demand, reliable information
pertaining to the safety and integrity of a struc-
ture. The information can then be incorporated
413
414
into (bridge) maintenance and management
strategies, and improved design guidelines. The
immediacy and sensitivity of SHM can allow for
short-term verification of innovative designs,
early detection of problems, avoidance of cata-
strophic failures, effective allocation of resour-
ces, and reduced service disruptions and
maintenance costs. The physical diagnostic tool
of SHM is the comprehensive integration of
various sensing devices and ancillary systems,
including a sensor system, a data acquisition
system, a data processing system, a communi-
cation system, a damage detection and modelling
system [2] (Figs. 20.1, and 20.2).
SHM is designated to be a long-term
continuous activity. It can be supported by short-
term activities like controlled testing and peri-
odic monitoring.
Controlled tests aims at applying controlled
loads and/or measuring ambient input loads to a
structure while measuring its corresponding
responses. This controlled testing can either be
performed by a controlled static load (e.g. by a
truck with defined weight or by hydraulic means
[3, 4]) or by a dynamic load (e.g. by using natural
frequencies due to traffic or wind, or by using
artificial frequencies generated by a shaker).
Today periodic monitoring is mostly per-
formed by geometric measurements. The most
common objective is to track changes in the
geometry as an indication of phenomena such as
foundation displacements, geometry changes in
cable or supporting systems, etc. Preferred mea-
surement systems for periodic (monthly, annually
or at longer intervals) measurements are optical
systems like 3D laserscanning, laser tracking and
alignment measurements, global positioning
system (GPS)- based position measurements,
photogrammetry, etc. [5]. Periodic monitoring
can also include NDT methods. NDT methods
like radiology, ultrasound, microwave, thermog-
raphy, etc. allow a local examination of the inner
structure with regard to phenomena such as
cracks, corrosion, misalignment of structural
elements, etc. These methods are complements to
a global structural identification, health monitor-
ing and management programme.
W. Daum
20.2 Generic Design Procedure
for SHM Systems
The following sections describe a generic design
procedure for structural heath monitoring sys-
tems. It was originally developed for the purpose
of bridge monitoring [6], but with some modi-
fications it is applicable to all kinds of SHM.
The principal steps in the design process are
summarized in the flow chart illustrated in
Fig. 20.3. After a short introduction of all steps,
the most important ones are explained in more
detail in the following sections.
Characterization of the structure; SHM
objectives
This first step comprises a profound review of
all the design information and data (including
numerical calculations and FEM simulations),
the operational and environmental loads, the
results of past inspections, any significant main-
tenance or modifications, etc.
The justification for and the expected out-
come of the monitoring programme should
clearly be identified and analysed in cooperation
with the owner/operator of the structure. Typical
SHM objectives are clarification of uncertainties
related to construction processes, provision of
information regarding structural behaviour or
performance, supplementation of findings from
visual inspections, evaluation the effectiveness
of maintenance or modification activities, pro-
vision of an objective assessment of present or
future condition, detection of damage or deteri-
oration for optimal maintenance planning,
evaluation of the effects of hazardous events or
accidents [6].
Identification of the phenomena to be
measured
The second step involves the identification of
internal and external loading effects and other
related parameters that need to be monitored to
meet the SHM objectives. Consequently, the
individual mechanical, chemical, electrical and
optical parameters that the sensors will measure
are identified. The required accuracy for each
measurement parameter and its estimated range
must be established. Finally, the physical
20 Principles, Concepts and Assessment of Structural Health Monitoring 415

Fig. 20.1 Relationship

between CM and SHM Technical Diagnostics

Condition Monitoring Structural Health Monitoring

Typical objects: Typical objects:

Aircraft and ship engine Aircraft structure

Bearing Bridge
Electrical generator Dike
Gas compressor Pipeline
Gear Sky scraper
Heavy turbine generator Suspended roof
Pump Tower
Rolling mill Tunnel
Turbine Wind turbine tower and
Turbine-generator set rotor blade

Typical parameters:
Typical parameters:
Acceleration
Acoustic emission
Acceleration
Chemical quantities(e.g.
Acoustic emission
oil degradation)
Deformation
Force
Chemical quantities(e.g.
Frequency
pH-value in concrete)
Pressure
Force
Temperature
Frequency
Torque
Load
Moisture
Strain
Temperature
Torque

Fig. 20.2 SHM system

basic structure and signal
flow
416
Characterization of the structure to be monitored;
Determination of SHM objectives
Identification of the phenomena to be measured
Selection of sensors and a data acquisition system
Data communication and network design
Validation of the measurement system
Data acquisition management and
selection of signal preprocessing methods
Selection of symptom analysis and
diagnostic methods
Fig. 20.3 Generic design procedure for SHM systems
locations where the parameters will be measured
must be estimated [6].
Selection of sensors and a data acquisition
system
Sensors and data acquisition components are
selected from a pool of commercially available
and proven sensors, signal conditioning and data
acquisition systems based on their physical,
electrical and thermodynamic characteristics. A
detailed set of installation specifications should
also be prepared for each type of sensor and data
component that will be used [6].
Validation of the measurement system
Main objective of this design step is the
validation of the suitability and performance of
the measurement systems components individ-
ually and as an integrated system under con-
trolled conditions before they are deployed on a
structure. A type calibration is performed at this
stage for general validation purposes only and is
not a substitution for the periodic and more
rigorous laboratory calibrations utilizing mea-
surement standards traceable to SI units [6].
W. Daum
Data acquisition management and selection
of signal preprocessing methods
Data acquisition management is based on the
required characteristics of the phenomena to be
captured and the limitations of the designed
measurement system. It must consider the ability
to handle a wide variety of time-depending and
incident-triggered effects. SHM systems with a
huge number of sensors must have a strategy for
time and spatial synchronization of all the data
and data sequences.
Once the data from the various sensors are
acquired, preprocessing is the first important step
of the entire signal analysis and interpretation. It
involves two important operations: normalization
and cleansing. Especially for cleansing, appro-
priate algorithms have to be selected from a large
amount of well-known preprocessing methods.
Symptom analysis and diagnostics
Structural damage leads to changes in some
measurable properties. One task of a SHM sys-
tem is to analyse the acquired data with regard to
anomalies due to damage (symptom analysis)
and to classify the location, size and type of the
damage (diagnostics). Final outcome of a perfect
SHM system would be recommendations for
maintenance and repair, limits for further oper-
ation and a prediction of operation time with
regard to the current status of the structure.
20.3 Selection of Sensors
First step in selecting the sensors for a particular
SHM system is to determine the measurands and
the environment in which they will operate. This
includes as follows [6]:
Identification of the physical quantities to be
measured (e.g. temperature, displacement, tilt,
acceleration).
Determination of nominal value and expected
ranges of the measurands.
Analysis of spatial and temporal properties of
the measurands and the measurements.
Determination of the accuracy required for
each measurement.
Analysis of the environmental conditions in
which the measurements will be made. In most
20 Principles, Concepts and Assessment of Structural Health Monitoring 417

Table 20.1 Sensor selection criteria [6] and interpretation. The sensors generate analogue
Sensor Environmental Economic or digital signals that represent the physical
performance constraints considerations variables being measured or monitored. A data
characteristics acquisition system collects these signals, condi-
Sensitivity Temperature Cost tions and converts them into a suitable data format
range
Resolution Humidity range Availability
and transmits the signals to a computer. Such a
Discrimination Size Reliability system consists of the following components [6]:
Range Packaging Ease of Data acquisition hardware consists of a
installation number of electronic components that collect,
Linearity Need of isolation Data
from disturbances acquisition
condition, convert and transmit sensor signals
Hysteresis Thermal effects needs to a computer. Typical representatives are the
Accuracy following: A signal conditioner operates on the
Precision sensor signal to make it compatible with the
Stability
Response time
analogue-to-digital converter (ADC). The
Frequency ADC converts the signal into a digital format.
response The controlling circuit (e.g. central processing
unit (CPU), micro-controller) controls the
SHM applications, the environment typically other hardware components and is responsible
includes large temperature and humidity for executing any operations programmed by
extremes, splashing or standing water, elec- the operator. A memory serves as a temporary
tromagnetic and radio frequency interference buffer or a longer-term repository for storing
(EMI/RFI), vibrations, corrosive salts and other measurement data. The communication inter-
contaminants such as oil, dust, etc. face enables the data acquisition system to
Definition of the sensor lifetime based on the communicate with a computer directly or via
defined duration of the monitoring. network. A power supply provides power to
After the measurands and the monitoring systems internal electronic components and in
environment have been characterized, a collection some cases for the sensors.
of possible sensors can be identified. In order to Data acquisition peripherals include the
find the optimal sensors, further important criteria cables, terminal blocks and connectors, enclo-
must be considered. These criteria can be assigned sures and junction boxes necessary to physi-
to three primary categories: sensor performance cally connect the sensors to the data acquisition
characteristics, environmental constraints and hardware and to protect the hardware compo-
economic considerations. Each selection criteria nents from environmental influences.
category contains several descriptors that char- Data acquisition software is an important
acterize the most important attributes of a sensor component of any data acquisition system.
(Table 20.1) [6]. This ensures that the selected There are generally two forms of software used
sensors maximize the reliability and efficiency of in conjunction with data acquisition systems,
the measurements while minimizing the uncer- driver software and application software.
tainty associated with them. Driver software facilitates communication
between the data acquisition hardware, the
computers operating system software and the
20.4 Selection of a Data Acquisition application software. Application software
System provides the link between the user and the data
acquisition system. It permits the user to con-
Data acquisition is the process through which figure and control the data acquisition hard-
information generated by sensors is collected, ware, and to read, display, store and analyse the
processed and transmitted for subsequent analysis measurements (Fig. 20 4).
418
Fig. 20.4 Principle set-up of a data acquisition system
When selecting a data acquisition system for
SHM applications, the following criteria have to
be considered (alphabetic order) [6]:
Accuracy
This parameter is affected by many factors
like resolution, gain error, offset error, linearity
error, drift and noise.
Analogue-To-Digital Converter
An ADC changes an analogue voltage to a
digital number. The resulting digital number
represents the input voltage in discrete steps
with a finite resolution. The type of ADC used in
the data acquisition system will affect both the
speed and accuracy of the measurements.
Architecture
There exist three basic types of data acqui-
sition architectures: portable readout devices,
PC-based systems and stand-alone systems.
Data Acquisition Mode
There are two basic types of data acquisition
modes, polled and event-based. Polled mode
means that a data acquisition system is operated
on a continuous basis and the corresponding
sensor signals are collected and recorded at
regular intervals of time. Sensors that measure
physical variables that are static or that vary
slowly with time are well suited for a polled data
acquisition mode.
In event-based data acquisition, sensor signals
are collected only during the occurrence of some
pre-defined event of interest. The event of interest
can be random or deterministic. The physical
variables measured by the sensors during the
occurrence of such events can change slowly or
rapidly with time, depending on the speed of the
event.Some monitoring applications may require
that the data acquisition system or systems can be
operated in both modes simultaneously.
W. Daum
Speed
Speed has to be discussed for two ways:
Digitization speed is typically specified as the
maximum sampling rate of the ADC and is
expressed in terms of frequency (Hz). The
maximum sampling rate for a data acquisition
system usually depends on the type ADC, that is,
used and the input configuration.
Speed can also be an important characteristic
if the application requires a real-time display of
the measurements for decision support. In this
case, speed reflects the rate at which a signal
completely traverses the data path from the
sensor to the display and is therefore affected by
any bottlenecks in the entire data path (e.g. the
analogue multiplexer).
Input Characteristics
These include, for example, the input con-
figuration, the input range and the input
impedance.
Resolution
Resolution is a property determined by a data
acquisition systems ADC. It defines the small-
est measurable change in the input signal and is
one factor that determines the accuracy of the
measurement.
Sensor Types
The type of sensor (e.g. strain gage, temper-
ature sensor, fibre optic sensor) to be used dic-
tates many of the required characteristics of the
data acquisition hardware.
Signal Conditioning
The signals generated by most sensors usu-
ally require some form of electrical conditioning
so that they are compatible with the ADC. The
signal conditioning comprises, for example,
amplification or attenuation of sensor signals,
filtering of unwanted signal components (e.g.
noise reduction or suppression), isolation of
sensor signals, etc.
20.5 Data Communication
and Network Design
The information-gathering process starts at the
sensor, which capture the desired phenomena
normally in the form of an analogue (electrical
20 Principles, Concepts and Assessment of Structural Health Monitoring
or optical) signal. The signal is transferred to the
data acquisition system, which collect and digi-
tize data in preparation for transfer over longer
distances or interim storage. The path ends at a
central server unit for long-term storage and
further data analysis. For information (data and
control signals) transfer, the following commu-
nication technologies and network architectures
are useful [6]. They can be used alone or in
combination:
Wired Sensor and Communication
Network
The installation of a wired backbone for
monitoring of large structures is often time-con-
suming and cost-intensive. But cables are a nec-
essary component of any SHM system that
utilizes electronic sensors or transducers, partic-
ularly when they are distributed over a network.
The design of the system cabling is an important
issue to ensure the performance of the overall
system. A structured backbone cabling design is
recommended to provide a flexible, accurate and
rugged platform that will facilitate reliable com-
munication between the various components.
There are two basic options available for
system cabling: copper cables and fibre optic
cables. Copper cables can be utilized at almost
any level of the system, from the connection of
sensors to the structured backbone for network-
ing. They are well known, easy to handle, very
robust and available in a wide variety of designs.
There are several parameters that describe and
determine the performance of copper cables.
These parameters include the materials used for
the conductor and insulation, the wire gage
(conductor size), resistance, capacitance, induc-
tance and impedance.
Fibre optic cables are most often used for
networking applications and the connection of
fibre optic sensors to the data acquisition system.
Main advantages of the use of fibre optic cables
are the immunity against electro-magnetic inter-
ference and the much higher data transmission
capacity. Fibre optic cables require special han-
dling, installation and testing considerations.
419
Wireless Sensor and Communication
Network
An alternative to a costly and time-consum-
ing installation of a wired backbone is a wireless
SHM system design. Wireless communication
can be performed on all levels of such a system,
starting from sensor-to-sensor communication
and ending at an Ethernet-based wireless net-
work architecture between subsystem and main
system components.
Wireless sensor networks may be used locally
to provide communication between various sen-
sor locations and/or data acquisition components.
Medium-scale integrated wireless applications
include at this level off-the-shelf sensors with
battery-operated local power source, equipped
with variations of RF receiver and antenna com-
ponents. Local processing capabilities are often
implemented to reduce the amount of data trans-
fer; implement distributed processing and local
feature extraction and identification to reduce
communication loads and costs [6].
Micro-integrated wireless sensor systems are
based on a family of micro-electro-mechanical
systems (MEMS), radio frequency identification
and detection (RFID) with sensor capabilities and
surface acoustic wave (SAW) sensors. These
systems are powered alternatively by conversion
of some sort of electromagnetic wave or vibration
mechanisms to power, or by thermoelectric gen-
erators [7]. The sensors incorporate micro anten-
nas to communicate with a central data collection
unit. Implementations of integrated micro sensor,
communication and processing units include
temperature, acceleration, humidity, strain,
delamination, crack, ice formation, corrosion,
chemicals, pressure and shock measurements,
with a central data collection system [8].
Main criteria which influence the use of
integrated wireless sensors are [6]: reconfigura-
bility, autonomous local control and power
management, self-monitoring for reliability,
power efficiency, diverse sensors, local signal
processing, remote programmability, cost-effec-
tiveness and data security.
420 W. Daum

Table 20.2 Standardized wireless communication for industrial applications

Standard Common name Operational frequency Typical application
IEEE 802.11 Wi-Fi 2.4, 5.7 GHz Wireless LAN
a-z
IEEE 802.15.1 Bluetooth 2.4 GHz Wireless PAN
IEEE 802.15.3 WiMedia *5 GHz High data rate, short distance
IEEE Wireless ultra-wideband 3.1 to 10.6 GHz High data rate, \ 10 m
802.15.3a
IEEE 802.15.4 ZigBee/ISA100.11a/ 2.4 GHz Low rate industrial sensors
WiHART
IEEE chirped 2.4 GHz Low rate sensors and position
802.15.4a
IEEE 802.16 WiMAX (WiBro) 2 to 11 GHz, 10 to 60 Broadband wireless
GHz
IEEE 802.20 MBWA \ 3.5 GHz IP-based data transport
IEEE 1451 Sensors 900 MHz, 2.4 GHz Sensor transport using 802.15.4 and
802.11
ISO 18000-7 DASH7 433 MHz Wireless sensors, RFID
ISO/IEC Near field communications 13.56 MHz Short distance (10 cm) data transfer
14443

Wireless communication and networking
tools are widely available and standardized.
Table 20.2 summarizes the most popular sys-
tems and related standards in that field.
Network Design
This section presents network alternatives for
wired and wireless systems. A network back-
bone is a common tool in connecting compo-
nents of scattered or distributed sensing and data
acquisition system. Network topology describes
the method used in physical wiring of the net-
work (Fig. 20.5). For wired systems, the three
possible network topologies are as follows:
Bus: both ends of the network must be ter-
minated with a terminator. The connections
are all made to the main cable in a line.
Star: all devices revolve around a central hub,
which is what controls the network communi-
cations and can communicate with other hubs.
Range limits are about 100 m from the hub.
Ring: all devices are connected from one to
another as in a ring. A data token is used to
grant permission for each to communicate.
The two transmission types are baseband (bits
are defined by discrete signal changes), and
broadband (analogue signals divide the cable to
several channels with its own frequency).
For wireless systems, the following topolo-
gies are common:
Bus.
Star.
Mesh: each device is able to communicate
with each other device.
Communication Platform
The selection of a suitable communication
platform is an essential component of a SHM
system. Such a platform is necessary to accom-
plish the inter-connectivity, inter-operability and
data availability-transfer over the entire spectrum
of the SHM system components. The digitized
data (by local data acquisition components) have
to be transferred through various communication
interfaces and their corresponding protocols. This
should be accomplished by using standardized
communication systems and protocols (e.g.
Ethernet, RS232-484, GPIB, Firewire; see, for
example, Table 20.2 for wireless).
Data Security
Every SHM system implementation needs to
be considered for secure communication when
data are exchanged over public networks. Key
attributes in a system that provides and controls
system access include authentication (e.g. of
remote users and systems), authorization (e.g.
20 Principles, Concepts and Assessment of Structural Health Monitoring
Fig. 20.5 Network
topologies
for different levels of system management),
integrity (e.g. of data by a digital signature),
confidentiality (e.g. of data by encryption),
auditing (e.g. of authorized and non-authorized
system access) and non-repudiation [6].
20.6 Validation of the Measurement
System
The validation of the individual system compo-
nents (e. g sensors) and the whole SHM system
under controlled and field conditions is required
before the system goes under operation. At first,
the calibration and verification of the individual
sensor and data acquisition components under
controlled conditions according to well-estab-
lished procedures recommended by the mea-
surement community and/or the manufacturer
has to be performed. Second, the response of the
integrated sensory data acquisition system
should be calibrated and verified. This verifica-
tion is conducted for the integrated components
to identify the suitability and reliability of the
entire measurement system. The sensors may be
installed on or embedded in a small-scale sce-
nario which as close as possible to the later real
installation. In conjunction with a controlled
loading system, the performance of both the
sensors and the data acquisition and communi-
cation system components should be evaluated
under controlled conditions [6].
During operation, the observation of the
installed sensor and data acquisition components
for verification and performance evaluation under
421
actual operating conditions is recommended.
Environmental influences, interaction with cou-
pled input signals, ageing and drift phenomena,
for example, can result in questionable data. The
observation can be realized, for example, by
controlled tests or by performing reference mea-
surements with independent instrumentation in
certain time periods.
Measures and indicators for proper trouble-
shooting and maintenance to indicate and verify
the proper operation of the system over time
should be integral part of each SHM system.
Ideally, the system is capable of diagnosing and
evaluating its own performance automatically. A
self-diagnostic capability can be developed
using the specified characteristics of the com-
ponents, the observed measurements and the
heuristics for the phenomena of interest as a
basis for evaluation [6]. Redundant instrumen-
tation by sensors of different physical conver-
sion principle can also be a good opportunity for
long-term sensor and system surveillance.
20.7 Data Acquisition Management
and Selection of Signal
Preprocessing Methods
Data acquisition management is based on the
required characteristics of the phenomena to be
captured and the limitations of the designed
measurement system. It must consider the ability
to capture low-frequency/long-term effects, high-
frequency/short-term effects and environmental
effects. It must be able to handle continuous
422
monitoring of long-term phenomena at desired
time intervals (e.g. temperature-induced defor-
mation of the structure) while short-term or
incident-dependent events have been observed
according to a scheduled or specific trigger signal
(e.g. heavy truck is passing a bridge). SHM sys-
tems with a huge number of sensors must have a
strategy for time and spatial synchronization of
all the data and data sequences. Time stamping
methodologies and other synchronization
approaches have to be embedded.
Once the data from the various sensors are
acquired, preprocessing is the first important step
of the entire signal analysis and interpretation. It
involves two important operations: normalization
and cleansing. Normalization aims to separate
effects related to possible damage from signal parts
associated with operational and environmental
conditions. Cleansing involves [9] the following:
Removal of undesired features from data
such as trends and noise
Trends (e.g. drift of a sensor) are showing
unwanted temporal relationships in the data.
Trend analysis and removal requires some kind
of models of the trend data. Noise is a mean-
ingless spectral part of the data (usually associ-
ated with higher frequencies), which does not
carry any useful information. The noise level
can be reduced by local and/or global averaging
or smoothing procedures. Signals like sharp
spikes that are far from expected observations
are often called outliers. Such signal parts are
normally removed by standard statistical analy-
sis or certain common sense rules which take
into account the temporal behaviour of physical
phenomena such as strains, temperatures and
wind speed.
Filtering and resampling
Filtering removes certain parts of the data
within specific frequency ranges. It can be per-
formed in the time, frequency and spatial domain.
Some filter types are designed for smoothing and
noise reduction (e.g. low-pass filter, median fil-
ter). Re- or downsampling is used to reduce the
frequency range of the acquired data.
W. Daum
Acceptance or rejection procedure for bad-
quality data
A plausibility check of the acquired data is
necessary to eliminate bad-quality data from
further signal analysis. This can be done on basis
of error messages from the self-diagnostic tool
of the SHM system or on programmed individ-
ual experience and judgement. Causes for bad-
quality data can be, for example, loose sensor
mounting, poor connections or certain system or
sensor failures.
Data compression and correlation analysis
Long-term monitoring of extended structures
generates a vast amount of data. Therefore, it is
desirable to implement methods to accurately
represent different signals with as little infor-
mation as possible. Statistical analysis is one
method of defining parameters to represent a
larger data sample with less numbers of data.
Well-approved methods are, for example, run-
ning average methods and rainfall analysis.
Correlation studies are performed to identify
possible relationships between different pair of
input variables. For instance, the variation of
strain with respect to temperature and the
strength in this relationship is such an example.
The similarity between two data sets can also be
expressed in terms of their correlation factor.
Further information and a detailed description
of cited and more specific signal processing
tools for SHM system can be found in [10].
20.8 Symptom Analysis
and Diagnostics
Structural damage leads to changes in some mea-
surable properties. Task of a SHM system is to
analyse the acquired data with regard to anomalies
due to damage (symptom analysis) and to classify
the location, size and type of the damage (diag-
nostics). Final outcome of a perfect SHM system
would be recommendations for repair, loads limits
for further use and a prediction of operation time
with regard to the current status of the structure.
20 Principles, Concepts and Assessment of Structural Health Monitoring
For symptom analysis, a wide variety of
algorithms and strategies have been developed
and tested. Most of them originate from more
general algorithms for feature extraction. Various
features can be used to indicate damage. Features
are any parameter extracted from the acquired
data through signal analysis. For damage detec-
tion, there exist different types of features. Simple
features like statistical parameters (e.g. maximum
or minimum value, average value) are able to
indicate severe damage. However, information
for early detection of incipient or small damage
severity requires advanced features and related
algorithms like the wavelet analysis [9, 11].
Usually, feature extraction from the acquired data
is performed in the time, frequency, combined
timefrequency and spatial domain. Various sta-
tistical parameters and probabilistic distributions
can be used for feature extraction. Time history
analysis and spectral analysis of data in the fre-
quency domain are also very common tools in this
context. Under development are several tools
which are based on modelling and FEM methods
and the comparison of measured data and
numerically calculated values. Further informa-
tion and a detailed description of mentioned and
more specific feature extraction tools for SHM
system can be found in [10].
Diagnostic tools aim to classify the location,
size and type of damage. Pattern recognition
based on the extracted features from the symp-
tom analysis allows roughly locating and esti-
mating the size of the damage. Exact location,
size and type classification can be done by use of
standard NDT methods. Various pattern recog-
nition techniques are suitable to indicate whether
a structure is undamaged or damaged and then to
assess the damage severity. Classical approaches
use statistical and synthetic methods. Recent
improvements in pattern recognition include
applications of artificial neural networks and
fuzzy logic. Data mining or fusion is also quit
new techniques. In general, data fusion is a
multilevel and multifaceted process of combin-
ing multiple features extracted from a multitude
423
of spatially distributed independent sources [12].
Several examples for the use of all these meth-
ods in SHM systems are described in [10].
The final step in the design process is to
develop criteria for presenting the monitored data
and for making subsequent decisions. A SHM
system should generally only display data that has
been synthesized to a form that is meaningful and
can be easily understood. Criteria for decisions
regarding further operation and maintenance
should also be embedded in the system. This
would allow the system to interpret the acquired
data, compare the result to some predetermined set
of criteria and execute a decision with regard to
operation conditions, maintenance and repair in an
automated manner.
References
1. ISO 13372:2004(E): Condition monitoring and
diagnostics of machinesVocabulary
2. Guidelines for structural health monitoringDesign
manual no. 2. ISIS CanadaThe canadian network
of centres of excellence on intelligent sensing for
innovative structures, University of Manitoba,
Canada (2001)
3. Gutermann, M., Kosaka, Y., Matsuda, H.: German
proofloading method for bridges by BELFA. In:
Bridge and oundation, vol. 2, pp. 27-32, (2006)
4. Gutermann, M., Slowik, V., Sommer, R.: Experimentelle
Tragsicherheitsbewertung von Straenbrcken mit Hilfe
des Belastungsfahrzeuges BELFA. In: Beton- und
stahlbetonbau, 97, vol. 10, pp. 544549. Ernst&Sohn,
Berlin, (2002)
5. Neitzel, F., Johannes, L.: Anwendung des
tachymetrischen Laserscannings in der berwachung
eines historischen Bauwerkes. In: Luhmann, T., Mller,
C. (hrsg.) Photogrammetrielaserscanningoptische
3D-messtechnik, beitrge der oldenburger 3D-tage.
Herbert Wichmann, pp. 127136. Heidelberg (2009)
6. Aktan, A.E., Catbas, F.N., Grimmelsman, K.A.,
Pervizpour, M.: Development of a model health
monitoring guide for major bridges drexel intelligent
infrastructure and transportation safety institute.
Drexel University, USA (2003)
7. Inman, DJ., Sodano, HA.: Energy harvesting using
thermoelectric materials. In: Boller, C., Chang, FK.,
Fujino, Y. (eds.) Encyclopedia of structural health
monitoring, vol. 2, pp. 13511360. Wiley (2009)
8. Bischoff, R., Meyer, J., Feltrin, C.: Wireless sensor
network platforms. In: Boller, C., Chang, FK.,
424
Fujino, Y.(eds.) Encyclopedia of structural health
monitoring, vol. 2, pp. 12291238. Wiley (2009)
9. Staszewski, WJ., Worden, K.: Signal processing for
damage detection. In: Boller, C., Chang, FK., Fujino,
Y. (eds.) Encyclopedia of structural health
monitoring, Vol. 2, pp. 415421. Wiley (2009)
10. Part 3 Signal processing. In: Boller, C., Chang, FK.,
Fujino, Y. (eds.) Encyclopedia of structural health
monitoring, vol. 2, pp. 415754. Wiley (2009)
W. Daum
11. Robertson, AN., Basu, B.: Wavelet analysis. In:
Boller, C., Chang, FK., Fujino, Y. (eds.)
Encyclopedia of structural health monitoring, vol.
2, pp. 525540. Wiley (2009)
12. Luenberger, DG.: Linear and nonlinear programming.
Springer (2003)
 Buildings
Akira Mita
Diagnostics of buildings is briefly explained in
this chapter.
21.1 Background
Diagnostics of buildings had not drawn attention
until recent years. Steel and concrete structures
were assumed to be strong enough during their
life span. In some occasions, sensors were
installed to verify the accuracy and appropri-
ateness of design processes for large, tall or
special building structures.
It was 1940 when the large near-field earth-
quake was recorded at the El Centro Terminal
Substation Buildings concrete floor in Califor-
nia, USA. Before this event, the most building
structures in seismic zones had been designed
assuming static horizontal forces applied to
building floors. The static forces were estimated
by toppling of simple structures such as tomb-
stones when earthquakes happened. After this
famous El Centro 1940 earthquake data, many
sensors were installed to record strong motion.
The California Strong Motion Instrumentation
Program (CSMIP, see [1]) is a representative
program that provides the funding for installa-
tion and maintenance of sensors into buildings.
A. Mita (&)
Department of System Design Engineering, Keio
University, Yokohama, Japan
e-mail: mita@sd.keio.ac.jp
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_21,  Springer-Verlag Berlin Heidelberg 2013
21
The data obtained at these buildings are acces-
sible by anyone. However, such a program is
rarely seen in other countries. As most buildings
are privately owned, the recorded data are not
released to the public in most cases.
As the number of earthquake records
increases, we find larger and larger magnitude of
shaking we had never expected by that time. For
example, the Great Tohoku Earthquake of
magnitude 9.0 occurred on 11 March 2011
transmitted large energy to shake tall buildings
located far away from the epicentre. A 55-storey
tall building in Osaka that is about 500 km away
from the epicentre was excited by the earth-
quake. The maximum amplitude of the top was
about 2.7 m in both amplitudes. This large
shaking had not been expected before the event.
The response of this unexpected shaking was
revealed by the sensors installed in the building.
There is a notable episode during this earth-
quake. A structural health monitoring (SHM)
system installed into a 40-storey building in
Tokyo was reported to be very helpful to know
the safety of the building. As a result, appro-
priate and immediate resumption of elevators
was possible. In most tall buildings, eye
inspection by experts was needed to ensure the
safety of the buildings and elevator systems
before resuming normal services. The SHM
system saved hours of time for the residents and
tenants.
The importance of diagnostics based on
quantitative data taken by sensors installed into
buildings is gradually recognized by the public
425
426 A. Mita

for determining immediate actions for safety. In
addition, there is another reason in addition to
the safety. That is for diagnosing deterioration of
buildings to ensure their functions for prolong-
ing their service lives.
21.2 Four Phases of Diagnostics
for Buildings
The Ministry of Land, Infrastructure, Transport
and Tourism of Japan recently released a
guideline for SHM system for residential build-
ings that should be used for many years to
ensure the structural integrity of the building
during the service period [2]. The guideline
defines four categories of service period during
the lifetime of a building as listed below:
Construction phase
The structural performance of a building is
verified just after completion of construction
to check whether the necessary structural
performance is achieved or not.
Maintenance phase
The structural performance is routinely
checked to find any damages due to
environmental impacts including earthquakes,
strong winds and ageing.
Emergency phase
During the emergency situation such as large
earthquakes, tsunami and hit by terrorists, the
performance of the building is immediately
assessed whether the residents can stay in the
building or not.
Demolition phase
If the structural performance becomes too
low, the building will be demolished. The
decision is due to the system.
The four phases are more or less the same
with other buildings. Sensor-based diagnostics
is becoming feasible so that several commercial
systems are now under operation. Some of the
recent systems are presented in the next
section.
21.3 Diagnostics Systems
for Buildings
Historically, diagnostics systems for buildings
have their root on seismic observation systems
using high-precision servo accelerometers. As

Ceiling of 7th floor Roof-truss

Accelerometer Accelerometer

Accelerometer(7 locations, 16 points)

Displacement-meter (2 locations, 3 points)
Thermometer (1 1ocation, 1 point)
31m
Z -Dir

Observation equipment
Y -Dir

41m
#7 TT RFL
#5

4FL
#4

Z -Dir #3 #1 #2 1FL
BFL
#103
#0 # 102
X -Dir
81m

Basement of floor Basement of floor

Laser Accelerometer
displacement-meter

Fig. 21.1 7-story base-isolated building with structural health monitoring system
21 Buildings
Fig. 21.2 Trajectory of the isolation layer for 2011
Tohoku Earthquake
the number of sensors used in this field is not so
large and most observation systems are custom-
designed, the cost of the system is rather high.
As there are no common data treatment and
storage format, the professional and individual
cares to maintain the systems are required.
In the initial phase of developing SHM sys-
tem for buildings, the database system and
internet access have been added to conventional
observation systems. There were no diagnostics
tools installed on the system. The system grad-
ually evolved to include many diagnostics tools
and other sensors.
One of the pioneering systems has been
installed into the 7-storey base-isolated building
built in 2000 on Hiyoshi Campus, Keio Uni-
versity. The building is continuously monitored.
Buildings
Smart sensor
Get NTP information
Transmit data
Store data in database
TCP/IP
port80
Send command files
Change sensors configurations
Sensor gateway
Connection with sensors
NTP server
Data conversion
Fig. 21.3 Prototype platform of structural health monitoring system using smart sensors
427
The system consists of accelerometers and dis-
placement sensors to observe the response of
rubber isolators and superstructures. The system
is still being operated and acquires many data
including the response due to the Great Tohoku
Earthquake of magnitude 9.0 in 2011. The
overview of the system is depicted in Fig. 21.1.
The trajectory of the isolator obtained from
this system is plotted in Fig. 21.2.
In the next phase development of the SHM
systems for buildings, the importance of com-
mon data format and common analysis tools was
becoming recognized by the community. In
2008, a consortium consisting of 14 companies
and led by Keio University has been established
to develop a common platform for SHM system
[3]. The outline of the system is shown in
Fig. 21.3. The system has a common data model
for the SHM and uses smart sensors. The smart
sensors are equipped with microprocessor
boards with Linux operating system so that
necessary communication between sensors and
the data server is immediately started when the
sensors are connected to the network. The pro-
totype system has recently evolved to a com-
mercial system, and the feasibility tests are
being conducted (Fig. 21.4).
A commercial SHM system demonstrated its
ability for immediate reconnaissance of the
performance of 40-storey building [4]. The cat-
alogue of the system is shown in Fig. 21.5. The
system has been employed by a large real estate
company that declared that their all tall build-
ings will have this monitoring system. In this
Laboratory Users
HTTP
port80
Open information
Show analysis results
Data & Diagnosis server
Database
Web server
System identification
428
SUZAKU-V Power supply
A/D converter
Accelerometer
Fig. 21.4 Prototype smart sensors
Fig. 21.5 Visual sensor system for emergency control
way, automatic diagnostics of the performance
of buildings is being well recognized by the
owners of buildings as well as users of buildings.
21.4 Summary
Diagnostics systems for building structures
having their root on seismic observation systems
are now evolving to SHM systems for con-
struction, maintenance, emergency and demoli-
tion phases of buildings. An SHM system
installed into 40-storey building demonstrated its
usefulness for immediate resumption of building
functions. The importance and usefulness of the
A. Mita
SHM systems are gradually being recognized by
many people.
References
1. CSMIP: http://www.conservation.ca.gov/cgs/smip/
Pages/about.aspx. Accessed on 10 July 2012
2. http://www.nilim.go.jp/lab/ieg/tasedai/portal.htm.
Accessed on 10 July 2012
3. Mita, A., Sato H., Kameda H.: Platform for structural
health monitoring of buildings utilizing smart sensors
and advanced diagnosis tools. J. Struct. Control Health
Monit. 17(7), 795807 (2011)
4. VissQ (Visual Sensor System for Quakes) catalog,
Hakusan Corporation. http://www.hakusan.co.jp/.
Accessed on 10 July 2012
 Bridges
Helmut Wenzel
Bridges have been the preferred structures where
structural health monitoring (SHM) and perfor-
mance assessment have been developed. Com-
prehensive methodologies are available already
and good reference is provided in the literature
(health monitoring of bridges, Wenzel 2008).
Practical application started in the 1990s and has
developed into a full life cycle engineering
approach (LCE) as desired now. Out of the ini-
tial desire to detect damage a methodology to
optimise and manage the constructed infra-
structure has developed and is being applied
widely.
The field of technical diagnostics still
remains a process of special expertise, becoming
more and more integrated into LCE as it shows
relevance in most of the stages of the life of a
constructed infrastructure.
22.1 Life Cycle Engineering
of Bridges
Experience has shown that there is a large var-
iation in life cycle cost depending on initial
engineering choices and on chosen maintenance
concepts. Variation of 150 to 500 % of con-
struction costs over the entire life cycle has been
H. Wenzel (&)
VCE Vienna Consulting Engineers, Hadikgasse 60,
1140 Vienna, Austria
e-mail: vce@vce.at
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_22,  Springer-Verlag Berlin Heidelberg 2013
22
found. This large variation depends on a number
of parameters of which the maintenance concept
based on technical diagnostics plays a decisive
role. In this chapter, the stages of a typical
bridge life cycle are explained and the relevance
of technical diagnostics is provided. The scheme
given below sketches these stages over time
(Fig. 22.1).
Demand
Our constructed infrastructures comprise a
system of systems. Critical nodes, where
demand exceeds capacity, normally identify
themselves. In this stage the LCE community
can contribute to the establishment of good
solutions by optimising various performance
scenarios. The data of adjacent nodes of the
network are used to compute an optimum sce-
nario for the satisfaction of a demand. Yet, such
a global infrastructure management system is
rarely applied due to missing procedures and due
to its complexity.
Feasibility
Besides the detailed performance model,
feasibility studies have to be conducted to find
the relevant constraints and to establish the
conditions for the new structure. The results of
this feasibility should be fed back to the per-
formance model created at the demand stage.
Planning
Performance models also show the demand
on availability of bridges. This influences the
choice of materials, structural systems and
429
430
construction methods. This choice then consid-
erably influences the life cycle costs to be
expected.
Permits
Authorities responsible for granting permis-
sions for construction have the opportunity to
look at investments also from the standpoints of
environmental protection and social compati-
bility. This can considerably influence the per-
formance model through the conditions imposed
on the project. Therefore, a relevant perfor-
mance model has to contain procedures that
enable the introduction of socioeconomic
parameters.
Contracting
Technical diagnostics and performance
assessment should be an integrated part of any
construction contract. This not only comprises
the necessary quality control which is already
sufficiently established. Decisions that influence
the life cycle performance are not yet sufficiently
considered in project cycles and require different
steps of diagnostics and asset management
planning in the early stages of a project. On this
subject the potential conflict of interest, namely
the contractor checking personally, has to be
taken care of.
Design
The results of the system optimisation per-
formed from the beginning of the project cycle
have to be communicated to the detail designer.
Depending on the operation, decisions on con-
ditions and the setting of a structure design have
to be taken which go beyond simple structural
design issues. So far, unfortunately, concepts
mainly based on lowest possible construction
costs have been introduced. The enormous
impact on the entire life cycle costs has been
neglected.
Construction
Technical diagnostics have a firm role during
construction. The desire would be to integrate all
these steps from simple material testing to
complex performance control into the life cycle
process. This is not yet properly done. This
information will improve any prognosis in the
future providing background information and
deterministic input.
H. Wenzel
Operation
The constructed infrastructure has to be
maintained. Various maintenance concepts are
available and executed depending on the regio-
nal strategy. In Europe, preventive maintenance
has been successfully applied and has led to
infrastructures in very good condition. Due to
shrinking budgets this procedure has to be
optimised without sacrificing on safety and
quality. Experience has shown that visual
inspections overestimate risks and have some-
times led to unnecessary costly interventions. A
well-established technical diagnostics, SHM and
performance assessment procedure, can help to
optimise the preventive maintenance process.
In this section on life cycle, all the classical
approaches, methodologies and technologies of
SHM are applied. Reference is made to the rel-
evant publications. How to model the life cycle
of a bridge is described in detail in the following
sections. This standard model can be applied as
the basis for the desired performance model.
Upgrade
The type, size and timing of upgrades of the
infrastructure can be optimised in the perfor-
mance model. This has a major influence on the
total life cycle costs. Various scenarios can be
established, in addition to introducing avail-
ability considerations and also the flow of rev-
enue (i.e. toll collection).
Ideally, the structure should be equipped with
a permanent online monitoring system that
provides the necessary data for decision making.
Warnings in case that critical safety levels are
reached should be given well in advance in order
to allow planning and execution of upgrade
measures. These kind of SHM systems should be
used more and more in the long-term planning
procedures in order to predict the latest point of
action and give a window for execution of the
necessary works.
Intervention
When technical diagnostics methodologies
have calibrated the actual life cycle curve the
predictions of performance over a long period of
time becomes feasible. When the performance
curve reaches critical levels sometimes emer-
gency interventions become necessary. The
22 Bridges
Fig. 22.1 Typical life
cycle of a bridge
diagnostics will enable good decision making on
the extent and type of intervention.
De-commissioning
Not enough attention is being paid to this
issue currently. The help that proper SHM pro-
cedures and availability considerations can pro-
vide is neglected. It can be expected that in
future more attention will be paid to this last
element of the life cycle.
The core for the application of this technology
is the performance model. In the entire risk
management procedure as provided in the new
IRIS risk paradigm (result of the European IRIS
project), there is a new element together with the
assessment of uncertainties that led to a quanti-
tative risk value. Due to the generic definition it
produces a figure that allows comparison between
projects assets and structures (Fig. 22.2).
It is to be expected that such approaches will
be introduced in the entire sector.
Within the risk management procedure a
generic model for the life cycle of bridges has
been developed which is described in the sub-
sequent chapters. It has been already introduced
into a European standardisation process (CEN
workshop 563) and it can be expected that it
finds introduction into EUROCODE with the
coming revision.
431
22.2 Life Cycle Methodology
and Durability Analysis
with Regard to Relevant
Heavy-Maintenance
Instructions
22.2.1 Introduction
Methodologies for the management of the con-
structed infrastructure have been developed in
the IRIS Project (CP-IP 213968-2). The basis is
the consideration of the entire life cycle of a
structure. In bridge management this is per-

formed based on the BRIMOS method devel-
oped by VCE, which allows introducing
additional quantitative parameters through
monitoring techniques.
This paper covers all aspects of the appro-
priate life cycle analysis for engineering struc-
tures. In order to meet the governing
requirements regarding integral life cycle anal-
ysis, durability, the real degradation process and
residual lifetime considerations, the following
major aspects are considered for life cycle
modelling [4]:
(a) The determination/estimation of the design
life of new structures
432 H. Wenzel

5
4
3
2
1
0
1.5
1.5
1 1

Fig. 22.2 The IRIS risk paradigm

Fig. 22.3 Expected

(analytical) lifeline of new
structures

(b) The determination/estimation of the resid- Dynamic Bridge Monitoring

ual life of existing structures Visual Bridge Inspection
(c) Assessment criteria, whether the real deg- Material tests assessing chloride intrusion,
radation processdetermined by compressive strength, carbonaisation
22 Bridges
Fig. 22.4 Failure
probability and sum of the
failure
(Durability) correspond with the assumed
and applied life cycle model, in order to
take corrective measures in cases of accel-
erated ageing
(d) Maintenance instructions to guarantee the
original design life and preservation of
functions.
22.2.2 The Determination/Estimation
of the Design Life of New
Structures
22.2.2.1 Primary Load Bearing Structure
Conventional life cycle models are based on the
information provided by the respective dat-
abases. In order to introduce objective values for
assessment, a tailor-made model was developed,
which utilised state-of-the-art information from
the literature (European, American and Asian)
as well VCEs experience gained in the course
of performing bridge monitoring and bridge
inspection worldwide. This knowledge has been
incorporated into the assessment procedure that
is described in the following:
All important key performance parameters
(KPIs) which influence the life cycle of a
structure are acquired. These datasets are
implemented into a probabilistic model for ser-
vice life calculations of the individual items. The
433
reason is to cover occurring uncertainties which
have to be also implemented into the established
maintenance plan in terms of lower and upper
bounds of life expectancy.
The starting point of the bridges service
lifein terms of the safety levelis according
to the initial overdesign and depends on the
applied design code and certain safety consid-
eration in the course of the static calculations
(Fig. 22.3).
A Basic modelInitial and adapted range of
lifetime
To estimate the range of lifetime in the first
step, statistic analyses using probability density
functions are applied. A basic model covering
the operational lifetime of every investigated
structure is composed from the follow-
ingparameters [5] (Table 22.1):
Year of construction
Static system
Material
Typical cross section.
Exemplified for the primary loads bearing
structure (Fig. 22.4):
a = 45 yearslower bound life expectancy
e = 120 yearsupper bound life expectancy
a0 = a*k1*k2*k3 *k4 adapted lower bound
life expectancy
434 H. Wenzel

Table 22.1 Parameters which influence the lifetime of a bridge [5]

Year of construction k1 Static system k3
\1970 0,667 Vault 1,2
19711985 0,9 Frames and arches 1,05
[1986 1 Girder/beam, slab and others 1

Cross-section design k2 Material k4

Solid cross-section 1,05 Stone 1,2
Box girder 1 Concrete and reinforced concrete 1,1
T-beam, composite section, etc. 0,95 Prestressed concrete, steelconcrete composite 1
Corrugated profile 0,8 Wood 0,8

e0 = e*k1*k2*k3*k4 adapted upper bound life
expectancy
Average design life = a0 ? 0,6*(e0 -a0 )
To guarantee these stated ranges of theoreti-
cal design life of new structures, the assessment
is refined by the consideration of the following
additional aspects regarding individual mini-
mum requirements:
Concrete cover
Concrete quality
Environment influences
Maintenance history
Monitoring activities.
B Second stepService lifetime
To address the deterioration process properly,
the following sources of impact affecting the
structural performance (t) are to be considered in
detail:
Freight traffic volume
Level of freight traffic impact
Environmental influences
(Temperature, radiation and frost action)
Degradation due to chemical exposure.
to be broadened and refined due to each of the
listed major issues.
Effect of maintenance action on deterioration
curve
Initial consideration (NEW Structures)
Soundness (vertical axis) hn(t):
hn(t) = bn-an(t-tn)c
Where:
t: is the year of service life ending
n: the number of times a remedial action was
taken by year t Index
an: the slope of the deterioration curve at the
time the nth remedial action has been taken
bn: the soundness of the existing bridge at the
time the nth remedial action has been taken,
which changes according to the effectiveness
of the remedial action taken
c: is the power exponent of the deterioration
equation
Updating consideration (Existing structures)
The parameters a and b are updated every
time repair or strengthening is carried out by
using the following equations:

For demonstration purposes, a well-estab- bn hn tn hn  1tn R  q

lished approach (suggested by A. Miyamoto
(Japan) [1] and D. Frangopol (USA) [2]) is
described briefly, which covers all the major
sources of deterioration impact. For the present
demands these suggestions will necessarily have
R hn  1tn  1  hn  1tn
an a0  g n
In the equations, q is a parameter for reducing
soundness recovery; a0, the slope of the initial
22 Bridges 435

Fig. 22.5 Example of the calculated graph of the bridge soundness over the time (bridge performance)

deterioration curve; and g, a parameter for Table 22.2 Influence of average daily truck traffic on
increasing the rate of deterioration (Fig. 22.5). the mean value of certain structural members lifetime
Example: Average daily Pavement Expansion joint
3 truck traffic (years) (years)
hn t 1:5  9; 766E  07  2059  1979
[7.000 7.5 9
B7.000 10 12
22.2.2.2 Secondary Load Bearing [4.000
Structure (Structural Members) B4.000 15 18
[1.000
and Bridge Equipment
B1.000 20 24
A structure usually consists of a number of
components which interact. For each of the Table 22.3 Lifetime of particular bridge elements
components individual performance curves are Element Start of Average End of
determined. The structural life cycle curve is the failure life span failure
combination of the individual component (years) (years) (years)
curves. Sealing 10 20 30
Exemplary target values for the life expec- Edge beam 16 30 43
tation (replacement intervals) are provided in Bearings 15 36.5 55
Tables 22.2 and 22.3).
To demonstrate the need and the individual 22.2.3 Determination/Estimation
character of maintenance measures for different of the Residual Life of Existing
structural members, their typical lifelines are Structures
visualised as a single event on the one hand
(Fig. 22.6), and as a repeated event causing Basically, for primary and secondary load
several points of intervention during service life bearing members the same methodology and the
of the whole bridge structure (Fig. 22.7). same sources of impact are utilised. What makes
436 H. Wenzel

Fig. 22.6 Comparison of a representative set of individual lifelines for the following succession of structural
members: BEARINGS/GUIDERAILS/SEALING and EXPANSION JOINTS
22 Bridges
Fig. 22.7 Telescoping of the individual structural
members lifelines in the course of the whole timeframe
of service life of the bridge itselfcausing numerous
the difference for the analysis itself is the fact
that design assumptions are replaced as well as
possible by everything, supporting a deeper
understanding about the previous lifeline of the
investigated structure.
The life cycle curve of a structure is deter-
mined from the superposition of the individual
curves of its components and elements. The
following categories are considered:
Superstructure
Substructure
Expansion joints
Bearings
Wearing surface
Sidewalk
Railings and guidance
Other bridge equipment
Drainage and dewatering system
Other (spare).
The assessment according to a conventional
visual inspection is part of the present life cycle
model. A typical assessment sheet according to
the Austrian RVS 13.03.11 [6] is provided in
tabular form. The individual elements are indi-
vidually assessed (Table 22.4).
For the determination of a methodically
refined prediction of the life cycle curve any
additional information will be used, which is
able to contribute to a better understanding of a
structure. These are:
(a) Orginal static calculation (structural design)
437
theoretical points of intervention (shown again for
BEARINGS/GUIDERAILS/SEALING and EXPAN-
SION JOINTS)
Possible reduction of safety level reflecting
a paradigm changes from previous binding
codes to the current ones
(b) Judgement/rating from bridge inspections
(reports)
(c) Performed monitoring campaigns
(d) Schedule of performed maintenance and
rehabilitation measures
(e) Loading history (historical traffic data)
(f) Material tests (chloride intrusion/compres-
sive strength, carbonisation, etc.)
(g) Data on the environmental conditions.
These datasets are merged via maintenance
condition matrix as provided below (Fig. 22.8)
in order to determine the respective life cycle
curve analytically. The corresponding safety
level is defined as the offset between the initial
safety level in the year of construction until the
present date of judgement.
Any change in assessment, for every element
separately, generates a new assessment routine
and changes the character of the life curve. The
continuative progression is derived in a similar
way to a new structurebut of course this
depends on the former impact. Eventual
improvements through upgrade or repair works
are also considered.
The use of the established maintenance con-
dition matrix supports the individual determi-
nation of the current remaining structural
resistance and the present risk level by means of
a comprehensive weighting function (Fig. 22.9).
438
Table 22.4 Visual inspection results from Austrian
RVS 13.03.11 [6]
Spread of remaining lifetime 16/30/40 years
The model is constructed in a fully dynamic
manner and runs the life cycle curve processing
anytime after a parameter update is received.
Depending on the quality of the received infor-
mation the standard deviation is increased or
decreased, respectively.
Fig. 22.8 Maintenance
condition matrix
assessment scheme
H. Wenzel
The theoreticalanalytical life cycle curve
starts with the year of construction. Whenever
new information becomes available an update is
computed. The example shows three curves
which are:
Theoretical life cycle curve showing the
desire over design and expected lifetime of
90 years
Assessment of the actual life cycle curve after
construction considering inspection results
(lifetime reduced to 77 years)
Remaining lifetime assessment at a specific
date (i.e. 30 years after construction) derived
from a detailed assessment campaign. Life
expectation is reduced to 58 years.
It may be mentioned here that in most of the
detail campaigns additional capacities are
detected rather than reductions as shown in the
above example.
22.2.4 Assessment Criteria Whether
the Real Degradation Process
(Determined by Bridge
Diagnosis) Corresponds
to the Assumed and Applied Life
Cycle Model in Order to Take
Corrective Measures in Cases
of Accelerated Ageing
Continuous condition assessment is a basic
prerequisite for an adjusted maintenance plan-
ning within the upcoming service life. In the
course of being exposed to operational service
life new structures are becoming existing
22 Bridges
Fig. 22.9 Enhanced
lifetime prognosis of an
existing bridge by means
of visual inspection 2008
and static safety
evaluationreflecting a
paradigm change from
previous binding design
code to Eurocode
structures. Thus, the methodological approach
based on the determination of the design life of
new structures must necessarily be used and
adapted due to the determination of residual
lifetime of the existing structures.
To cover this certain demand, a strong
emphasis is to be put on in situ investigations.
The following three major components of
structural assessment are to be incorporated in
order to be aware of the real ageing process of
bridge structures and structural members:
Dynamic Bridge Monitoring
Visual Bridge Inspection
Material tests assessing chloride intrusion/
compressive strength, carbonatisation
(Durability).
22.2.4.1 Bridge Assessment Based
on Dynamic Measurements
by Means of BRIMOS
Complementary to visual bridge inspection
from common practice full-scale dynamic
monitoring turned out to be a powerful evalu-
ation tool that reflects structural resistance and
load bearing capacity in a most suitable manner
(Fig. 22.10).
SHM is the implementation of damage iden-
tification strategies to civil engineering struc-
tures such as bridges. Damage is defined as
changes to the material and/or geometric prop-
erties of the structures, including changes to the
439
boundary conditions (e.g. settlements) and sys-
tem connectivity. Appropriate SHM by mea-
suring the structural behaviour with various
kinds of sensors allows an objective assessment
of the structures condition and actual perfor-
mance. This is the basis for reliable damage
detection, the prediction of the future perfor-
mance and precise maintenance planning. SHM
allows increasing the regular visual inspection
intervals for bridges, and therefore a reduction
of inspection caused traffic impediment. The

BRIMOS SHM concept knows different levels
of investigation depths. The appropriate inves-
tigation type has to be chosen for each bridge
individually according to its size, age, condition,
building type, load level and accessibility for a
suitable investigation concept. SHM helps to
avoid unnecessary repair works and to minimise
maintenance caused traffic impediment.

(1) Spot ObservationThe BRIMOS Recorder

(2) Periodic MonitoringThe BRIMOS Mea-
surement System

(3) Permanent Monitoring with BRIMOS
A constant comparison between expected and
measured structural integrity (multi-level
assessment of the investigated Lifeline) is done
to be aware of the velocity of structural ageing.
Figure 22.11 provides an example for a structure
which has been assessed in case of the applica-
tion of successive periodic or permanent
monitoring.
440
Fig. 22.10 Bridge
performance (soundness)
over time
Thus, system constantly determines the cur-
rent safety level in order to refine and calibrate
the demanded prognosis about residual lifetime.
By means of the present approach, the need
for maintenance measures can be evaluated in a
timely manner in order to avoid costly and
unnecessary rehabilitation measures on the one
hand or already inappropriate measures on the
other hand (Fig. 22.12).
BRIMOS [7] offers a well-defined rating
system for investigated structures. This classifi-
cation allows a fast identification on the struc-
tures integrity as well as the corresponding risk
level based on measured dynamic parameters,
visual inspection, Finite Element Model-update
and reference data (BRIMOS Database). By
merging these sources of information, the major
task of determining the exact present position of
the analysed structure on its lifeline is covered.
Furthermore, the result is a classification which
is related to a predefined risk level. The expe-
rience of about 1,000 investigated structures
worldwide has been incorporated into the
assessment procedure.
22.2.4.2 Summarising Emphasis on Life
Cycle Analysis
Based on the VCEs experience in the field of
structural bridge assessment (about 1,000 struc-
tures worldwide have been investigated), it has
to be stated that life cycle considerations depend
on much more than just the task of chloride-
H. Wenzel
induced corrosion (covered with the Model
Code for Service Life Design [3] that is used in
many countries in context with residual lifetime
calculations.
Even if the latter reflects the degradation
process of secondary load bearing members
quite well, the deterioration process for Primary
Load Bearing members necessarily considers the
following sources of impactaffecting the
Structural Performance (t):
Freight traffic volume
Level of freight traffic impact
Environmental influences (temperature, radi-
ation, frost action)
Degradation due to chemical exposure.
Parameters like
Cross-section design
Static system
Material
Concrete cover
Concrete quality (concrete grade).
Providing structural redundancy leads to a
lifeline differing very much from the one that
observes only chloride impact in terms of its
qualitative (progression of the ageing function)
and quantitative (resulting time span) conse-
quences. This fact is evident when comparing
Figs. 22.13 and 22.14.
It is clearly evident that the real degradation
process can only be sufficiently covered with in
situ investigations, especially full-scale dynamic
monitoring, which reflect structural resistance
22 Bridges 441


Fig. 22.11 Expected (analytical) lifeline of structure, validated with dynamic measurements (BRIMOS )

Fig. 22.12 Life cycle

curve with regard to global
safety: The enhanced
prognosis is based on the
visual inspection in 2005,
the dynamic safety
evaluation in 2006/2007
and the successive
rehabilitation and
strengthening in 2008. A
narrow spread of
remaining lifetime (16/30/
40 years) is the result

and load bearing capacity in a most suitable
manner.
Relying exclusively on the Model Code for
Service Life Design [3] based, chloride analysis-
driven approach seems to be very conserva-
tivereflecting only parts of reality, especially
when dealing with the primary load bearing
structure. The present suggestions are stated
with regard to unnecessary repair works and to
minimisation of maintenance caused traffic
impediment.
Extensive case studies using a huge amount
of available data from chloride intrusion mea-
surements along certain highway projects were
done. These results were also compared to
results from the present, integral Life Cycle
Analysisthis comparison fully confirms the
chosen methodological approach.
442
Fig. 22.13 Expected (analytical) lifeline of structure, validated with dynamic measurements (BRIMOS ) and bridge
inspection
22.2.5 Maintenance Instructions
to Guarantee the Original
Design Life and Preservation
of Functions
Regarding Life Cycle and Maintenance projects,
the contractor is usually obliged to supply
principal maintenance instructions for the RWS
investigated infrastructure to guarantee that the
original design life of the structures can be
achieved.
In the course of the life cycle analysis,
maintenance plans by means of intervention
schedules and by means of corresponding bill of
quantities are prepared for the existing and new
structures.
22.2.5.1 Structural Members Considered
in the Maintenance Instructions
To guarantee the functional capability of a
bridge object during the entire contract period
(of course considering the overall design life)
the individual service life of the bridges struc-
tural members has to be considered. Thus, the
elaborated maintenance plans deliver all neces-
sary measures for each single bridge element.
The following, chosen categorisation reflects the
common composition of available inspection
reports as well as the aspired maintenance plans:
H. Wenzel

Superstructure
Substructure
Bearing
Edge beam
Expansion joints
Guide rail
Railing
Drainage.
The used categorisation is coherent with the
common practice all over Europe.
These basis intervals are adjusted using
functions of failure probability (see (Fig. 22.4)
and (Table 22.3) in this chapter), considering the
general conditions and sources of impact during
the operating phase, which can be variable over
the years, such as:
Freight traffic volume
Level of freight traffic impact
Environmental influences (temperature, radi-
ation and frost action)
Degradation due to chemical exposure (a main
factor in these considerations is the chloride
initiated reinforcement corrosion)
Bridge inspections (assessment/rating).
As a result of the developed methodology,
expected mean values for the operational life-
time and upper and lower bounds of the life
expectancy for the single bridge elements are
determined, which support the operators
22 Bridges 443

DuraCrete - Probabilistic Lifelines

time [a]
0.00 10.00 20.00 30.00 40.00 50.00 60.00 70.00 80.00 90.00
0.000

0.200
deterministic
Cs - lower bound
Cs - upper bound
0.400 Ci - lower bound
Ci - upper bound
ke - lower bound
C (x,t)

0.600 ke - upper bound

ncl - lower bound
ncl - upper bound
Drcm - lower bound
0.800
Drcm - upper bound
all - lower bound
all - upper bound
1.000 Ccrit

1.200

Fig. 22.14 Lifelines taken from chloride penetration measurementsanalysis over time

decision process in the course of maintenance prolongation of 33+16 = 49 years, a relatively

planning as it enables the scheduling of appro-
priate maintenance instructions.
22.2.5.2 Harmonised Maintenance
Intervals and Specification
of Services
Based on the knowledge about the average
duration of operational life and the individual
rating from site-inspection, an updated ageing
function of all the structural members during the
contract period can be derived.
The previous table (Table 22.5) gives an
overview about service life regarding replace-
ment and heavy maintenance for the intro-
duced categories of structural components
taken from relevant references. Finally, all the
possibilities regarding periods of replacement
and maintenance are to be harmonised to meet
the demands of the certain investigation (see
Table 22.5 final column).
To clarify the utilisation of the listed figures,
they are exemplified based on the Life Cycle of
a single edge beam:
In the Inspection Reports replacement is
scheduled for every 33 years. Additionally,
there is a probabilistic envelope regarding
replacement of 16 years. In order to ensure a
late maintenance measure after 25 years is
necessary.
While Table 22.5 differentiates only between
replacement and maintenance, Table 22.6 spec-
ifies different services in the course of a main-
tenance measure relating to the decisive
structural members.
22.2.5.3 Application on the Structures
of a Certain PPP-Project
In the case of the EXISTING STRUCTURES, a
multi-stage concept was developed to provide a
comprehensive maintenance plan for the con-
tract period. In the first stage, a maintenance
schedulestarting from the year of construction
and using the harmonised maintenance intervals
onlyis developed, considering the whole ser-
vice life of the object. This stage can be under-
stood as an elaboration stage of expected
(theoretical) maintenance plans according to
common practice.
Complementary to this first stage the main-
tenance plan in the second stage reflects prob-
ably the already existing, officially scheduled
maintenance measures of the latest inspection
reports only (Fig. 22.15 at the bottom). For
structures, where no official maintenance plans
444 H. Wenzel

Table 22.5 Maintenance intervals due to different kind of references and harmonised intervals
Intervention Maintenance interval [years]
OBR DISK MIOK Literature ALanes 15
Harmonisation
Superstructure
Concrete
Replacement 90 90 90 90
Maintenance 30 30 30 30
Anti-chloride measures existing structures if required
Anti-chloride measures new structures if required
Steel
Replacement 90 90
Maintenance 20 25

Substructure
Concrete
Replacement 90 90 90
Maintenance 30-60 30
Anti-chloride measures existing structures 12
Anti-chloride measures new structures if required

Guide rail
Replacement 50 60 30 (-14/+13) 30
Maintenance 25

Bearing, support
Rubber
Replacement 50 50 45 50 (20)
Maintenance
Steel, teflon and rubber
Replacement 50 50 36 (-16/+19) 50 (20)
Maintenance 30 30

Edge beam
Replacement 33 33 30 (-14/+13) 33 (16)
Maintenance 25 25 20 25
Anti-chloride measures existing structures 12
Anti-chloride measures new structures if required

Expansion Joints
Steelheavy traffic
Replacement 30 25-35 14 (-5/+4) 30
Maintenance 10 10-15 10
Steellight traffic
Replacement 30 25-35 45 (-15/+15) 30
Maintenance 10 10-15 10
(continued)
22 Bridges 445

Table 22.5 (continued)

Intervention Maintenance interval [years]
OBR DISK MIOK Literature ALanes 15
Harmonisation
Steel profile, synthetic resin concrete and rubber
Replacement 15-20 12 30 30
Maintenance 5-10 4 20 10
Special construction for lifting bridge
Replacement 40
Maintenance 10

Guide rail
Concrete
Replacement 50 60 30 (-14/+13) 30
Maintenance 25
Steel
Replacement 20 50 62 30 (-14/+ 13) 30
Maintenance 20 12 15
Steel(middle) stijf
Replacement 25 30
Maintenance

Railing
Replacement 20 50 62 30 (-14/+13) 30
Maintenance 20 12 15

Guide rail
Steel
Replacement 50 50 50
Maintenance 11 11

are available the dates of intervention according
to the standard intervals are assumed.
To get a comprehensive individual mainte-
nance plan for every structure based on the
introduced life cycle methodology the two pre-
vious plans have to be merged (=[ from
Fig. 22.15 to Table 22.7).
Know-how gained in a large number of pro-
jects in the field of bridge engineering and health
monitoring strongly supported this merging
process which is mainly composed by means of:
The structures individual maintenance his-
tory during the previous service life (if a
documentation is available) =[ key indicator
latest intervention,
The latest rating of the respective structural
member (bridge inspection),
Probably already scheduled upcoming
maintenance measuresas a manner of
principle the latest versions are considered,
occasionally also the previous ones are of
relevance (including complementary
information),
Harmonised standard intervals regarding
replacement and heavy maintenance of struc-
tural members (Table 22.5).
446 H. Wenzel

Table 22.6 Services in the course of a maintenance measure

Structural Material Intervention Services
members
Superstructures Concrete Maintenance Deep injection of cracks
Repair of spallings, holes and concrete pockets as well as
removal of contamination of the concrete surface
Anti- Renewal of the concrete surface coating to protect structural
chloride members from chemical exposureesp. hydrochloride impact (if
measures required)
Steel Maintenance Coating of steel surfaces to prevent corrosion processes
Local maintenance of corrosion and defective coating
Substructure Concrete Maintenance Deep injection of cracks
Repair of spallings, holes and concrete pockets as well as
removal of contamination of the concrete surface
Anti- Renewal of the concrete surface coating to protect structural
chloride members from chemical exposureesp. hydrochloride impact
measures
Bearings Rubber Replacement Maintenance-free elastomeric bearings
Steel, Replacement
rubber Maintenance Replacement of single components (e.g. protective covering)
Removing of contaminations affecting the structural members
operability
Local repair of corrosion and defective coating
Edge beam Concrete Replacement
Maintenance Deep injection of cracks
Repair of spallings, holes and concrete pockets as well as
removal of contamination of the concrete surface
Repair of the joint between pavement and edge beam
Anti- Renewal of the concrete surface coating to protect structural
chloride members from chemical exposureesp. hydrochloride impact
measures
Expansion see Replacement
joint specification Maintenance Pouring of cracks and joints along expansion joints
Removing of contaminations affecting the structural members
operability
Replacement of the sealing profile
Guide rail Steel Replacement
Concrete Replacement
Railing Steel Replacement
Drainage Replacement Local renewal of the piping system

In the case of the NEW STRUCTURES, the
individual maintenance plans are again based on
the established life cycle methodology, starting
from the year of construction and again using the
harmonised maintenance intervals. In the first
step a maintenance plan for the whole service
life is created, in the second step the detailed
maintenance schedule focuses already on the
contract period.
After all maintenance schedules have been
stated by means of points of interventions so far,
the refined maintenance plans are already linked
with the individual bills of quantities for every
structure, which are necessarily accumulated
22 Bridges
Fig. 22.15 Maintenance planfirst and second stage
over the whole contract period. This is done for
every single object (Fig. 22.15).
Afterwards maintenance plans for the existing
structures and for new structures for each traffic
junction are merged and harmonised. To avoid
unnecessary individual repair works and to min-
imise maintenance caused traffic impediment
these formerly derived accumulated maintenance
447
schedules of one traffic junction are adapted and
combined ultimately (in case of doubt the shifting
of maintenance measures into the determined
blocks of intervention follows a conservative
tendency.
This final life cycle methodology output fol-
lows the demands of civil engineering
feasibility.
448 H. Wenzel

Table 22.7 Example for a comprehensivebut still individualmaintenance plan during the contract period
existing structure

Superstructure
(concrete)
1
9
Maintenance x 1
7
2
Maintenance
anti chloride 0
measures

Superstructure (steel)

Maintenance 0

Substructure
(concrete)
1
9
Maintenance x 1
7
2
Maintenance
anti chloride 0
measures

Bearing (elastomer)
1
9
Replacement x 1
7
2

Bearing (elastomer with

steel retainment)
Replacement 0

Maintenance 0

Bearing (pot
bearings)
Replacement 0

Maintenance 0

Edge beam
(concrete)
1
9
Replacement x 1
7
2
(continued)
22 Bridges 449

Table 22.7 (continued)

1
9
Maintenance x 1
7
2

Exp. joint (steel

profile/concrete/rubber)
1
9
Replacement x 1
7
2
1
9
Maintenance x x 2
7
2

Exp. joint (finger joints)

Replacement 0

Maintenance 0

Guide rail (concrete)

Replacement 0

1
9
Replacement x 1
7
2
Maintenance 0

1
9
Replacement x 1
7
2
1
9
Maintenance x 1
7
2

1
9
Replacement x 1
7
2
450
All Bill of Quantities listed within the present
tables are to be understood in terms of the total
mass for maintenance measures per component.
A certain percentage for individual structural
members cannot be determined directly. For the
existing structures, the inspection reports do not
give detailed information regarding the extent of
affected degradation. Consequently, it is again
difficult to predict this extent of affected degra-
dation for new structures.
This task has necessarily to be solved in the
course of price calculation on the one hand and
risk considerations on the other hand.
22.2.5.4 Review of Maintenance
Instructions and Update
of Maintenance Plans
The prognosis of the structural condition, espe-
cially of the condition of secondary structural
elements is a complicated process. As the
prognosis period is relatively long, considerable
deviations are not unlikely figure
In the end, the real maintenance plans of the
engineering structures have to be coordinated
with the pavement maintenance which also can
differ from the current predictionsmainly due
to varying traffic load intensity.
Therefore, a continuous review and adapta-
tion of the maintenance instructions during the
contract period is necessary. It is proposed to
implement this updating process in a semi-
automatic way. This means that all the acquired
condition data from the structures and from the
pavement are collected by a Management
Information System automatically. The results
of the visual inspection are also imported.
The system software automatically updates
the life cycle curves of all structures and struc-
tural elements and suggests an adapted mainte-
nance plan for the rest of the contract period.
This maintenance plan has to be proved and
adapted manually in agreement with the pave-
ment maintenance and the operational require-
ments. This continuous review of the
maintenance plans for the structures in coordi-
nation with the pavement maintenance allows a
minimisation of the traffic impediment and a
maximisation of the availability.
H. Wenzel
22.2.5.5 Cost Model
The life cycle curves of each single element of a
structure are connected to typical cost factors.
For that purpose the respective unit costs per
element are to be assigned to each structure
individually. The computed financial demand is
automatically computed for the remaining life
period. It can be provided as demand for pre-
ventive maintenance or as required retrofit
investment expected for a specific date. A con-
nection to the actual provided maintenance
investment over the history is possible, enabling
this model to be used for the optimisation of
costs. Parameter studies can be easily performed
through variation of individual parameters.
22.2.6 Major Remaining Risks
In cases a so-called major structure strategy is
followed, where only a set of bridges is
chosen in order to investigate these in detail
and extrapolate the output to all other
bridges, this has to be done very carefully.
The reason is that huge deviations between
the existing structures can arise, while new
structures can be treated in this manner
without any problem.
Heterogeneous structural documentation (does
the evaluation of the existing object really
reflect the latest maintenance condition
state?)
Available documentation can lack in:
Completeness of information (drawings, con-
sideration of structural details also)
Documentation about maintenance history
Up-to-date aspects
Well-defined judgements (varying quality of
elaborated reports).
References
1. Miyamoto, A., Ishida, J.: Bridge Maintenance, Safety,
Management, Health Monitoring and Informatics -
Koh & Frangopol (eds), Taylor & Francis Group,
London, ISBN 978-0-415-46844-2, (2008)
2. Dan M. Frangopol, Jung S. Kong, and Emhaidy S.
Gharaibeh Journal of Computing in Civil Engineering,
(2001)
22 Bridges
3. fib Model Code for Service Life Design -bulletin 34
prepared byTask Group 5.6,Lausanne, Switzer-
land,ISBN 2-88394-074-6,(2006)
4. Veit-Egerer, R., Widmann, M.: Life cycle methodol-
ogy and durability analysis with regard to relevant
heavy-maintenance instructions. VCE-WD 220; IRIS
(Integrated European industrial risk reduction sys-
temIP: SP3 and 7); European commission FP7;
Project No. FP7-NMP-2007-LARGE-1, (2010)
451
5. Wicke, M., Kirsch, P., Straninger, W., Scharitzer, B.:
Kostenmodell fr den Funktionserhalt von Stra-
enbrcken. Bauingenieur Band 76, (2001)
6. Forschungsgesellschaft fr das Verkehrs- und Stra-
enwesen: RVS 13.03.11 berwachung, Kontrolle und
berprfung von KunstbautenStraenbrcken.
Wien, (1995)
7. Wenzel H.: Health monitoring of bridges. Wiley,
Chichester England, ISBN0470031735; (2009)
 Pipelines
Daniele Inaudi
Flowlinespipelines or gas lines often cross haz-
ardous environmental areas, from the point of view
natural exposures such as landslides and earth-
quakes and from the point of view of third party
influences such as vandalism or obstruction. These
hazards can significantly change the original func-
tioning of the flowline, leading to damaging, leak-
age and failure with serious economic and ecologic
consequences. Furthermore, the operational condi-
tions of the pipeline itself can induce additional
wearing or even damage due to corrosion, erosion
and fatigue. This chapter presents methods, tech-
niques and their application to structural health
monitoring and performance control.
23.1 Methodology
The structural and functional monitoring can
significantly improve the pipeline management
and safety. Providing regularly with parameters
featuring the structural and functional condition
of the flowline, monitoring can help (1) prevent
the failure, (2) detect in time the problem and its
position and (3) undertake maintenance and repair
activities in time. Thus, the safety is increased,
maintenance cost optimized and economic losses
decreased. Typical structural parameters to be
D. Inaudi (&)
SMARTEC SA, Via Pobbiete 11,
6928 Manno, Switzerland
e-mail: Daniele.inaudi@smartec.ch
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_23,  Springer-Verlag Berlin Heidelberg 2013
23
monitored are strain and curvature, while the most
interesting functional parameters are temperature
distribution, leakage and third-party intrusion.
Since the flowlines are usually tubular structures
with kilometric lengths, structural monitoring of
their full extent is an issue itself. The use of the
discrete sensors, short gauge or long gauge is
practically impossible, because it requires instal-
lation of thousands of sensors and very complex
cabling and data acquisition systems, raising the
monitoring costs. Therefore, the applicability of
the discrete sensors is rather limited to some
chosen cross-sections or segments of flowline, but
cannot extend to full-length monitoring. Other
current monitoring methods include flow mea-
surements at the beginning and end of the pipe-
line, offering an indication of the presence of a
leak, but limited information on its location.
Recent developments of distributed optical
fibre strain and temperature sensing techniques
based on Raman and Brillouin scattering provide
a cost-effective tools, allowing monitoring over
kilometric distances. Thus, using a limited
number of very long sensors, it is possible to
monitor structural and functional behaviour of
flowlines with a high measurement and spatial
resolution at a reasonable cost.
23.2 Distributed Sensors
Unlike electrical and point fibre optic sensors,
distributed sensor offers the unique characteristic
of being able to measure physical and chemical
453
454
parameters along their whole length, allowing the
measurements of thousands of points using a single
transducer. The most developed technologies of
distributed fibre optic sensors are based on Raman
and Brillouin scattering. Both systems make use of
a nonlinear interaction between the light and the
silica material of which the fibre is made. If light at
a known wavelength is launched into a fibre, a very
small amount of it is scattered back at every point
along the fibre. Besides the original wavelength
(called the Rayleigh component), the scattered
light contains components at wavelengths that are
different form the original signal (called the Raman
and Brillouin components). These shifted compo-
nents contain information on the local properties of
the fibre, in particular strain and temperature.
Figure 23.1 shows the main scattered wavelength
components for a standard optical fibre. It can be
noticed that the frequency position of the Brillouin
peaks is dependent on the strain and temperature
conditions that were present at the location along
the fibre where the scattering occurred, while the
intensity of the Raman peak is temperature
dependent.
When light pulses are used to interrogate the
fibre, it becomes possible, using a technique
similar to RADAR, to discriminate different
Fig. 23.1 Light scattering in an optical fibre
D. Inaudi
points along the sensing fibre by the different
time-of-flight of the scattered light. Combining
the radar technique and the spectral analysis of
the returned light, one can obtain the complete
profile of strain or temperature along the fibre.
Typically, it is possible to use a fibre with a length
of up to 30 km and obtain strain and temperature
readings every metre. In this case, we would talk
of a distributed sensing system with a range of
30 km and a spatial resolution of 1 m.
Raman scattering is the result of a nonlinear
interaction between the light travelling in a fibre
and silica. When an intense light signal is shined
into the fibre, two frequency-shifted components
called, respectively, Raman Stokes and Raman
anti-Stokes will appear in the backscattered
spectrum. The relative intensity of these two
components depends on the local temperature of
the fibre. Systems based on Raman scattering
typically exhibit a temperature resolution of the
order of 0.1 C and a spatial resolution of 1 m
over a measurement range up to 8 km.
For temperature measurements, the Brillouin
sensor [1] is a strong competitor to systems based
on Raman scattering, while for strain measure-
ments, it has practically no rivals. Brillouin scat-
tering is the result of the interaction between
23 Pipelines
optical and sound waves in optical fibres. Ther-
mally excited acoustic waves (phonons) produce a
periodic modulation of the refractive index.
Brillouin scattering occurs when light propagating
in the fibre is diffracted backward by this moving
grating, giving rise to a frequency-shifted com-
ponent by a phenomenon similar to the Doppler
shift. The most interesting aspect of Brillouin
scattering for sensing applications resides in the
temperature and strain dependence of the Brill-
ouin shift. This is the result of the change in the
acoustic velocity according to variation in the
silica density. The best Brillouin scattering sys-
tems offer a temperature resolution of 0.1 C, a
strain resolution of 20 le and a measurement
range of 30 km with a spatial resolution of 1 m [2].
The systems are portable and can be used for field
applications. Figure 23.2 shows an example of a
Raman and a Brillouin interrogator.
Since the Brillouin frequency shift depends on
both the local strain and temperature of the fibre,
the sensor design will determine the actual sen-
sitivity of the system. For measuring tempera-
tures, it is necessary to use a cable designed to
shield the optical fibres from an elongation of the
cable. The fibre will therefore remain in its
unstrained state, and the frequency shifts can be
unambiguously assigned to temperature
Fig. 23.2 Raman and
Brillouin distributed
sensing interrogators
Fig. 23.3 Sensor cable
for temperature, strain and
combined strain and
temperature
455
variations. Measuring distributed strains also
requires a specially designed sensor. A mechan-
ical coupling between the sensor and the host
structure along the whole length of the fibre has to
be guaranteed. To resolve the cross-sensitivity to
temperature variations, it is also necessary to
install a reference fibre along the strain sensor.
Special cables, containing both free and coupled
fibres, allow a simultaneous reading of strain and
temperature. Figure 23.3 shows examples of
temperature, strain and combined cables [3, 4].
23.3 Pipelines Leakage Detection
The basic principle of pipeline leakage detection
through the use of distributed fibre optic sensing
relies on a simple concept: when a leakage occurs
at a specific location along the pipeline, the
temperature distribution around the pipeline
changes. This change in temperature is localized
both in space (a few metres around the leakage
location) and in time (the onset of the leak). This
makes the algorithmic detection of leaks rela-
tively easy to implement. The origin of the tem-
perature disturbance around the pipeline depends
on the type of pipeline and its surroundings. The
most typical effects are the following:
456
The released liquid is warmer than the sur-
rounding soil (typical for buried oil pipelines).
The released gas produces a local cooling due
to pressure release (typical for buried, under-
water and surface gas pipelines).
The released liquid changes the thermal
properties of the soil, in particular thermal
capacity, and influences the natural day/night
temperature cycles.
A warm plume is formed around the pipeline
(typical for underwater oil pipelines).
In the case of multiphase pipelines, a combi-
nation of the above can occur.
Knowing the above effects, one can deter-
mine the ideal sensing cable placement around
the pipeline.
In the case of a buried oil pipeline, the best
location for the sensing cable is below the pipe,
but not in direct contact. At that position, there is
a maximum probability of collecting the
released oil, independently from the leakage
location. This is depicted in Fig. 23.4.
If the pipeline is installed below the water
table or underwater, the oil will have a tendency
to rise and not to sink. In this case, the ideal
placement is reversed.
As we have pointed out, a gas leakage pro-
duces a temperature drop at the leak location.
This has the tendency to cool down the pipeline
Fig. 23.4 Detection of a liquid leak through a cable placed under the pipeline
Fig. 23.5 Detection of a gas leak through a cable placed on the pipeline. This arrangement can also be used to detect
a third-party intrusion
D. Inaudi
itself and its surroundings. The best position for
the temperature sensing cable is in this case in
direct contact with the pipeline surface. In this
case, we make use of the good thermal conduc-
tion properties of the pipeline itself to transfer the
cooling from the leak to the cable. An example of
such installation is depicted in Fig. 23.5.
This arrangement can also be used to detect
an intrusion attempt. When the pipe surface is
exposed to the air, this also produces a local
thermal change that can be detected by the same
cable. In this situation, the best location is
obviously above the pipeline.
23.3.1 Application Example:
Qualification Test for Oil
Leakage
To simulate an oil leakage form a buried pipe-
line, a test has been performed at the premises of
Praoil in Italy, in cooperation with Electronic
News [5]. The optical fibre cable, containing two
optical fibres, was buried in a small layer of sand
at approximately 1.5 m below ground. Succes-
sively, a polyethylene pipe was placed above the
cable, in a serpentine, and provided with taps,
allowing a controlled injection of water in the
ground. Several taps were installed with varying
horizontal and vertical distances to the sensing
23 Pipelines 457

Fig. 23.6 Leakage detection simulation arrangement. Warm water is injected in the ground at different positions with
respect to the sensing cable positions. Several taps with volume metres are used to generate controlled leaks

Table 23.1 Test program above ground and are due to different contact
with the ground and sunshine conditions. From
Time Tap Flow rate Leakage
(l/min) volume (m3) 38 to 117 m, the cable is in the ground and its
15.12 D1 opening 10 0.08 temperature is much more constant, around
15.20 D1 closing 12 C. From 117 to 158 m, the cable is again in
15.20 D2 opening 16 0.40 the air and then re-enters the ground coming
15.45 D2 closing back in the opposite direction. The interesting
15.45 D3 opening 14 0.91 section for the experiment is therefore the one
16.50 D3 closing between 38 and 117 m. In Fig. 23.7 it is already
17.00 D4 opening 6 0.06 possible to observe a couple of temperature
17.10 D4 closing peaks at leakage locations; however, other leaks
are not easily visible and additional processing is
therefore necessary.
cable. Each tap was also instrumented with a The first step is to move to a relative visual-
volume meter to assess the leak volume and ization, where the temperature is plotted rela-
capacity. The temperature of the injected water tively to a reference temperature profile obtained
could also be adjusted to simulate different at the beginning of the test. Once this is done,
operational conditions. Figure 23.6 illustrates we obtain the results shown in Fig. 23.8. All
the testing setup. four leakages are now clearly visible. It has to be
In a first testing session, four leakages were noticed than the first leakage was in the transi-
produced in sequence at different location. The tion zone between buried and exposed section of
Table 23.1 summarizes the leaks. pipe and cable.
The Fig. 23.7 shows the raw temperature data In order to quantify the detection time and
recorded during the test. Although temperature released volume, we will now concentrate on a
profiles were recorded every minute, for clarity, single leak and observe the associated tempera-
we have depicted only one measurement every ture evolution. Figure 23.9 shows the tempera-
10 min. ture evolution at the location of leakage 3.
The initial temperature variations, from the In this case, the leakage was started at 3:40 PM.
beginning of the cable to approximately 38 m, The temperature started rising at 4:20 PM and
correspond to a section of the sensing cable reached the preset threshold level of 0.5 C at
458 D. Inaudi

40

35
3.10 PM
3.20 PM
30
3.30 PM
3.40 PM
temperatura [C] o

25 3.50 PM
4.00 PM
4.10 Pm
20
4.20 PM
4.30 PM
15 4.40 PM
4.50 PM
5.00 PM
10
5.10 PM
5.20 PM
5

0
35 45 55 65 75 85 95 105 115 125 135 145 155 165 175 185 195
posizione [m]

Fig. 23.7 Raw temperature data for the leakage test

14
1st leakage ( p1=40 m , T=12oC)
12

2nd leakage ( p2=58 m , T=1oC)

10 3.10 PM
3.20 PM
3rd leakage ( p3=78 m , T=3.5oC) 3.30 PM
8 3.40 PM
4th leakage ( p4=110 m , T=6oC) 3.50 PM
6 4.00 PM
T [o C]

4.10 PM
4.20 PM
4 4.30 PM
4.40 PM
4.50 PM
2
5.00 PM
5.10 PM
0 5.20 PM

-2

-4
35 45 55 65 75 85 95 105 115 125 135 145 155 165 175
position [m]

Fig. 23.8 Relative temperature data for the leakage test. The temperature peaks from the four leakages are clearly
visible

4:30, 50 min after the leakage started. During
those 50 min, a total of 0.6 m3 of water has been
released in the ground. The maximum tempera-
ture change was of the order of 3.5 C, while the
injected water had a temperature of 20 C above
the ground temperature. This experiment was one
of those showing a relatively slow response
because of the large lateral distance between the
injection point and sensing cable. The Table 63.2
resumes the results of all the performed tests.
23 Pipelines 459

3.5 1
__ leakage temperature trend 0.9
3
0.8
__ leakage volume

leakage volume [m3]

2.5 0.7
T [ oC ] detection time = 50 min 0.6
2
0.5
1.5
0.4

1 0.3
detection volume = 0.6 m3 0.2
0.5
0.1

0 0
3.10 PM

3.20 PM

3.30 PM

3.40 PM

3.50 PM

4.00 PM

4.10 PM

4.20 PM

4.30 PM

4.40 PM

4.50 PM

5.00 PM

5.10 PM

5.20 PM
acquisition time

Fig. 23.9 Temperature and leaked volume evolution at leak location 3

Table 23.2 Summary of Test Tap Flow rate Water to ground Detection Leakage
test results (l/min) temperature time (min) volume (m3)
difference (C)
1 D1 10 20 1 0.005
2 D2 16 20 80 0.400
3 D3 14 20 50 0.600
4 D4 6 20 2 0.010
5 D4 13 4 75 0.800

In summary, this test simulates leakage 23.3.2 Application Example:

along pipeline with a diameter between 12 and Qualification Test for Gas
32 in. with a flow rate between 300 and Leakage
3500 m3/h. Average flow rate of the leakage is
0.6 m3/h, corresponding to a detected leakage To evaluate the suitability of a distributed tem-
of 0.10.01 % of the transported volume. This perature sensing system for gas leakage detection,
is significantly better than any available volume an experiment was performed on a real gas pipe-
balance method currently available. Detection line in Italy. A fibre optic temperature sensing
time was between 1 and 80 min, and the cable was installed on the top of a 1000 gas pipeline
accuracy in leakage localization was better than over a length of 500 m. This installation was part
2 m. In test 5, performed in a different day, the of a larger test on measuring strain induced in the
temperature difference between fluid and pipeline by a landslide [4]. During the putting of
ground was only 4 C, but the detection time the sensors in place and burring of the pipe, an
remained in the order of 1 h for a leakage of empty plastic tube was installed connecting the
0.01 %. pipeline surface to the open air, 50 m far from the
The variability in the detection time and beginning of the instrumented zone. This tube was
volume reflects the different local conditions and used to simulate a leakage of gas. In fact, carbon
in particular: dioxide was inserted in the tube, cooling down the
Permeability of the soil (type of soil). pipe and making the thermal field surrounding the
Compaction of the soil (presence of cracks contact between the pipe and the tube similar to
and pockets). the conditions expected in case of a leakage. This
Proximity between the leakage and the sensor. process is presented in Fig. 23.10. A total of 4
Temperature difference between fluid and carbon dioxide tanks were discharged through the
ground. dummy pipe.
460
Fig. 23.10 Gas leakage detection simulation test
A reference measurement was performed
before the tube was cooled down. After the car-
bon dioxide was inserted, the temperature mea-
surements are performed every 210 min and
compared with the reference measurement. The
results of the test are presented in Fig. 23.11. The
test was successful, and the point of simulated
leakage was clearly observed in diagrams
(encircled area in Fig. 23.11). The recorded
temperature drop was of 3.5 C.
23.3.3 Application Example:
Qualification Test
for Multiphase Flow
In the framework of an Eni R&D project, Eni
(Engineering Research & Development
Fig. 23.11 Temperature
drop due to gas pressure
release indicates the
presence of a leakage
D. Inaudi
Department) and Tecnomare, with the support of
Smartec, developed and qualified a multiphase
leakage detection system based on DTS tech-
nology during the years 2007 and 2008 [6]. Per-
formances were verified during a phase of
experimental activities in a custom-developed
test plant, simulating operation of a buried pipe-
line and allowing generation of leakages with
controlled characteristics. The test plant was
characterized by significant peculiarities and
improvements with respect to similar known
experiences, in particular in terms of:
Use of a 1400 real section of pipeline (with and
without concrete coating) with 16 leakage
points, distributed in 4 sections.
Possibility to simulate liquid, gas and multi-
phase leakages.
Reproduce the thermal field generated by the
pipeline in the soil (temperature 3565 C).
Test over distances up to 25 km, simulating
long pipelines.
Optical DTS cables installed around the test
pipe at different distances (040 cm) and
radial position.
Multiphase leakages were obtained mixing
liquid and a gas flow generated by two different
hydraulic circuits (Figs. 23.12, 23.13, 23.14):
Liquid leakage sub-circuit:
Leakage temperature: 3565 C.
Pressure: max 40 bar.
Flow rate: 020 l/min.
23 Pipelines
Fig. 23.12 Test pipe before DTS cable installation
Fig. 23.14 Thermal map circuit
Gas leakage sub-circuit:
Temperature: ambient temperature.
Pressure: max 40 bar.
Flow rate: 0100 g/s.
Three FO cables were used as distributed
sensors, for a total length of approximately
390 m. Long distance tests up to 25 km were
461
Fig. 23.13 DTS cables support cage placed over the test
pipe
carried out adding fibre optic spools between the
DTS analyzer and the outdoor cable (Fig. 23.15).
Results obtained in 22 multiphase leakage
tests demonstrated capability of the fibre optic
monitoring system to detect the temperature
anomalies generated, also in the most critical
conditions (very low flow rates). Significant
examples are presented in the following.
Example 1
The following differential temperature plot
(Fig. 23.16) represents a typical acquisition
profile with a thermal map of 45 C and a
multiphase leakage with liquid flow rate 2.5
l/min and gas flow rate 5 g/s.
The multiphase leakage creates a local heating
around the pipeline. The heating effect due to the
liquid prevails on the cooling due to the Joule
Thomson effect. This effect is clearly visible in
correspondence with the leakage point (Fig. 23.17).
Example 2
A similar test was carried out with additional
25 km of optical fibre (Fig. 23.18) to test the
reproducibility of results at the end of a long
462
Fig. 23.15 Test set-up
pipeline section. Test conditions: thermal
map 55 C, multiphase leakage with liquid flow
rate 10 l/min and gas flow rate 4 g/s.
This test demonstrates that the system cor-
rectly operates also at longer distances detecting
temperature anomalies of several degrees.
Example 3
The following example refers to a leakage in
the pipeline zone covered with concrete (see
Fig. 23.20). Test conditions: thermal map 39 C,
multiphase leakage with liquid flow rate
7.5 l/min and gas flow rate 10 g/s. The following
charts (Fig. 23.19) illustrate how the leakage can
be detected not only by the sensor positioned on
the pipe surface (first chart), but also at distance
of 10 and 20 cm.
D. Inaudi
23.4 Pipelines Strain Monitoring
Pipelines are sometimes buried in areas that
present risks such as landslides and mudslides,
subsidence, earthquakes, erosion, collision and
other accidents. In these areas, it is of interest to
monitor not only the possible leakages, but also
the level of strain induced in the pipe by these
actions. A high level of strain can trigger
remedial actions that can prevent the risk of the
leakages, for example, a decrease in the fluid
pressure and excavation to reduce strain or a
preventive repair.
Since the zone with potential strain issues
can be very extended, distributed strain sensing
constitutes an ideal technique to identify,
23 Pipelines
Fig. 23.16 Temperature change due to multiphase leakage
Concrete section
Fig. 23.17 Leakage point
Fig. 23.18 Temperature change due to multiphase leakage at the end of a 25 km long optical fibre line
localize and quantify excessive strain levels
along the affected pipeline section. To measure
strain, it is necessary to attach an appropriate
sensing cable to the pipeline. This can often be
done outside the corrosion protection layers,
but can only realistically happen during pipe-
line installation or during a major refurbish-
ment, when the pipeline surface is accessible.
463
Steel section
LEAKAGE POINT
Installing a strain sensing cable is much more
challenging than installing a leakage detection
cable, since the cable must be bonded to the
pipe along the whole monitoring area. Often
multiple cables are installed along the pipeline,
distributed around its circumferences. This also
allows the separation of elongation and bending
effects. Finally, the sensing cables need to
464 D. Inaudi

Fig. 23.19 Temperature

change due to multiphase
leakage. Detection with
cable in contact with the
pipeline (top), at 10 cm
distance (middle) and at
20 cm distance (bottom)

survive the burring of the pipeline and perform
reliably in the long term.
In some cases, where the area of possible
movement is relatively small, or in the case of
existing pipelines where the installation of a fully
distributed sensor is not practical, an array of
point sensors can be used instead. The last
application example will illustrate such a project,
where an array of Fiber Bragg Gratings was used.
23.4.1 Application Example: Pipeline
in Landslide Area
About 500 m of a buried, 35 year-old gas
pipeline, located in Italy, lies in an unstable area.
Distributed strain monitoring could be useful in
order to improve vibrating wire strain gauges
monitoring system, actually used in the site. The
landslide progresses with time and could
23 Pipelines
Concrete section
LEAKAGE POINT
Fig. 23.20 Leakage point
damage pipelines up to be put out of service.
Three symmetrically disposed vibrating wires
were installed in several sections at a distance
typically of 50/100 m chosen as the most stres-
sed ones according to a preliminary engineering
evaluation. These sensors were very helpful, but
could not fully cover the length of the pipeline
and only provide local measurements.
Different types of distributed sensors were
used: SMARTape and temperature sensing cable.
Three parallel lines constituted of five segments
of SMARTape sensor were installed over the
whole concerned length of the pipeline (see
Fig. 23.21). The lengths of segments were ran-
ged from 71 to 132 m, and the position of the
sensors with respect to the pipeline axis was at
0, 120 and -120 approximately. The strain
resolution of the SMARTape is 20 microstrains,
with spatial resolution of 1.5 m (and an acqui-
sition range of 0.25 m) and provides the moni-
toring of average strains, average curvatures and
deformed shape of the pipeline. The Temperature
Sensing Cable was installed onto the upper line
(0) of the pipeline in order to compensate the
strain measurements for temperature. The tem-
perature resolution of the sensor is 1 C with the
same resolution and acquisition of the SMAR-
Tape. All the sensors are connected to a central
measurement point by means of extension optical
cables and connection boxes. They are read from
this point using a single DiTeSt reading unit.
Since the landslide process is slow, the mea-
surement sessions are performed manually once
a month. In case of earthquake, a session of
measurements is performed immediately after
the event. All the measurements obtained with
the DiTeSt system are correlated with the mea-
surements obtained with vibrating wires. At
present stage, the sensors have been measured for
465
Steel section
a period of 2 years, providing interesting infor-
mation on the deformation induced by burying
and by the landslide progression. A gas leakage
simulation was also performed with success
using the temperature sensing cable.
During the works, the pipe was laid on the soil
supports every 2030 m. Therefore, its static
system can be considered as a continuous girder.
After the burring, the pipe was loaded with soil
and therefore deformed. The pipe cross-sections
located on the supports have been subject to
negative bending (traction at the top part) and the
section between the supports to positive bending
(traction at the bottom part). The diagram show-
ing the strain distribution over all the length of the
pipeline after the burring measured by SMAR-
Tape is presented in Fig. 23.22. The normal
cross-sectional strain distributions as well as the
curvature distribution in horizontal and vertical
plane are calculated from these measurements.
23.4.2 Application Example:
Earthquake Damage
Assessment Test
A laboratory test to validate the use of distrib-
uted optical fibre sensor for the detection of
earthquake-induced damage on buried pipelines
was performed at The Cornell Large-Scale
Lifelines Testing Facility, the NEES site at
Cornell University (Cornell NEES Site) [7]. The
Cornell NEES site contains a large test basin in
which a pipeline can be assembled and tested
under simulated PGD. The basin is a 3.4 m
wide, 13.4 m long, and 2.0 m deep steel frame
box with wooden walls. It consists of two parts:
the movable north end and the fixed south end.
The movable north end of the test basin was
attached to four hydraulic actuators, which were
466
Fig. 23.21 SMARTape
on the gas pipeline
anchored in massive concrete counter bearings.
During the test, the hydraulic actuators were
used to apply controlled displacement of the
basin. The joint between the north and the south
end was designed in a way that a transverse fault
oriented 50 relative to the longitudinal length of
the basin can be simulated (see Fig. 23.23).
A segmented concrete pipeline specimen was
assembled in the basin. It consisted of five 2.4 m
(8 ft) long segments, assembled using 25.4 cm
(10 in.) long bell-and-spigot joints sealed by
grout. The inner and outer diameters of the pipe
body were 30.5 cm (12 in.) and 40.6 cm
(16 in.), respectively, while the outer diameter at
the joint was 50.8 cm (20 in.). Short segment of
the pipe was added at the movable (north)
extremity in order to provide for mechanical
connection with the frontal and rear walls of the
basin. Schematic view to the pipe and the basin
is given in Fig. 23.7. It is important to highlight
that not all the pipe segments had the same
D. Inaudi
mechanical properties. The segments #1, #2, #3,
#5 and short extension in movable part of the
basin had identical mechanical properties, while
the segment #4 was built of fibre-reinforced
concrete and had much higher stiffness and
resistance. The sensors were installed in parallel
topology, as shown in Fig. 23.2. Before the test
started, a reference (zero) measurement was
performed. Then, the movable part of the basin
was displaced for 25.4 mm (1 in.), and one
measurement is performed. This procedure was
repeated until cumulative displacement of
304.8 mm (12 in.) was reached.
After the first step of load (displacement of
25.4 mm = 1 in.), the crushing of sealing grout
occurred in joints #2 and #3. This was accom-
panied by slight relative movement between the
pipe segments. The crushing of joint bells
occurred only after the third step of the load. The
tape sensor (see Fig. 23.3) at location L1 func-
tioned properly during the first step of the load,
23 Pipelines 467

Measurements of sensors over all length of pipeline

800
SMARTape1
600
SMARTape2

Average strain [ ]
400 SMARTape3

200

-200

-400

-600

-800

-1000
0 50 100 150 200 250 300 350 400 450 500
Position [m]

Fig. 23.22 Strain distribution over the monitored part of the pipeline measured by SMARTape sensors

Fig. 23.23 Schematic representation of test basin and the pipe (Courtesy Branko Glisic)

and the results are presented in Fig. 23.8. Two
unusual strain changes are observed, high ten-
sion close to joint #2 and high compression close
to joint #3. These unusual strain changes actu-
ally correspond to the locations of actual damage
on the pipe (i.e. crushing of grout). No damage
was detected at the other joints for 25.4 mm
(1 in.) displacement.
The tape sensor data were compared with
strain gauge measurements, see Fig. 23.24. The
strain gauge sensors were not installed at joint
(their purpose was not damage detection), but
over the body of the pipeline, next to the Tape
sensor. The results obtained from two different
systems are in a very good correlation, except in
three points where some discrepancy is noticed
(see Fig. 23.24).
23.4.3 Application Example: Local
Strain Sensing
In some cases, the use of fully distributed sen-
sors is not justified, since the area of possible
movement is of limited size and the pipeline
strain can therefore be captured with a limited
number of local strain sensors. Also in these
cases, the use of optical fibre sensors can be
advantageous to avoid any possible damage
form lightning strikes and insure a good long-
term reliability in demanding environments. It is
also advantageous to use sensors that can be
measured from a long distance without the need
of any active electronics close to the pipeline.
An example of such an application is the mon-
itoring of a gas pipeline across the Alps.
468
Fig. 23.24 Tape sensor measurement at location L1 with detected damage and strain gauge data comparison between
distributed sensors and discrete strain gauges after the 25.4 mm (1 in.) displacement (Courtesy Branko Glisic)
The Transitgas pipeline is 292 km long and
transports natural gas mostly from the Nether-
lands or Norway to Italy. The 4800 pipeline
crosses Central Switzerland and the Alps and
continues towards the south. After crossing most
of the Alps, it arrives at the Gries Massif, where
it reaches the Italian territory in a tunnel at an
elevation of 2,400 m. With its transporting
capacity, the pipeline is a key component of the
European natural gas system and transports
almost 15 % of all the imported gas to Italy. The
pipe crosses an unstable area in Berner Oberland
that would threaten the security of gas supply. In
2010, the pipeline was severely affected by
mudflows, which caused the interruption of gas
transportation. To resume and ensure the ser-
vice, the pipeline needed to be redirected and
monitored. A total of 36 optical fibre sensors
D. Inaudi
based on Fiber Bragg Grating technology and
supplied my Smartec were bonded onto critical
points along the 500 metres of pipe crossings in
order to assure a continuous and automatic
monitoring of the pipe along its critical sections
(see Fig. 23.25). The pipeline crosses the Aare
River, where it is still at risk for mudflows.
Should such an event occur, the ensemble of
equipment and pipeline could slide down into
the valley. All the data coming from the various
monitored sections are sent via the remote con-
trol system to be processed at the remote control
centre, located at 70 km from the site, and an
overview of the state and behaviour of the
pipeline can be viewed on different screens. The
software is able to trigger alerts (SMS, email or
phone call) and shows warnings on the display
when strain and stress parameters in the pipe
23 Pipelines
Fig. 23.25 Installation of
FBG strain and
temperature sensors on a
section of gas pipeline
crossing a river in
Switzerland
exceed the preset alarm thresholds. This enables
the operator to monitor pipeline integrity and
avoid costly pipeline shutdowns.
23.5 Conclusion
The use of distributed fibre optic monitoring
system allows a continuous monitoring and
management of pipelines, increasing their safety
and allowing the pipeline operator to take
informed decisions on the operations and main-
tenance of the pipe. The presented monitoring
system and the application examples shown in
this paper demonstrate how it is possible to obtain
different types of information on the pipeline
state and conditions. In particular, a distributed
fibre optic system allows the following monitor-
ing tasks: distributed temperature monitoring,
leakage detection, intrusion detection, distributed
strain and deformation monitoring.
In general, distributed strain/deformation and
temperature sensing is a useful tool that ideally
complements the current monitoring and inspec-
tion activities, allowing a more dense acquisition
469
of operational and safety parameters. The mea-
surements are performed at any point along the
pipeline and not at specific positions only. Fur-
thermore, the monitoring is continuous and does
not interfere with the regular pipeline operation,
contrary to, for example pigging operations.
Recent developments in distributed fibre sensing
technology allow the monitoring of 60 km of
pipeline from a single instrument. To achieve the
above-mentioned goals and take full advantage of
the described sensing technology, it is however
fundamental to select and appropriately install
adequate sensing cables, adapted to the specific
sensing need. While it is generally easier to install
sensing cables during the pipeline construction
phases, it is also possible to retrofit existing
pipelines. In some cases, it is even possible to use
existing fibre optic telecommunication lines
installed along a pipeline for temperature moni-
toring and leakage detection.
Acknowledgments The author is indebted to the
following persons and organizations for providing
information on the cited application examples: Snam
Rete Gas (Italy), ENI (Italy), Princeton University
(USA), TransitGas (Switzerland), Tecnomare (Italy),
470
PraOil (Italy), Francesco Gasparoni, Branko Glisic,
Francesco Bruni, Maurizio Zecchin, Riccardo Belli,
Daniele Posenato, Roberto Walder, Angelo Figini. Please
refer to the cited references for additional details about
the specific tests.
References
1. Thvenaz, L., Nikls, M., Fellay, A., Facchini, M.,
Robert, P.H.: Truly distributed strain and temperature
sensing using embedded optial fibers. SPIE conference
on smart structures and materials, vol. 3330, pp. 301
314 (1998)
2. Nikls, M., Briffod, F., Burke, R., Lyons, G.: Greatly
extended distance pipeline monitoring using fibre
optics. In: Proceedings of OMAE05, 24th Interna-
tional Conference on Offshore Mechanics and Arctic
Engineering, Halkidiki, Greece, 1217 June 2005
3. Glisic, B., Inaudi, D.: Sensing tape for easy integration
of optical fiber sensors in composite structures. 16th
D. Inaudi
International Conference on Optical Fiber Sensors,
Nara, Japan, vol. 1, pp. 291298, 1317 Oct 2003
4. Inaudi, D., Glisic, B.: Distributed fibre optic sensing
for long-range pipeline monitoring. The 3rd Inter-
national Conference on Structural Health Monitoring
of Intelligent InfrastructureSHMII-3, 1316 Nov
2007
5. Inaudi, D., Belli, R., Walder, R.: Detection and
localization of micro-leakages using distributed fiber
optic sensing. 7th International Pipeline Conference,
IPC2008, 29 Sept3 Oct 2008, Calgary, Alberta,
Canada (2008)
6. Inaudi, D., Belli, R., Gasparoni, F., Bruni, F., Parente,
A., Zecchin, M.: Detection and localization of micro
and multiphase leakages using distributed fiber optic
sensing. 3rd Iranian Pipe and Pipelines Conference,
Tehran, Iran, 25 May 2011
7. Glisic, B., Yao, Y., Oberste-Ufer, K.: Assessment of
buried pipelines health condition using distributed
fiber optic sensors. 5th International Conference on
Structural Health Monitoring of Intelligent Infrastruc-
ture (SHMII-5), Cancn, Mxico, 1115 Dec 2011
 Electric Power Stations
and Transmission Networks 24
Wolfgang Habel and Gerd Heidmann

Abstract
Diagnosis of the operational condition of facilities in power stations and
transmission networks is of significant importance to ensure their reliable
operation. Early detection of incipient faults or overload avoids failure of
important parts of the power supply system. Diagnostics also allows
planning maintenance activities to exploit full performance of the
equipment and therefore enables economical operation of the quite
expensive facilities. A variety of measuring and surveillance methods as
well as very different sensor types installed are used to get information
about the behaviour of important facility components. This chapter gives
an overview on the most important facilities to be monitored, and an
introduction to diagnostic tasks and strategies applied to these facilities.
The most commonly used measurement and diagnostic methods are
described such as optical methods (free-space optical detection, usage of
electro-optic and magneto-optic effects as well as of optical fibre-guided
methods), acoustic methods and mechanical methods. These diagnostic
and monitoring methods are explained based on selected examples with
regard to components of high-voltage (HV) transformers, cable systems,
switchgears and circuit breakers, overhead transmission lines and finally

Berlin, 20 February 2012

Dr.-Ing. Wolfgang R. Habel, BAM Bundesanstalt fr
Materialforschung und -prfung, Fachbereich 8.6.
Dr. rer. nat. Gerd Heidmann, IPH GmbH Berlin.

W. Habel (&)
Bundesanstalt fr Materialforschung und prfung,
Unter den Eichen 87, 12205 Berlin, Germany
e-mail: wolfgang.habel@bam.de
G. Heidmann
Institut Prffeld fr elektrische
Hochleistungstechnik GmbH,
Landsberger Allee 378,
12681 Berlin, Germany
e-mail: heidmann@iph.de

H. Czichos (ed.), Handbook of Technical Diagnostics, 471

DOI: 10.1007/978-3-642-25850-3_24,  Springer-Verlag Berlin Heidelberg 2013
472 W. Habel and G. Heidmann

generators and motors. New developments and trends in high power

facilities and grids, and the corresponding diagnostic tasks are described
at the end of this chapter.

Significant parts of European networks have

24.1 Introduction been developed in the 1960s and 1970s of the
twentieth century, and have now reached the end
The worlds energy demand, i.e. the amount of
of their life cycle. Energy utilities have to plan
primary energies which are needed worldwide
the replacement of existing equipment, which
every year, is currently growing very strongly,
requires significant investments. Beyond this, the
and is expected to double in the next 50 years.
network structures changes as a result of dis-
The worlds demand for electrical energy is about
tributed energy generation and increasing com-
17 % of the worldwide energy demand, although
petition on the international energy market. On
there are country-specific differences. In Ger-
the one hand, the percentage of electricity
many, 40 % of the primary energy consumption
transmission in the high and extra high voltage
concerns electricity generation [1]. The main
range is increasing because it enables the trans-
reason for the increase in demand is the assimi-
port of large amounts of electrical energy over
lation of living standards in the emerging market
very long distances. On the other hand, the
countries like China and India to the living stan-
importance of medium voltage as a transmission
dards of highly developed industrial nations.
voltage is growing (see Sect. 24.5). Such net-
Looking forward to the next decade, the secu-
works can operate at DC and AC voltages with
rity of a sustainable power supply is seen as one of
frequencies of 50 and 60 Hz. Connected with
the most important issues [2]. Currently, about
that is the increasing demand on the materials
85 % of the global energy demand is covered by
used for components of transmission and distri-
fossil fuels for technical and economic reasons.
bution networks. If defects develop in the highest
Although these fossil fuels will continue to play a
stressed part of the high-voltage (HV) equip-
major role in the worlds energy supply, renewable
ment, the electrical insulation, detailed infor-
energies are gaining more and more importance.
mation on the operating status is necessary. The
The electrical energy is transmitted from sites
utilities therefore follow the strategy of condi-
of generation to sites of consumption via dif-
tion-based maintenance. In order to get very
ferent network structures, for example via
early information about ageing processes, it is
1. transmission grids that connect facilities at
necessary to know how the atoms and molecules
high and extra-high voltage levels (200 until
in the insulation material react. For diagnostic
750 kV);
purposes, in general, it is important to know, how
2. sub-transmission grids that distribute electri-
small parts of the insulation with extremely high
cal energy at voltage levels in the range of 50
field strengths react as a consequence of imper-
until 150 kV to limited regions, industrial
fections, voids, or any interfaces. Reliable supply
plants, big towns, and
and availability of electrical energy is generally
3. distribution networks that deliver the electri-
of utmost importance.
cal current to transformer stations of low
In fact, a number of complex diagnostic tasks
voltage distribution networks (10 until
arise from materials and components of genera-
36 kV) or factories and other big users.
tors, transformers, circuit-breakers or gas-insu-
In order to maintain and sustain facilities in lated switchgears (GIS), overhead lines and cable
the sites of consumption, the quality of power systems. Diagnostic systems aim at detection of
from the grid should be as stable as possible to incipient faults to anticipate maintenance before
meet the requirements of electrical equipment. the components fails and an unexpected
24 Electric Power Stations and Transmission Networks
breakdown leads to secondary damage. Using
this methodology, extension of service life and
an advanced technological capability can be
ensured. Diagnostic task is primarily the deter-
mination of the insulation capability, the elec-
trical strength of electrotechnical components,
and the residual electrical strength after onset of
damaging mechanisms. This enables an increase
of reliability, exploitation of service life and
identification and usage of the full performance
potential of the equipment. In this technical field
of electrical power generation and distribution
with primarily expensive components and facil-
ities, diagnostic technologies must avoid, on the
one hand, serious damage and/or failure by
detection of incipient failure at an early stage
including a more or less precise localization of
damaged components; on the other hand, for-
ward-looking actions or maintenance activities
can be planned (so called asset management) by
monitoring the diagnostic measures [3].
Diagnostic technologies must additionally
reduce possible endangering of human life dur-
ing equipment failures, and also subsequent
penalties for not delivered electric power. Two
of the harmful failure events which occurred in
2008 [4] are shown in Fig. 24.1. There was not
only damage of the two terminations but also
endangering of those residents living near the
Fig. 24.1 Failures at a
cable terminal of a 220 kV
transmission line in Berlin
in 2008. The picture shows
the transition tower from
overhead line to the buried
cable system. (graphic and
photo: Fischer, 50 Hz
transmission, Berlin [82]
473
overhead line. Their properties were signifi-
cantly damaged.
The electrical insulation capability of every
expensive components is tested under more severe
conditions than the operational ones, in accor-
dance with standard demands. This helps to find
out insulation defects prior to the facility taken
into commission. It must be noted that this method
is a destructive process because the equipment is
destroyed in case of failure. All results obtained
from such tests e.g. breakdown strength or time to
failure are of statistical nature [5].
After commissioning of the facility, periodic
or continuous observation is necessary to prevent
failure. Figure 24.2 shows the interplay between
the lifetime/maintenance cycle of a customers/
operators HV equipment (asses cycle) and the
monitoring steps to optimise the lifetime of the
equipment. Diagnostics of HV equipment shows
then the optimal time for maintenance measures
when operation is economically unviable and the
health risk is no longer acceptable. Among the
reduction of the risk of a sudden failure, penalties
could be avoided for not delivering electric
power, and any endangering of human lives can
be prevented by diagnostics.
Diagnostics requires generally the application
of efficient and reliable sensor and monitoring
systems to get all necessary information about
474
Fig. 24.2 Role of monitoring service provider [83]
functioning of the electrical energy systems, and
the state of the main components involved. This
chapter will give a short overview on the most
important diagnostic aspects in electric power
stations and transmission networks, on relevant
diagnostic measures and basic methods to
monitor important components and facilities,
and will finally describe selected application
examples. The chapter is concluded with a short
discussion on foreseeable developments in
diagnostics of HV facilities.
24.2 Diagnostic Tasks and Strategies
Thermal, electrical, mechanical and ambient
factors affect the lifetime of electrical equip-
ment, especially the insulation. Technical diag-
nostics in HV power plants is therefore an
important tool for each network operator within
the framework of the asset management.
Because of high economic losses in case of
failure, diagnostics sustainably improves the
economic efficiency of the network as well as the
equipment installed. It is distinguished between
offline and online diagnosis. Offline diagnostic
methods require switching-off the facility which
causes economic losses. Online monitoring is
commonly carried out during operation and gets
the diagnostic measures from measurement val-
ues recording during operation or from special
sensors installed at facility components. Because
of a number of available additional information
during online diagnosis, former destructive tests
can be replaced by non-destructive online mon-
itoring which provide even information about
ageing and residual life of facilities.
Currently, online diagnostic systems are
designed for use on electrical equipment with
major strategic importance, or installed on
W. Habel and G. Heidmann
predamaged components or facilities with unu-
sual behaviour. The reason for use of such
complex diagnostic systems is the expected
positive cost/benefit balance.
Complex diagnostics of HV facilities com-
prises periodic or rather continuous monitoring
including analysis and evaluation. This provides
essential information about the operation con-
ditions of network or plant components. Early
faults recognition in the HV part of accessories,
e.g. terminations or cable joints, avoids serious
damage development with the result of often
catastrophic failure. The most important conse-
quence of online diagnosis is the clear evidence
of a satisfying operation status. Another task of
diagnostic systems is the early detection of
erroneous behaviour in the equipment operation.
Because ageing in HV facilities is a very slowly
continuing process, usually very long observa-
tion is needed. If then a defect occurs, very fast
complex processes have to be detected with of a
huge number of data. Different demands on
diagnostic systems can therefore be derived [6]:
Computer-aided recording and analysis of a
huge number of data under real-time condi-
tions (online modus)
availability of intelligent algorithms to ana-
lyse and evaluate the data on-line and off-line
availability of reference databases for identi-
fication and classification of frequent sources
of defects
compatibility with other diagnostic systems to
ensure exchange of data
data communication with the grid control
centre or other control units via global
networks.
Although such diagnostic systems are quite
expensive, their use is generally beneficial
because of complex economic and environmen-
tal aspects and with regard to security in energy
24 Electric Power Stations and Transmission Networks
supply using such extremely expensive HV
equipment. The use of diagnostic systems not
only increases the long-term reliability of facility
components, but enables also a considerable
exploitation of their service life.
Because of the special conditions in the
environment of high electrical voltages and cur-
rents, there are significant differences between
diagnostic methods applied to HV facilities.
Offline diagnostics is preferred when the facili-
ties are switched-off. This allows using electrical
stress levels for facility tests higher than the
designed operational loading. In contrast, online
diagnosis uses the steady-state and transient
stress conditions during operation of the facili-
ties, such as the permanent electrical and mag-
netic stresses. These stress conditions provide
effects, e.g. thermal effects due to ohmic or
dielectric losses that can indirectly be used for
monitoring of the operating status; or transient
voltage or current effects that cause frequency
responses or mechanical deformations inside the
facilities. Online diagnosis therefore uses a
number of typical diagnostic measures for
assessment of the operating status. The most
commonly used diagnostic measures are [3]:
Temperature (operational temperature and hot
spots)
mechanical quantities (acoustic emissions,
forces, detection of position, measurement of
flow rate in cooling systems)
pressure (tightness tests of SF6 GIS, oil
pressure)
Fig. 24.3 Typical architecture of diagnostic systems in HV stations [6]
475
chemical quantities (gas analysis, ozone in
cooling air, water content in oil)
electrical quantities (voltages and currents)
partial discharges (PD).
Reliability, availability and service life of
monitoring and diagnostic systems is often
regarded as critical, especially with regard to the
high long-term reliability requirements for HV
facilities. One demand on diagnostic systems is
therefore the availability of standardized inter-
faces [7] which allow a quick replacement of
defect diagnostic components. In case of a
defect diagnostic system, an uninterrupted
operation of all HV facilities must be ensured.
Diagnostic systems in HV environment have
basically the same structure as in other technical
areas. However, there are some specific
demands to be considered and special assem-
blies needed. Diagnostic systems for HV stations
consist of the components sensor, transmitter,
data controlling and recording unit, interference
suppression, and the network for data transmis-
sion. Figure 24.3 shows a typical architecture of
diagnostic systems in HV stations.
Depending on the diagnostic task, special
components could additionally be necessary,
such as multiplexer, reference signal sources for
calibration and functionality tests, and threshold
switches for emergency release.
Numerous diagnostic tools used in HV power
plants are focussed on detection of temperature
and PD [8]. About 90 % of damage in HV
facilities is caused by PD. They initiate several
476
Fig. 24.4 Various physical effects initiated by partial discharge; the picture on the right shows an artificially initiated
PD in a transparent silicone rubber insulating material. (graphic and photo: C. Lothongkam, BAM)
physical responses that can be used to detect
their occurrence. Figure 24.4 shows the most
important effects exploitable for PD diagnostics.
The measurement or detection of PD requires
very sensitive diagnostic methods. Development
of monitoring and/or diagnostic systems requires
therefore a profound analysis of the operating
experience and of disturbances in the sequence
of operation as well as of damage [7, 9].
Because all different types of power system
components are influenced by thermal, electri-
cal, mechanical and ambient factors, diagnostics
should take into account to assess the critical
components of the equipment in a power system
(Table 24.1). There are first (currently not yet
completed) standards which contain mainte-
nance aspects and general applicable procedures
for diagnostics of the equipment and installa-
tions of electrical energy supply networks: DIN
V VDE V 0109-1 [10] and DIN V VDE V 0109-
2 [11].
Following, the specific diagnostic tasks that
result from different electrical equipment are
considered.
24.2.1 Cables and Cable Systems
High availability of cable systems within power
supply grids gains more and more importance.
This is also due to network restructuring as a
W. Habel and G. Heidmann
consequence of the increased use of renewable
energies. HV and extra-high-voltage (EHV)
power transmission systems are getting operated
more and more at their capacity limits. This
trend which is also valid for medium and low
voltage systems is being intensified by the
increasing development of decentralised power
generation plants.
Modern cables are mainly XLPE cables. The
major part of dielectric failures in HV XLPE
cable lines can be assigned to the defects in the
electrical insulation system of joints and termi-
nations. The failure rate depends on the voltage; it
is highest in the voltage range from 220 to 500 kV
[7]. Monitoring and diagnostics interest depends
therefore on the voltage level of the cable sys-
tems. Monitoring of temperature and humidity
content over the cable section is highly relevant.
Using distributed fibre optic temperature sensors,
hot spots in the cable can be detected. Humidity
sensors show any water penetrated due to possi-
bly damaged cable sheath. PD monitoring is
usually done during commissioning or warranty
tests; in case of incipient failure, PD detection is
necessary to locate the critical cable section.
24.2.2 Overhead Lines and Insulators
Overhead lines and their components in the area
of high electrical fields, e.g. insulators, have to
24 Electric Power Stations and Transmission Networks 477

Table 24.1 Critical components of major equipment in HV stations and causes of defects
Transformers Cables and cable Generators and motors Circuit breakers, Overhead lines,
(insulation systems switchgears insulators
system: oil and
paper)
Windings MV PE/XLPE cables Winding insulation SF6 gas-insulation Insulators
Gas in oil Ageing (water (rotor and stator) Imperfections Damage is caused
Moisture in oil treeing) Overheating (particles) by:
and paper partial discharges Load cycling Gas density Vandalism,
Partial HV EMV-XLPE Contamination by Leakage Heavy
discharges cables partly conducting State of the drive contamination,
Mechanical Up to now no materials Pump motor Corrosion,
Condition of ageing process Loose windings in the Material erosion of Corona discharges
windings known stator slot contacts (Corona discharges
Tap changer Oil-paper and Various could result in a
Oil carbon gas-pressure HV manufacturing issues flashover, and finally
Imperfect cables such as poor in a power outage)
contacts (scored Partial discharges in impregnation and Conductor
contact, contact gas-filled voids inadequate separation Overheating which
erosion/wear) Paper thermal between HV causes accelerated
Bushings degradation components ageing and damaging
Similar to Accessories Bearings Ice formation
windings Partial discharges
Moisture ingress

be inspected in certain time intervals with regard
to integrity of the insulators, the conductor
wires, and the auxiliary hardware. Typical fail-
ures occur due to contaminations, wear and tear
on equipment surfaces, due to mechanical,
electrical and environmental stress. In order to
detect e.g. cracks and corrosion, corona cameras,
infra-red thermography, some acoustical and
electrical methods for detection of corona or
measurement of electromagnetic noise spectrum
are necessary. These techniques can also be
applied to line insulators and line conductors.
Overheating of overhead conductors will
cause accelerated ageing. The conductor tem-
perature depends on the atmospheric conditions,
however, must fulfil standard conditions.
Because the current-carrying capacity of over-
head lines is limited by the temperature of the
conductor, the temperature is directly monitored
or the temperature is calculated using indirect
data (environmental temperature, wind speed,
wind direction). Knowing the real conductor
temperature, overhead lines could be operated
more efficiently than without any monitoring
system. Such diagnostic activities are especially
needed to upgrade the power capacity of existing
overhead lines and to operate future ones. It is
planned to use smart technologies like composite-
cross-arms (CCA) that will replace conventional
cross-arm and suspension insulators, as well as
alternative conductor technologies such as high-
temperature low-sag (HTLS) conductors [12].
Not only overheating of the conductors is a
problem but also ice loads due to ice accumula-
tion on the conductor. Transmission lines
including electric towers are vulnerable when
high air humidity and snow lead to ice accumu-
lation along the conductors. Especially, if wind
initiates mechanical waves in the conductors,
tower failure and insulator flashover could occur.
In order to recognise critical ice loads, several
direct and indirect methods are used for ice load
diagnosis, e.g. visual monitoring of the ice
accumulation. Temperature and tilt measuring
devices are mounted on the conductor. Or load
cells are incorporated between the insulator string
and the cross arm of the electric tower. From
these sensor systems, the ice load can easily be
calculated. New systems use fibre-optic strain
sensor chains and tilt sensors that can directly be
478
attached to the conductor and provide reliable
strain and tilt data from the HV conductor [13].
24.2.3 Circuit Breakers
Circuit breakers and GIS systems are important
equipments within power supply grids and
therefore subjected to an extraordinary high
standard of availability and reliability. An
ongoing survey Reliability of HV Equipment period. There are various methods to assess the
published by International Council on Large
Electric Systems (CIGRE) [14] about failures of
GIS in service has shown that most failures are
related to circuit breaker drive or other second-
ary components [15]. Online condition moni-
toring and diagnostics should therefore include
circuit breakers, SF6 gas density and PD
measurements. Also mechanical measurements
are carried out to monitor e.g. contact pressure.
The diagnosis depends mainly on the level of
load currents, the number and type of switching
actions (switching of short-circuits or of load
currents), the type of HV switchgear (gas-insu-
lated, vacuum, compressed-air switch).
Especially, the condition monitoring of SF6
GIS has acquired higher importance because SF6
is an extremely potent greenhouse gas. There-
fore, the tightness of the gas vessels is monitored
by measurement of the gas density or by leakage
measurement. Although a regular maintenance
of primary components (electrical equipment
that is directly involved in the transport and
distribution of electrical energy; in contrast:
secondary components are the components of
the automation and protecting systems) is car-
ried out, only a small proportion of failures are
found during such maintenance processes.
24.2.4 Generators and Motors
(Rotating Machines)
Generators are responsible for the generation of
electrical energy in fossil-thermic and nuclear
power stations (turbo generators), in water
power stations and also in wind farms where the
size of generators is continuously growing.
Power plant reliability is closely linked to the
reliability of its generator. Motors are also used
W. Habel and G. Heidmann
upon a large scale, as about 50 % of the elec-
trical energy is transformed in mechanical
energy by motors. Major failures of rotating
machines are failures in the active part (wind-
ings of rotor and stator) and in bearings. A study
showed that stator-related problems are the
reason for up to 29 % of forced outages [16].
Especially, stator winding insulation breakdown
can be very expensive due to the long outage
condition of stator winding insulation systems,
e.g. PD measurements, loss factor tan delta (tan
d) measurements, resistance measurement. Each
of these methods tests specific properties of the
insulation. Temperature and vibration analysis
have also great relevance; the latter in connec-
tion with bearing damage.
24.2.5 Transformers
Power transformers are one of the most impor-
tant parts of power supply grids. Based on major
failures according to CIGRE Working Group
A.37 Transformer Reliability Survey, critical
components are winding (active part), tap
changer and bushings [17]. After an age of
40 years, the hazard curve is strongly increasing
to levels of far beyond 1 %. The failure rate
depends on the voltage and is the highest for
220 kV and above, and is different between
large power transformers and (machine) trans-
formers, which transform the voltage of gener-
ators to the voltage level of the transmission
network [7].
Winding and core vibrations in power trans-
formers caused by voltage-dependent or load-
dependent effects can be detected by vibrations
sensors (accelerometers) mounted at the trans-
former wall. Temperature measurement, gas and
humidity monitoring is carried out at oil-insu-
lated HV transformers. PD measurement can be
categorised as electrical, acoustical and chemi-
cal detection. Because of frequent switching
cycles in HV transformers, monitoring of the tap
changer is very important and usually done
online. Online monitoring enables a complete
switch-off of the transformer already during the
24 Electric Power Stations and Transmission Networks
switching process in case of a very critical
defect.
24.3 Selected Measurement
Methods for Diagnostics
From a physical point of view, two big clusters
of diagnostic methods can be identified: elec-
trical methods and non-electrical methods as
well as their combination. Both methodologies
use all generally available sensor technologies.
Electrical diagnostic methods include, on the
one hand, classical voltage-related and current-
related test procedures and investigations. Volt-
age-related diagnostic methods are voltage tests
and investigation of the breakdown behaviour;
current-related methods use the measurement of
insulation current and insulation resistance. Loss
factor tan delta and also the electrical capaci-
tance are measured. The diagnosis of PD is of
considerable importance because the insulation
is the most sensitive part of any HV equipment.
For the important diagnostics of the electrical
insulation, the most common sensor types for
observation of PD activities or insulation deg-
radation mechanisms are electrical sensors,
chemical sensors, acoustic sensors, and optical
sensors.
In order to evaluate the insulation behaviour
during polarisation state changes, a number of
dielectric responses in the time and frequency
domain, such as the measurement of polarisation
and depolarisation current, or of the isothermal
relaxation current are used. For testing purposes,
e.g. type tests or commissioning tests, the use of
AC voltages with significantly lower (0.1 Hz)
and higher frequency (oscillating waves in the
range of 1,000 Hz) is common. Due to the
growing importance of DC transmission lines,
some of the mentioned electrical methods cannot
be used such as methods which are based on
polarity changes.
Non-electrical diagnostics basically includes
mechanical, thermal, magnetic, chemical,
acoustic and optical diagnostic methods.
Because the thermal loading of parts of the HV
equipment shows potential overloading or
479
ageing effects of the facilities, thermal diagnos-
tics is more and more applied. There are differ-
ent devices for non-contact measurement such as
pyrometers or cameras for infrared-thermo-
graphic measurements. These remote methods
can be used during the operation of the HV
equipment. Chemical diagnostics reveals degra-
dation or decomposition products produced
during operation, when components are heated,
loaded or aged. It is mainly used to analyse the
oil state of HV transformers or to analyse the
cooling air.
Acoustic diagnostics is among the structure-
borne sound measurement mostly used for PD
detection and localisation inside electrical insu-
lations. Initially, PDs are very small sparks
within the insulating materials. They grow
gradually more or less fast to severe discharge
zones with destructive effects. During this pro-
cesses, elastic waves are initiated in the insula-
tion material, e.g. in the stress cone of an outdoor
termination, and can be measured as an acoustic
signal. By now, acoustic diagnostics is carried
out by installing sensors outside of facility
components such as on the transformer tank.
More accurate diagnosis is possible when
acoustic sensors are embedded into the insulation
material such as into oil or polymeric insulation.
Direct embedment of optical fibres into the
insulation for the purpose of insulation diagnos-
tics is still at the research stage [18, 19]. In order
to measure and evaluate the wave propagation
effects in typical multilayered elastomeric
structures, knowledge of the material properties
is required. Important parameters are the longi-
tudinal wave velocity and the attenuation of
longitudinal waves. Because values for these
quantities cannot be found in literature, typical
electrical insulating materials such as cross-
linked polyethylene (XLPE) and cured liquid
silicone rubber (LSR) were investigated [20].
Based on data of longitudinal sound velocity and
(acoustic) loss factor, the wave propagation was
modelled. Results obtained were a contribution
to localise PD in cable accessories. Insulation-
integrated diagnostics of PD is fundamentally
possible because of surprisingly small loss factor
for LSR (less than 0.01) and XLPE (less than
480
0.03) which means that ultrasonic elastic waves
in polymeric (elastomeric) insulating materials
can propagate over distances in the range of
several decimetres.
Using such improved acoustic methods, PDs
in polymeric insulations can be detected and
located more precisely. This diagnostic method
sustainably helps to avoid catastrophic failure due
to PD damage in the insulating material. Another
method to avoid damage due to PD is to capture
charge carriers, electrons and ions that are gen-
erated during a PD. This method has strong
potential for the future (see also Sect. 24.5).
Optical signals are basically not influenced
by electromagnetic fields or high electric
potentials in HV power plants. This makes the
application of optical methods very attractive for
diagnostics of specific events or effects. There is
a wide spectrum of optical effects that can be
exploited for monitoring purposes. Optical
diagnostic methods will therefore be described
more detailed in the next section.
24.3.1 Optical Diagnostic Methods
Optical methods are mainly focussed on the
electrical integrity of facility components and
temperature-related events outside of the regular
behaviour. They are generally used to measure
or detect physical processes generated by ioni-
sation, excitation and recombination processes
in insulating materials that eventually produce
optical signals (light, sparks, ionisation). On the
other hand, optical sensor systems which are
sensitive to certain physical, chemical or
mechanical quantities, e. g. temperature, vibra-
tions, oil and gas changes are also exploited. In
contrast to electrical methods, optical signals
have extremely big advantage due to their
immunity to high voltage and electromagnetic
interference.
Three basic optical strategies are considered
here: (1) optical signals containing the sensing
information are transported wireless (free-space
optical transmission), (2) optical information is
directly influenced by the electrical or magnetic
field, (3) optical signals are guided and modulated
W. Habel and G. Heidmann
in optical waveguides [fibre-optic sensors (FOS)
together with fibre-optic signal transmission].
24.3.1.1 Free-Space Optical Detection
The most known and traditional optical diag-
nostic technique to detect problems with the HV
equipment is camera-based. Imaging technolo-
gies enables the transmission line managers and
live line maintenance teams to evaluate the
integrity of single components of the electrical
distribution equipment e. g. insulators. Due to
environmental or structural defects, surface
contamination or humidity, corona discharge
could happen that leads to ultraviolet radiations
on the line hardware and substation equipment.
This can be used to assess the strength of the
insulation state during equipment operation, and
finally to recognise better insulation defects.
Visual camera-based diagnostic tools positioned
with the necessary distance from the HV envi-
ronment are meanwhile common to identify
potential failures on electrical equipment. In
contrast to some checking actions usually car-
ried out by ground patrol or even by helicopter,
the new camera-based monitoring technique
helps to save expenses for the inspection of HV
transmission lines and substation equipment. It
enables to detect unwanted changes on either
visible or even non-visible components.
At Present, the different camera types appear as
stand-alone instruments: simple visible inspection
cameras, infrared and UV cameras. There are also
new developments which allow the combination
of all three inspection techniques into one
instrument: a multispectral imaging camera. Such
combined camera techniques enable simultaneous
UV and IR inspection recordings and reports, and
thus provide better informed decisions about the
integrity of the electrical equipment or necessary
maintenance [21, 22].
24.3.1.2 Electro-Optic and Magneto-Optic
Effects
Measurement and monitoring of high electrical
currents (up to 100 kA) and high voltages (up to
800 kV) is only possible by using secondary
quantities derived from the high power equip-
ment. There are established instrument
24 Electric Power Stations and Transmission Networks
transformers such as oil-insulated, SF6-insulated
transformers or capacitive voltage transformers
(CVT). In all cases, a strict electrical insulation
between the high power component and the
transformer must be ensured and a certain
amount of electrical energy must be provided.
There are also indirect optical measurement
and detection methods to monitor current and
voltage values. They are based on effects that
change the properties of some material as a
result of the surrounding electrical or magnetic
field. These effects are called the Kerr effect, the
Pockels effect, and the Faraday effect. Using
these effects, in all cases the polarisation state of
the light passing through such materials will be
changed. The amount of the polarisation plane
rotation depends on the amount of the electrical
or magnetic field. The performance of such
detectors is determined largely by how well the
change in polarisation of the light can be mea-
sured. The nonlinear Kerr effect is an anisotropic
change in the index of refraction of a substance
in response to an electric field. The index change
is directly proportional to the square of the
electric field. Because the Kerr effect is rela-
tively weak, the Pockels effect is preferably used
for voltage monitoring. The linear Pockels effect
(also called electro-optic effect) is similar to that
of the Kerr effect but much stronger. It produces
birefringence in anisotropic materials induced
by an electrical field [23]. The produced bire-
fringence is linearly proportional to the electri-
cal field; it can be applied to a crystal
longitudinally or transversally to the light beam.
As an example, if the electrical field around an
operating Tesla coil is to be measured, the
electro-optic sensor could be mounted on a long
insulated rod with fibre optic cables to send the
light to and from the measuring cell. An alter-
nate scheme could be to use a laser and
appropriate prisms or mirrors to send the light
out to the cell along the support and return to a
detector. In the latter case, the sensor itself
could be mounted to the HV terminal, with the
laser and detector mounted at some distance
away [24].
Because the Pockels effect occurs only in
crystals that lack inversion symmetry, such
481
electro-optic transducers (Pockels cells, see
Fig. 24.5) are quite expensive. For HV measur-
ing applications, Pockels cells can be on the
scale of millimetres when fibre optic cables are
used to transport the information. The power
required for using these effects is provided by
the measuring equipment itself, for instance, a
resistive divider does draw some small amount
of current.
The third, however, magneto-optical effect is
the Faraday effect. It represents the interaction
between light and a magnetic field. The rotation
of the polariation plane of a polaried beam is
proportionally influenced by the length of the
optical path and the amount of the magnetic field
(Fig. 24.6). This effect can be used for remote
sensing and monitoring of magnetic field, for
examples to measure current in HV power lines.
These three effects are discussed and inves-
tigated for HV diagnostics, however, the Kerr
effect is hardly used because of its weak sensi-
tivity. The Pockels and Faraday effects are more
often used but not yet widespread. Examples are
shown in Sect. 24.4.4
24.3.1.3 Optical Waveguide Sensors
Monitoring or detection technology on the basis
of optical waveguides has become widespread in
HV facility diagnostics. Optical waveguides
made from glass or polymer optical materials are
not only used as carrier of the optical informa-
tion but work as sensors itself or as converter of
physical/chemical/mechanical quantities into
optical signals. This methodology evolved into
Fig. 24.5 Principle of a Faraday magnetic field sensor
[84]
482
Fig. 24.6 Principle of a Faraday magnetic field sensor
[85]
the new technology of FOS which has already
been established in HV plants for detection of
temperature irregularities and hot spots in HV
facilities [25, 26]. Optical fibre-based methods
are also excellently suitable for measurement or
monitoring of other measurands or operating
conditions, such as AC and DC current, voltage,
and magnetic field [27]. However, in some
cases, it must be stated that the market based on
such extrinsic fibre-optic sensor is still a niche
market.
Optical diagnostic tools based on intrinsic
optical fibre sensors are completely different
from camera-based or crystal-based (transducer
cell-based) diagnostic methods. The massive
difference between camera or transducer tech-
niques and waveguide-based optical detection
methods is that camera-based and transducer-
based diagnosis works with remotely installed
tools whereas optical fibres or fibre-optic sens-
ing elements use exclusively fibre-optic com-
ponents. They can be embedded into the
hardware of HV substation equipment, even into
zones of high electrical field strength. FOS in
HV facilities are used because of their advan-
tageous non-electrical functional principles.
Their components are exceptionally made from
dielectric material, do not need any electrical
power supply in the sensing area, do not inter-
fere with the electromagnetic field and provide
complete galvanic separation from any devices
operating on earth potential. Thus, all parts of
W. Habel and G. Heidmann
the sensing components are immune to high
voltage and electromagnetic interference. Their
tiny size and compactness enable more or less
intimate integration into facilities of HV sub-
stations, into power transformers, generators or
power circuit breakers, and also into the com-
ponents of a HV cable line: the cables itself,
joints and terminations. Because of all these
advantages, this technology offers numerous
possibilities for online diagnosis on the basis of
monitoring the condition state or integrity of the
HV equipment and by indicating deteriorating
effects even in hidden insulations. For this pur-
pose, fibre-optic sensor elements are directly
embedded in the insulating material on high
electric potential whereas interface formation or
voids must be avoided (see Fig. 24.14).
Other fibre-typical properties make fibre
sensors interesting: capability of taking mea-
surement signals along the optical fibre over up
to several ten kilometres, capability of recording
highly accurate digital information with high
signal bandwidth and dynamic range. In almost
all cases, FOS can easily be installed and do not
require extensive maintenance. In HV engi-
neering, the fibre-optic technology is quite suc-
cessful as diagnostic method because customers
got problems solved that were not solvable in
any other way. The other aspect is its long-term
reliability, long-term stability and/or availability
at minimum maintenance. These aspects are of
paramount importance in the HV energy sector.
This chapter considers few examples of fibre-
sensor based monitoring technologies. The dif-
ferent types and physical background will be
described at the place where the examples are
presented. Good overview and more details can
be found in literature e. g. in [25, 26, 28] bis
[29]. Basic definitions, an overview on the basic
FOS types, and specifications are also given in
the generic fibre-optic sensor standard in a very
condensed way [30]. Only some pointers here:
the fibre-optic system consists at least of the
sensing element, the connecting fibre that
transports the optical energy to and the modu-
lated signal from the sensor back, the opto-
electronic converter including optical transmit-
ter, receiver and recording unit as well as data
24 Electric Power Stations and Transmission Networks
storage system. The most measurement tasks in
HV engineering concern distributed strain and
temperature measurements as well as measure-
ment of oscillations and structural vibrations.
Nowadays, optical phenomena that indicate
destructive processes in HV facilities can be
revealed with integrated FOS. Selected exam-
ples of application, their specific benefit and
basic information on functional principles are
explained in Sect. 24.4.
Optical fibres embedded in cables or electrical
insulations can also be used to detect optical
phenomena, caused by e. g. discharge effects.
Depending on the type of component to be
monitored or the insulating material, different
sensor types are used. For examples, optical
fibres are able to recognise sparks in transparent
or translucent electrical insulations [31]. Another
sensor type, CONDUS (conductor dual sys-
tem), is a combination of an optical waveguide
and an electrical conductor. The conductor is
covered by a transparent shell detecting arcing
faults, e.g. in automation systems or in energy
supply [32]. A very efficient method to detect and
locate PD activities very early is to embed optical
fibres inside electrical insulations. Very small
sparks in the insulating materials that develop at
the beginning of the deterioration process of
insulating materials can be recognised by special
fluorescent optical fibres. New transparent or
translucent insulation materials, such as the
Fig. 24.7 Stress cone wrapped with optical sensor fibre to detect PD development [86]
483
transparent silicone Elastosil LR 7665, have an
appropriate transmission spectrum, which is the
precondition for optical PD detection. The
transmission of this material is about 90 % over a
broad spectral range (approximately 300 until
900 nm) [19]. The low-loss transport of light
through the silicone insulation is ensured as the
emission occurs in the optical transparent range
of the investigated silicone materials. The results
achieved by optical measurement technology
(Fig. 24.7) were compared with that of electrical
measurement technology. The measurement
systems recorded and visualised optical and
electrical pulses as phase resolved partial
discharge (PRPD) pattern (Fig. 24.8). The
comparison of electrical and optical patterns for a
small channel on a metallic tip showed a nearly
identical visualisation (details see in [19, 31]).
Thus, the detection of optical PDs in transparent
silicone insulations by integrated optical fibres
opens very efficient monitoring and diagnostic
opportunities.
In order to make this new optical detection
technology fully available for commercial use,
some properties of fluorescent optical fibres in
the HV environment must be investigated and
clarified. One aspect is the coupling of light via
the fibre surface which requires the avoidance of
light absorption by the fibre coating and/or
cladding. Another aspect concerns the light cou-
pling efficiency. Fluorescent fibres improve it; the
484
Fig. 24.8 PRPD pattern (electrical channel above, optical channel below), AC voltage 22.6 kV [31]
fluorescent dye absorbs light independently of the
angle of incidence and emits fluorescence into all
directions in space. Therefore, a higher percentage
of light fulfils the requirements relating to total
reflection, and is guided to the detector. The
coupling efficiency is improved with increasing
amount of fluorescent dye although the attenua-
tion characteristics of the fibre deteriorate. For
some fluorescent fibres, the guided light decreases
by 50 % every 20 cm of fibre length. Fluorescent
fibres are beneficial for effective coupling of light
into the fibre; however, undoped fibres are the
better option for light transport.
Another question refers to the stability of
optical fibres embedded in the HV insulation.
Test series revealed that optical fibres exposed to
PD activities behave different. In contrast to
silicone fibre samples, PMMA fibres are dam-
aged after being hit by tree PD channels [19].
Silicone fibres offer greater potential for PD
detection as the electrical properties are similar to
the silicone insulation material. However, fully
appropriate silicone fibres are not commercially
available yet.
24.3.2 Acoustic Methods
PD generate extremely small materials oscilla-
tions from which mechanical waves propagate
through the insulation material. Such acoustic
events can be detected by dynamically sensitive
W. Habel and G. Heidmann
sensors, e. g. piezo-electric transducers which
convert the acoustic energy into an electrical
signal. Acoustic detection is widely used in HV
transformers or gas-insulated substations.
Though this detection method uses sensors with
electrical output signal externally or internally
placed, non-electrical signals are recorded. The
primary advantage of using acoustic detection
methods over electrical methods is that it pro-
vides information about the location and severity
of insulation problems. The disadvantage when
using this method in non-homogeneous devices
or insulations could be that the wave propaga-
tion is quite complex and not easy to analyse
[33, 34]. In order to establish the acoustic
method for detection of PD, an IEC standard is
being developed [35].
If PD activity is detected, a precise positioning
of the discharge sources is necessary. This can be
done by triangulation with several acoustic
sensors spatially arranged. Distributed acoustic
sensors mounted at the transformer tanks surface
measure time of flight differences of acoustic PD
signals (time of flight of electrical signal is used
as time zero for the PD event) [36] bis [37].
Because established PD detection methods
have some restrictions, alternative fibre-optic
methods are discussed and under development.
Contributions in this chapter preferably focus on
new ways and opportunities to improve the PD
detection at a very early stage.
24 Electric Power Stations and Transmission Networks
24.3.3 Mechanical Methods
Monitoring of the position and deformations of
the mechanical main structure is a relevant issue
in power substations and their equipment
because very high currents produce intense
magnetic fields that induce very high forces in
the metallic part of the equipment. In order to
secure the stability and ensure the correct align-
ment of mechanical components, information on
displacements, stresses and strains are strongly
required. Just for equipment with high mechan-
ical requirements, e.g. switchgears, mechanical
failure can lead to a loss of functionality without
getting damage in the insulation part of the
facility. Thus, e.g. compressive and tensile strain,
bending or shear stresses are important measu-
rands to make a diagnosis. A number of sen-
sorspreferably FOSare used for diagnostics,
such as the combination of two fibre-optic sensor
systems, e.g. a fibre Bragg grating (FBG) strain
measurement system with a fibre-optic magnetic
field sensor based on the Faraday effect.
24.3.4 Special Methodologies
Especially for the gas and oil analysis in gas-
insulated or oil-insulated equipment, chemical
diagnostics is commonly used. It reveals degra-
dation or decomposition products produced
when the HV components are heated, over-
loaded or aged. Mostly, the oil state of HV
transformers or the cooling air is analysed.
24.4 Selected Diagnostics Examples
The field of diagnostics in HV power plants and
their components is very wide. There are many
different aspects and physical quantities that
have to be monitored. It is not possible to give a
nearly comprehensive survey of all methods and
examples used in HV facilities. The following
examples are focussed onto well established and
new rather innovative methods to come to the
most important online information on condition
monitoring of selected HV facilities.
485
24.4.1 HV Transformers
Reliable assessment of the condition state of high
power transformers is the basis for a failsafe and
cost-efficient operation. If the life history as well
as the current condition of operation is known,
the design life can efficiently be exploited and
even extended by targeted maintenance pro-
gramme. Appropriate online-monitoring during
operation is therefore the key point for prevent-
ing transformer failures. In connection with
potential failure causes (see Table 24.1 and
[38]), different techniques are used [39]. One of
the most critical diagnostic measures in trans-
formers is the temperature. Another important
task is to monitor the oil state and PD activities.
24.4.1.1 Hot-Spot Monitoring of External
Transformer Components
Bushings of HV transformers are a typical object
for camera-based monitoring. There are often
overheating zones due to overloading or damage
of the bushing area. Such high temperature
problem areas (hot spots) in electrical connec-
tions or in similar substation equipment could
result in a mechanical failure and consequently a
power failure. Figure 24.9 shows a typical
infrared image of a hot spot area at the bushing
of a HV transformer. These thermal anomalies
must be recognised in time to avoid dramatic fire
or failure.
24.4.1.2 Winding Hot Spot Monitoring
In order to optimise the transformer load the life
of such expensive parts of substations, temper-
ature of transformer windings is monitored. This
is essential to evaluate ageing of the insulation
and to prevent transformer failure. It can addi-
tionally be used to manage the cooling proce-
dures, and finally to validate theoretical
calculations concerning design and manufactur-
ing of transformers.
The only way to measure directly inside the
transformer in immediate vicinity of the wind-
ings is the use of fibre-optic hot spot sensors.
Since the 1990s, sensors based on the spectro-
photometric fibre-optic temperature sensing
486
Fig. 24.9 Thermal infrared image of a hot spot at a
high-voltage bushing and connection [87]
technology are commercially available. Based on
the temperature dependence of the bandgap of a
GaAs crystal, this technology is used by Opsens
[40] in its SCGB series of fibre-optic temperature
sensors The FOS have a very small body, in the
range from 1.1 to 0.2 mm in diameter with fast
response time of 10 ms or less. Temperature
changes can be resolved with 0.1 K in the tem-
perature range from -40 to 250 C. The fibre-
optic cable is guided into the transformer HV
area through a leak-free solder glass feedthrough
designed for pressures up to 20 bar. The sensor is
available as surface sensing probe to measure the
surface temperature of the winding.
Another fibre-optic solution is based on the
FBG sensor technology. This local fibre-optic
strain and/or temperature sensor, where a sensi-
tive structure is inscribed into an optical fibre can
directly be attached to or embedded into the
component at high voltage potential, such as
windings of high power transformers or electrical
machines (see Sect. 25.4.5). This enables the
contact temperature monitoring directly on
the electrical conductors of a high power trans-
former [27].
24.4.1.3 Oil-State and Gas-in-Oil
Monitoring
Oil tests are carried out by analysing gases
produced by local thermal stress or PD during
abnormal operation. PD activity is often
accompanied by increasing concentration of H2
and CH4 as characteristic failure gases. One
W. Habel and G. Heidmann
established method is the dissolved gas analysis
(DGA). It allows finding out any incipient faults
by detecting gases depending on different faults
and oil type [41]. DGA often indicates upcoming
PDs.
Another diagnostic method concerns the
Furan analysis and the degree of polymerisation.
In case that the paper insulation lost the insula-
tion strength, furan compounds as by-products
of the paper insulation occur in the oil. These
products are analysed and are the diagnostic
basis for paper ageing prediction and the degree
of polymerisation [42]. Analysis is also applied
in the case of high thermal stress level, over-
loading or sudden changes in oil colour and the
oils moisture content rate [43].
24.4.1.4 Mechanical Monitoring
The on-load tap changer (OLTC) in transformers
is from the mechanical point of view the part
where many faults occur, and has therefore the
highest possibility of failure. Other possible
sources of failure are leakage and winding
damage [42]. Appropriate transformer diagnos-
tics by using mechanical (vibration) sensors
installed at the transformer wall can prevent
possible failure beforehand.
24.4.1.5 Electrical PD Monitoring
Different techniques have widely been used such
as frequency response analysis (FRA), frequency
domain spectroscopy (FDS) or dielectric fre-
quency response (DFR), and e.g. lost factor
measurement [41, 44]. FDS is able to determine
e.g. insulation humidity, loss factor (tan X), and
the polarisation index [42]. Electrical PD moni-
toring is a very popular method to identify PD
occurrence, the acoustic method to locate the PD
source inside the transformer [42]. This method
can be used for online monitoring. There is
already a diagnostic method proven according to
IEC 60270 [45]. The sensors are capacitive
coupling devices attached to bushings. The PD
sources can be assigned to one specific phase by
measuring three phases simultaneously. The type
of PD fault can be categorised using phase-
resolved partial discharges (PRPD) diagrams
(see Fig. 24.8 as an example). This method is,
24 Electric Power Stations and Transmission Networks 487

however, sensitive to external disturbances like

corona. Minimum sensitivity to such external
noise is provided by ultra-high frequency method
with UHF antennas inside transformer tanks,
installed e.g. on an oil valve flange. Transformers
that do not have such a valve need external
sensors installed against dielectric windows at
different places on the transformer surface [42].
A more precise localisation of PD sources can
be achieved by a combination of UHF PD
monitoring with acoustic triangulation. This PD measurement devices
method is based on the propagation of acoustic detect
damaged insulation before
waves generated by PD that travel through the failure
transformer to the acoustic sensors mounted at
transformer tanks surface. By measuring time-
of-flight differences of acoustic PD signals and
using a software tool, a three-dimensional posi-
tioning of the PD source is possible. Such a
measuring system is the OMICRON PDL 650
type, see Fig. 24.10 [46].

24.4.2 HV and Medium-Voltage Cable

Systems
Cable systems consist of the components cable,
joints and terminations. In order to ensure long-
term stable cable operation, temperature moni-
toring and periodic or rather continuous PD
monitoring is of high importance. Most critical
parts of a cable system, from the PD diagnostics
point of view, are joints and terminations.
Temperature monitoring is focussed on long
high power cable routes.
24.4.2.1 Temperature Monitoring Along
the Power Cable Route
Temperature monitoring is the key factor for
the optimization of power cables and cable
distribution networks. The conductor tempera-
ture represents a number of performance-related
influences. It is directly depending on the load
conditions but indirectly on installation condi-
tions (e.g. adjacent high power cables, sources
which dissipate heat in the cable environment,
thermal soil resistivity). Periodically or suddenly
changing loads lead to different temperature
loading of the cable. If the cable has to transmit
huge amount of energy and is reaching its
Acoustic PD signals clearly
locate show the PD
activities
Fig. 24.10 Seeking out of PD sources in a HV trans-
former by acoustic sensors [46]
designed load limit, operators are forced to
stress the cable to the physical limit. In order to
avoid damage or accelerated fatigue due to
overheating, the temperature profile along the
cable should be known and the load can be
decreased if necessary. On the other hand,
knowing the temperature distribution along the
cable, load distribution in complex network
structures can efficiently be matched.
The temperature distribution along the cable
can be measured by an optical glass fibre
directly integrated into the cable (DTSdis-
tributed temperature sensing). Figure 24.11
shows such temperature sensor fibres. The small
optical sensor cables consist of a stainless steel
or a plastic tube containing a number of optical
fibres. They can be integrated in the factory
during the cable twisting process. If only retro-
fitting of sensor cables is possible, they can be
488
mounted at the surface of the power cable. In
this case, a metal-free design is recommended.
Figure 24.12 shows a high power cable with
integrated temperature sensor fibres [47].
Distributed temperature measurement with
optical fibres is based on the nonlinear Raman
scattering effect. The Raman scattered light is
created by thermally influenced molecular
vibrations in the optical fibres. If a laser pulse is
launched into the optical fibre, light at two fre-
quencies different from the original laser pulse
frequency is backscattered. This backscattering
signal carries the information on the local tem-
perature where the scattering occurred, however,
only one of both signal componentsthe Anti-
Stokes componentsis strongly temperature
dependent. The magnitude of the spontaneously
backscattered Raman light is low, optical multi-
mode fibres with a large acceptance angles (high
Fig. 24.11 Sensor cable. Photos: Lios technology
GmbH [56]
Fig. 24.12 High power cable with integrated optical
fibre sensor for distributed temperature monitoring [47]
W. Habel and G. Heidmann
numerical aperture) are used to maximise the
intensity of the backscattered light.
Depending on the signal evaluation unit,
Raman systems operates over a distance range of
up to 10 km. Temperature changes better than
1 K can be resolved with a spatial resolution of
1 m and better. Using this distributed tempera-
ture measurement technology, temperature pro-
files along the high power cable can be obtained.
Because of a lack of really competitive methods
to measure the temperature distribution along
cables or even overhead lines, this diagnostic
tool is well accepted and successful. There are,
however, only few vendors on the market who
provide commercial DTS systems for high power
cable and overhead line monitoring [4749].
Using a combination of several FOS to
measure temperature, mechanical vibration, and
deformation, lightning damage can be detected
additionally, the impact point can be estimated
and temperature or vibration-induced loads in
the structure can be analysed. Such monitoring
systems can also be installed in wind turbines
and enable dynamic cost-effective maintenance
scheduling and damage prevention [50].
24.4.2.2 PD Diagnostics of Cable Joints
and Terminations
Measurement of PD is performed during a com-
missioning test. It contributes to the increase of
system safety and to assure quality during
assembly of terminations and joints. The multi-
channel PD System MPD 540/600 (OMICRON)
is such a measurement system (Fig. 24.13). The
PD signals are decoupled by use of inductive or
capacitive sensor, which are mounted onto the
cable screen or to the cross-bonding links
(inductive sensors), or onto accessories (capaci-
tive sensors). A new method uses decoupling via
UHF sensors. Accuracy of the measurement for a
small part of the cable line can be improved sig-
nificantly by using higher measuring frequencies
of e.g. up to 850 MHz. Complete galvanic iso-
lation between the individual acquisition units
and the PC controller can be achieved by unique
high-speed fibre-optic networks. This enables
precise synchronicity of all connected units down
to the range of nanoseconds.
24 Electric Power Stations and Transmission Networks 489

Standard Components Accessories

MPD 600 Set

for one or more channels Online charge calibrator
Charge calibrator

Lithium polymer battery Coupling capacitor

Measuring impedance

Fibre optical cable Adapter for bushings

HF current transformer

Options

Fibre optic bus controller

Other measuring devices,
e. g. tan delta, capacitance

Laptop including software

Additional PD channel

UHF converter

UHF pulse generator

Fig. 24.13 PD Measurement system MPD 600 for condition-based maintenance [70]

Direct PD detection inside the electrical Figure 24.14 shows schematically an arrange-
insulation of HV accessories enables highly ment for online detection of PD (see also Sect.
sensitively to detect developing PD activities. 24.5).
This new approach requires non-electrical
sensors that do not influence the electrical field. 24.4.3 SF6 Switchgears, Circuit
A number of new approaches are taken by inte- Breakers
grated fibre-optic acoustic and fluorescent FOS.
It is focussed on HV termination and cable joints The available technology for monitoring and
with polymeric or elastomeric insulations. diagnostics of GIS covers a broad avenue.

HV termination

Sensor

PD Monitoring
PD signal
Power Cable

Signal
selector / converter USB box
Optical fibre
Optical Fiber Link USB

Fig. 24.14 Online diagnosis of HV cable accessories by integrated fibre-optic PD sensors (graphics: Brugg cables
and BAM). The graphics right shows the embedded sensor close to the HV potential of the terminations stress cone
490
Circuit breaker drives, contacts, gas quality, gas
density, and PD are measured and monitored on-
site with different sensitivity and operational
reliability. How economically the application of
one or more different monitoring systems
depends strongly on the specific situation in the
HV plant. In connection with condition moni-
toring of circuit breaker drives, the fundamental
difficulty is thatmost of the timenot much is
to monitor. A breaker may remain in closed or
open position for months or even years, before
called upon operation. The quantities that can be
measured during that idle time (SF6 gas density,
temperature) do not give any information on the
condition of the moving parts. Only during
operation, many quantities can be measured and
allow drawing conclusions on the integrity of the
component [15].
24.4.3.1 Leakage
Similarly to camera-based detection of unwanted
electrical phenomena in HV equipment, imaging
cameras are also used to track down leaking
sulfur hexafluoride, SF6 in GIS. SF6 is used in
most types of HV circuit breakers to prevent
arcing; however, it is a greenhouse gas and
24,000 times more hazardous to the environment
than carbon dioxide (CO2). Finding and repairing
leaks is therefore very important. Again, per-
sonnel cannot approach running HV facilities to
use any probes or sniffers. If the gas pressure
decreases, the HV facility must be switched-off
and the leaking area must be identified. In order
to save money, remotely working systems are
needed. Using a camera, the point of leak can
exactly be located from a safe distance. The gas
detection cameras are infrared cameras which are
able to visualise gas by inverting the physics of
fugitive gas leaks. The camera system emits a
laser beam at the same wavelength as the
absorption band of SF6 (10 lm). The camera is
designed to receive a reflected signal and dis-
plays an IR image. It is necessary to have any
object where the beam can reflect and which
provides a thermal contrast for the moving gas.
The leak appears as smoke on the cameras
screen; this information is recorded. New cam-
eras are completely passive, extremely sensitive
W. Habel and G. Heidmann
to SF6 and quite portable. [51, 52]. There are
several camera types on the market which allow
testing of very small leak rates in the range of 60
until 120 ll/min of energized HV SF6 circuit
breakers from a distance of up to 30 m [22, 53].
24.4.3.2 PD Diagnostics
Various methods such as electrical and acoustic
measurements or chemical methods for detec-
tion of PD activities in GIS are available. They
differ in sensitivity for certain types of defects
and applicability of different design and pro-
duction stages. For on-site PD testing, the elec-
trical method (UHF) is especially recommended
and measurements are requested more widely
[54]. Apart from an automatic interpretation and
localisation of the PD source, there is no system
until now, which enables objective decisions, for
example, whether or when the installation must
be disconnected from the grid (Fig. 24.15).
24.4.3.3 Current Measurements
Current measurements are important for real-
time control of many components in huge HV
power stations. Operators get information what
is happening in their systems and on neigh-
bouring systems they are connected to. Optical
systems replace more and more established iron-
core current transformers because of their sig-
nificant advantages, such as non-conductive and
lightweight. Optical transducers allow much
simpler insulation and mounting design. They do
not exhibit hysteresis and provide much larger
dynamic ranges and frequency responses. There
are two classes of optical current transducers:
bulk-optics transducers and all-fibre transducers.
The bulk-optics transducer, e.g. the magneto-
optic current transducer from ABB exploits the
Faraday effect in a block of fused silica glass.
This sensor is mainly used for revenue metering
over a primary current range from 3.15 kA down
to a few Amperes [55].
All-fibre current transducers offer more flex-
ibility in its design and allow easier application.
Figure 24.16 shows an example of such an
all-fibre current sensor installed on SF6 gas-
insulated 170 kV circuit breakers in a substation
near Pavia, Italy. [55]. The fibre coil housing is
24 Electric Power Stations and Transmission Networks 491

Fig. 24.15 FLIR GasFindIR LW camera [52]

seen at the bottom of the breaker mechanism

(arrow with inserted picture). This sensor inte-
gration brought a significant saving in substation
space previously needed.
In order to assess the mechanical behaviour
of circuit breaker components, a robust sensor
for fibre optic pressure measurement is available
from opSens [40]. This enables to test the relay
switch breaker function under normal and fault
conditions.

24.4.4 Overhead Transmission Lines

24.4.4.1 Detection of External (Corona)

Discharges
Because corona discharges at overhead line
systems lead to material degradation, noise
pollution and perturbing high-frequency elec-
tromagnetic emissions, these systems have to be
monitored. In the occasion of event-related (e.g.
radio communication interference) condition
diagnostics and during preventive maintenance
service, severe discharge events must be detec-
ted, located and remedied.
Typical method of overhead line inspection is
visual inspection using conventional helicopters
or nowadays also inspection robots that are
clamped on the overhead line conductor or on
the earth wire [56].
Because corona discharges radiates light in
the UV range, special cameras using filters in the
wavelength range 240 until 280 nm or 300 until
400 nm are used. Because the UV part in the
Fig. 24.16 170 kV circuit breakers with integrated
fibre-optic current transducers [55]
sunlight in this range is completely absorbed by
the ozone layer, such ultraviolet cameras can
provide daylight images of external discharge
activities [57].
When corona discharges occur in a hot
ambient area, and the maintenance team uses the
infrared camera technology, it could happen that
the infrared image dominates the thermal situa-
tion and corona is not enough visible. This sit-
uation could already occur along the day with
492
solar heating of the metallic parts of the objects
to be scanned. In this case, special corona
(ultraviolet) cameras have to be used [58].
As an advantageous new monitoring method,
autonomous flying platforms with different
measurement technologies like UV and IR
cameras and PD sensors are proposed [56]. The
check-up can be done while the line is in service.
24.4.4.2 DTS
Transmission lines have to transport more and
more energy, and are therefore going to reach
their designed load limits. Because thermal
overloading can lead to critical situations, mea-
surement of temperature distribution along very
long overhead transmission line conductors is
important. The only way to get temperature data
over the whole length of the conductor is the
distributed temperature measurement. Such dis-
tributed systems use optical fibres that are
installed along the overhead lines or integrated
in high power cables (see also Sect. 24.4.2).
There is no competitive methods to measure the
temperature (or even strain) distribution along
lines or cables.
Such distributed temperature measurement
systems are based on the nonlinear optical
Raman effect. It provides thousands of temper-
ature measurements along the whole transmis-
sion line with a length of up to 20 km, with a
minimum spatial resolution of 1 m and a tem-
perature resolution of 1 K. Several systems were
investigated in case studies supported by CESI/
Italy [59], and Sensornet/UK [60], and the effi-
ciency of such temperature diagnostics was
demonstrated. Fibre-optic cables were installed
in Italy in a test field along both ground wires
and phase conductors of overhead lines. They
were wrapped around the phase conductor and
stressed by different influences such as periodi-
cally varying currents of up to 1 kA, irradiation
of up to 1000 W/m2 and wind loads to complete
an entire environment. Combined distributed
temperature and strain measurements were car-
ried out along a 16.7 km long overhead power
line by sensornet [60] on behalf of a UK power
utility company. Using this distributed temper-
ature sensor (DTS), points along the route where
W. Habel and G. Heidmann
overheating occurred could be identified. Such
hot temperature areas are not often visible with
competing DTS systems, and might then lead to
conductor sag. The used DTS-XR [60] system
enables to measure with a temperature resolution
of 0.7 K at 16 km within 15 min. The distrib-
uted strain measurement combined with DTS
provided a strain resolution better than 20 lm/
m, which demonstrated that the conductor was
only under little strain. The average strain level
was measured as -500 lm/m that means that
this value is within the industry recognised safe
strain limits of 2,000 lm/m (corresponds a
30 years lifetime without failure). Such infor-
mation is a strong contribution to diagnosis
statement.
24.4.4.3 Measurement of Electric
PotentialVoltage
Measurements
Electrical field stress is one of the key problems
in operating HV systems because large local
electrical field stress or very fast over voltages
during switching operations in substations may
lead to breakdown or flashover. Online evalua-
tion of electrical field stress is therefore a very
important diagnostic task. There are a number of
methods to measure the electrical potential in
HV facilities. In case of electrical methods e.g.
by using voltage dividers and current probes,
they have some disadvantages because they
interfere in original field and change the value of
the electrical field stress to be measured.
Although optical effects mainly based on the
electro-optic Kerr effect (Sect. 24.3.1.2) are
known and widely investigated [6164], such
optical methods are not much popular. There are
only few published examples for measurement
of HV pulses or very fast transient voltages (FT
voltages). In gas-insulated HV substations, such
FT voltages may have very high frequencies
(several MHz until few hundred MHz).
Based on the electro-optic Kerr effect, a
multiangular laser scanning of inter-electrode
space enabled a non-electrical evaluation of the
electric field in transformer oil [62]. The Kerr-
cell chamber with layers of transparent materials
was illuminated by the laser beam with very low
24 Electric Power Stations and Transmission Networks 493

power to eliminate possible ionisation effects in

the dielectric liquid. Despite of some undesired
optical effects, this experimental non-invasive
approach has strong advantages over other
methods, such as no notable changes of vital
electro-optic and dielectric characteristics of
Fig. 24.18 Flying sensor platform with camera [56]
transformer oil after repetitive electrical dis-
charges. Accuracy and resolution of the electric
field reconstruction depends on the scanning
(Figs. 24.17, 24.18, 24.19, 24.20).
The other more commercialised way to
measure an electrical field without disturbing it
by the sensor probe uses Pockels cells. Fig-
ure 24.21 shows the principle of a Pockels cell.
The Pockels cell is connected to the HV line.
Light is supplied to the Pockels cell from a laser;
the light from the Pockels cell is interrogated by
photo-detectors that can be remotely located. All
optical signals are usually transmitted via optical
fibres. Based on this effect, the laser electro-
optic effect probe (LeoProbe) was developed for
electric field measuring application with optical
heterodyne technology (Fig. 24.22). Depending
on the application type, several LeoProbe types Fig. 24.19 Arcing damage at a cross arm of a 20 kV
are available. Diameter of the tip of the standard line [56]
type is 6.5 mm (tip can also be 1 mm), the
length is 80 mm.
temperature and potential measurements, current
24.4.4.4 Current Measurement measurements are also important to operate the
Measuring and monitoring tasks gain more and grid closer to the operational limit. Traditionally,
more importance in extended grids. Among Hall effect current transducer systems are used.
However, if galvanically isolated current mea-
surement with low power consumption is needed,
optical current transducers can only be used.
Several companies, such as ABB, Siemens or
Areva offer therefore sensor technologies that
enable condition monitoring in high power
transmission lines and distribution networks.
Optical methods provide just in this field of HV
systems some advantages and are on the increase.
Another type of the optical fibre current
sensors (OCS) (see Sect. 24.4.3.3 for circuit
breakers) which also utilizss the Faraday effect
is offered by Adamant Kogyo Co., Ltd., Japan
Fig. 24.17 Infrared and overlaid UV image (cold colour
[65]. It measures AC current. Figure 24.23 show
palette) of transformer bushing in a 400/275 kV substa- the reflective sensor probe and the signal pro-
tion. The corona activity on the conductor clamp can cessing unit. The length of the probe is 1 m;
clearly be seen [21] operating temperature is in the range from -20
494
Fig. 24.20 Left optical metering unit (OMU) with current transducer (MOCT) and voltage transducer (EOVT); right
OMU retrofit installation in a high-voltage substation [55]
Fig. 24.21 Scheme of an integrated-optic Pockels
cell [88]
to 80 C. The current sensor is able to monitor
and control high-frequency current, to monitor
lightning current, and can also be applied in
underground cable systems to detect fault
sections.
If very large currents have to be measured in
substations, plants with extremely high currents,
such as in aluminium plants or in high-current
busway systems, ABB made available another
fibre-optic high-accuracy current sensor (FOCS)
[66]. It is also based on the magneto-optic effect
(Faraday effect). A single-ended optical fibre is
positioned around the current conductor. The
FOCS can measure uni- or bidirectional DC cur-
rents up to 500 kA with an over-current capacity
of 20 %. Figure 24.24 shows such a 400 kA DC
W. Habel and G. Heidmann
Fig. 24.22 Example of a LeoProbe [89]
current transformer. The non-metallic sensing
head which can be adapted in size is connected to
a fibre-optic cable that can have a length between
10 m and 70 m at maximum.
Another family of optical current sensors
based on the Faraday effect is offered by Alstom
Grid [67]. There are current transformers (COSI-
NXCT) for permanent placement in substations
or in retrofit applications where space is limited.
They allow measurements in a broad dynamic
range from DC to high-frequent currents of up to
the 100th harmonic, and up to currents of
171 kA. For detection purposes, very accurate
and stable phase measurements can be carried
out. There are also three flexible product types,
where each sensor head is optimised for different
24 Electric Power Stations and Transmission Networks
Fig. 24.23 Adamant optical current sensor (right picture shows the sensor probe in detail) [65]
applications and specifications. Each flexible
optical current transformer type (COSI-NXCT
F3) has a wrap-around sensing head around HV
bushings, generator buses, and other conductors
in ways not possible with conventional current
transformers. The sensing loop is an all-dielec-
tric cable, which connects to the standard Al-
stom Grid electronics, giving the user the same
high performance capability and output options
as the HV optical current transformer. It is an
ideal solution for installations in difficult spaces,
on a temporary or permanent basis. The current
sensors can be installed in GIS (Fig. 24.25) or in
overhead to underground line transition equip-
ment (Fig. 24.26). The sensor heads are able to
observe the equipments condition over a
bandwidth for 10 to 3 kHz and in a range of up
to 160 kA.
24.4.5 Generator and Motor
Diagnostics
Power generators are operated below the limit
temperature with respect to their insulation class
Fig. 24.24 400 kA DC current transformer FOCS (ABB) for electrochemical plants. [66], [90]
495
specification. Measurement of hotspot tempera-
ture at the stator coils that enable an integrated
overheating control, would help to exploit their
performance. However, because of the high
voltage nature of winding coils (15 kV) this
measurement is only possible with non-electric
sensors such as FOS. Because electrical high
power machines represent a high capital
investment, diagnostic systems are used to
detect limit loads and defects immediately.
Figure 24.27 shows two stator bars of an air-
cooled power generator with integrated FBG
temperature sensors inserted into the slots of the
stator core. This online temperature monitoring
of the stator winding enables to prove the
integrity of the stator winding under load.
High power generators, e.g. in wind turbines
(see also Chap. 26) are dynamically stressed.
Monitoring of the dynamic behaviour of the
machine is very important. Optical sensors also
enable to measure dynamic strain resonances
inside electrical machines. Figure 24.28 shows
an application of strain sensors onto the stator
coil of a power generator. This vibration
496
Fig. 24.25 Optical F3 Current transformer (see ellipse*)
in a gas-insulated switchgear [67]
Fig. 24.26 Installation of optical current transformers at
an overhead to underground transmission line [67]
measurement technology was used to demon-
strate the dynamic behaviour during a type test.
This online monitoring method provides cus-
tomers information on the health of the most
critical parts of the generator insulation. More-
over, this diagnostic method can also be used as
a useful design tool [68, 69].
PD measurements in motors and generators
are in use for more than 35 years to prove the
quality of stator windings. In general, PD mea-
surements are carried out when generators have
been stopped for maintenance. However, PD
W. Habel and G. Heidmann
Fig. 24.27 Installation of FBG temperature sensors in a
stator of a power generator prepared for a shop test (S1
until SN show the position of the temperature sensors)
[27], [91], [92]
measurement for diagnosis purposes should be
done online during regular operation. Online
diagnosis has the advantage that the condition
assessment takes place under realistic stresses.
Possible failure can therefore be identified
before serious damage occurs. If the PD activity
exceeds a critical threshold, this value triggers a
warning signal. Figure 24.29 (left) shows the
scheme of the online monitoring system PDM
600 of OMICRON to detect PD in rotating
machines; Fig. 24.29 (right) shows capacitive
couplers mounted close to the busbars of a
generator to measure PD signals [70].
24.5 Foreseeable Developments
in Diagnostics
The significance of the on-site diagnosis is
strongly growing, especially online diagnosis at
valuable and strategically important apparatus
such as great power transformers, transmission
cables, rotating machines and switchgears. With
new technologies in signal processing, com-
puter-aided engineering, sensor technology and
electronics, new measuring equipment is coming
up using physical processes for monitoring of
quality parameters. New measurement tech-
niques like electromagnetic or acoustic methods
24 Electric Power Stations and Transmission Networks
Fig. 24.28 Stator coil of a power generator with
installed fibre-optic vibration sensors. [62]
in the dielectric diagnostic as well as in the PD
detection and also new optical components (e.g.
new light detectors) or chemical analysis meth-
ods are increasingly used or under development
[71]. In the next future, it is expected that con-
dition monitoring and online diagnosis will
increasingly form an integral part of important
apparatus. Typically in substations, e.g. local
intelligent devices that are located directly on
the switchgear will perform both control and
also monitoring functions [15].
Power grids are subject to structural changes
because new questions arise from the changes in
the networks as a result of distributed energy
generation, storage possibilities and changing
market conditions. Such points are the erection
of new network lines or the increase of the
performance of existing grids. The latter could
be done e.g. by erection of additional equipment
to increase the active power, by erection of
offshore wind farm networks and their connec-
tion to transmission grids, and also by integrat-
ing distributed power generation into the
transmission grids. The core purpose of a power
grid, transporting and distributing energy, needs
to smarten up the grids in the (near or far) future.
Methods to help ensuring this primary function
is an increasing need for smart diagnostics. An
important topic is the controlling of the load
flows as a consequence of increasing dispersed
generation and of environmental concerns.
497
Generally, it is becoming more and more diffi-
cult to predict energy flows, so that unexpected
dynamic loadings (including large load varia-
tions) could occur. Consequently, multiple
diagnostic requirements arise for the utilities,
ranging from glass fibre sensor integration to
dynamic rating system application.
An alternative way to meet the growing
demands on future economic and social devel-
opments is the high-efficiency power transmis-
sion at extra high voltages. The so-called ultra
high-voltage (UHV) power transmission tech-
nology allows transmitting large amounts of
power over long distances with higher efficiency
(because of the least losses of power), lower
investments and smaller land occupation
(because of a minimum of transmission lines).
First UHV transmission lines at 1,000 kV (direct
current DC) were successfully launched in
China at the beginning of 2009; other countries
in Asia such as India of South Korea are fol-
lowing [72]. Although this UHV power trans-
mission has some advantages, diagnostics of
such highly stressed insulations is an important
task. Members of the IEC Technical Committees
TC 14 (Power transformers) and TC 42 (HV and
high-current test techniques) are developing
brand-new HV test techniques, e.g. PD detection
by electromagnetic and acoustic methods.
Another forward-looking subject of discus-
sion for future power grids is the integration of
superconducting (SC) network equipment, such
as cables or current limiters. SC cables could
replace conventional HV cables by medium
voltage SC cables with the same power ratings.
SC current limiters would reduce short circuit
currents. Extra HV high-temperature SC cables
(HTS cables) in parallel to overhead lines in the
380 kV range are viewed as a favourable solu-
tion to overcome the identified bottlenecks in the
future Dutch transmission grid [73]. Benefits are
the smaller footprints and easier approval pro-
cedures, higher power capability, less AC loss,
reduced magnetic emission, and a possibility to
maintain their transmission voltage at 380 kV
even in a distant future. Also in urban area grids,
medium voltage SC cables offer attractive
alternatives to conventional HV cable systems.
498
Fig. 24.29 Online monitoring system MPD 600 (OMICRON) [70]
Such medium HV cables with high power rating
enable the reduction of inner city transformer
substation area considerably. Such equipment
will help to solve some future energy problems,
such as increasing power demands and decen-
tralized generation.
SC systems need, however, additional auxil-
iary components like refrigeration systems
(liquid nitrogen) and thermal insulation with
specific requirements to a diagnostic measure-
ment technique. Even if the sensing methods for
the SC equipment are similar to sensors for
conventional one, distinctions exist in the use at
very low ambient temperature. There are hot
cold transitions, low mass to cool down, very
low heat flow via the sensor to the low temper-
ature range within the equipment, and an oper-
ation in higher electromagnetic fields. It is
expected that different innovative fibre-optic
sensing methods will provide favourite solu-
tions. Measured quantities in SC systems are
also temperature, pressure, current and voltage,
mechanical strain of the primary system, and
some more physical quantities to control the
running of auxiliary equipment, e.g. refrigerator,
and liquid gas tank integrity.
Already now, (off-line) PD diagnostics is an
established tool to recognise beginning PD
activities in insulations. Because PD detection as
early as possible is of increasing importance in
HV facilities, online PD monitoring systems are
under development. They will be able to detect
changes due to the ageing process or due to local
degradation of the insulation at very early stages
W. Habel and G. Heidmann
of development during the service life. This
online information provides detailed information
on the actual insulation condition during the
operation of the equipment and allows prognosis
about its future performance. There are already
different kinds of PD sensors used to detect PD
directly at the accessories (cable joints and ter-
minations) [74]. Figure 24.30 shows a possible
architecture of a future online PD monitoring
system for PD diagnostics purposes.
FOS get more and more importance because of
their dielectric nature. Long optical sensor fibres
are going to be integrated part of cables, overhead
lines or accessories not only for distributed strain
and temperature monitoring but also for early
detection of discharge activities in HV insula-
tions. In the framework of the development of
transparent HV insulations, optical fibres
embedded into the electrical insulation allow to
catch ionisation or light effects when PD develop,
or they are highly sensitive to acoustic phenom-
ena and will measure extremely weak acoustic
waves inside the insulation material [75, 76]. First
successful tests were carried out and several
research projects are being running to find out
efficient detection methods [19]. Such diagnostic
methodologies would save huge amounts of
expenses necessary for damage repair or to make
good consequential damage, if threatening failure
is not identified in a timely manner.
New innovative fibre-optic sensing methods
such as distributed vibration monitoring by
using interferometric and polarimetric distrib-
uted sensing [77] will widen the field of
24 Electric Power Stations and Transmission Networks
Fig. 24.30 Architecture of future online PD monitoring systems for PD diagnostics purposes [93]
diagnostic techniques. Such technologies can be
used to monitor the vibration state of overhead
line but also to protect from cable theftsa very
specific diagnostic tool. Such acoustic system
uses backscatter analysis of pulsed laser light
that detects sounds and vibrations along its
entire length, classifies them and locates suspi-
cious events to a 1 metre resolution.
There are also a considerable number of other
applications of fibre-optic temperature sensors in
high power electrical systems, such as for cate-
naries of high-speed railway lines. Such over-
head lines that provide the energy for the trains
must be protected from thermal overload caused
by over-currents and hot-spots at the catenary
wire and the contact wire. This diagnostic
method helps to detect thermal overload of the
overhead contact line system which could lead
to deterioration of the mechanical strength of the
catenary construction. Such diagnostic systems
were tested at the high-speed line between
Cologne and Rhine/Main area [27].
Innovative diagnostic methods are more and
more demanded in other facilities of the high
power infrastructure, e.g. to measure the tem-
perature distributions in the cooling flow chan-
nel of power gas turbines in the range up to
1,700 C [78]. The opposite case is in the low
temperature range down to -270 C to monitor
strain of SC materials and components [79] or
deformations of extremely large SC magnets in
nuclear accelerators and fusion reactors [80].
499
Diagnostics of HV facilities by using new
sensor technologies and surveillance procedures
opens up new possibilities to assess the equip-
ments state by evaluating the electrical, di-
electrical, mechanical and thermal behaviour.
However, due to complex interactions of a
number of parameters and physical quantities in
components of HV facilities, there are some
limitations in diagnostics [81]. In some cases, it
can be difficult to interpret the measurement
results with respect to the operational behaviour
of the equipment. For example, temperature of
insulating material is often measured because it
influences the ageing behaviour of the insula-
tion. However, it is difficult to draw conclusions
about the electrical strength behaviour of the
insulation from temperature measurements.
Another limitation arises from the fact that lots
of measurands are acquired only integrally, e.g.
by measurement of the loss factor tan delta, the
determination of permittivity or other integral
quantities in facilities. However, the loss of the
insulation capability can be caused by very local
exceeding the electrical strength with the result
of an electrical breakdown. Integral informa-
tion does not provide information about some
local critical problems. For the purpose of
determination of the residual life time, it is
generally difficult by now to derive reliable
statements from changes in the measured phys-
ical quantities influencing the insulation. One
more limitation of diagnostic activities can be
500
the speed of deteriorating processes under high
voltage. Electrical breakdown sometimes occurs
within very short periods of time so that it is not
possible to initiate efficient rescue measures.
Regarding all described diagnostic aspects, it
is necessary to developand have finally
standards that recommend diagnostic and mon-
itoring methods [71]. This would help to get a
comparable level of information about the con-
dition of HV facilities. This includes a check of
requirements for diagnostic apparatus and test
setups to allow the users of such equipment a
comparison of their diagnostic results. Diag-
nostics according to standardised rules will more
and more help to prevent outages, will increase
the reliability of power equipment and save
maintenance costs in the power industry.
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 Offshore Wind Structures
Claus Kupferschmidt, Mareike Strach, Holger Huhn
and Fabian Vorpahl
This chapter considers structural health moni-
toring (SHM) for offshore structures from a
general system level. Offshore structures are
subject to static and dynamic loads and their
influence will be outlined. Structural integrated
sensor and measurement systems are used to
monitor load distribution and enable lifetime
prognosis of the structures. The latest state of the
art related to sensor and measurement systems
and SHM systems are given.
25.1 Overview of Support Structure
Types
For the parts of an offshore wind turbine (OWT),
the definition of IEC [1] shown in Fig. 25.1 is
used throughout this chapter. Accordingly,
offshore wind turbine describes the whole based structures.
system, which is the support structure including
the rotornacelle assembly (RNA). The focus of
this chapter lies on the support structures of
OWT. Accordingly, the RNA is not discussed in
detail. It is rather seen as the component of the
C. Kupferschmidt (&)
H. Huhn
Fraunhofer IWES, Department Support Structures
and Monitoring, Am Seedeich 45, 27572,
Bremerhaven, Germany
e-mail: claus.kupferschmidt@iwes.fraunhofer.de
H. Huhn
e-mail: holger.huhn@iwes.fraunhofer.de
M. Strach
F. Vorpahl
Fraunhofer IWES, Abteilung Turbine Simulation,
Software Development and Aerodynamics, Am
Seedeich 45, 27572, Bremerhaven, Germany
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_25,  Springer-Verlag Berlin Heidelberg 2013
25
OWT that is responsible for the main cyclic
loading on the support structure.
The term support structure describes three
parts (cf. Fig. 25.1):
1. Foundation,
2. Sub-structure,
3. Tower.
In theory, these three parts of the support
structure are interchangeable. That is, a combi-
nation of different foundation with different sub-
structure and different tower types is possible.
However, this chapter focuses on combinations
that are currently used in offshore wind farms.
Although the definition is helpful, it must not be
understood too strictly. It is not always possible
to make a clear distinction between the three
parts. This is, for example, the case for gravity-
In the following, the support structures that
are currently installed are introduced briefly.
Their appearance, how the loads are transferred
to the soil and the way they are fixed to the sea
bottom are discussed.
25.1.1 Monopiles
Monopile support structures are single steel tubes
that are usually driven into the sea bed. The wind
turbine is mounted on the monopile through a
transition piece that ensures a correct connection.
Furthermore, a monopile is equipped with j-tubes,
ladders and platforms to lead off cables and to
access the wind turbine. However, this secondary
steel is not described in detail here.
505
506
Fig. 25.1 Parts of an
offshore wind turbine
according to IEC (Fig. 1
of [15] licensed by VDE
Verband der
Elektrotechnik Elektronik
Informationstechnik
e.V.Department DKE)
Monopile design is based on the loads that
have to be transferred to the soil. The vertical
loads are mainly transferred through skin friction
and end bearing in case of pressure loads into the
soil, whereas the horizontal load transfer requires
a certain monopile length in order to have enough
soil resistance to bear overturning moments.
Monopiles can only be used in relatively shallow
waters because structural diameter and therefore the
steel mass increase disproportionately if water depth
increases (cf. [2]). Other limiting factors are turbine
size (large turbine loads require large monopiles)
and wave climate (large wave loads require large
diameters). This leads to higher costs and logistic as
well as installation problems which makes mono-
piles unsuitable for greater water depths.
25.1.2 Jackets
Jackets are three-dimensional trusses with typically
four slightly inclined legs (see Fig. 25.2, left).1
1
In the offshore oil and gas industry, a distinction between
towers and jackets is made. The piles of a towers
foundation are grouted at the sea bottom, whereas the piles
of a jackets foundation are driven through the legs and
connected to the sub-structure at the top [3]. This distinction
is not common in the offshore wind industry, and both
towers and jackets are usually referred to as jacket. .
C. Kupferschmidt et al.
The distance between the legs at the upper end of
the structure requires a transition piece in order to
mount the wind turbine on the top of the jacket.
Two ways were used so far to fix OWT
jackets to the sea bed: pile sleeves and jacket
stabs. Pile sleeves are tubular cases at the lower
ends of the jacket legs through which the piles
are driven. When jacket stabs are used, the legs
of the jacket are equipped with plugs that are fit
into the pre-driven piles when erecting the
jacket. Pile sleeves were used in the Beatrice
offshore wind farm,2, while jacket stabs were
used at the Alpha Ventus offshore wind farm.3
Since jackets are assembled from components
with small cross-sectional dimensions, they are
subject to lower hydrodynamic loads than
monopiles. Furthermore, the spacing of the legs
at the sea bottom results in a higher resistance
against overturning moments as these are
transferred to the soil as axial loads in the legs.
Due to this load-bearing capacities, jackets are
lightweight structures compared to monopiles.
However, jackets have drawbacks in terms of
2
http://www.beatricewind.co.uk/downloads/environ
mental/Section_3.pdf
3
http://www.alpha-ventus.de/fileadmin/user_
upload/Messefilm/montage_repower_5M.pdf
25 Offshore Wind Structures
Fig. 25.2 Examples for
jacket, tripod and tripile
sub-substructures (from left
to right, private photos)
manufacturing and logistics. They are large
structures needing a lot of workshop space, and
there are many parts to be welded. Furthermore,
large vessels are needed to tow them out to the
operating sites.
Jackets have only been used in a few offshore
wind farms so far. They were deployed in water
depths where monopiles are not feasible any-
more from economic and technical points of
view. However, many (German) offshore wind
farms that are consented, but have not started the
construction phase yet are planned to be build
with jacket sub-structures.
25.1.3 Tripods
Tripods arejust like jacket sub-structures
three-dimensional trusses (see Fig. 25.2, mid-
dle). For the tripod sub-structures that are cur-
rently installed, the tower is extended in a
central, tapered vertical member which is sup-
ported by inclined members that are connected
through braces. These tripods are called centre
column tripods (CCT). Another tripod design is
the flat face tripod (FFT) as described in, for
example, [4].
Tripods are fixed at the sea bottom through
three legs. Currently, only six tripods have been
installed in the Alpha Ventus offshore wind
farm. They were erected using pile foundations.
Tripods are less sensitive to overturning
moments than moments due to the spacing of the
legs. However, due to the rather large central
member, a tripod might experience large hydro-
dynamic loadings. In this sense, a tripod combines
the unfavourable properties of a monopile in
507
terms of the loading with those of a jacket in terms
of the manufacturing and logistics.
Since there are only a few installed tripods so
far, there is no clear trend regarding the water
depths for which these sub-structures are suited.
However, in general, they are suited for the same
water depths as jackets. That is, they are used
when the water is too deep to use monopiles.
This is also the case for the consented but not yet
built offshore wind farms.
25.1.4 Tripiles
Tripiles are a sub-structure type that is patented
by the BARD group. Consequently, they are
only used in the BARD Offshore 1 wind farm so
far. However, since offshore wind energy is a
very young industry, also sub-structures instal-
led only in one wind farm are of importance to
gain experience for future farms.
Tripiles consist of three vertical piles that are
connected through a transition piece which is also
connected to the tower (see Fig. 25.2, right). The
piles of the sub-structure are fit in pre-driven
foundation piles, which is similar to the concept of
jacket stabs as mentioned in Sect. 25.1.2.
The spacing of the piles provides the required
stiffness for the sub-structure, where at the same
time the piles can be of smaller diameters (cf.
[5]). Accordingly, the overturning moments are
transferred to the soil through axial loads again.
25.1.5 Gravity-Based Sub-structures
Gravity-based sub-structures (GBS) are strictly
speaking not a sub-structure, but a foundation.
508
However, the principle of using a massive con-
crete base directly influences the shape of the
sub-structure for currently installed OWT with
GBS which is why they are introduced here.
Basically, there are two versions of GBS that are
used so far. For the first kind, a clear cut between
the foundation and the sub-structure cannot be
made. The base plate is extended in a conical
shape to the sea level to make a connection to
the tower. For the second kind, a single pile is
attached to the base caisson without a smooth
transition between base plate and pile.
The GBS work because of the large weight of
the base plate and the large area it covers. The
loads from the structure are transferred to the
soil through pressure on the underlying soil
layers. However, compared to, for example,
jackets, GBS are sensitive with respect to over-
turning moments. This is also the reason why
they are mostly installed in relatively shallow
water. Furthermore, GBS require a lot of man-
ufacturing space and may be difficult to tow out.
Currently, there are not many offshore wind
farms planned with GBS as foundation and sub-
structure, respectively. There are prototypes
planned for the German Baltic Sea where the
wave climate is calmer than in the North Sea.
25.1.6 Floating Sub-structures
Floating wind turbine sub-structures4 are in their
infancy state. They are subject to research, and
only a few prototypes exist so far. These proto-
types were developed mainly by translating
concepts that are proven in the offshore oil and gas
industry to the offshore wind energy industry.
In general, there are three different concepts
that are put to the test with prototypes for the
time being:
Spar buoy concept as tested with Hywind in
front of the Norwegian coast: The spar buoy is
basically a long cylinder that extends the tower.
It maintains its hydrodynamic stability by the
distance between the centre of buoyancy and the
4
Instead of floating sub-structure, the term floating
support-platform is also used (see, e.g. [6]).
C. Kupferschmidt et al.
centre of mass. This requires a certain length of
the spar buoy which calls for very deep water.
Semi-submersible concept as tested with
WindFloat in Portuguese waters and to be
tested with the HiPRwind demonstrator in
front of the Spanish coast: A semi-submersible
is a large-volume structure that gains its main
buoyancy from pontoons that stay under the
mean water level. This makes them relatively
stable with respect to motions and accelerations
and causes rather low hydrodynamic loads.
However, they need large manufacturing
facilities and heavy machinery to be trans-
ported and towed to their locations. They are
typically fixed by catenary mooring lines.
Tension-leg platform (TLP) concept as tested
with Blue H in Italian waters: A TLP main-
tains its stability through an excess of buoyancy.
Pre-stressed vertical tethers hold the platform at
a higher draught than it would be in an equilib-
rium position. Due to this, a TLP experiences
almost no vertical motions or accelerations.
However, the tethers are expensive and might
interact with the structural response of the OWT.
It must be stressed that none of these con-
cepts are ready for commercial use. They are
mainly tested with downscaled OWT on top of
them to gain experience and to reach market-
ability within the next years. Projects like
HiPRwind5 investigate the potential of floating
sub-structures and will show possible paths for
future commercial use.
25.2 Loads on Offshore Wind
Turbine Support Structures
Detailed knowledge of the loads that are acting
on an OWT is crucial to develop cost-effective
and reliable solutions. In the following, the loads
are described with referring to modelling and
calculation methods that are commonly used in
load analyses of OWT. This is reasonable as
load analyses aim to describe the OWT as close
5
http://www.hyperwind.eu/
25 Offshore Wind Structures
to the reality as possible while looking at the
OWT as a system.
In general, OWT are subjected to loading
scenarios that are different from those of con-
ventional oil and gas offshore installations due to
the loading from the turbine. The RNA that
converts the kinetic energy of the wind into
mechanic torque by utilizing the aerodynamic
lift applies highly dynamic loads on the OWT.
Additionally, the incoming waves induce
hydrodynamic loads on the OWT which have to
be considered. In summary, the loads on an
OWT can be grouped as follows (cf. [7]):
Static loads (horizontal: mean wind and mean
currents, vertical: gravity on non-rotating
components)
Periodic loads (gravity on rotating compo-
nents, regular waves, wind shear, tower dis-
turbances, yaw errors)
Stochastic loads (irregular waves, turbulent
wind)
Transient loads (turbine start-ups and shut-
downs, gusts, extreme waves, meandering
wakes of neighbouring turbines).
These loads act separately on the OWT but
also have coupled effects, that is, coupled
through the structural behaviour. The loads from
wind and waves are introduced in more detail in
the following. This section concludes with the
discussion of coupled load effects.
25.2.1 Wave Loads
This section focuses on the wave loads on the
OWT. In a load analysis that aims to fulfil the
regulations by, for example, IEC [1], other
effects from the sea have to be accounted for as
well. But here currents, corrosion, marine
growth, soil properties and scour, etc. are not
covered. They are described in more detail in,
for example, [8] or [9].
Furthermore, for the calculation of the loads,
it is assumed that the structures are hydrody-
namically transparent. This means that the
structure does not disturb the wave such that the
effects like reflection, refraction and diffraction
do not occur. Higher-order effects like wave
breaking or ringing and springing are also not
509
included here but can be found in standard off-
shore engineering books like [10].
Ocean waves can usually be described by
means of the linear wave theory, which is also
called Airy wave theory or linear wave theory. In
this theory, the wave elevation is assumed to be
sinusoidal and the water particle velocities and
accelerations are derived by solving a linearized
boundary value problem based on the Laplace
equation. A detailed derivation can be found in,
for example, [11]. In this theory, the water particle
velocities and accelerations are maximal at the
water surface and they decrease with water depth
following hyperbolic functions.
Despite of its simplicity, Airy wave theory is
widely used both in the offshore wind energy
industry and in the offshore oil and gas industry. Due
to the linearization of the boundary value problem, it
does not cover all effects, but in many cases, it is a
good approximation as it is discussed in [12].
It is common to run load analyses with single
regular waves, that is, with only one sinusoidal
wave. However, a more realistic description of
the water surface is gained through superposi-
tion of many so-called wavelets, that is, super-
position of single regular waves of various
height and period. The wavelets are often
derived based on the wave spectra such as the
PiersonMoskowitz spectrum [13] or the JON-
SWAP spectrum [14]. The spectra describe the
amount of energy contained in the waves over
the frequency such that it can be discretized in
wavelets of certain frequencies in order to dis-
play an irregular sea state.
Load analyses with linear regular and irreg-
ular waves are done for normal conditions. That
is, the OWT produces power or is idling due to a
lack of wind. For extreme events such as strong
storms, regular waves with re-occurrence peri-
ods of 50 years are used to calculate the
hydrodynamic loads on the OWT (cf. [1]). These
waves are then described using the nonlinear
theories, like stream function theory according
to Dean (see, e.g. [10]).
For a hydrodynamically transparent sub-
structure of an OWT, Morisons equation [15] is
commonly used for the calculation of the wave
loads. It is a semi-empirical approach in which
510
the wave loads are described by a superposition
of inertia and drag loads. This is a very simple
approach which is tolerable for bottom-fixed and
slender structures. However, for the above-
mentioned large floating semi-submersible sup-
port structures or even large-diameter monopiles
in shallow water, more sophisticated ways to
calculate the wave loads can be necessary.
25.2.2 Wind Loads
As mentioned above, the wind applies aerody-
namic forces on the rotor, and the rotor starts
spinning due the resulting aerodynamic torque.
Due to the movement of the rotor, dynamic
loads of large amplitude are applied on the
support structure of the OWT. The maximum
bending moment at the connection between a
tripod sub-structure and the tower of a 5-MW
wind turbine was determined to be ca. 3MNm
with a 3MNm range in the Offshore Code
Comparison Collaboration (OC3) project [16]
which illustrates the magnitude of the loads that
are applied by the rotor and have to be trans-
ferred to the soil by the support structure.
These massive loads can only be determined
when the wind is described accurately. For this,
different mean wind speeds are accounted for.
They are sorted into bins, and their occurrence
probability is usually approximated with a
Weibull distribution. Also, the distribution of the
wind speed over the tower height and the rotor
span height (wind shear) must be accounted for.
This is usually done with logarithmic models or
power laws which can be found in, for example,
[1]. To describe the stochastic nature of the
wind, the turbulence intensity, that is, the fluc-
tuation of the actual wind speed around the mean
wind speed is also accounted for. Short-term
events like gusts are described with pre-defined
shapes like one-minus-cosine or the Mexi- thermore, the dynamic properties of the OWT
can hat (cf. [8]).
The aerodynamic forces are commonly cal-
culated using at least blade element momentum
(BEM) theory in which each blade of the rotor is
divided in blade elements whose aerodynamics
are described by two-dimensional airfoil shapes.
The forces at each blade element are then
C. Kupferschmidt et al.
calculated independently based on the local flow
conditions and finally summed up to give the
aerodynamic forces on the rotor. The BEM
theory is described in great detail in standard
wind engineering books like [17]. It is a simple
approach that can be enhanced by including
corrections for tip and profile losses as well as
accounting for the turbulent wake state. More
precise, aerodynamic descriptions like general
dynamic wake (GDW) or vortex methods are
described in, for example, [18] or [19].
25.2.3 Coupled Effects
OWTs are complex systems that have several
coupled effects and nonlinearities that are sys-
tem inherent and must be dealt with in load
analyses. This makes it impossible to simulate
OWT in the frequency domain. Although more
time-consuming, time-domain solutions must be
used in order to obtain correct loads. This is also
the reason why the support structure of an OWT
cannot be investigated separately from the RNA.
For instance, the pitch angle of the rotor blades
(and correspondingly the aerodynamic loads) as
well as the generator torque is controlled actively.
Both cannot be dealt with by functions of input
parameters, but by control algorithms. Further-
more, the coupling between aerodynamics and the
elastic structure (aeroelastic effects) must be
accounted for. That is, the elastic movement of the
blade will influence the aerodynamic loads and
vice versa. Due to the composite materials that are
used for the rotor blades, second-order effects
may become significant which leads to nonlinear
forcedisplacement relationships. The eigenfre-
quencies of the OWT support structure and the
rotor blades are very close. This leads to coupled
vibrations in different component modes. Fur-
depend on the state, that is, state rotational speed
of the rotor, of the turbine [7].
The described complexity of the system and
of the loads during the OWT lifetime as well
as the aim of further cost-efficiency requires
monitoring to ensure the structural integrity of
the OWT.
25 Offshore Wind Structures 511

25.3 Monitoring for Wind Turbines Rotor blades, pitch

Monitoring is very common in many industrial

systems, but for wind energy, the application of Nacelle, generator
gearbox
monitoring systems for the whole wind turbine,
which includes all relevant sub-systems, is at the
beginning. Against the backdrop of increased
reliability of OWTs, the technical monitoring of Yaw
these systems with the support of offshore-
capable sensors and measurement systems Tower
becomes more and more important.
Two definitions of monitoring can be found:
condition monitoring (CM), which is normally Support structure
related to electrical and mechanical components
of the drive train (rotor, gearbox and generator)
of a wind turbine (WT) and the monitoring of
the structureSHMof a WT, which includes
the nacelle, tower, support structure and foun- Piles/Foundation
dation. In the following, this interpretation of
CM and SHM will be used. In Sect. 25.3, the
focus is on CM and the corresponding tech-
niques and applications. In Sect. 25.4, SHM for
offshore WT will be focused on. The main
objectives of CM are as follows[20]:
Condition-based maintenance
Fault containment
Remote diagnosis Fig. 25.3 Offshore wind turbine with monitoring rele-
Prognosis. vant sub-systems and sub-structures
Figure 25.3 shows an OWT model and points
out the subsystem components that are relevant the monitoring of the structure (SHM) of a WT is
for CM/SHM. For operators of WT in the offshore of high relevance to detect damages and fatigue
area, the reliability and operability of the systems of these components, because the mechanical
are of highest importance, because failure and structure of a WT is exposed to environmental
maintenance can lead to significant costs, since influences and extreme mechanical loads. Envi-
WTs in the offshore area are subject to severe ronmental influences are as follows:
mechanical and weather-related stresses. Wind
As mentioned very often, CM is related to Water
electrical and mechanical systems like generator, Sun
drive train and rotor blades. Here, vibrations, Salt.
oscillation and imbalances are monitored. In case The following loads acting on a WT:
of the structure of a WT, the nacelle, tower, sup- Mechanical
port structure and the foundation are subject of Corrosion
monitoring. Loads and oscillations of these sub- Degradation
structures have to be monitored for CM purposes. Dynamics (WT, waves, wind).
In Sect. 25.1, the manifold support structures are Therefore, it can be distinguished between
described, and in Sect. 25.2, the expected loads mechanical, corrosive, deteriorating and dynam-
are described. From that it can be concluded that ical loads, which have negative influences on the
512
Table 25.1 Failures of a Component in WT
WT
Rotor
Bearing, shaft
Gear box
Generator
Structure (nacelle, tower,
support structure)
structural integrity of a WT. The technical reli-
ability of WTs and components over 20 years is
expected, but credible statements cannot be made,
since no WT has reached their lifetime.
The requirements for the implementation of a
condition monitoring system (CMS) in accor-
dance with the Germanischer Lloyd [21] include
the measurement of oscillation and structure-
borne sound of power train components, such as
gear wheels or bearings of the generator and of
the tower. These measurements will be com-
bined with acquired operational parameters like
power, rotational speed or temperatures of oil or
bearings which yields the basis for the CMS.
In the literature [20, 2224], the evaluation of
CM is often introduced by comprehensive failure
analysis, based on several studies published in dif-
ferent countries. Table 25.1 shows typical failures
of WT that are mainly mentioned in these studies.
As mentioned, WTs are normally constructed
for an operation within 20 years of lifetime, so
failures have to be detected early enough to prevent
secondary failures for other system components.
There are technical or operation/maintenance rea-
sons for damages in WTs. Failure cannot fully be
avoided, but losses due to sudden faults/damages
can be minimized using installed CMS.
CMS plays an important role in condition-
based and reliability-centred maintenance [23
25], which can be more beneficial than correc-
tive and preventive maintenance. Moreover,
CMS can help to detect critical external condi-
tions, such as icing or environmental-induced
vibrations of the offshore plants and can trigger
appropriate control actions to prevent damage of
plants components in the sense of load-reduced
operation. In this way, overall maintenance costs
and downtime of WTs can be significantly
C. Kupferschmidt et al.
Possible Failure
Icing, imbalance, impending and fatigue cracks,
delamination, pitch offset
Bearing failure, fatigue cracks of shaft
Tooth failures, tooth wear
Overheating, electrical failure
Fatigue, resonance, cracks
reduced. In the literature [23, 24], an compre-
hensive object model shown in Fig. 25.4 for
CMS is widely accepted, which gives the basis
signal flow for CM techniques (time and pulse
signals, signal processing, evaluation). CMS can
be associated with selected components or the
whole WT. Selected components are for
example:
Electrical system,
Yaw system,
Pitch system,
Hydraulic system,
Generator,
Rotor blades,
Gearbox.
For each component, a specific CMS (col-
lection of tools, techniques) and a specific sen-
sor/measurement set-up are used to provide the
information necessary to assess the actual state
of the system and its components and are
therefore a basis for planning and implementing
condition-based maintenance. Details will be
explained in following subsections.
25.3.1 CM Techniques for WT
Failures can be detected at an earlier stage, so
damages can be less and the repair will be less
expensive. Offshore WTs, however, will benefit
the most from the fact that with early failure
detection, repairs can be better planned. This will
lead to shorter downtimes and less revenue losses.
The following CM techniques represent the state
of the art in the context of WTs [2426].
Standard techniques:
Vibration analysis (focus on rotating compo-
nents like bearings, wheels)
25 Offshore Wind Structures 513

signal processing,
evaluation,
generation of
diagnosis
time, pulse signals characteristic values

alarm (adap.
vibration (generator characteristic values
Limits, learning,
bearing, gearbox) (BCU, RMS, Crest)
trend analysis)

rotational speed mean values, reference (learned

(rotor, generator) classification characteristic)
(power
charactersistic)

electrical
power
phase sensitive
alarm (dev. from
narrowband
learned charact.)
analysis (ampl.,
wind speed phase)
(anemometer)

narrowband alarm (adap.

analysis (tower Limits, learning,
tower oscillation
bending, eigenfre - trend analysis,
(axial, transversal)
quency) fuzzy logic
operation)

alarm (adap.
limits, learning,
trend analysis)

Fig. 25.4 Comprehensive object model for CMS

CM is based on different sensors (position, Acoustic monitoring

velocity, accelerometer, spectral emitted
energy) specified for different frequencies
(low, middle, high, very high)
Application of this CM concept for shafts,
bearings, gearbox, etc.
Strain measurements
Sensors are based on electrical or fibre optic
Very common to measure strains at the WT
structure
Offshore reliability of sensors can only be
guaranteed when sufficient application mate-
rials and techniques (glue, coverage) are
available ? offshore reliable sensor and
measurement technique is still a research topic
Structural monitoring for lifetime predic-
tion, life cycle management
Sensors listen to components [for example,
surface acoustic waves, acoustic emission (AE)]
There are passive (sounds are produced by
the component itself) & active (sounds are
forced externally) techniques available
A problem of acoustic monitoring is the
high sampling frequencies
Electrical influences
Based on monitoring the electrical machines,
generators
Failures in the mechanical drive train can
be detected at the electrical terminals of the
machine
Material conditions
Monitoring of material faults as fatigue,
crack detection and growth
514
There exist online and offline monitoring
techniques that are acoustic or optical
Thermography
Failure detection of electric/electronic
components and associated overheating
Dynamic thermography for quantitative
measurements for CFRP/GFRP (carbon/
glass fibrereinforced plastics) material and
component characterization, mainly used
for rotor blade test
Not used for online monitoring
Advanced, non-standard techniques:
Oil analysis (oil quality, characterization of parts)
CM is based on sensors that detect particles,
abnormalities of the chemical composition
Parameters that can be monitored are tem-
perature, operation time, transmission, per-
mittivity, conductivity and relative humidity
Corrosion monitoring
Monitoring of all critical components of a
WT that are subject to corrosion
Identification of the location, rate and
underlying causes of corrosion
Monitoring techniques: Corrosion coupons
(weight loss measurements), electrical resis-
tance (ER), linear polarization resistance
(LPR), galvanic (ZRA), hydrogen penetration,
microbial, sand/erosion
Additional signals available from WT control
system:
Process parameters
Used for safeguarding the WT
Comparison of parameters with predefined
levels
Performance monitoring
Used for safeguarding the WT
Analysis of performance parameters like
power, pitch angles, wind speed, rotor
speed.
The motivation to implement CM techniques
is the rate of return of the provisions determined
by the investment costs, the relevant failure
characteristics, the cost savings of maintenance
and damage and the reduction in production loss
[25]. For offshore wind application, the cost
savings due to reduction in corrective mainte-
nance will be the most important factor.
C. Kupferschmidt et al.
25.3.2 CM Applications in Subsystems
for WT
The following applications show the usage of
CM in subsystems of WT [20, 23]:
Rotor blades
Based on the electrical/fibre optic sensors,
blade strains are monitored in the blade root for
lifetime prediction. Additionally, cracks and
structural failures can be detected with vibration
sensitive piezo-acoustic sensors that use acoustic
waves in the blade. In this case, acoustic emis-
sion can be used to detect failures in the blade.
Pitch mechanism
WTs have pitch control for each blade. The
deviation between the desired and the actual
pitch angle can be used together with measure-
ment/time measurement and for trend analysis
that is based on parameter estimation.
Nacelle
CM for gearboxes is widely used and also for
WTs of high interest, because failures of compo-
nents here have been observed very often in an early
stage, so service and replacement can be planned in
advance to reduce costs for longer downtime.
CM techniques for gearboxes are as follows:
Vibration analysis based on different sensors
(displacement, acceleration, AE)
Torque measurement (slow/fast shaft)
Acoustic emission
Oil analysis
Generator
The generator bearing can be monitored using
vibration analysis techniques, similar to the
gearbox. Also, temperature monitoring of the
rotor and stator windings is useful to find failures
here. Due to the changing loads, trend analysis
based on parameter estimation techniques will be
necessary for early detection of failures.
Hydraulic system
Monitoring of the hydraulic system especially for
the pitch system is very important. Sensors measure
the pressure and temperature to detect failures. Also,
oil monitoring for the hydraulic system is used.
Yaw system
Condition monitoring for the yaw system is dif-
ficult because of a non-continuous usage. The
25 Offshore Wind Structures
system is only operating during a longer start-up
period and during re-twisting. However, the opera-
tional conditions during these actions are certainly
not representative. The loads are relatively low,
because the turbine is not in the normal operation
mode.
Tower
The detection of cracks and the measurement of
oscillations of the tower are part of monitoring task.
Sensors are placed on the tower head to measure
strains and oscillations. On the tower root, mainly
strains are important due to high stresses coming
from the bearing WT structure.
Support Structure
Mainly, hot spots of beams or nodes of the
support structure are monitored by sensors to
measure fatigue. In case of the tripod structure
(Sect. 25.3.3), the welded/bolted joints are crit-
ical for fatigue. Partly, oscillations on the
surface of the structures are of interest. Biolog-
ical-induced corrosion will be a future topic for
monitoring.
Foundation
The interaction between the foundation and
the sea ground is a future topic for monitoring.
But also corrosion (i.e. microbiological induced)
will be a future topic for monitoring. In case of
gravity-based foundations, inclination and drift
are subject of monitoring.
In the following subsection, CM for the WT
is described more in detail and the associated
algorithms are given together with references to
the literature.
25.3.3 CM Algorithms for WT
For the development and implementation of algo-
rithms for CM, the following information is impor-
tant: characteristics of the WT, known failure data,
most critical WT components with most downtime
and the components which are more prone to the
initiation of crack, wear, misalignment, etc.
At first, a decision has to be made, which
components will be monitored and which param-
eters will be monitored to sense any abnormality
and then initiation of warning signal. When
selecting the parameters that are used for CM, the
manufacturers recommendations should be
515
considered properly. In the following, some algo-
rithms for CM will be presented:
Global CMS
Global systems for CM utilize advanced signal
analysis of control signals from the WT together
with sensor signals from subsystems (gearbox,
pitch mechanism, etc.). The correlation between
WT signals (available via various bus systems like
Modbus, CAN, Fieldbus etc.) and signals from
sensors connected with the structure and compo-
nents of the WT enables the application of more
advanced methods of signal analysis that are
focused on trends of representative signals, com-
bination of signals and detection of significant
changes in turbine behaviour. In the literature, the
following global CM techniques are known [25]:
Power engineeringbased algorithm
Substitution of the WT components with
analogous to electronics parts
Windmill replaced by a thyristor-driven
DC, torque-controlled motor
Mechanical braking by switching off DC motor
Rotational speed of motor shaft, the active
power produced/consumed by the generator
measured
System microprocessor controlled, control
algorithms can be developed
Online contamination monitoring
Measuring ferromagnetic debris, indicative
of wear particles from rolling or rubbing
Measuring cleanliness of fluids based on laser
light source to count the particles, systems can
detect particle size and quantity and convert
these into a standard metric for cleanliness
These techniques can be used for fluid moni-
toring and status monitoring of the whole WT
Subsystem CMS
CMS for subsystems or single WT components
is focused on the single system component of a WT
[27]. The implementation of CM on the subsystem
level has improved the reliability and increased the
production of power by offsetting the initial cost
being spent on its installation. In the following, a
short overview about subsystem CM is given.
Rotor blades
Due to the facts that blades become more and
more bigger, heavier and WTs should survive
more than 108 stress cycles in 20 years of
516 C. Kupferschmidt et al.

lifetime, fatigue of the rotor blades is a critical statistics of measurements based on time series are
point. The main problems here are rotor imbal- calculated (e.g. min./max. values,) and trend anal-
ance, aerodynamic imbalance, icing (roughness), ysis is applied to determine the machine condition.
surface roughness, impact (causes mechanical More advanced methods calculate the spectrum
faults like delamination) [26]. (FFT, Wavelet) to monitor frequencies that corre-
In the following algorithms are given that are spond to periodic excitations caused by specific
popular for the rotor blade monitoring [20, 28]: faults. Spectral analysis is based on the overall
Monitoring of power characteristic of the WT spectral energy that is given by the power spectral
Spectral analysis and order analysis (FFT- density (PSD) of vibration/acceleration sensor
based analysis of the nacelle oscillation) signals. The main known algorithms are as follows:
Strain monitoringbased algorithm (enables Gearbox algorithms based on
continuous load monitoring) Spectral analysis
Optical fibresbased algorithm Cepstrum analysis
AE based on pattern recognition Gearbox and bearings algorithms based on
AE based on continuous sensing Spectral analysis
Structural neural systems Envelope curve analysis
Vibration/stress wave Electrical system (generator) algorithms based on
Pitch mechanism Time-domain analysis
Pitch systems consists usually of servomotors
with independent pitch control systems. The 25.4 Structural Health Monitoring
monitoring is focused on current measurement/ of WT
time measurement and difference in pitch angle
differences. Model-based approach is adopted SHM refers to sensors, instrumentation and
for CMS of this system because this approach is methods for in situ monitoring of the integrity of
suitable for non-stationary components. mechanical critical structural components of a
Trend analysis is a rising topic for CMS of WT. The structure of a WT is exposed to
pitch systems [29] as, for example
Trend analysis (process residual based)
Trend analysis (model parameters based)
Trend analysis is often referred to techniques for
extracting an underlying pattern of certain signal
behaviour in a time series which would otherwise
be partly or nearly completely hidden by noise. The
literature refers also to correlation techniques of the
electrical power generation and other WT signals as
well as pattern recognition and feature extraction.
Drive train
In the drive train of WTs, all rotating compo-
nents like shafts, couplings, bearings, gearbox,
generator and brakes are contained. Gearbox and
generator are the most costly and least reliable
components in WTs [29, 30]. Problems with gears
and bearings can be characterized by changes in the
vibration behaviour and in the strength of vibration,
but also in the number and total mass of particles in
the gearbox oil (see also Sects. 25.3.1 and 25.3.2).
Monitoring systems for drive train are based on Fig. 25.5 Support structure and tower equipped with
vibration measurements. In many cases, the sensors for SHM
25 Offshore Wind Structures
Fig. 25.6 Example for a
FBG sensors
measurement system for
CMS/SHM
Interrogator
(24V)
Blade
Data
Database
(r/w)
Results
Data
Data Proc.
environmental loads in the offshore area such as
wind, water, sun, salt. Additionally, the newest
rotor blades are getting larger ([80 m), the
towers are getting higher ([120 m), and also the
tower head mass is getting higher with more
powerful and larger turbines. Therefore, a fati-
gue monitoring of the foundation, support
structure, tower and nacelle is required. Sensors
are connected to the structure to measure strains,
bending moments, vibrations and temperatures
to reconstruct loads, to enable algorithms for life
cycle management or to support the detection of
fatigue or cracks in the cast nodes or in the steel
structures. As an example, Fig. 25.5 shows a
support structure and a tower equipped with
sensors for SHM.
The measurement system at tower and jacket
consists of the following types of sensors [28]:
Electrical strain gauges (linear and rosette);
alternative: fibre optical sensors
Acceleration sensors
Inclinometer
Temperature sensors.
The rotor blade monitoring is based on fibre
optical sensors. The sensor signals are recorded
by different measurement systems and are saved
in databases. Figure 25.6 shows a measurement
system that consists of electrical and fibre opti-
cal sensors. Additionally, the environmental
conditions are recorded as wind speed, wind
direction, wave direction and wave height by
using wind speed anemometer or special met
mats or measurement buoys.
517
Nacelle
Slip ring
Optical Fiber
TCP-IP
Turbine
Controller Modbus/
TCP
Cable
TCP
GND Switch
Strain Gauges,
PT100
DAQ-
System
(24/230 V)
For the later evaluation of data and for the
correlation of load data with environmental con-
ditions, the data must be recorded in time syn-
chronous mode. Therefore, the data signals are
provided with time stamps. To allow prognostic
forecasting, the data from the various sensors must
be combined with databases of material properties,
service history, models of damage progression and
forecast of future service conditions.
Compared to different types of sensors for in
situ systems, such as strain or vibration gauges
which passively record data, the ultrasonic
approach is an active method in which each sensor
can function as both actuator and receiver [20,
21]. Furthermore, ultrasonic SHM techniques
offer a significant advantage over conventional
ultrasonic non-destructive evaluation (NDE)
techniques in which the sensors are permanently
mounted, thus avoiding lack of reproducibility of
measurements due to variations in transducers
and coupling conditions. Recorded signals are
repeatable, permitting the application of differ-
ential time-domain analysis methods.
References
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(2009)
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3. van der Tempel, J.: Offshore-WindTo Mill or To Be
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report WP4.2 Support Structure Concepts for Deep
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7b8e181e5263
9. van der Tempel, J.: Design of support structures for
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UD/MenC/Support/Internet/TU_Website/TU_Delft
_portal/Onderzoek/Kenniscentra/Kenniscentra/
DUWIND/Dissertations/doc/JvdT_final.pdf
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Engineering, vol. 1. Elsevier, Amsterdam (2005)
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Structures, vol. 1. Springer, London (1992)
13. Pierson Jr., W.J., Moskowitz L.: A proposed spectral
form for fully developed wind seas based on the
similarity theory of s. a. kitaigorodskii. J. Geophys. Res.
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14. Hasselmann, K., Barnett, T., Bouws, E., Carlson, H.,
Cartwright, D., Enke, K., Ewing, J., Gienapp, H.,
Hasselmann, D., Kruseman, P., Meerburg, A.,
Mller, P., Olbers, D., Richter, K., Sell, W.,
Walden, H.: Measurements of wind-wave growth
and swell decay during the joint north sea wave
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uuid%3Af204e188-13b9-49d8-a6dc-4fb7c20562fc
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S.A.: The force exerted by surface wave on piles.
Petrol. Trans. 189, 149154 (1950)
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C. Kupferschmidt et al.
Technology and Deployment. Final Technical Report
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Laboratory (2010). http://www.ieawind.org/-Annex
XXIIISecure/23_FinalReports/Subtask2_Final_
Report.pdf. Prepared under Task No. WE10.1211
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(2011). http://lccn.loc.gov/2010053397
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wind turbine aerodynamics. J. Fluids Eng. 133(11),
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011114001000001&idtype=cvips&gifs=yes&ref=no
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we.97. http://onlinelibrary.wiley.com/doi/10.1002/we.
97/abstract
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Song, C.K.: Condition monitoring and fault detection
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of Offshore Wind Parks (OMO), ERANET-Project
AERTOs (ERANET 2007.1), November 2011
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B., Turri, S.: A brief status on condition monitoring and
fault diagnosis in wind energy conversion systems.
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pp. 17, 2426 June 2009
 Railway Systems
L. Quiroga and E. Schnieder
Diagnosis of Railway Track
Condition
L. Quiroga and E. Schnieder
Travelling safely and comfortably on high speed
railway lines requires excellent conditions of the
whole railway infrastructure in general and of
the railway track geometry in particular.
Since the maintenance process required to
achieve such excellent conditions is largely
complex and expensive, it demands an increased
amount of both human and technical resources.
As depicted in Fig. 26.1.1, the most relevant
track faults can be divided into those concerning
the track geometry and those concerning the rail
L. Quiroga  E. Schnieder (&)
TU Braunschweig, Inst. f. Verkehrssicherheit u.
Automatisierungstechnik, Langer Kamp 8, 38106,
Braunschweig, Germany
e-mail: e.schnieder@tu-bs.de
L. Quiroga
e-mail: quiroga@iva.ing.tu-bs.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_26,  Springer-Verlag Berlin Heidelberg 2013
26
26.1
surface. These are both measured by means of a
special measuring coach. Geometry faults are
prevented and corrected by means of tamping,
rail surface faults by means of grinding.
Safety and comfort are not affected directly
by the rail surface quality but rather by the track
geometry. However, the rail surface quality has
a major impact on the degradation rate of the
track geometry and ultimately on its expected
useful life. In this framework, choosing the right
maintenance strategy is a very important issue.
A reliable diagnosis of the railway geometry
ageing process is indispensable for an optimised
planning and scheduling of maintenance
activities.
After this short introduction, in Sect. 26.1.1
the main features of track geometry and its
ageing process are stated. Section 26.1.2
presents the measuring coaches used to measure
519
520 L. Quiroga and E. Schnieder

the track geometry deviations in France.
Section 26.1.3 describes the maintenance activ-
ities most relevant to the track geometry, namely
tamping and grinding. Then Sect. 26.1.4 gives
an insight on the role of track condition diag-
nosis within the track geometry maintenance
process. In Sect. 26.1.5 track geometry degra-
dation and restoration models are described.
These models are the basis for the diagnosis
method introduced in Sect. 26.1.6. Finally Sect.
26.1.7 presents some concluding remarks.
26.1.1 Features of the Railway Track
Geometry
Upon the forces arising when a train moves on a
railway, the track reacts with geometrical devi-
ations on the rail surface Lichtenberger [1].
According to EN 13848-5 (EN13848-5), the
most relevant parameters of track geometry are
the following:
Cross level (see Fig. 26.1.2a)
Alignment (see Fig. 26.1.2b)
Longitudinal levelling (see Fig. 26.1.2c)
Twist (see Fig. 26.1.2d)
Gauge.
For each of these parameters, EN 13848-5
defines three different alarm limits:
Attention limit: the track geometry must be
inspected regularly.
Intervention limit: if this level is trespassed, a
corrective intervention is necessary in the
short term, to prevent the deviation to trespass
the safety level before the next inspection.
Safety limit: a corrective intervention is strictly
necessary. Until it takes place, the operational
speed must accordingly be reduced.
26.1.2 The French Track Geometry
Measurement Coach Mauzin
The French national railway operator SNCF
measures the geometrical characteristics of its
network by means of special measuring coaches
called Mauzin synthtique. Each of these coa-
ches is equipped with several measurement
systems, all of them concerning the track
geometry. The inspection frequency may vary
between 3 months and 2 weeks, depending on
the traffic density and the operational speed. On
high speed TGV lines, measurement runs take
place every 2 weeks, and are made with a new
generation of measuring coaches, called IRIS
320 (see Fig. 26.1.3), which is capable of mea-
suring the track geometry condition at a speed of
up to 320 km/h.

Track faults
prevents prevents
and/or and/or
corrects Geometry Rail surface corrects
Tamping Grinding
faults faults

Cross level Rail surface

faults
Alignment
Corrugation
Longitudinal
levelling
Long and
short waves
Twist

Gauge

Fig. 26.1.1 Class diagram of the most relevant track fault types
26 Railway Systems
(a)
(c)
Fig. 26.1.2 Parameters of the track geometry [31]. a Cross level, b Alignment, c Longitudinal levelling, d Twist
Fig. 26.1.3 French high speed track geometry measurement coach IRIS 320 [2]
Figure 26.1.4 illustrates the data acquisition,
processing and recording procedure. Next it is
explained briefly on the basis of the full proce-
dure description given in Meier-Hirmer [2].
The mechanical sensors mounted in the
wheels and axles of the measuring coaches
generate seven continuous signals that reflect
the movement of the wheels and axles during
the coach run. These signals are recorded
directly on paper tape, as well as converted
into electrical signals. The electrical signals
are recorded in magnetic tapes, and processed
by the synthetic processing system (Systme du
Traitement Synthtique, STS). The latter fulfils
two functions: it detects every signal tres-
passing the preset limit values (these depend
521
(b)
(d)
on the track type and operational speed), and
saves the mean values and standard deviations
of all measurements for every 50 m long track
sector.
Finally, the Mauzin synthtique system uses
the values of the seven signals recorded by the
STS to obtain the track geometry features listed in
Sect. 26.1.1 for two different sector lengths:
200 m and 1 km. This data can then be visualised
in the form of time series by means of the main-
tenance planning support software tool TIMON 2.
The measurement of the track alignment,
longitudinal levelling and twist depends sub-
stantially on the length of the track segment used
as reference, i.e. the chord length. The mechan-
ical sensors of the Mauzin car uses a chord length
522
of 10 m for the alignment, 12.2 m for the lon-
gitudinal levelling and 2.75 m for the twist.
Besides the mechanical sensors, the Mauzin car
is also equipped with electrical sensors mounted
in the middle of the boogies. These also measure
the longitudinal levelling and the alignment,
however, with 30 and 33 m chord length. These
measurements are also included in the database of
Mauzin synthtique and recorded in paper tape.
26.1.3 Track Maintenance
Interventions
This section describes the maintenance activities
most relevant to the track geometry, namely
tamping and grinding, as well as provides typi-
cal ranges for their most relevant features.
26.1.3.1 Tamping
Tamping interventions bring back the track to its
original geometrical position by means of
vibration and compaction of the ballast corns
under the sleepers [3]. As shown in Fig. 26.1.5,
this intervention is performed by tamping
machines. Modern tamping machines can be
classified into the following two types:
Tamping on relative base: the track is brought
back to its right position related to the axles of
the tamping machine. These machines are
slower (typically 500 m per hour) and typi-
cally used for tamping shorter track sectors,
(usually less than 1 km), and in general for
corrective, non planned interventions.
Tamping on absolute base: the track is
brought back to its absolute optimal position,
which implies a better track geometry quality.
These are bigger, faster machines (typically
1400 m per hour) and are typically used for all
preventive (planned) interventions longer than
1 km.
The typical periodicity of tamping on tracks
with high demand amounts between four and
five years.
26.1.3.2 Grinding
Grinding has no direct effect on the railway
geometry, since it concerns the railway surface.
In spite of that, [3] asserts that the benefits of
L. Quiroga and E. Schnieder
grinding are twofold: on the one hand, the life
cycle of the rails can be significantly extended
and, on the other hand, it can lead to an increase
in the range of 30 to 50 % of the time between
tamping interventions. Grinding can be per-
formed at a much higher speed than tamping. In
fact, modern high speed grinding machines can
reach up to 100 km/h grinding speed. The typi-
cal periodicity of grinding on tracks with high
demand amounts to between one and 3 years.
In [4] the economical convenience of grind-
ing is investigated and confirmed basing on the
long standing experience gathered by the French
operator SNCF. The global maintenance cost
savings achievable by means of grinding are
found to be particularly high at high speed
tracks, in which case they amount to nearly
30 %.
26.1.4 The Role of Track Condition
Diagnosis Within the Track
Geometry Maintenance Process
Figure 26.1.6 shows a simplified scheme of the
maintenance process of the railway track in
the form of a predictive control loop where the
maintenance actions planning, i.e. deciding what
interventions are needed, and scheduling, i.e.
deciding when these interventions will take
place, is made on the basis of track condition
diagnosis.
The maximal tolerable track geometry devi-
ation (in Fig. 26.1.4 target condition) is that one
stated in EN 13848-5 (EN13848-5) for the
desired operational speed.
The current geometry deviation, i.e. the cur-
rent condition in Fig. 26.1.6, is measured out by
means of dedicated coaches like Mauzin (see
Sects. 26.1.2 and 26.1.3). Considering this, a
track geometry fault is defined as any of the
track geometry parameters having a current
deviation greater than the defined safety limit
(see Sect. 26.2.1).
Since measurement runs take place regularly,
for each track sector time series of geometry
measurements like the one of Fig. 26.1.7 are
obtained.
26 Railway Systems 523

Mechanical Electrical Signal Threshold

sensors signals processing tresspassing

Paper tape Magnetic Mean values and

tape standard deviations
every 50 mts

Digital recording

Mean values and

Electrical standard deviations
sensors for 200 m and 1 km
track sectors

Paper tape
Time series
visualisation and
analysis

Fig. 26.1.4 Schematic description of the French track geometry measurement, processing and recording system
Mauzin [2]

(a) (b)

Optimal position Optimal position = levelling after tamping

Levelling before Levelling before

tamping tamping
Front axle
Levelling after
tamping Rear axle

Fig. 26.1.5 Tamping on relative (a) and absolute (b) base [2]

Fig. 26.1.6 The railway Noise - Disturbance

track maintenance process
Track load
modelled as a closed
control loop Controller Actuators Plant
Track sector
Renewal 1
Track sector
Target + Interventions 2
Grinding
condition Planning
-
Track sector
Tamping
n
Temporal and
Spacial planing

Diagnosis Current Sample rate

Condition condition(t0) TMeas
(t0 + l) Forecasting Measurements
524 L. Quiroga and E. Schnieder

Figure 26.1.7 shows the measurements of the
longitudinal levelling (in French Nivellement
Longitudinal, NL) for a 1 km track sector for the
last 20 years. The NL parameter is the mean
value of the standard deviation of the longitudi-
nal levelling deviation of rails respect to the ideal
position, and it is considered representative of
the general railway geometry deterioration [5].
Due to confidentiality reasons, the measurement
units are not shown. By default, the deterioration
grade increases with time, reflecting the track
geometry deterioration. Degradation decrements
take place only when some maintenance inter-
vention is performed. In Fig. 26.1.7 the mainte-
nance activities most relevant for track geometry
are included: tamping interventions. In the figure,
the bar heights represent the fraction of the rail-
way sector affected by the maintenance activity.
Tamping has a visually obvious effect, yielding a
sudden drop in NL.
Basing on this data and by means of an
ageing process model and a forecasting algo-
rithm, a diagnosis can be obtained. On its basis
the maintenance requirements within the fore-
casting time horizon are estimated.
In this framework, an accurate diagnosis of the
track geometry condition is of crucial importance
since maintenance interventions need to be plan-
ned up to 3 years in advance, mainly in order to
facilitate necessary the timetable modifications.
Furthermore, a defective or too delayed track
geometry fault diagnosis may lead to travelling
speed restrictions and even derailments.
26.1.5 Process Model
In this section the implemented hybrid track
geometry ageing and restoration process model
is described. Ageing is caused by trains that
travel on the track, whilst restoration is achieved
by performing tamping interventions.
26.1.5.1 Restoration Model
In contrast to the deterioration process, restora-
tion process models are not numerous.
We consider the non linear model proposed
by Miwa [6], described by Eq. 26.1.1
NLt1  NLt b0  NLt b1 26:1:1

100%
Meas. Values
Tamping
90% Interp. Meas
Grinding

80%

70%
Geometry Degradation [100%]

60%

50%

40%

30%

20%

10%

0%
1988 1990 1992 1994 1996 1998 2000 2002 2004 2006 2008
Time [Years]

Fig. 26.1.7 Course of longitudinal levelling degradation for a railroad sector

26 Railway Systems
In order to be able to apply this model on real
cases, where sometimes track sectors are only
partially restored (tamping is applied on only a
fraction of the sector), we let ut be as defined in
Eq. 26.1.2, i.e. a signal with value 0 when no
tamping takes place, and a value between 0 and
1 when tamping takes place in the sector,
according to the fraction of the sector tamped.
length of tamped track at time t
ut 26:1:2
total sector length
Then Eq. 26.1.3 is used to forecast NL after
tamping.
NLt1 b0 NLt ut b1 ut NLt 26:1:3 latter is then regarded as the dependant variable
26.1.5.2 Deterioration Model
In [6] a double exponential smoothing based
approach is proposed for modelling railway
track geometry deterioration. Exponential
smoothing is widely used for forecasting time
series in the field of econometrics, and was
developed by Brown [7]. Double exponential
smoothing assumes an only locally constant
linear model of first order (locally constant linear
trend), thus giving more weight to recent
observations. At time n the parameters b0;n and
b1;n are determined by minimizing the functional
of expression 26.1.4.
X
n1
x j znj  b0;n  b1;n j2 26:1:4
j0
The constant x with jxj\1 is a discount factor
that discounts past observations exponentially.
^ l
At time n the l-step ahead forecasts Zn
are calculated using Eq. 26.1.5.
Zn ^ b
^ l b ^ l 26:1:5
0;n 1;n
26.1.6 Track Geometry Diagnosis
Forecasting Method
The railway track geometry deterioration process
has been deeply investigated in the last 30 years.
As stated in Sadeghi and Askarinejad [8], there
525
are two main types of approaches: the engineer-
ing approach and the statistical approach.
The engineering approach aims to asses the
mechanical properties of track degradation,
providing a good understanding of how track
responds to vehicle loading. In general, technical
references agree that degradation depends on
traffic intensity, travelling speed and axle load.
Most of them aim at finding an equation
describing deterioration rate as a function of
these three variables. For an overview of the
different formulas proposed see [9]. On the other
hand, the statistical approach aims at analysing
observations of actual geometry deviations. The
and the explanatory variables can be for example
accumulated axle load or simply time. The aim
of this model is not to define degradation rate as
a function of known variables, but to forecast
degradation at l steps in time, assuming that all
other variables affecting degradation remain
unchanged. This is in general a valid assumption
for the aimed forecasting periods, namely up to
3 years. Therefore, this approach belongs to the
statistical approach.
We consider a discretecontinuous, i.e. hybrid
deterioration model. This model has been devel-
oped at the Institute for Traffic Safety and Auto-
mation Engineering of the Technische Universitt
Braunschweig. For a complete model analysis and
its comparison with other benchmark approaches,
see [10]. In Fig. 26.1.8 an example of its perfor-
mance is presented.
By observing track geometry degradation
curves like the one of Fig. 26.1.7, some remarks
can be asserted:
The gradient of the curve (degradation speed)
between two tamping activities remains con-
stant or at least locally constant.
The gradient of the curve very often changes
abruptly after tamping.
Lunze [11] argues that state jumps are the
basic hybrid phenomenon that cannot be repre-
sented and analysed by methods elaborated
either in continuous or discrete systems the-
ory Having said this, we propose a hybrid
model considering tamping activities as state
jumps. For modelling the degradation process,
526 L. Quiroga and E. Schnieder

Fig. 26.1.8 Measured 100%

Tamping
data, tamping interventions Interp. Meas
and 1 year-ahead Hybrid Model
forecasting obtained using
the hybrid process model 80%

GeometryDegradation [%]
60%

40%

20%

0%
1985 1990 1995 2000 2005 2010
Time[Years]

double exponential smoothing is used. However, holds, where mi is the last measured value
after each tamping activity, the measurements and ti its associated time, and go to step 6,
before tamping are forgotten, and a new set of else go to step 4.
parameters is identified. This leads to a model 4. Take b ^ INIT b1 and b ^
1;n 0;n such that
adapting itself very quickly after each tamping, ^ ^
mi b b ti holds.
0;n 1;n
and very slowly between tamping interventions.
^ l b
5. Calculate Zn ^ b ^ l as the fore-
The algorithm for obtaining the l-step forecast 0;n 1;n
^ l at time n can be described as follows:
Zn cast at l steps
1. Let M = {m0, , mn} be all available mea- 6. If a tamping activity is planned within the next
surements since the last tamping activity and l steps, i.e. at step n ? k, with k \ l, then
T = {t0, , tn} their associated times, ^ l by subtracting to it
update the forecast Zn
excluding those that are too near tamping the expected tamping effect given by DNL
activities, i.e. excluding all measurements ^ k  NL AFTER TAMPINGut
Zn
mi : jti  tnt j\SETTLING TIME, where mi The algorithm uses a series of parameters, for
is a given measurement, ti its associated time which an explanation is next given.
and tnt is the time of the tamping activity SETTLING_TIME: In approximately the first
nearest to that measurement. 2 months after and/or before tamping takes
2. If size(M) [ MIN_CYCLE_SIZE then apply place, the behaviour of the track geometry can
double exponential smoothing with smoothing be strongly non linear [3], so the measurements
coefficient OMEGA to find the estimations taking place in this lapse are discarded.
^ and b
b ^ ; and go to step 5, else go to step 3. MIN_CYCLE_SIZE: In order to perform a
0;n 1;n
3. If the current tamping cycle is not the first linear regression with a reasonable confidence, a
^ from the minimal number of samples is required. In this
one then take the estimations b 1;n
case we take MIN_CYCLE_SIZE = 5.
tamping cycle immediately before the current
OMEGA: As shown in Eq. 26.1.4, double
^ ^ ^
one, and b 0;n such that mi b0;n b1;n ti exponential smoothing uses a smoothing constant
26 Railway Systems
x to give more weight to recent observations.
Brown [7] x recommends choosing x such that
0.84 \ x \ 0.97. In our work we take x = 0.95.
INIT_b0 and INIT_b1: When there are lesser
than MIN_CYCLE_SIZE samples since the last
^ is taken
tamping available, the line gradient b
1;n
from the last tamping cycle (we call tamping
cycle the time between two consecutive tamping
^ is taken such that the
interventions) and b 0;n
curve determined by b ^ and b ^ contains the
0;n 1;n
last measurement. But if the current tamping
cycle is the first one, the only option left is to
^ : In this work
take an arbitrary initial value b
1;n
we use INIT_b1 = 0.05, i.e. an initial degrada-
tion rate of 0.05 mm/year.
NL_AFTER_TAMPING: this is the typical
value of NL after tamping a complete sector. In
this work its value is set to 0.35.
Figure 26.1.8 shows real measured values on
a French high speed track sector of 1 km and the
1 year-ahead forecasts obtained applying the
hybrid process model. In general, the forecast
errors increase abruptly after each tamping, and
527
after a lapse of approximately one year, the
forecasts converge again to the measured values.
26.1.7 Conclusions and Outlook
In this subchapter the main features of track
condition diagnosis and its current state of the art
have been presented. Furthermore, an innovative
process model for middle and long term diagnosis
forecasting has been described and its perfor-
mance evaluated by means of a real example.
It has become clear that
1. The knowledge on the current track condition
(diagnosis) is crucial for the railway system
ability to fulfil its function, i.e. carrying
passengers and goods safely and reliably.
2. The knowledge on the future development of
the track geometry condition (diagnosis fore-
casting) is a key factor for the efficient and
accurate maintenance intervention planning.
Both these facts become increasingly impor-
tant in the current railway systems scenario of
higher speeds, higher track loads, and aug-
mented need for competitiveness.
 Diagnosis of Railway
Rolling Stock Condition
Andres Schobel, Bastian Biwanger, and Markus Hecht
This chapter gives an overview of diagnosis
used for condition monitoring of railway vehi-
cles. Both ways of inspection are considered
either vehicle-side or wayside systems.
26.2.1 Demand for Automated
Condition Monitoring
of Railway Vehicles
One major advantage of the wheel-rail-system is
the capability to move heavy masses with even
high velocities but at low rolling resistance.
Hence result huge kinetic energies with the
potential of great impact and damage in case of
accidents.
Thus it is very important to monitor the
technical condition of railway vehicles in order
to identify critical defects as soon as possible.
As staff along the railway lines is more and
more reduced and operational control is cen-
tralized, the traditional way of train monitoring
by dispatchers, level- crossing supervisors and
others is no longer available net-wide. This
causes a demand for automated condition mon-
itoring. Also the wear scatters very much from
vehicle to vehicle and so condition monitoring
can improve reliability and reduce inspection
and repair costs.
Basically there are two main principles of
technical condition monitoring: wayside systems
are spread all over the railway nets, as well as
some vehicles are equipped with sensor systems.
Wayside sensor systems are installed at fixed
and predefined locations. They are directly
26.2
linked to a data centre, where the data is clas-
sified. If a dangerous state of a vehicle is
detected by checking of measurement parame-
ters, the train has to be stopped immediately by
operational orders and rules. Vehicle-side
sensor systems are typically installed on loco-
motives and train sets but quite seldom on
wagons. Mostly they are linked and data is
transferred as to the drivers desk as to the repair
facilities. So the driver supervises his train and is
informed if a failure occurs. If the failure is
critical (e.g. close to a derailment), an emer-
gency breaking can be initiated automatically.
Data also can be transmitted by radio to a data
centre. A schematic illustration of both way side
and vehicle side systems and the data transfer
can be seen in Fig. 26.2.1.
As mentioned before, the main focus of
railway condition monitoring today is safety.
But more and more, diagnosis systems are also
used for maintenance purposes [12]. This
enables the repair facilities to prepare the spare
parts before the arrival of the train and to
organize the stay in the workshop in advance.
At the end of this chapter, two examples are
given: The first example shows how condition
monitoring is applied in order to enable a faster
and cheaper maintenance and enhance reliability.
The second example presents a net wide instal-
lation of wayside systems.
First the most dangerous failures, their
impacts and state of the art solutions to prevent
these events are presented. Figure 26.2.2 shows
the simplified structure of a railway vehicle,
528
26 Railway Systems
Fig. 26.2.1 Wayside and vehicle-side diagnosis of a railway vehicle (picture: TU Berlin)
Fig. 26.2.2 Structure of a
railway vehicle (picture:
TU Berlin)
Table 26.2.1 the potential failures of the
subassemblies:
Table 26.2.2 gives an overview of condition
monitoring means for railways which are dis-
cussed in Sects. 26.2.226.2.9 of this chapter.
26.2.2 Derailment
One of the most characteristic attributes of
railway is the track guidance, resulting from the
interaction between the flanged wheel and rail
profiles. If track guidance is lost and the wheel
does not move any longer on the running surface
of the rail a derailment happens. EBA
529
(EisenbahnbundesamtFederal Railway
Authority of Germany) defines a derailment as
follows: A derailment is slipping or lifting of a
railway vehicle off the track, even if rerails
itself, or the two-lane running of a railway
vehicle.
If one of the wagons in the middle or at the
rear of a train derails, it could remain unrec-
ognized by the train driver himself. In this case,
the train can run for a quite long distance, up to
some kilometers, till there is a switch or a
bridge disturbing this derailed run. Thereby a
massive destruction of the infrastructure is
caused.
530 L. Quiroga and E. Schnieder

Table 26.2.1 Subassemblies of a railway vehicle and their failures

Component Critical failure
Wheelset Derailment
Wheel flat
Axle-breakage
Bearing-breakage (hot box)
Bogie Unstable running performance
Running gear Broken springs
Broken dampers
Lost bolts
Braking system Blackout
Broken links
Blocked brake
Wagon body Overloading
Unbalanced loading (left/right and front/rear)
Exceeding of profile limit

Table 26.2.2 Overview of condition monitoring means for railways

Subject Vehicle side solutions Way side solutions
Derailment Mechanical detectors Mechanical detectors with electrical signal
Acceleration control sensors
Bearings Temperature sensors Infrared temperature sensors
Brakes Pressure sensors in brake system Infrared temperature sensors
Wheel/Rail-contact Roundness displacement sensors, Force sensors of wheel/rail interactions
Wheel flat Vertical acceleration sensors
Vehicle profile conformity No sensor available Laser sensors and scanners
Running performance Acceleration sensors Axle load checking system ARGOS
Loading state control No sensor available Axle load checking system ARGOS
Bogie Acceleration sensors Axle load checking attempts

In order to prevent derailments or at least to
reduce their impacts, different systems are
applied:
26.2.2.1 Vehicle-Side Systems
Currently, vehicles can be equipped with two
different solutions for derailment detectors:
26.2.2.2 Mechanical Derailment Detector
Mechanical derailment detection systems are
only used for freight wagons as they dont need
any energy supply. They are constructed as a
mass-spring-valve connected to the braking
system. The valve opens when the implemented
threshold of vertical acceleration is exceeded.
By opening the valve, the pressure of the train
brake pipe is lowered and an emergency break-
ing is initiated [13].
As they do not need any power supply, they
are predestined as application for freight wagons.
Though its a very simple and robust system;
mechanical derailment detectors suffer one
important disadvantage: they only detect
derailments which already occurred but they are
not able to prevent them.
Figure 26.2.3 shows a mechanical derailment
detector type Knorr EDT 101 installed at wagon.
26.2.2.3 Derailment Detection Based
on Acceleration Data
The second way of detecting derailments with a
vehicle-side system is based on the values of the
26 Railway Systems
Fig. 26.2.3 Mechanical derailment detector Knorr EDT
101 (picture: TU Berlin)
vertical acceleration of the monitored wheel.
The vertical acceleration of this wheel is mea-
sured by dedicated sensors and the peak values
are compared to reference patterns [14].
This solution is state-of-the-art on high-speed
passenger trains.
26.2.2.4 Way Side Systems
For the recognition of already derailed axles or
wheels only mechanical devices are applied in
todays railway systems. These systems are typ-
ically destroyed when a derailed axle or wheel is
passing by. During the mechanical destruction of
the device an electric circuit is closed or opened
to transfer the information to an evaluation unit.
The following interaction can be done either
automatically or manually by a dispatcher to stop
the derailed train immediately. Sometimes such
systems are also equipped with a dragging
detection function to monitor couplers which are
touching the sleepers and thereby destroying
switches or equipment of signaling systems [15].
26.2.3 Bearing
Undetected defective axle bearings lead to an over-
heating of the concerned component, loss of strength
and often to an axle-breakage. The consequence of a
broken axle is an immediate derailment [16].
The most common way to prevent overheated
axle bearings is to check the temperature of the
axle box.
More advanced systems attempt to monitor
the bearing vibrations in order to detect bearing
531
faults at an earlier stage and thus prevent over-
heating [17].
26.2.3.1 Vehicle Side
Vehicle-side bearing monitoring systems usually
consist of temperature sensors which detect
violations of given limit values [18]. The sensors
either have direct contact to the outer ring of the
bearing or at least are inside the axle box.
26.2.3.2 Way Side
As long as most of the vehicles are not equipped
with an onboard system to check the temperature
of the axle boxes, it will make sense to check
them either by wayside systems. Typically such
systems are based on infrared sensors which try
to cover by their measurement geometry all
existing types of axle boxes. Future develop-
ments in new materials used for axle boxes will
require different ways of inspection e.g. acoustic
axle bearing monitoring [19].
As Fig. 26.2.4, hot box detection systems are
usually combined with blocked brake and hot
wheel detection systems.
26.2.4 Brakes
Brakes are one of the most important compo-
nents for safe railway runs. If a malfunction of
the brakes happens many kinds of serious acci-
dents can occur: There can be crashes of two
trains if one of them is not able to stop at a signal,
even derailments are likely to happen when the
speed exceeds the given limit in curves.
On the other hand, if one brake is blocked,
there are other risks: The friction between the
brake pads and their friction partner, either brake
disk or wheel surface, heats the components.
This can lead to breaking wheels or axels and as
result, a derailment is determined. The enduring
friction also generates sparks which can cause
fire at the embankment.
26.2.4.1 Vehicle Side
For monitoring the functionality of the braking
system the pressure inside the brake cylinders
are measured. This allows both an automatically
brake test before starting the journey and a
532
Fig. 26.2.4 Wayside hot box and blocked brake detec-
tion system TK99 (picture: BB IKT GmbH)
continuous observation of every single braking
cylinder during the trip. Even the percentage of
brake power (i.e. the braking capacity) can be
calculated by the brake control system.
26.2.4.2 Way Side
In Europe most wayside hot box detection sys-
tems are combined with hot brake and hot wheel
detection systems as they are also based on
infrared sensors. Of course the combination
allows a significant cost reduction for required
infrastructure like a cabinet, power supply and
data transmission devices. Typically freight
vehicles have block brakes and therefore their
braking system is directly using the wheels as
friction partners. In case of a damaged braking
component, the wheel becomes overheated and
therefore might crack later. Passenger vehicles
have typically air brakes and manually operated
handbrakes. In operation they just use the air
brakes via brake discs. Only at shunting yards
the hand brakes are used to fix vehicles. This
leads frequently to alarms when the hand brake
is forgotten to be opened again after shunting
procedures.
26.2.5 Wheel/Rail-Contact, Wheel Flat
During regular inspection at the workshop
wheels of railway vehicles are checked for wear
and damage. Several failures can be seen here:
L. Quiroga and E. Schnieder
Out of roundness wheels, wheel flats, grooves or
pitting in the tread surface.
All these damages lead to a poor rolling
behavior, increased contact forces and higher
noise emission. Also the track guidance might
be reduced which leads to a higher risk of
derailment.
In case of wheel flats there are huge peaks in
the contact force (Q force). Therefore both track
and axle bearing are stressed in a higher level as
usual and the risk for a breakdown is even
higher.
26.2.5.1 Vehicle Side
There are two different methods for vehicle-side
systems monitoring the wheel/rail-contact:
The first method implies sensors measuring
the vertical distance between the rail surface and
the sensor. The sensor signals are correlated to
the rotational speed of the wheel measured by
another sensor. Any signals occurring on the
same rotation angle for each turn indicate an
irregularity in the tread surface [20].
The other method implies sensors measuring
the vertical acceleration of the wheels. The data
also is assigned to the angle of rotation [21]. As
acceleration sensors are used for many other
functions and therefore are already installed at
many vehicles, this method is the most common
one for monitoring the wheel/rail contact.
Figure 26.2.5 shows an accelerometer installed
at an axlebox of a freight wagon.
26.2.5.2 Way Side
This kind of diagnosis systems is covered by so
called Axle Load Checkpoints which are always
measuring the Q forces at wheel rail interaction
of a passing train [22]. Some advanced systems
are also measuring the Y force (lateral guidance
force) to recognize instable run of vehicles and
to calculate the probability for derailments (Y/Q
ratio by NADAL). In this field typically strain
gauges and/or acceleration sensors are applied.
Some systems are just mounted directly on the
rail, others also require their own sleepers
equipped with sensors. Alternatively the bending
of the rail at passing trains can be measured by
lasers [19].
26 Railway Systems
Fig. 26.2.5 Accelerometer at an axlebox for freight
vehicles CargoCBM (picture: TU Berlin)
26.2.6 Vehicle Profile Conformity
The maximum size of railway vehicles is not
defined by constant values for width and height
but dependents on its construction: The longer
the distance between the bogie pivots, the more
deflection of the wagon-body to the curve inside
occurs in curves. The deflection of the wagon-
ends to the curve outside on the other hand
depends on the distance between the bogie pivot
and the buffers.
If the vehicles or any loadings exceed the
limits given by the lauding gauge, there is an
enormous risk of hitting infrastructural elements
or touching trains on the parallel track while ride
through a curve.
26.2.6.1 Vehicle Side
Currently, there is no vehicle side system avail-
able for checking the vehicle profile conformity.
26.2.6.2 Way Side
In this are two different approaches can be
found. First one is only dedicated to measure
that the vehicles are inside the clearance profile
by fixed lasers. Second one is checking the
vehicle profile itself by laser scanners to cover
the form of the vehicle. Both approaches are
applied in railways but for different purposes.
While the first approach can be only applied to
check that vehicles are not touching the clear-
ance profile, the second one allows checking if
533
vehicles and especially their cargo are still fit-
ting in the given vehicle profile [19, 23, 24].
26.2.7 Running Performance
Due to the conical wheel profile, railway vehi-
cles have a specific running performance, called
sinusoidal run. The frequency of this behavior is
dependent on the velocity of the vehicle and the
wheel base in the bogie. If an unstable running
performance occurs, derailment risk rises
dramatically.
26.2.7.1 Vehicle Side
According to [25], high speed trains have to be
equipped with a system monitoring the running
performance of its vehicles and in case of irreg-
ularities showing a signal on the drivers desk.
As requested by TSI [25], these systems
consist of sensors taking the measurement of the
accelerations both of axes and bogies [26]. Also
the thresholds are stated in TSI [25]: instability
characterised by a maintained lateral oscillation
(more than 10 cycles) generating accelerations
of the bogie frame above the centreline of the
wheel set greater than 0.8 g peak value, with a
frequency between 3 and 9 Hz.
26.2.7.2 Way Side
This topic is only covered by highly advanced
Axle Load Checkpoints (e.g. the Austrian sys-
tem called ARGOS).
26.2.8 Loading State Control
The weight of a railway vehicle is limited by it
maximum payload as well as by the permitted
axle load of the used track. If the maximum
payload of a vehicle is overrun, the supporting
components like springs or axles are over-
stretched. The risk of breakage grows and if they
break, a derailment is very probable. If the
permitted axle load of the track is exceeded, the
running train causes damage to track and
superstructure.
Furthermore, freight wagons can be loaded
imbalanced. Thus, the bogies and wheel sets are
disproportionately strained. For the discharged
534
Fig. 26.2.6 Wayside measurement sites of Swiss ZKE Net V2 (picture: SBB)
wheel, the alienable guiding forces decrease
which can lead to a derailment.
26.2.8.1 Vehicle Side
Currently, there is no vehicle side system
available for determining the loading state.
26.2.8.2 Way Side
This feature is typically also covered by the Axle
Load Checkpoints as they are measuring the
Q forces.
26.2.9 Bogie
Bogies carry the wheels of a railway vehicle,
lead the forces between rails and wagon body
and both primary and secondary suspension are
L. Quiroga and E. Schnieder
connected to the bogie frame. Therefore bogies
have a great influence on safety, running per-
formance and comfort of the vehicle.
26.2.9.1 Vehicle Side
The acceleration sensors used for derailment
detection and running performance monitoring
can also be used for the diagnosis of the equip-
ped bogie and its most important parts.
By correlation the accelerations occurring on
the right and left side of the bogie, a diagnosis of
the antirolling device, its dampers, fixations and
consoles is possible [27]. Also the condition
monitoring of the secondary suspension is based
on the measured acceleration.
This enables condition based maintenance of
dampers, consoles and secondary suspension.
26 Railway Systems
26.2.9.2 Way Side
Only advanced Axle Load Checkpoints try to
recalculate the conditions of the boogies but
sometimes it is not possible to do this proper as
there is no direct link between the measured
consequences and the primarily cause.
26.2.10 Overall Inspection Systems
1. Condition based maintenance of ICE-train in
Germany
The German high speed trains ICE are planned
with a very close schedule. In between two
journeys, there are less than two hours of dead
time. The trains are cleaned-up in this short time;
also some small maintenance is executed.
This short time only is enough for work but
not to prepare spare parts and tools or dispose
manpower. Therefore, the workshop needs to be
informed about damages and struggles in
advance.
The solution is called DAVID (Diagnose-
Aufrst- und Vorbereitungsdienst mit Integrier-
ter Displaysteuerung; diagnosis- activation and
preparation system with integrated display con-
trol), a diagnosis system monitoring all compo-
nents of the train [28]. During the journey, all
irregularities are recorded and the driver is
informed by the screen on the drivers desk. At
selected stations about an hour travel time before
the end of the train circuit, data is transferred
from train to the maintenance information sys-
tem and send to the concerned workshop.
DAVID uses all vehicle-side diagnosis systems
as described before and also is connected to the
electrical equipment, doors, toilets and much more.
In addition to DAVID a wayside system
called DAFUR (Diagnose-Anlage fr Unrunde
RderDiagnosis Equipment for unround
wheels) is used for monitoting the outer shape of
the wheels. The data measured by DAFUR also
is transferred into the maintenance information
system [29].
2. ZKE Net V2 of SBB
A fully operational integrated monitoring
approach can be found at Swiss Railways SBB.
At present, they are using more than 100 sensor
535
systems covering safety and maintenance aspects
as well (see Fig. 26.2.6). Typically safety related
aspects are monitored by hot box and hot brake
detection systems. The axle loads are also
checked to recognise unbalanced loading and flat
spots (by the peak of dynamic Q-force). Addi-
tionally the profile and antenna localisation are
for prevention of incidents. Only for mainte-
nance purposes pantographs are monitored and
electrical field of engines is measured [30].
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ISBN 978-3-7771-0426-3 (2011)
L. Quiroga and E. Schnieder
25. (TSI 2008) European Commision (2008), technical
specification for interoperability relating to the rolling
stock sub-system of the trans-European high-speed
rail system, European Document C (2008) 648
26. Guo, Y.: Algorithmen zur On-Board-Diagnose von
Fahrwerksschden an Schienenfahrzeugen,
Dissertation TU Berlin, (2005)
27. Sglitz, M., Geburtig, T.: Anordnung zum Erfassen
der Dmpferkraft eines Schwingungsdmpfers und
Verfahren zum berprfen von
Schwingungsdmpfern, German Patent
DE19935972 (1999)
28. Martinsen, W., Rahn, T.: ICEZug der Zukunft,
Hestra-Verlag, (1991)
29. Deutsche Bahn, A.G.: Der Q-Kraft auf der Spur,
Bahntech 1/06, S.9, Hrsg: Deutsche Bahn AG (2006)
30. Nietlispacher, U., Frey, M.: Consistently networked
WTMS at SBB, Wayside Train Monitoring
SystemsAn actual overview, RTR Special,
Eurailpress DVV Mediagroup, Hamburg, ISBN
978-3-7771-0426-3, (2011)
31. Saussine, G.: Contribution a la modelisation de
granulats tridimesionnels: application au ballast.
Dissertation, Universite Montpellier II, (2004)
32. DIN EN 13848-5: BahnanwendungenOberbau
Qualitt der GleisgeometrieTeil 5: Geometrische
QualittsstufenGleise (2010)
Author Biographies
Dr.-Ing. Lisandro Mariano Quiroga received his Electrical
Engineer degree from the Universidad de Buenos Aires,
Argentina, in 2008 and his Ph.D. degree at the Institute for
Traffic Safety and Automation Engineering of the Techni-
sche Universitt Braunschweig, Germany. His current
research interests fall into the scope of the optimization of
maintenance processes of railway infrastructures, focusing
on maintenance tasks planning and scheduling optimization
and modeling and forecasting of track geometry ageing and
restoration.
Prof. Dr.-Ing. Dr. h. c. mult. Eckehard Schnieder received
his diploma in electrical engineering in 1972 from the
Technische Universitt Braunschweig. He graduated as a
Dr.-Ing. (Ph.D. in Engineering) in 1978. From 1979 until
1989 Dr. Schnieder joined Siemens Division Eisenbahnsig-
naltechnik (now: Rail Automation), where he directed the
German maglev Transrapid operation control systems
design and development. In 1989, Dr. Schnieder became a
full professor and head of the Institute of Traffic Safety and
Automation Engineering, formerly Institute of Control and
Automation Engineering. He directed the first formal mod-
eling of the European Railway Control System (ETCS), the
basic research on satellite assisted railway location systems,
and other German and European projects for dvanced railway
operation control systems. He received in 1998 the Carl-
Adam-Petri-Award of the Society of Design and Process
Science. In 2005 he was awarded the Doctor honoris causa
from Todor Kableshkov University of Transportation, Sofia,
26 Railway Systems
followed by the Dr. h. c. of the Slovakian University Zilina
and the Otto von Guericke University Magdeburg, Germany,
both in 2010, honoring his achievements both in the educa-
tional and the scientific sector.
Privatdozent Dr. Andres Schbel was involved in many
national and international projects regarding the implemen-
tation of wayside train monitoring systems. In 2011 he
received the venia docendi for the discipline railway
operation at the Vienna University of Technology. His
Ph.D. thesis were dedicated to the choice of location of
wayside train monitoring systems in a railway network and
were published in 2005.
Dipl.-Ing. Bastian Biwanger works as assistant researcher
in the group of Prof. Markus Hecht at chair of railway
vehicles, TU Berlin. His field of activity is the development
of a new freight bogie which should be equipped with a
537
diagnostic system to enable preventive maintenance of the
bogie.
Prof. Dr.-Ing. Markus Hecht Studies of vehicle engineering
at university of Stuttgart and RWTH Aachen until 1982,
assistant researcher at RWTH Aachen 19821987, Schwei-
zerische Lokomotiv- und Maschinenfabrik AG, Winterthur,
Head of measurement and control engineering 19881997,
since 1997 professor for railway vehicles at Department of
Land and Sea Transportation Systems of TU Berlin, since
2005 managing director of Department of Land and Sea
Transportation Systems, technical consultant railway engi-
neering of Swiss accreditation body SAS (since 2006) and of
German accreditation body DAKKS (since 2012), assistant
head of research association low noise traffic, innovation
advisor for Swiss Federal Railways SBB.
 Guidelines for Structural Health
Monitoring 27
Werner Daum

This chapter summarizes the state of the art and

current developments of guidelines for structural
27.2 Civil Engineering Structures
health monitoring (SHM) and performance
One leading guideline in the field of SHM of
control. Technical guidelines and standards for
civil engineering structures has been published
condition monitoring and technical diagnostics
by the ISIS CanadaThe Canadian Network of
of rotary machines and for non-destructive
Centres of Excellence on Intelligent Sensing for
testing are not reviewed in this chapter. They
Innovative Structures [1]. Within this network of
were mentioned in the related chapters of this
universities and research institutes, for many
book (see Chaps. 4 and 19).
years, research has been conducted to develop
advanced technologies to facilitate remote
monitoring. Additionally, the durability and
27.1 General
reliability of SHM systems was demonstrated
for 5 years in demonstration projects located
Today, in the field of structural health monitor-
across Canada.
ing, only a few technical guidelines exist. They
The ISIS guideline focuses on SHM as a
were developed and published by national or
diagnostic tool and the various components that
international scientific or technical organiza-
comprise a SHM system. The basic purpose is to
tions. Up to now, no standard is published or
expose the benefits of SHM to structural engi-
under development in this field by an interna-
neers who are not fully cognizant of this field of
tional standardization organization.
engineering. The guideline is also useful to
Existing guidelines can be divided into two
engineers who are already involved in some
main categories: guidelines for SHM of civil
aspect of SHM and would like to expand their
engineering structures like bridges and of other
knowledge about other aspects. It is divided into
complex technical structures like offshore con-
eight chapters and three annexes. After intro-
struction. Some of the most important guidelines
ducing basic concepts of SHM, the composition
in each field are introduced in the following
of structural health monitoring system is
sections.
described. Two chapters are dedicated to static
and dynamic field testing. How to perform
periodic monitoring of a civil engineering
structures is illustrated in a separate chapter. Ten
W. Daum (&) examples of bridge and wharf monitoring are
Bundesanstalt fr Materialforschung undprfung, described in a detailed manner. At first, the
Unter den Eichen 87, 12205 Berlin, Germany
technical and constructional details of the bridge
e-mail: werner.daum@bam.de

H. Czichos (ed.), Handbook of Technical Diagnostics, 539

DOI: 10.1007/978-3-642-25850-3_27, Springer-Verlag Berlin Heidelberg 2013
540
are outlined, followed by a description of the
instrumentation. At the end of each example,
representative diagnostic results are presented
and commented. The annexes are describing in
detail sensors, data acquisition systems and
algorithms for vibration-based damage detection
used in SHM.
Another comprehensive guideline was
developed by the European thematic network
SAMCO (Structural Assessment, Monitoring and
Control) [2]. The network consists of industrial
companies (especially small- and medium-sized
enterprises), research institutes, universities,
consultants and other organizations interested in
the transfer of knowledge and technology in the
field of assessment, monitoring and control of
structures of relevant civil and industrial inter-
est, in particular the transportation infrastruc-
ture. The activities of the network are mostly
related to bridges, buildings, power plants and
industries under seismic and other environmen-
tal loads.
The purpose of the SAMCO F08b guideline is
to introduce existing procedures and technologies
for SHM and to give recommendations for their
application. These are shown systematically cor-
responding to the necessity of extensive infor-
mation acquisition for structural assessment.
The focus is on the description of a system-
atic approach for building diagnosis, outgoing
from available building documents up to the
application of measurement technology.
Thereby, a variety of proved methods for
structure condition analysis and monitoring are
presented. The procedures are exemplified, and
experiences are imparted.
The second important assumption for an
assessment is a comprehensive analysis of the
actions. Only by the knowledge of type,
dimension and durance of loading assessment of
structural strain as base for structural diagnosis
is possible. Preceded by classification of actions
on the structure, the potentialities of load mon-
itoring distinguished by type, dimension and
character are discussed.
The third part of the guideline contains the
structural damage analysis. The knowledge of
damage and its development in terms of
W. Daum
dimension and complexity allows for assessment
focused on future maintenance. Besides a
description of damage, procedures for damage
identification and damage assessment are intro-
duced. This section points out potentialities, but
also difficulties, arising with the utilization of
measurement data in connection with mathe-
matical procedures for damage analysis. In the
appendix of the guideline, practical examples for
the mentioned procedures and techniques are
given.
A guideline proposal especially for bridge
monitoring was developed by the Drexel Intel-
ligent Infrastructure and Transportation Safety
Institute and submitted to the US Federal
Highway Administration Research and Devel-
opment [3] in the year 2003. The guideline
proposal introduces and describes the concept of
SHM to bridge owners and the bridge
engineering community. It formulates general
principles for integrating and implementing
analytical, experimental and information tech-
nologies in the context of SHM to diagnose the
condition, performance and structural health of a
bridge. The document offers information and
recommended methods for designing instru-
mentation and data acquisition for any full-scale
bridge testing application, even if the application
does not fall within the context of SHM. Finally,
best practice guidelines for analytical modelling
of bridges at various levels of detail are offered,
as well as the verification and systematic cali-
bration of these models with field data.
The German Society for Non-Destructive
Testing (DGZfP) has published in the year 2000
one of the first guidelines about SHM. It
describes the scope, application and assessment
of automated long-term monitoring in the field
of civil engineering [6]. This guideline is just
under revision.
27.3 Miscellaneous Structures
Due to high risk for environmental pollution and
economic damage, SHM is an integral part of
the operation of offshore structures (e.g. in the
gas and petroleum industry) since long time. The
27 Guidelines for Structural Health Monitoring
Norwegian Technology Standards Institution
was one of the first institutes to publish related
documents like the standard for Condition
Monitoring of Loadbearing Structures [4]. This
standard describes principles, functional
requirements and guidelines for condition mon-
itoring of the loadbearing structures throughout
their operative lifetime until the decommission-
ing. The standard is applicable to all types of
offshore structures used in the petroleum activ-
ities, including bottom-founded structures as
well as floating structures. The standard is
applicable to condition monitoring of complete
structures including substructures, topside
structures, vessel hulls, foundations and mooring
systems. The standard covers all aspects related
to condition monitoring, including in-service
inspection and maintenance planning, imple-
mentation, structural integrity evaluation, con-
dition monitoring documentation. Assessment of
offshore structures, when the initiators exist, is
also addressed.
SHM and condition monitoring of offshore
wind turbines are also becoming more and more
importance. One of the leading certification
organizations in this field, Germanischer Lloyd,
has published a guideline for the certification of
541
condition monitoring systems for wind turbines
[5]. This guideline focusses mainly on the rotating
parts of a wind turbine, but also includes
requirements for SHM of the supporting structure.
References
1. Guidelines for Structural Health MonitoringDesign
Manual No. 2. ISIS Canadathe Canadian Network
of Centres of Excellence on Intelligent Sensing for
Innovative Structures, University of Manitoba, Win-
nipeg, Manitoba, Canada, Sept 2001
2. F08b Guideline for Structural Health Monitoring.
SAMCO final report 2006. In: Rcker W., Hille F.,
Rohrmann R. (eds.) BAM Federal Institute of Mate-
rials Research and Testing. Berlin, Germany (2006)
3. Development of a Model Health Monitoring Guide for
Major Bridges. Drexel University, Intelligent Infra-
structure and Transportation Safety Institute, Phila-
delphia, PA, USA, July 2003
4. Condition Monitoring of Loadbearing Structures.
NORSOK N-005 REV 1, Norwegian Technology
Standards Institution, Majorstua, Norway, Dec 1997
5. Guideline for the Certification of Condition Monitor-
ing Systems for Wind Turbines. GL operating 24/7
(2007), Germanischer Lloyd Industrial Services
GmbH, Bereich Windenergie, Hamburg (2007)
6. Automatisierte Dauerberwachung im Ingenieurbau.
DGZfP-Merkblatt B9:2000, DGZfP German Society
for Non-Destructive Testing, Berlin (2000)
 Part V
Excursion
 Diagnostics in Arts and Culture
Oliver Hahn
Investigations of physical properties and
chemical composition generate important data
for answering culturalhistorical questions that
cannot be solved by historical and philological
methods alone. In its individual materiality, each
cultural asset is the result of a wide variety of
influences (e.g. production, storage, restoration,
preservation). Due to recent technological
developments (e.g. miniaturization of structural
units, enlargement of memory capacity), tech-
nical diagnostics in art and culture are becoming
more and more coveted in such fields of trans-
disciplinary research.
28.1 Introduction
The investigation of cultural objects often
comprises the question of origin, dating or
attribution to artists or workshops. In general,
stylistic and art-historical examination in com-
bination with the investigation of technological
treatises and secondary literature is a convenient
method to answer many questions. However, in
many cases, it is necessary to study the physical
and chemical properties of the artefacts. Mantler
and Schreiner pointed out that styles were
sometimes copied at locations and periods
O. Hahn (&)
Bundesanstalt fr Materialforschung undprfung,
Unter den Eichen 87, 12205, Berlin, Germany
e-mail: oliver.hahn@bam.de
H. Czichos (ed.), Handbook of Technical Diagnostics,
DOI: 10.1007/978-3-642-25850-3_28,  Springer-Verlag Berlin Heidelberg 2013
28
completely different from those of their origin,
and therefore physico-chemical investigations
are helpful and increasingly applied to allocate
an object to a particular historic or prehistoric
context, to determine the correctness of the
claimed provenance or to explore the technology
used for manufacturing [1]. Furthermore, the
exposure of forgeries is becoming an increas-
ingly important task in the field of art-historical
research.
Intimately, connected with archaeometric
investigations are conservation and restoration
studies. Historical objects that were submitted to a
restoration treatment may be investigated to
distinguish original from added material or to
estimate the impact of restoration treatments [2].
In addition, the development of reversible resto-
ration or conservation concepts requires knowl-
edge of the material compositions and ageing
phenomena of the artefacts. Finally, another
aspect concerning preventive conservation is also
important.
The growing importance of physical and
chemical diagnostics is reflected in a variety of
journals such as Archaeometry (Blackwell
Publishing), Studies in conservation (Interna-
tional Institute for Conservation of Historic and
Artistic Works, IIC), Reviews in Conservation
(also IIC), Restaurator (De Gruyter), Histor-
ical Metallurgy (Historical Metallurgy Society),
Metalla (Deutsches Bergbau-Museum) and
Archaeological and Anthropological Sciences
(Springer).
545
546
This chapter presents several techniques that
were used in diagnostics in art and culture.
Afterwards, some case studies will illuminate the
successful use of technical diagnostics in ar-
chaeometrical research, in the exposure of forg-
eries and in the field of preventive conservation.
28.2 Techniques
The methods and techniques for diagnostics of
TECHNICAL OBJECTS are compiled in Part B of the
handbook. The variety of different techniques that
are used to investigate art objects is very broad.
Hence, the following enumeration contains only a
delimited choice of investigation techniques.
The relevance of technical investigations in
arts and culture was summarized in the COST
Action G8 report: Non-destructive testing and
analysis of museum objects, Denker, Adriaens,
Dowsett and Giumlia-Mar (eds.), Fraunhofer
IRB Verlag, 2006.
Image-processing techniques allow the digi-
talization of the objects, the mapping of the
surface or the investigation of cross sections
(e.g. SEM).
X-ray technologies help to determine ele-
mental compositions (e.g. XRF, PIXE) or the
oxidation state of certain elements and their
adjacent atoms (XANES, EXAFS), whereas
X-ray tomography techniques, neutron acti-
vation analyses (neutron autoradiography,
NAA, [3]).
Thermography [4] permits a deeper insight
into the inner body of an art object.
Vibrational spectroscopic techniques such as
IR and Raman spectroscopy are necessary to
determine the chemical composition.
The most important requisite for the investi-
gation of unique historical objects is the use of
techniques that are non-destructive or only need
minimal sampling. After analysis, the unchanged
sample should preferably be available for further
investigation. According to Lahanier et al. [5],
the ideal procedure for analysing art, historical or
archaeological objects should be non-destruc-
tive (respecting the physical integrity of the
object), but also fast (to analyse large numbers of
O. Hahn
similar objects or to investigate a single object at
various locations), universal (to analyse many
materials and objects of various shapes and
dimensions), versatile (allowing to obtain aver-
age compositional information but also permit-
ting local analysis of small areas), sensitive (so
that object grouping and other types of prove-
nance analysis can be done not only by means of
major elements but also by means of trace ele-
ment fingerprints) and multi-elemental (to obtain
simultaneously information on many elements in
a single measurement). However, in some
cases, sampling may be a basic requirement for a
successful analysis.
Imaging techniques involve macroscopic
techniques such as reflectography as well as
microscopic techniques such as scanning elec-
tron microscopy (SEM) with additional ele-
mental analysis (SEM/EDX) or conventional
microscopy techniques usually equipped with
fluorescence or polarized light mode. For the
investigation of drawings, paintings and book
illumination reflectography techniques are suit-
able tools. Due to the fact that some pigments
and dyes show a low infrared absorption, it is
possible to investigate underdrawings [6, 7]. The
illumination of palimpsests with UV or blue
light can reveal the original erased text [8].
X-ray-based techniques are quite frequent in
the field of investigations of objects of artistic or
archaeological value. Analyses with XRF,
TXRF [9, 10], SRXRF [11] and micro-XRF [12]
belong to the standard investigation techniques.
Hence, the importance of X-ray techniques for
the study of art and archaeological objects was
emphasized, for example, by a special millen-
nium edition of the journal X-Ray Spectrom-
etry on Cultural Heritage (2000 Vol. 29 No. 1).
XRF as well as PIXE [13] represents one of the
most suitable methods to obtain qualitative and
semiquantitative information on a great diversity
of materials. However, though both methods are
convenient techniques for the investigation of
inorganic compounds, they are in general not
suitable for the determination of organic mate-
rials. In the past, spectrometers have the draw-
back of being stationary, which limited their
application to art objects.
28 Diagnostics in Arts and Culture
In recent years, a new generation of compact
and portable XRF set-ups without radionuclide
sources has been designed consisting of air-
cooled low-power X-ray tubes, detectors without
the need for liquid nitrogen cooling, such as
silicon drift chamber detectors and miniaturized
electronics [14, 15]. Recent developments of
total-reflection glass-capillary optics in combi-
nation with air-cooled x-ray tubes [14] and sil-
icon drift detectors that do not need liquid
nitrogen cooling provide a high lateral resolution
associated with a maximum of mobility [16, 17].
However, in some cases, the use of stationary
systems, such as synchrotron beam lines, is
inevitable [18]. To determinate the oxidation
state of certain elements (XANES) and their
chemical neighbourhood (e.g. EXAFS), the
presence of an energy-dispersive excitation is a
precondition [19].
Atom absorptions spectroscopy (AAS) or
inductively coupled plasma spectrometry (ICP) is
fairly common techniques for the determination
of trace elements [20, 21]. Multi-element isotope
analysis provides the designation of origin of
metals and alloys in archaeological objects [22].
IR and Raman spectroscopy techniques are
quite common methods for the investigation of
the chemical composition of unknown assays.
FTIR spectroscopy determines the general
category of an organic medium. Therefore, it is a
well-established method for the identification of
binding media. Usually, samples were measured
in transition mode, which means that small
samples have to be taken from an object. To
reduce the sample amount, diamond cells are
used for the investigation. Recently, non-
destructive methods have been under develop-
ment to study the surfaces of different objects.
On the one hand, there are contact techniques,
such as attenuated total-reflection FTIR spec-
troscopy [23]; on the other hand, non-contact
techniques such as fibre-optic IR spectroscopy
[24] or synchrotron-based FTIR spectroscopy
were used [25, 26]. The miniaturization of IR
sources and detectors allows the development of
a new generation of portable spectrometers that
allow handheld investigation in a diffuse reflec-
tion mode, for example [27]. Due to different
547
selection rules concerning absorption phenom-
ena, Raman spectroscopy is a complementary
technique used for structural analysis. However,
for specified applications, for example, the
determination of pigments [28], minerals [29]
and salts, Raman spectroscopy is a suitable tool.
In addition to vibrational spectroscopy,
chemical analysis based on chromatographic
methods is widely used. One the most important
techniques is high-performance liquid chroma-
tography (HPLC) coupled with mass spectrom-
etry or UV detection, as well as gas
chromatography (GC) coupled with mass spec-
trometry. Chromatographic techniques are used
to analyse a variety of different organic com-
ponents such as varnishes or binding media [30,
31], dyes or colourants [32] and polymers or
adhesives used for historical restorations. In the
field of preventive conservation, chromato-
graphic methods are essential in analysing vol-
atile organic compounds (VOC) to determine
their impact on cultural heritage objects [33, 34].
None of these analytical techniques allow the
determination of the date of an art object. Spe-
cial techniques such as radiocarbon dating of
organic materials (C14-method [35]), dendro-
chronology for wooden artefacts [36] and the
analysis of thermoluminescence for ceramics
[37] permit age determination.
28.3 Case Studies
28.3.1 Archaeometry
As mentioned before, the repertory of materials
can provide an idea of the manufacturing tech-
nique of an art object in general. Further
chemical analysis provides deeper insights that
go beyond manufacturing techniques. It reveals
traces that indicate the provenance of an art
object as well as the origin of raw materials that
were used for its production. Furthermore, these
traces may tell a story about changes, amend-
ments or repairs. In some cases, they may give
evidence of the age of an art object. These traces
are a matter of the impurities connected with the
raw materials and production processes.
548
Fig. 28.1 The Nebra
Sky Disc,  Landesamt
fr Denkmalpflege und
Archologie Sachsen-
Anhalt, photo: Juraj Liptk
28.3.1.1 Nebra Sky Disc
The first example is the so-called Nebra Sky
Disc, now located in the State Museum of Pre-
history in Halle (Fig. 28.1). The 3,600 year-old
archaeological object consists of bronze deco-
rated with gold applications. The object is con-
sidered one of the most important archaeological
findings from the Bronze Age. Initial investiga-
tions of the object suggest that the Sky Disc was
subjected to several modifications [38].
The different developmental stages were
proved through analysis by synchrotron-based
X-ray fluorescence of the elemental composition
of the gold applications [39]. The main task was
to determine the amount of silver and tin in the
gold alloy. Based on the results, the gold
applications could be subdivided into three
groups. The gold that was used for the lower
arch contains the lowest amount of silver. The
arch on the right-hand side and one star belong
to the second group; finally, the sun, the moon
O. Hahn
and the other stars form the third group. Based
on the XRF results and further investigations, it
is assumed that the Nebra Sky Disc was sub-
jected to four successive developmental stages.
At first, the sun, the moon and the stars were
fixed onto the bronze disc. In the next step, both
arches (left and right) were added. For this
purpose, one star was moved to a new position.
At a later date, the lower arch was appended
[40]. Recent research proposes that the gold that
was used for the Nebra Sky Disc originated from
Cornwall, United Kingdom [41].
28.3.1.2 Historical Manuscripts
and Sheet Music (e.g. Bach
Scores)
The study of manuscripts is usually concerned
with the question of origin, dating or attribution
to specific scribes. Graphological considerations
can answer many questions, but in several cases,
analyses of the chemical composition of the
28 Diagnostics in Arts and Culture
written artefacts are essential. A distinction
between different ink materials leads to a better
understanding of the production processes of
historical handwritten manuscripts. Starting from
so-called composition fingerprints, it is possible
to distinguish between different iron gall inks,
carbon inks and plant inks to establish a chro-
nology of their use and, furthermore, to date
unknown fragments that have not yet been
located within the lifework of an artist [42, 43].
This information is also useful for questions of
provenance, authenticity and, as presented later,
in possible restoration treatments.
One famous object of music history is kept in
the National Library Berlin (SPK). Johann
Sebastian Bach composed the B minor mass
(Mus. ms. Bach P 180) between August 1748
and October 1749. After Bachs death, the
manuscript came into property to his son Carl
Philipp Emanuel Bach. He studied intensively
the work of his father and added some amend-
ments. Since the 1950s, the music historian
Friedrich Smend called attention to the fact that
the score contains a variety of corrections and
modifications that may certainly attributed to
Johann Sebastian Bach as well as to Carl Philipp
Emanuel Bach. In addition, several amendments
still exist whose attribution was not possible up
to now or whose attribution now seems to have
been wrong. Investigation with mobile XRF
analysis led to characteristic fingerprints that
provide a distinct differentiation between iron
gall inks used by Johann Sebastian Bach and
those used by his son [44].
28.3.1.3 Dead Sea Scrolls
The Dead Sea Scrolls belong to the most promi-
nent cultural assets of mankind. The first seven
parchment scrolls were discovered by Bedouins
about 60 years ago. In a little while, the antiquity
and historical importance of the manuscripts were
recognized. Over the next 10 years, Bedouins and
archaeologists discovered about 900 manuscripts
in 11 caves. With a multi-instrumental approach
based on X-ray, IR and Raman spectroscopy, it
was proven that Dead Sea Scrolls were homoge-
neously compiled, though the different manu-
scripts are not identical from the analytical point
549
of view. With the exception of one copper scroll,
the Dead Sea Scrolls were written with carbon ink
on parchment or leather. However, the materials
were produced with different ingredients based on
a variety of different recipes and technologies.
Hence, it was demonstrated that some fragments
originated in Qumran while others were written
elsewhere [45, 46].
28.3.1.4 Printed Graphics (e.g. Durer
Engravings)
The last example deals with the dating of pig-
ments used for the coloration of printed graph-
ics. The coloration of two pieces of Albrecht
Drers engravings Saint Peter and John at the
Temple Gate reveals differences in the com-
pletion. By means of VIS spectroscopy and XRF
analysis, it was proven that the coloration of the
first piece was added in the 16th century
(Fig. 28.2a [47]). The coloration contains pig-
ments that were fairly common in the 16th
century. Analysis found natural and artificial
pigments that had been used since Antiquity:
white lead, azurite, malachite, red and yellow
ochre, cinnabar and minium.
The presence of impurities such as Si, Ti or Ba
confirms the origin of the natural pigments from
mined sources. In addition, the monogram GM
in gold is an indication that the illuminator was
the artist Georg Mack the Elder, who worked in
Nuremberg between c. 1556 and 1601 [48]. The
second piece (Fig. 28. 2b) was colourized in the
19th century. The pigment palette comprises zinc
white and chrome green. Neither pigment was
used before the first third of the 19th century.
28.3.2 Forgery
One important question in the field of analysis of
cultural heritage objects is the authenticity of
works of art. Is a given object a unique, famous
original or a rather worthless imitation?
The investigation of the so-called Hitler dia-
ries exposes a very illustrative example of forg-
ery. In the year 1983, a German magazine bought
and published 60 books. The investigation of
three volumes, dated from 1934, 1941 and 1943,
revealed that the papers as well as the book covers
550
Fig. 28.2 a Albrecht Drer, Saint Peter and John at
the Temple Gate,  bpk, Kupferstichkabinett, SMB,
Photo: Christa Begall b Albrecht Drer, Saint Peter and
were produced after the Second World War. The
paper contained optical brightener, whereas the
tacking threads consist of polyamide (nylon).
These polymer fibres were not produced before
1953. Hence, the material investigation clearly
proved that the diaries were written after the
death of the pretended author [49].
Another interesting case is the bust of
Flora, which was initially ascribed to Leonard
da Vinci (Fig. 28.3). The sculpture, which
belongs to the Staatliche Museen Berlin, Pre-
uischer Kulturbesitz, shows the half-length
portrait of a young lady with a bare torso. At
first, scholars attributed the sculpture to Leo-
nardos circle. In the course of time, scientific
methods were increasingly used to analyse the
object: the wax sculpture of Flora was the first
O. Hahn
John at the Temple Gate,  bpk, Kupferstichkabinett,
SMB, photo: Volker-H. Schneider
object to be investigated with X-ray tomography
[50]. Subsequent chemical analyses reveal the
presence of cetaceum. So this material turned
out to be too modern for Leonardo. In the
year 1986, further investigations proved that
some parts of the cetaceum wax contain syn-
thetic stearin [51]. This substance was definitely
produced for the first time in the 19th century.
These findings make it clear that this wax bust
was not made by Leonardos hand or by a con-
temporary artist. However, the creatorship of the
young lady is still not clarified and the discus-
sions about the genesis of the Flora are still
going on. Based on scientific and art-historical
results, Ost made a well-founded suggestion that
the primary wax sculpture was probably pro-
duced in the 18th century for the Roman art
28 Diagnostics in Arts and Culture 551

Fig. 28.3 Wax bust

Flora,  bpk/
Skulpturensammlung und
Museum fr Byzantinische
Kunst, SMB, photo: Jrg P.
Anders

trade. After a damaging tumble, the sculpture
was repaired and then manipulated to Leo-
nardos style. [52]
It is possible to debunk a forgery using
chemical analysis when the faker uses substances
that were produced or applied after the objects
purported date of origin. However, if a forger uses
substances whose contemporary usage is docu-
mented for the time in question, then chemical
analysis cannot reveal the forgery. One may
conclude that the definite discovery of a forgery is
possible if non-contemporary materials are
found. The argumentum e contrariopositive
proof of the authenticity of art objectsis not
possible solely by means of material science.
28.3.3 Conservation/Restoration
The preservation of our cultural heritage is a
main task for restorers, conservators and natural
scientists. Two significant examples draw
attention to the use of technical diagnostics in
552
Fig. 28.4 Historical
showcases in the Igreja
do Carmo,
Archaeological Museum in
Lisbon, photo: Oliver Hahn
the field of restoration and conservation science.
The first example presents studies to control iron
gall ink corrosion, whereas the second example
deals with climate control in our museums.
The scientific analysis of restoration or con-
servation concepts is significant for the preser-
vation of our documents. Archives and museums
around the world contain a vast number of
manuscripts that were written in iron gall ink.
Due to the variety of different recipes and natural
origin of these materials, we find a wide range of
different components and impurities in this writ-
ing material [53]. Different decomposition reac-
tions, especially with the organic matrix of the
paper or parchment, lead to changes in the ink
O. Hahn
colour and, occasionally, to iron gall ink corro-
sion. The development of appropriate concepts
requires knowledge of the material compositions
and ageing phenomena of the artefacts. There are
two main reasons for the ink corrosion: first, the
acidity of the inks, which leads to hydrolytic
splitting of the cellulose, and second, the capacity
of soluble iron and other compounds to act as a
catalyst for the oxidative decomposition of the
cellulose [54], so all restoration treatments try to
decrease the concentration of acids and/or the
concentration of soluble transition metals [55].
Restoration treatments that are necessary to
preserve endangered manuscripts naturally
change the chemical fingerprint of the writing
28 Diagnostics in Arts and Culture
Fig. 28.5 Emission test
chamber,  BAM
material. The resulting contradiction between
archaeometrical research on the one hand and
restoration treatment on the other hand is obvi-
ous. Unchanged, original samples are mandatory
for archaeometrical research, whereas successful
restoration treatments have to remove hazardous
components. Archaeometrical investigations
should therefore be carried out before the
application of essential restoration or conserva-
tion treatments [56].
The second example belongs to the field of
preventive conservation. The main purpose of
exhibit cases is to ensure maximal protection of
an art object from damage. Today, the definition
553
of damage has broadened beyond mechanical
damage to include the effects of the surrounding
conditions. Furthermore, the results of many
material studies lead to the awareness of hazards
connected to the showcases themselves. Mate-
rials used for the construction or decoration of
the showcases (e.g. wood, coatings and sealants)
(Fig. 28.4) might serve as a source for volatile
organic compounds such as formaldehyde, ace-
tic acid or formic acid [57] and, hence, produce
a harmful indoor environment [58, 59]. It is
obvious that certain organic compounds should
be avoided when exhibiting objects in show-
cases with low air exchange rates. Obviously, to
554
ensure reduction of the pollution, low-emission
materials should be used for the construction of
showcases (Fig. 28.4).
Current methods for qualitative and quantita-
tive investigations in the field of preventive con-
servation include a wide variety of techniques.
Waller [60] and Schieweck and Salthammer [61]
discuss these in detail. RhylSvendsen and
Glastrup compiled a capacious bibliography [62].
Besides direct thermal extraction of individual
components [63] and characterization of the air
inside the exhibit cases, emission test chambers
studies in accordance with EN 13419-1 are com-
monly performed (Fig. 28.5). In general, the
emission test chambers are performed at a certain
temperature and relative humidity. Due to the
different physico-chemical properties of the vol-
atile organic compounds, different absorber
materials are used for the measurements. In gen-
eral, VOC sampling is accomplished using Tenax
TA tubes with follow-up thermal desorption and a
GC/MSD analysis. The quantification is usually
accomplished with internal standards. For the
characterization and quantification of aldehydes
and ketones, derivatization with dinitrophenyl-
hydrazine (DNPH) followed by solvent extraction
with acetonitrile and HPLC analysis and coupled
UV detection are used.
Finally, in situ monitoring is carried out with
glass sensors [64, 65] or by means of the Oddy
test [66].
Regarding the span of analytical results, it is
evident that risk estimation by means of emis-
sion measurements depends strongly on experi-
mental conditions. The latter point applies
especially to the cases in which experimental
conditions are not explicitly taken into account.
In the field of presentation of art objects, at least
three partners are of paramount importance:
manufacturers, conservators and scientists. Man-
ufacturers must consider further quality demands
such as the air-tightness of exhibition cases, the
adherence of sealants and the processibility of
building materials. Scientists should aim to
improve their measuring techniques concerning
reliability, reproducibility and detection limits as
well as their understanding of the processes
responsible for the emissions. Conservators
should be aware of the scientific and technological
O. Hahn
developments to ensure the maximal protection of
the cultural heritage. Presentation and storage of
art works under optimal conditions is only ensured
if these three partners work closely together [67].
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 Index

A
Abrasion, 36 Aircraft and aerospace structures, 150, 153
a-C:H, 327 Alfa particle, 222, 223
Accelerometer, 395, 405, 406 Alternating current field measurement, 46, 60
Accreditation, 303 Alternative current potential drop techniques, 59, 60
Accretion, 356, 365 Ambient excitation, 110, 114, 116
Acoustic emission (AE), 43, 45, 46, 48, 137, 142, 394, 402 Analysis
activity, 141, 142, 145, 150, 154 analysis chamber, 303, 309, 313, 321
analysis, 137, 142 multivariate analysis, 313
cluster, 141, 145147, 153 point analysis, 307
condition monitoring, 140, 143, 144 Analytical reductionism, 16
data, 140, 141, 150 Annihilation, 225, 226
event, 142, 145, 146, 153, 155 Anode, 223, 223, 242
feature extraction, 138, 142 Anti corrosion, 315
features, 139, 140, 142 Anti-friction coating, 330
historic index, 141 Anti-wear, 317, 318
intensity, 142 Archaeometric investigations, 545, 552
measurement, 138, 141, 153 Archaeometry, 545, 547
monitoring, 143145, 147, 150, 151 Area defects in materials, 13
pattern recognition, 142 Arrhenius equation, 27
post-test analysis, 141 Artificial hip joint, 327
real-time analysis, 139, 141 Artificial neural networks, 58
real-time monitoring, 137 Arts, 546
sensors, 138, 140, 144146, 149, 154 ASL, spectral energy, 156, 157
severity value, 141 ASL, value, 140
signal features, 139 ASME, 232, 237
signal parameters, 139141, 145 Asset maintenance, 390
signal, 138142, 148, 150, 153 ASTM, 228, 229, 231233
source characteristics, 140 Atom absorptions spectroscopy (AAS), 547
source location, 138, 140, 141 Atom, 222226, 245, 246
source mechanisms, 138, 142, 154 Atomic layer, 301
source, 138, 140, 141, 154, 157 Atomic number, 225, 226, 245, 246
spectral analysis, 139, 142 Attenuation, 223228, 230, 232
trend analysis, 141, 142 Attenuation coefficient, 224, 228, 230, 232
wave mode analysis, 142 Attenuation law, 223, 224, 227
wave mode, 140, 142 Attenuation length, 305
waveform, 140, 156, 157 Auger electron, 310312
waveform analysis, 141 Auger electron spectroscopy (AES), 301, 302, 310312
waveform streaming, 140, 141, 157 Austenitic steel 1.4571, 332
Adhesion, 37 Autofrettage process, 143, 144
Age hardening, 361 Automated, 221, 233245
Aging, 30, 357, 359, 361363, 367, 368 Avalanche photodiodes (APD), 265

H. Czichos (ed.), Handbook of Technical Diagnostics, 557

DOI: 10.1007/978-3-642-25850-3, Springer-Verlag Berlin Heidelberg 2013
558 Index

A (cont.) Characteristic radiation, 222

Average signal level (ASL), 140, 147, 156, 157 Charge effects, 305
Axle fracture fatigue crack, 369, 375, 381 Chemical
composition, 245, 246
imaging, 319321
B micro/nanostructure, 315
Back scatter, 221, 233 shift, 302, 308, 311, 316
Background, 304, 306, 309 species, 30
Background noise, 144, 147, 154, 157 state analysis, 302
Baggage, 239, 245, 246 Circuit breakers, 478
Ball bearing steel 100Cr6, 330 Civil engineering structure, 539
Basic safety concept (BSC), 166 Classification of AE sources, 142, 144
Basic spatial resolution, 228, 230, 231, 236 Cleavage fracture, 26
Bearings, 395, 396, 401, 403406 Coating, 327, 328, 330
Bending, 23, 463, 465 zinc-coating, 315
Binding energy, 305, 308, 311, 316 Coherent radiation, 224, 225
Biochips, 317 Cologne ICE3 accident, 369, 370, 381, 382
Biocorrosion, 34 Compaction of soil, 459
Biodeterioration, 34 Component oriented testing, 349
Bio-fouling, 34 Component testing, 104, 105
Biological species, 30 Composite ceramic material, 307
Biotechnology, 316, 319 Composite high-pressure vessels, 142, 143, 148
Bit, 234, 235 Composites, 12
Blends, 12 Composite structures, 149
Blind spot, 163165 Compounds, 302, 310, 312, 313, 315, 316
Bogie, 369, 371, 372, 381 Compression, 23
Brandenburg gate, 117, 119 Compton scatter, 224226
Brass, 315, 316 Computed radiography, 222, 235237
Bremsstrahlung, 222, 303 Computed tomography, 249253, 255, 256
Bridge assessment, 439, 440 Concrete, 12, 334, 336
Bridge, 539, 540 Concrete structures, 144
Bridge monitoring, 539, 540 Condition monitoring parameters, 20, 393
Brillouin frequency shift, 272 Condition monitoring, 5, 140, 143, 144, 387,
Brillouin optical-fiber frequency-domain analysis 393395, 413, 415, 453, 511, 512, 514,
(BOFDA), 275, 276 539, 541
Brillouin scattering, 264, 272, 276 Condition-based maintenance (CBM), 390393
Brillouin, 453455 Conductive film, 305
Brittle fracture, 356, 358360, 362, 364 Conservation, 545547, 552
Buckling, 24 Conservation studies, 545, 552
Buckling, 356, 367 Continuous AE, 137, 139, 140, 152
Build up factor, 233 Contrast, 226232, 235, 237, 240, 243
Building diagnosis, 540 Contrast sensitivity, 229, 230, 232, 237, 240, 243
Buried, 456, 457, 460, 462, 464, 465 Contrast-to-noise ratio, 227, 230
Burst-type AE, 137, 140 Control chart, 388
Corner rod, 358, 359, 361, 363, 364
Corrective maintenance, 6
C Corrosion
Cable installation, 461 fatigue, 33
Calm ratio, 144, 145 modes, 31
Carbonfiber-reinforced polymer (CFRP), 278 monitoring, 394, 398
Cascade effect, 356, 367 Corrosion, 31, 232, 233, 237, 453, 463
Casting, 232, 233, 236, 237, 244 Coupled loads(interaction of), 350, 351
Catalogue, 232 Crack detection, 49, 52
Catastrophic failure, 5 Crack formation, 142
Cathode, 222 Crack growth, 137, 142, 147, 154
Cavitation, 36 Crack origin, 369, 371373, 375, 376
CdTe, 239, 240, 242 Crack propagation, 144, 145
Cemented carbide WC/Co, 329 Cracks, 28, 141, 143, 145, 154
Characteristic lines, 223 Creep, 25
Index 559

Crest factor, 140, 142 Direct converting, 240, 242

Cross section, 225, 243 Displacement, 466, 468
Crushing, 466, 467 Distributed sensors, 453, 465, 468
Cultural objects, 545 Distributed strain measurement, 269, 270
Culture, 545, 546 Distributed strain, 455, 462, 464, 469
Curvature, 453, 465 Distributed temperature, 469
Cutting tool, 326, 328 Dose, 227, 232, 236
Drive train, 511, 513, 516
DTS (Distributed temperature sensor), 460, 461
D Dual beam instrument, 325, 336
Damage accumulation, 39, 144 Dual energy, 245, 246
Damage detection, 263, 278, 279 Duration of a failure event, 5
Damage evaluation, 140142, 145, 149 Dynamic field testing, 539
Damage identification, 4, 109 Dynamic state, 17
Damage, 141, 143145, 149151, 154, 453, 465, 467,
468, 540
Data acquisition management, 416, 421 E
Data acquisition system, 416419, 421, 540 Earthquakes, 462
Data cleansing, 416, 422 Echo-tomography, 170, 171
Data compression, 422 Eddy current (EC), 162164
Data fusion, 63, 64 Eddy current evaluation, 54, 57
Data mining, 62, 63 Eddy current inspection, 394, 401
Data normalization, 416, 422 Eddy current testing (ET), 162
Data plausibility check, 422 EI value, 142
Data preprocessing, 62, 63, 208, 416, 421, 422 Eigen frequencies, 113, 115
Data transfer, 420 Elastic instability, 24
Debonding, 145 Elastic modulus, 24
Decay, 223 Elastomeric sealants, 315, 316
Defects in materials, 13 Electrical contacts, 315, 316
Deformation, 6975, 79, 8188, 91, 92, 94 Electrical diagnostics methods, 479
Deformed shape, 465 Electrical properties, 15
Delamination, 149 Electrical resistance probes, 399
Dendrochronology (for wood), 547 Electrical signature analysis, 400
Density distribution, 249, 250 Electrical transformer, 17
Deposit, 237, 239 Electrochemical monitoring, 394, 398
Depth profile, depth profiling, 302, 309314, 318, 319 Electrochemical reaction, 31
ultra-shallow depth profiles, 310 Electromagnetic loads, 28
Derailment, 369371 Electromagnetic spectrum, 30
Design capacity, 365, 367 Electromigration, 29
Design codes, 356, 363 Electron, 221226, 228, 232, 233, 236, 240, 246
Design procedure for SHM systems, 414, 416 backscattered electrons, 304, 307
Design, 343345, 348 electron analyser, 309, 312
Detection limits, 306, 309, 311 electron beam, 303, 305, 310312
Detector, 221, 222, 226228, 230, 233, 239, 240, electron excitation, 303
242244 electron impact ionization, 305
Development, 221, 227, 233, 234, 237 secondary electrons, 311
Deviation tension tower, 357, 358, 365367 Electron band model, 28
Diagnosis, 3 Electron spectroscopy for chemical analysis (ESCA),
Diagnostics, 3, 413416, 422, 423, 539, 540 301, 302, 308311, 313, 316318
Diagonal member, 360364, 366, 367 ESCA analysis, 309
Diamond, 328 imaging ESCA, 309
Diffraction enhanced imaging (DEI), 298 laboratory ESCA, 309
Diffusion, 27 Elemental
Digital detector array, 222, 227, 239, 242, 244 elemental analysis, 302, 303, 308, 310, 312
Digital filters, 157 elemental composition, 306, 307
Digital image correlation, 74, 85 elemental concentration, 303, 306
Digital image correlatter, 74, 85 Elemental mapping, 331, 335
Digitizer, 234, 240, 241 Embedment techniques, 278
Dimensional control, 249, 255 Embrittlement, 356, 358, 362, 363, 367, 368
560 Index

E (cont.) Fiber Bragg grating sensor, 267, 268

Emergency control, 428 Fiber composite, 240
Emission, 222224 Fiber optic cable, 92
Emitter, 221 Fiber-optic sensor (FOS), 261, 264, 266, 272,
EN, 228, 229, 231, 232, 234, 237 273, 482
Energy analyser Fibre orientation, 288, 291, 297, 298
hemispheric electron energy analyser, 309 Fibre reinforced materials, 252
Endoscope, 242 Film, 221, 227, 228, 230, 232237, 239243
Energy, 221227, 233, 234, 236, 239, 242, 245, Filter, 235, 236, 241, 245, 418, 422
246, 340 Fixed pattern noise, 226, 227
Energy-dispersive electron probe microanalysis Flaw analysis, 251
(ED-EPMA), 302, 303, 306, 307, 318 Flaw, 228230, 232, 240, 241, 243, 245
Energy-dispersive X-ray spectrometer (EDS), 303, 306, Flaws in materials, 7
324, 325, 329, 331335 Floating, 508, 510
Energy-dispersive X-ray spectroscopy (EDX), 301307, Flow, 457, 459462
315, 316 Flow measurements, 453
analysis, 303, 306, 307, 315 Flowlines, 453
map, 307, 315, 316 Focal spot, 227
Energy-filtered TEM(EF-TEM), 331, 332, 335 Focal spot size, 227
Engineering materials, 11 Focussed ion beam (FIB), 301, 314
Environmental loads, 30 Forced fracture, 369, 371, 381
EPS, 229231 Forensic analyses, 356, 358, 366
Equivalent penetrameter sensitivity, 231 Foreseeable developments, 496
Erosion, 36, 453, 462 Forgery, 550, 552
Essential parameter, 226, 228230, 235, 243 Fouling, 30
Excitation volume, 306, 308, 311 Fractography, 26, 371
interaction volume, 303, 304 Fracture, 26
Experimental modal analysis, 119 Fragments
Exposure condition, 227, 236, 246 characteristic fragments, 313, 314
Exposure, 227, 228, 230, 232, 233, 236 fragment patterns, 302
Extended X-ray absorption fine structure Frequency analysis, 139141, 155
(EXAFS), 546, 547 Frequency filtering, 138
Fretting, 141, 154
Friction, 36, 137, 141, 148, 150, 154
F FTIR spectroscopy, 547
Fabry-Prot interferometer, 265, 267 Functional coating, 327
Failure, 3, 315, 316 Functional materials, 14
Failure analysis, 343346, 350352, 355, 356, 362, 366, Functional performance assessment, 19
368, 381
Failure mechanisms, 23, 324326, 357, 367
Failure mode, 3 G
Failure modes and effects analysis, 6 Gamma radiation, 221, 222
Failure prevention, 352 Gamma-ray, 223
Failure probability, 25 Gas chromatography (GC), 547, 553
Failure site inspection, 366 Gas pipeline, 459, 466, 467, 469
Fatigue, 25, 143145, 150, 153, 154, 453 Gears, 394, 397, 400, 403, 405, 406
Fatigue cracks, 143, 154 General system theory, 16
Fatigue damage, 50, 51 Generation, 222
Fatigue failure curve, 25 Generators, 495
Fatigue fracture, 370, 371 Geometric unsharpness, 227, 228
Fatigue strength, 376, 377, 381 Geotextile, 275, 276
Faults, 3, 143, 152, 157 Giant magneto impedance (GMI), 51, 57
Fault progression time, 5 Giant magneto resistance (GMR), 50, 51, 56, 57
Fault tree analysis, 6 Glass-fibre-reinforced polymer (GFRP), 278
Feature extraction, 138, 142, 262, 419, 423 Graininess, 227
Felicity ratio, 142, 144, 150 Grains, 13
Ferrography, 394, 396, 397 Graphite, 329, 331, 332
FFT analysis, 142 Gravity-based, 507, 515
Fiber Bragg grating (FBG), 267270, 272, 464, 468 Grey level, 235
Index 561

Grey value, 234, 235 sheave misalignment, 122

Gun(s) turbine/fan blade defects, 122
electron gun, 312 worn/defective gear teeth, 122
ion gun, 302, 309, 312, 314 Impact damage, 150, 151
Guidelines, 539, 540 Impulse excitation, 111
Impurities, 381383
Inclusions, 315, 316
H Incoherent radiation, 224, 225
Half live, 223 Inductive approach to technical diagnostics, 6
Hall sensors, 50 Inductively coupled plasma spectrometry (ICP), 547
Hard X-ray photoemission spectroscopy (HAXPES), Industrial radiology, 221, 232, 233, 244
309, 310 Industrial systems, 16
Heat capacity, 27 Inelastic mean free path (k), 303, 308, 311
Heat exchanger, 240, 242 Information depth, 301, 308, 309, 311
Heterogeneous elemental composition, 307 Infrared imaging, 400
High energy piping systems, 147 Infrared thermography, 48
High speed train, 369, 381 Inherent unsharpness, 228
High temperature corrosion, 33 Inhomogenities, 381383
High temperature creep degradation, 147 Inner surface density, 294
High-performance liquid chromatography Inorganic non-metallic materials, 12
(HPLC), 547, 553 In-process monitoring, 143
Historic index, 141 Inputs of systems, 17
Hole drilling method, 96, 99, 106 Inspection interval, 370, 381
Hollow axle, 370, 378, 380 Intercrystalline cracking, 324, 332, 333
Homogeneity, 307, 311, 319 Interfaces, 287, 288, 292, 297, 298, 315, 316, 319
Hookes law, 24 Interference model of reliability, 39
Hot cracking, 327, 332 Intergranular fracture, 360, 362
Hot-wet conditions, 30 Interlayers
HV and medium-voltage cable systems, 487 burried interlayers, 309
HV Transformers, 485 Interrogation unit, 267269
Hydraulic systems, 408, 409 Intrusion, 453, 456, 469
Hydrogen Ion beam milling, 325
hydrogen embrittlement, 33, 321 Ionization
probability, 313
Ionizing radiation, 30
I Ions
Ice loading zones, 357 microprobes, 314
Ice loads, 357, 359, 368 secondary ions, 302, 313, 314, 318, 320
ID value, 142 ISO 17025, 303
Identification of AE sources, 141, 142 ISO, 228, 229, 231233, 236, 237
Image processing, 221, 235, 236, 238, 245
Image quality indicator, 226, 231
Imaging, 309, 310, 312314, 319, 320 J
Imaging plate, 222, 235237 Jacket, 505508, 517
Imbalance, 122, 134 Joint, 466, 467
beats, 122
bent shafts, 122, 134
cavitation, 122 K
component looseness/wiggle, 122 Kaiser effect, 141
defective bearings, 122 K-edge, 224
defective/misadjusted drive belts, 122 Knowledge-based systems, 392
eccentricity of rotating parts, 122 Kurtosis, 140, 142
electrical hum, 122 kV, 242, 243
friction or binding, 122, 124
inadequate lubrication, 122
leaks, 122, 131, 132 L
mal-functioning pistons/rods, 122 Lamb waves, 277281
resonance, 122, 123, 128, 130 Lamella preparation, 325
shaft or coupling misalignment, 122 Laminography, 243, 249
562 Index

L (cont.) organic materials, 302

Landslide, 459, 464, 465 Material degradation, 260, 264
Large scale testing, 104106 Material failure, 259, 260, 264
Laser diodes (LD), 265 Material processing, 137, 143
Lattice defects, 13 Matrix effect, 306, 309, 311, 313, 319
Layer Mean free path, 303, 308
delta layer, 318, 319 Mean free path length, 303
functional layer, 317 Measurement methods, 479
layer thickness, 302 acoustic methods, 484
layer stack, 310, 312, 314, 317, 318 mechanical methods, 485
Lead screen, 233 optical methods, 480
Lead zirconate titanate (PZT), 277280 Mechanical gear pair, 17
Leakage, 455457, 459, 460, 463, 465 Mechanical loads, 23
Leakage detection, 455, 457, 459, 460, 463, Mechanical properties, 15, 371
464, 469 Mechanical shock, 25
Leakage simulation, 465 Mechanical testing, 356, 362
Life cycle, 11 Mechanically mixed layer, 332
Life cycle analysis, 431, 442 Medical diagnostics, 319
Life cycle engineering, 429 Metallic materials, 11
Light emitting diode (LED), 265, 269, 271 Metallography, 327, 333, 334, 372, 379, 380
Light propagation, 264, 265 Metallurgy, 361, 375
Light speed, 234, 242 Micro computer tomography, 372
Limited angle computed tomography, 249 Microarrays, 317
Line defects in materials, 13 Micro-damage generation, 143
Line detector array, 239 Microelectronics failure, 28
Liquid penetrant evaluation, 48 Microfocus, 221, 223
Liquid penetrant inspection, 401 Microfocus radiography, 46
Loads, 23, 343, 348 Microsections, 359, 360, 372, 375
Load assumptions, 357 Microstructure of materials, 13
Load bearing structure, 433 Microstructure, 324329, 332336, 359, 369,
Load ratio, 144, 145 371, 376
Localization, 459 Microvoid coalescence fracture, 26
Location, 453457, 459, 468 Mine cavities, 152
Location cluster, 141 Modal AE, 140, 142
Low-coherence interferometry, 269, 271 Modal analysis of bridges, 113, 115
Lubricants, 407, 408 Mode shapes, 109, 110, 113 , 114116, 120
Mohrs circle of strain, 73, 82
Molybdenum disulfide, 330
M Moment tensor analysis, 153
Machine elements, 36, 154 Monitoring, 413, 415, 430, 431, 433, 434, 439, 445,
Machine foundation, 114, 117 539541
Machinery diagnostics, 387 Monolayer, 302, 308, 311, 313
Magnetic barkhausen emission, 46, 51 Monopile, 505507, 510
Magnetic chip detection, 394 Monte-Carlo simulation, 304
Magnetic flux leakage, 45, 50 Morphology, 335, 405
Magnetic flux testing (MT), 162, 172 Motors, 479
Magnetic particle evaluation, 48, 49 Movable cellular automata, 331
Magnetite, 331, 332 Mudflow, 468
Magnification, 228, 230, 239, 243 Multilayer, 324, 335
Maintenance, 6, 390, 391, 429431, 433, 434, 437439, Multiphase pipelines, 456
442447, 450, 453
Maintenance and repair, 453
Manufacturing quality control, 143 N
Mapping Nanostructure, 324, 327, 328, 331, 332
elemental distribution mapping, 307 Natural materials, 11
Materials, 342345, 347353 Network design, 416, 418, 420
bio materials, 313 Network topology, 420
functional materials, 317 Neutron activation analyses (NAA), 546
material contrast, 307 Neutron diffraction, 96, 97, 101
Index 563

Neutron, 221, 223, 232, 233 Phosphor, 222, 227, 235, 236, 240
Nitrogen, 361, 362, 367 Photo absorption, 224
Noise sources, 140, 141, 155 Photoelectron
Noise, 226228, 230, 235, 245 photoelectron spectroscopy
Noncontact extensometer, 91 (XPS), 302, 308
Non-destructive evaluation (NDE), 6, 249, 250, 253, 255, Photo ionization, 308
394, 401 Photoemission, 308311
Non-destructive investigation, 325, 326, 328 Photon beam, 308
Non-destructive testing (NDT), 161, 162, 166, Photonics failures, 28
172, 249 Physics of failure, 23
Non-electrical diagnostics, 479 Piezoceramics, 277
Non-ionizing radiation, 30 Piezoelectric AE sensors, 138
Non-metallic inclusions, 369, 372, 375379, 381, 383 Piezoelectric effect, 264, 276
Normal strain, 7173 Pigging, 469
Normalized, 228, 230 Pin-on-disc test, 330
Pipeline, 341, 453, 456, 468
Pipeline management, 453
O Pipeline shutdown, 469
Offshore production platforms, 145 Pipeline strain, 462
Offshore structure, 540, 541 Pipeline temperature, 455, 469
Offshore wind turbine, 505, 506, 511, 541 Pitting, 19
Oil analysis, 394, 397 Pixel, 227, 228, 230, 235, 240
Oil monitoring, 396, 407 Plate hole, 229, 231
Oil pipeline, 456 Plating, 315, 316
Optical density, 232, 234 PMC lamellas, 145
Optical fiber, 454, 456, 465, 468, 482, 486, 488 PMC structures, 142, 143
Optical fiber sensor, 461, 467, 468, 482, 493 Point defects in materials, 13
Optical spectrum analyzer (OSA), 265, 269 Polymer optical fiber (POF), 275, 276
Optical time-domain reflectometer (OTDR), 265, 271, Polymer-matrix composite (PMC), 142
272, 276 Polymers, 12, 310, 319
Optoelectronics failures, 28 Porosity analysis, 249251
Organic materials, 12 Portlandite, 335
Outputs of systems, 17 Positron annihilation technique, 43, 61, 67
Overhead electrical lines, 356, 363, 366, 367 Positron electron annihilation, 226
Overhead transmission lines, 491 Positron, 225, 226, 232
Overstress failures, 38 Post-test analysis, 141
Power transformer, 152
Predictive maintenance, 6
P Pressure equipment, 143
b-particle, 222, 223 Preventive maintenance, 6
Pair generation, 222, 239 Primary sources, 141
Partial electric discharge, 137, 143, 152 Principle strain and stress, 73, 74, 82
Particle counting, 394, 397 Probability of detection, 65
Pattern recognition, 142 Probe, 302, 303, 308, 310, 314
PD diagnostics, 490 Proof testing, 143
PD monitoring system, 499 Proton-induced X-ray emission (PIXE), 546
Penetrant testing (PT), 172 Pulse echo technique, 52, 53
Penetrant, 394, 401 Purity, 372, 374, 377, 380383
Perception threshold, 230 Pyrometer, 400
Performance control, 453
Performance model, 429, 431
Performance parameter, 19 Q
Permeability of soil, 459 Qualitative analysis, 303
Petrography, 327, 334 Quantification
Phased array, 45, 52, 53 software, 306
Phased array probe, 166171 with standards, 306
Phase, 13 standard-free quantification, 310
distribution, 307 standardless quantification, 306
Phosphor layer, 227, 240 Quantitative analysis, 307, 311
564 Index

R Scanning electron microscope (SEM), 303, 305307,

RADAR, 454 315317, 546
Radiation, 30 SEM micrograph, 307, 315, 316
Radiocarbon dating (of organic materials, Scatter ratio, 227
C14-method), 547 Scattered radiation, 236
Radiography, 45, 48, 54, 63, 64, 222, 223, 226228, 230, Scattering, 223226, 228, 239, 240, 453455
232239, 243, 245, 394, 402 Screen, 228, 232, 233, 235, 242, 243
Radiology, 221, 222, 227, 231, 232, 241, 245 Seals, 394, 397, 403, 406, 407
Radioscopy, 232 Secondary damage, 369, 371, 373, 381
Railway axle, 371, 377, 378, 382, 383 Secondary ion mass spectrometry (SIMS), 302
Raleigh scatter, 224, 225 dynamic SIMS, 313
Raman spectroscopy, 546, 547, 549 static SIMS, 313, 319
Raman, 453455 ToF-SIMS, 313, 314, 316, 317, 319321
Real-time analysis, 137, 139, 141, 154 Secondary sources, 141
Real-time monitoring, 137 Security, 245
Reference images, 232 Self-corrosion, 255, 256
Reference material Semiconductors, 12, 302, 313
certified reference material (CRM), 304, 305, 307, Sensing cable, 456, 457, 463, 465, 469
310, 312, 314 Sensitivity pattern of EC coils, 163
Reflectography, 546 Sensitivity, 229232, 236, 237, 240, 241, 302, 311, 313,
Reinforced concrete beam, 145 316
Relative contrast, 227 Sensor arrangement, 268
Relative sensitivity factors (RSF), 311, 312 Sensor effects, 260, 261, 264
Released gas, 456 Sensor selection, 417
Released liquid, 456 Sensor selection criteria , 417
Reliability, 5 Sensors, 137, 138, 140, 144, 145, 147, 149, 150, 153,
Reliability-centered maintenance (RCM), 390, 391 154, 157, 260262, 264269, 271, 272, 275,
Remote control, 468 276, 417420, 540
Repair procedures, 342, 343, 346, 352, 353 Servo hydraulic exciter, 111, 112
Residual life, 431, 435, 440 Servo-accelerometer, 426
Residual stress, 9499, 102, 104, 106 Set-up of a data acquisition system, 418
Resistance strain gage, 7577, 82, 83, 89 Severity value, 141
Resistance temperature detector (RTD), 399, 400 Shear strain, 72, 73
Resolution Shearography, 43, 60
energy resolution, 306, 309, 311 Shock, 3, 4, 28, 395, 396, 407
lateral resolution, 309, 310, 314, 315 Shock-pulse method, 393396
spatial resolution, 303, 306, 307, 312 Signal features, 139
spectral resolution, 309 Signal parameters, 139142, 145, 147
Restoration, 545, 547, 549, 552 Signal preprocessing methods, 416
Restoration studies, 545, 552 Signal processing and data handling, 61
Restraint intensity, 103, 104, 106 Signal-to-noise ratio, 226228, 230
Risk, 5 Silicon drift detector (SDD-EDS), 306
River crossing, 469 Silicon, 12, 239, 240
RMS signal, 142 Silicone contamination, 316
RMS value, 140, 142, 154 Silicon-lithium detector
Roof constructions, 115 (Si(Li)-EDS), 306
Root cause, 369, 370, 375, 381 Simulation of leakage, 465
Root-cause analysis, 369, 387 Skin depth, 59
Root cause failure analysis, 3 Smart materials, 14, 260, 261
Root mean square (RMS), 140, 142, 154 Smart sensor, 427
Rotating machines, 141, 142, 153 Smart structure, 260
Rotating structures, 144, 153 SN curve, 25
Rotor blades, 510, 511, 514517 Snow loads, 356
Snow rolls, 356, 359, 363, 365367
Source characterization, 141
S Source location, 138, 140, 141
Safety, 5, 244, 245, 453, 469 Source mechanisms, 138, 142, 154
Scanning auger microscopy (SAM), 312 Source size, 227
Index 565

Spatial resolution, 228, 231, 234236, 240, 454, Superficial layer, 324
455, 465 Support structures, 505, 508, 511
Specific contrast, 227, 228, 230 Surface
Specimen polishes surface, 307
specimen density, 303, 307 unpolished surface, 307
specimen preparation, 303, 307 surface chemical analysis, 301303
specimen surface, 303, 305307 Surface fatigue, 37
Spectral analysis, 139, 142 Suspension towers, 356
Spectrography, 394, 396 Switchgears, 489
Spectrum, 222, 223, 246 Symptom analysis, 416, 422, 423
Sputtering Symptoms, 3
sputter scale, 301, 302, 309, 310, 312314, Synchrotron computed tomography, 250
318, 319 Synchrotron diffraction, 100
sputtering yield, 313 Synchrotron radiation, 296
Stamped holes, 358, 359, 362, 363, 367 Synchrotron refraction computed tomography
Standards, 229, 231234, 236, 237 (SRCT), 295299
pure standards, 306 Syndromes, 3
compound standards, 306 Synthetic aperture focusing technique (SAFT), 166169
Stanford multi-actuator receiver transduction layer System concept, 16
(SMART layer), 278 System theory, 16
Staticfield testing, 539 Systems function, 17
Statistical control, 388, 389 Systems structure, 16
Steady state, 17
Steel
duplex stainless steel, 320, 321 T
low-carbon steel, 315 ta-C, 330
high-alloy steel, 304, 305 Tape sensor, 466468
Steel bridges, 145 Target preparation, 327, 369, 375
Step hole, 229, 231 Task and strategies, 474
STFFT analysis, 142 Technical diagnostics, 3, 413, 415, 539
Stochastic processes, 17 Technical items, 5
Strain, 24, 7084, 8792 Temperature distribution, 455
Strain gage rosette, 74, 81, 99, 100 Temperature disturbance, 455
Strain gauge, 464, 467, 468 Tensile tests, 362, 363, 365
Strain measurement, 83, 84, 88, 89, 91, 95 Tension, 23
Strain measures, 72, 89 Tension towers, 356, 365
Strain sensitivity, 268, 274 Test sequence, 350
Strain transformation, 73 Testing laboratories, 303, 317
Strength-weight map of materials, 15 TFT, 239
Stress, 24 Thermal conductivity, 27
Stress corrosion cracking (SCC), 31, 162, 163 Thermal loads, 26
Stress determination, 75 Thermal map, 461, 462
Stress system, 102, 104 Thermal monitoring, 394, 399
Stressstrain curve, 24 Thermal properties, 15
Stribeck curve, 37 Thermal properties of the soil, 456
Structural analyses, 356 Thermal shock, 28
Structural damage analysis, 540 Thermistor, 399, 400
Structural failure prediction, 358 Thermocouple, 399
Structural health monitoring (SHM), 7, 140, 143, 150, Thermography, 546
259262, 267, 276, 284, 413, 425431, 439, Thermoluminescence (for ceramics), 547
516, 539 Thermomechanical defects, 28
Structural integrity assessment, 19 Thermometer, 399, 409
Structural materials, 14 Third-party intrusion, 453, 456
Structure condition analysis, 540 Thomas steel, 356, 360363, 368
Structure noise, 227 Time-of-flight diffraction (TOFD), 45, 5255
Success tree, 7 Time of flight diffraction technique (TOFD), 166,
Superconducting (SC) network equipments, 497 169171
Superconducting quantum interference device (SQUID), Time-to-failure, 5
50, 51 Toal unsharpness, 229, 231
566 Index

T (cont.) Waveform streaming, 141, 157

TomoCAR, 243 Waveguide, 138, 144, 148
Torsion, 23 Wavelength-dispersive electron probe microanalysis
Toughness, 24 (WD-EPMA), 303
Trace Wavelength-dispersive X-ray spectrometry (WDX), 303
element analysis, 302 Wavelet analysis, 155
elements, 313 Wavelet transform, 57, 58, 63, 65
level concentration, 304 Wavelet, 140, 155157
Traceability, 306 WAXS, 288, 289
Traffic vibration, 110, 116119 Wear, 36
Transmission efficiency, 311 Wear debris, 327
Transmission towers, 356, 358, 363, 368 Weathering, 30
Trend analysis, 141, 142 Weld, 232, 233, 235237, 240244
Tribo-chemical reactions, 37 Weld inspection, 232, 237, 242
Tribocomponents, 317 Weld structure, 97, 102104
Tribofilm, 331, 332 Wharf monitoring, 539
Tribological loads, 35 Wheatstone bridge circuitry, 79
Tribology, 35, 327 Wheelset, 369, 377
Tribosystem, 36 Wide angle X-ray scattering, 288
Tripile, 507, 510, 515 Wind turbine blades, 148
Wire, 228231
Wired communication network, 419
U Wired sensor network, 419
Ultrasonic evaluation, 48, 52 Wireless communication, 419, 420
Ultrasonic immersion technique, 369, 378 Whler curve, 25
Ultrasonic monitoring, 394 Work function, 311
Ultrasonic Testing (UT), 162, 165 Working principle, 239
Ultrasonic testing, 370
Underground repositories, 152
Unexploded ordnance, 245 X
Unsharpnes, 226229, 231, 233, 237, 239, 240 X-ray, 221224, 227, 230, 233, 236, 242246, 287299
USAXS, 288, 292 absorption, 250
characteristic X-rays, 303, 304, 309
detector, 306
V diffraction, 96, 97, 100
Vacuum, 303, 305, 309, 313, 317 diffraction microscopy, 291, 292
Validation, 416, 421 fluorescence, 224
Vandalism, 453 fluorescence (XRF), 546, 547, 549
Vertical-cavity surface-emitting lasers line, 304307
(VCSEL), 265 photons, 302, 308, 310
Very high cycle fatigue, 376 photoelectron spectroscopy (XPS), 302
Vibration monitoring, 393, 404, 405 refraction tomography, 295, 296
Vibrational spectroscopy, 547 refraction topography, 292, 294, 295
Visibility, 228230, 240, 241 refraction, 292, 299
Visual examination, 45, 48 scattering, 287, 288
Visual bridge inspection, 432, 439 source, 309
Visual inspection (VT), 162, 172, 391, 394, 397, 398, spectrometer efficiency, 307, 321
401, 409 spectrum, 305
Volume defects in materials, 13 technologies, 546
tomography, 546, 551
X-ray absorption near edge structure
W (XANES), 546, 547
Wall thickness, 232, 233, 236, 238, 240
Wave attenuation, 138, 144, 149
Wave mode, 140, 142 Y
Wave mode analysis, 140, 142 Yield strength, 24
Waveform, 138141, 155, 157 Youngs modulus, 24
Waveform analysis, 141