Electronics and communications engineering Books

Book SynopsisHydrogen storage is considered a key technology for stationary and portable power generation especially for transportation. This volume covers the novel technologies to efficiently store and distribute hydrogen and discusses the underlying basics as well as the advanced details in hydrogen storage technologies. The book has two major parts: Chemical and electrochemical hydrogen storage and Carbon-based materials for hydrogen storage. The following subjects are detailed in Part I: Multi stage compression system based on metal hydridesMetal-N-H systems and their physico-chemical propertiesMg-based nano materials with enhanced sorption kineticsGaseous and electrochemical hydrogen storage in the Ti-Z-NiElectrochemical methods for hydrogenation/dehydrogenation of metal hydrides In Part II the following subjects are addressed: Activated carbon for hydrogen storage obtained from agro-industrial wasteHydrogen storage using carbonaceous materialsHydrogen storage performance of composite mateTable of ContentsPreface xiii Part I: Chemical and Electrochemical Hydrogen Storage 1 1 Metal Hydride Hydrogen Compression Systems – Materials, Applications and Numerical Analysis 3 Evangelos I. Gkanas and Martin Khzouz 1.1 Introduction 3 1.2 Adoption of a Hydrogen-Based Economy 4 1.2.1 Climate Change and Pollution 4 1.2.2 Toward a Hydrogen-Based Future 4 1.2.3 Hydrogen Storage 5 1.2.3.1 Compressed Hydrogen Storage 5 1.2.3.2 Hydrogen Storage in Liquid Form 5 1.2.3.3 Solid-State Hydrogen Storage 6 1.3 Hydrogen Compression Technologies 6 1.3.1 Reciprocating Piston Compressor 7 1.3.2 Ionic Liquid Piston Compressor 8 1.3.3 Piston-Metal Diaphragm Compressor 9 1.3.4 Electrochemical Hydrogen Compressor 9 1.4 Metal Hydride Hydrogen Compressors (MHHC) 11 1.4.1 Operation of a Two-Stage MHHC 11 1.4.2 Metal Hydrides 14 1.4.3 Thermodynamic Analysis of the Metal Hydride Formation 14 1.4.3.1 Pressure-Composition-Temperature (P-c-T) Properties 14 1.4.3.2 Slope and Hysteresis 16 1.4.4 Material Challenges for MHHCs 17 1.4.4.1 AB5 Intermetallics 18 1.4.4.2 AB2 Intermetallics 19 1.4.4.3 TiFe-Based AB-Type Intermetallics 19 1.4.4.4 Vanadium-Based BCC Solid Solution Alloys 19 1.5 Numerical Analysis of a Multistage MHHC System 20 1.5.1 Assumptions 20 1.5.2 Physical Model and Geometries 21 1.5.3 Heat Equation 22 1.5.4 Hydrogen Mass Balance 22 1.5.5 Momentum Equation 23 1.5.6 Kinetic Expressions for the Hydrogenation and Dehydrogenation 23 1.5.7 Equilibrium Pressure 24 1.5.8 Coupled Mass and Energy Balance 24 1.5.9 Validation of the Numerical Model 25 1.5.10 Material Selection for a Three-Stage MHHC 26 1.5.11 Temperature Evolution of the Complete Three-Stage Compression Cycle 27 1.5.12 Pressure and Storage Capacity Evolution During the Complete Three-Stage Compression Cycle 29 1.5.13 Importance of the Number of Stages and Proper Selection 31 1.6 Conclusions 32 Acknowledgments 32 Nomenclature 32 References 33 2 Nitrogen-Based Hydrogen Storage Systems: A Detailed Overview 39 Ankur Jain, Takayuki Ichikawa and Shivani Agarwal 2.1 Introduction 40 2.2 Amide/Imide Systems 41 2.2.1 Single-Cation Amide/Imide Systems 41 2.2.1.1 Lithium Amide/Imide 41 2.2.1.2 Sodium Amide/Imide 44 2.2.1.3 Magnesium Amide/Imide 47 2.2.1.4 Calcium Amide/Imide 49 2.2.2 Double-Cation Amide/Imide Systems 51 2.2.2.1 Li-Na-N-H 52 2.2.2.2 Li-Mg-N-H 54 2.2.2.3 Other Double-Cation Amides/Imides 58 2.3 Ammonia (NH3) as Hydrogen Storage Media 62 2.3.1 NH3 Synthesis 63 2.3.1.1 Catalytic NH3 Synthesis Using Haber-Bosch Process 63 2.3.1.2 Alternative Routes for NH3 Synthesis 68 2.3.2 NH3 Solid-State Storage 69 2.3.2.1 Metal Ammine Salts 69 2.3.2.2 Ammine Metal Borohydride 70 2.3.3 NH3 Decomposition 71 2.3.4 Application of NH3 to Fuel Cell 73 2.4 Future Prospects 74 References 75 3 Nanostructured Mg-Based Hydrogen Storage Materials: Synthesis and Properties 89 Huaiyu Shao, Xiubo Xie, Jianding Li, Bo Li, Tong Liu and Xingguo Li 3.1 Introduction 90 3.2 Experimental Details 92 3.2.1 Synthesis of Metal Nanoparticles 92 3.2.2 Formation of the Nanostructured Hydrides and Alloys 93 3.2.3 Characterization and Measurements 93 3.3 Synthesis Results of the Nanostructured Samples 94 3.4 Hydrogen Absorption Kinetics 98 3.5 Hydrogen Storage Thermodynamics 99 3.6 Novel Mg-TM (TM=V, Zn, Al) Nanocomposites 103 3.6.1 Introduction 103 3.6.2 Structure and Morphology of Mg-TM Nanocomposites 105 3.6.3 Hydrogen Absorption Kinetics 107 3.6.4 Phase Evolution During Hydrogenation/Dehydrogenation 108 3.6.5 Summary 109 3.7 Summary and Prospects 110 Acknowledgments 111 References 111 4 Hydrogen Storage in Ti/Zr-Based Amorphous and Quasicrystal Alloys 117 Akito Takasaki, Łukasz Gondek, Joanna Czub, Alicja Klimkowicz, Antoni Żywczak and Konrad Świerczek 4.1 Introduction 118 4.2 Production of Ti/Zr-Based Amorphous and Quasicrystals Alloys 119 4.3 Hydrogen Storage in T-Zr-Based Amorphous Alloys 124 4.3.1 Gaseous Hydrogenation 124 4.3.2 Electrochemical Hydrogenation 129 4.4 Hydrogen Storage in the Ti/Zr-Based Quasicrystal Alloys 130 4.4.1 Gaseous Hydrogenation 131 4.4.2 Electrochemical Hydrogenation 133 4.5 Comparison of Amorphous and Quasicrystal Phases on the Hydrogen Properties 140 4.6 Conclusions 141 References 142 5 Electrochemical Method of Hydrogenation/Dehydrogenation of Metal Hydrides 147 N.E. Galushkin, N.N. Yazvinskaya and D.N. Galushkin 5.1 Introduction 148 5.2 Electrochemical Method of Hydrogenation of Metal Hydrides 151 5.2.1 Hydrogen Accumulation in Electrodes of Cadmium-Nickel Batteries Based on Electrochemical Method 151 5.2.2 Hydrogen Accumulation in Sintered Nickel Matrix of Oxide-Nickel Electrode 155 5.2.2.1 Active Substance of Oxide-Nickel Electrodes 155 5.2.2.2 Sintered Nickel Matrices of Oxide-Nickel Electrodes 157 5.3 Electrochemical Method of Dehydrogenation of Metal Hydrides 161 5.3.1 Introduction 161 5.3.2 Thermal Runaway as the New Method of Hydrogen Desorption from Hydrides 164 5.3.2.1 Thermo-Chemical Method of Hydrogen Desorption 164 5.3.2.2 Thermal Runaway: A New Method of Hydrogen Desorption from Metal Hydrides 164 5.4 Discussion 166 5.5 Conclusions 172 References 173 Part II: Carbon-Based Materials for Hydrogen Storage 177 6 Activated Carbon for Hydrogen Storage Obtained from Agro-Industrial Waste 179 Yesid Murillo-Acevedo, Paola Rodríguez-Estupiñán, Liliana Giraldo Gutiérrez and Juan Carlos Moreno-Piraján 6.1 Introduction 180 6.2 Experimental 182 6.3 Results and Discussion 183 6.4 Conclusions 192 Acknowledgments 193 References 193 7 Carbonaceous Materials in Hydrogen Storage 197 R. Pedicini, I. Gatto, M. F. Gatto and E. Passalacqua 7.1 Introduction 198 7.2 Materials Consisting of Only Carbon Atoms 199 7.2.1 Graphite 199 7.2.2 Carbon Nanofibers 200 7.2.3 Carbon Nanostructures 202 7.2.4 Graphene 203 7.2.5 Carbon Nanotubes (CNTs) and Carbon Multi-Walled Nanotubes (MWCNTs) 203 7.3 Materials Containing Carbon and Other Light Elements 205 7.3.1 Polyaniline (PANI), Polypyrrole (PPy) and Polythiophene (PTh) 206 7.3.2 Hyperbranched Polyurea (P-Urea) and Poly(Amide-Amine) (PAMAM) 207 7.3.3 Microporous Polymers (PIMs) 207 7.3.4 Conjugated Microporous Polymers (CMPs) 208 7.3.5 Hyper-Cross-Linked Polymers (HCPs) 209 7.3.6 Porous Aromatic Frameworks (PAFs) 209 7.4 Composite Materials Made by Polymeric Matrix 210 7.4.1 Composite Poly(Amide-Amine) (PAMAM) 211 7.4.2 Polymer-Dispersed Metal Hydrides (PDMHs) 211 7.4.3 Mn Oxide Anchored to a Polymeric Matrix 212 7.5 Waste and Natural Materials 217 7.6 Conclusions 220 References 223 8 Beneficial Effects of Graphene on Hydrogen Uptake and Release from Light Hydrogen Storage Materials 229 Rohit R Shahi 8.1 Introduction 230 8.2 General Aspects of Graphene 232 8.2.1 Synthesis of Graphene 233 8.2.1.1 Mechanical Cleavage of Highly Oriented Pyrolytic Graphite 233 8.2.1.2 Chemical Vapor Deposition 233 8.2.1.3 Chemical and Thermal Exfoliation of Graphite Oxide 234 8.2.1.4 Arc Discharge Method 234 8.2.2 Graphene as a Beneficial Additive for HS Materials 234 8.3 Beneficial Effect of Graphene: Key Results with Light Metal Hydrides (e.g., LiBH4, NaAlH4, MgH2) 236 8.3.1 Borohydrides (Tetrahydroborate) as HS Material 236 8.3.1.1 Effect of Graphene on Desorption Properties of LiBH4 237 8.4 Alanates as HS Materials 239 8.4.1 Effect of Graphene on Sorption Behavior of NaAlH4 240 8.4.2 Carbon Nanomaterial-Assisted Morphological Tuning of NaAlH4 to Improve Thermodynamics and Kinetics 242 8.5 Magnesium Hydride as HS Material 243 8.5.1 Catalytic Effect of Graphene on Sorption Behavior of Mg/MgH2 244 8.5.2 Nanoparticles Templated Graphene as an Additive for MgH2 246 8.6 Summary and Future Prospects 253 Acknowledgment 254 References 254 9 Hydrogen Adsorption on Nanotextured Carbon Materials 263 G. Sdanghi, G. Maranzana, A. Celzard and V. Fierro 9.1 Introduction 264 9.1.1 Essential Features of Hydrogen Adsorption on Porous Carbon Materials 264 9.1.2 Measurement of the Hydrogen Storage Capacity 267 9.1.3 Excess, Absolute and Total Hydrogen Adsorption 268 9.2 Hydrogen Storage in Carbon Materials 270 9.2.1 Activated Carbons 270 9.2.2 Carbon Nanomaterials 273 9.2.2.1 Graphene 273 9.2.2.2 Fullerenes 276 9.2.2.3 Carbon Nanotubes 276 9.2.2.4 Carbon Nanofibers 279 9.2.3 Templated Carbons 282 9.2.3.1 Zeolite- and Silica-Derived Carbons 282 9.2.3.2 MOFs-Derived Carbons 284 9.2.4 Other Carbon Materials 289 9.2.4.1 Carbide-Derived Carbons 289 9.2.4.2 Hybrid Carbon-MOF Materials 289 9.2.4.3 Hyper-Cross-Linked Polymers–Derived Carbons 291 9.2.4.4 Carbon Nanorods, Nanohorns and Nanospheres 291 9.2.4.5 Carbon Nitrides 293 9.2.4.6 Carbon Aerogels 293 9.2.4.7 Other Exotic Carbon Materials 294 9.3 Conclusion 295 Acknowledgments 297 References 297 Appendix 310 Index 321

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Book SynopsisThis book provides a broad overall view of the photoelectrochemical systems for solar hydrogen generation, and new and novel materials for photoelectrochemical solar cell applications. Hydrogen has a huge potential as a safe and efficient energy carrier, which can be used directly in fuel cells to obtain electricity, or it can be used in the chemical industry, fossil fuel processing or ammonia production. However, hydrogen is not freely available in nature and it needs to be produced. Photoelectrochemical solar cells produce hydrogen from water using sunlight and specialized semiconductors, which use solar energy to directly dissociate water molecules into hydrogen and oxygen. Hence, these systems reduce fossil fuels dependency and curb carbon dioxide emissions. Photoelectrochemical Solar Cells compiles the objectives related to the new semiconductor materials and manufacturing techniques for solar hydrogen generation. The chapters are written by distinguTable of ContentsPreface xi Part I: General Concepts and Photoelectrochemical Systems 1 1 Photoelectrochemical Reaction Engineering for Solar Fuels Production 3Isaac Holmes-Gentle, Faye Alhersh, Franky Bedoya and Klaus Hellgardt 1.1 Introduction 3 1.1.1 Undeveloped Power of Renewables 4 1.1.2 Comparison Solar Hydrogen from Different Sources 5 1.1.3 Economic Targets for Hydrogen Production and PEC Systems 6 1.1.4 Goals of Using Hydrogen 8 1.2 Theory and Classification of PEC Systems 9 1.2.1 Classification Framework for PEC Cell Conceptual Design 10 1.2.2 Classification Framework for Design of PEC Devices 13 1.2.3 Integrated Device vs PV + Electrolysis 19 1.3 Scaling Up of PEC Reactors 19 1.4 Reactor Designs 20 1.5 Systems-Level Design 28 1.6 Outlook 30 1.6.1 Future Reactor Designs 30 1.6.1.1 Perforated Designs 30 1.6.1.2 Membrane-less and Microfluidic Designs 31 1.6.1.3 Redox-Mediated Systems 31 1.6.2 Avenues for Future Research 33 1.6.2.1 Intensification and Waste Heat Utilization 33 1.6.2.2 Usefulness of Oxidation and Coupled Process with Hydrogen Generation 33 1.7 Summary and Conclusions 34 References 35 2 The Measurements and Efficiency Definition Protocols in Photoelectrochemical Solar Hydrogen Generation 43Jingwei Huang and Qizhao Wang 2.1 Introduction 43 2.2 PEC Measurement 44 2.2.1 Measurements of Optical Properties 44 2.2.2 Polarization Curve Measurements 45 2.2.3 Photocurrent Transients Measurements 46 2.2.4 IPCE and APCE Measurements 47 2.2.5 Mott–Schottky Measurements 48 2.2.6 Measurement (Calculation) of Charge Separation Efficiency 50 2.2.7 Measurements of Charge Injection Efficiency 51 2.8 Gas Evolution Measurements 52 2.3 The Efficiency Definition Protocols in PEC Water Splitting 53 2.3.1 Solar-to-Hydrogen Conversion Efficiency 53 2.3.2 Applied Bias Photon-to-Current Efficiency 54 2.3.3 IPCE and APCE 55 2.4 Summary 56 References 56 3 Photoelectrochemical Cell: A Versatile Device for Sustainable Hydrogen Production 59Mohit Prasad, Vidhika Sharma, Avinash Rokade and Sandesh Jadkar 3.1 Introduction 60 3.2 Photoelctrochemical (PEC) Cells 61 3.2.1 Solar-to-Hydrogen (STH) Conversion Efficiency 65 3.2.2 Applied Bias Photon-to-Current Efficiency (ABPE) 65 3.2.3 External Quantum Efficiency (EQE) or Incident Photon-to-Current Efficiency (IPCE) 65 3.2.4 Internal Quantum Efficiency (IQE) or Absorbed Photon-to-Current Efficiency (APCE) 66 3.3 Monometal Oxide Systems for PEC H2 Generation 66 3.3.1 Titanium Dioxide (TiO2) 67 3.3.2 Zinc Oxide (ZnO) 68 3.3.3 Tungsten Oxide (WO3) 70 3.3.4 Iron Oxide (Fe2O3) 75 3.3.5 Bismuth Vandate (BiVO4) 76 3.4 Complex Nanostructures for PEC Splitting of Water 77 3.4.1 Plasmonic Metal Semiconductor Composite Photoelectrodes 77 3.4.2 Semiconductor Heterojunctions 80 3.4.3 Quantum Dots Sensitized Semiconductor Photoelectrodes 82 3.4.4 Synergistic Effect in Semiconductor Photoelectrodes 83 3.4.5 Biosensitized Semiconductor Photoelectrodes 85 3.4.6 Tandem Stand-alone PEC Water-Splitting Device 92 3.5 Conclusion and Outlook 98 Acknowledgments 101 References 101 4 Hydrogen Generation from Photoelectrochemical Water Splitting 121Yanqi Xu, Qian Zhao, Cui Du, Chen Zhou, Huaiguo Xue and Shengyang Yang 4.1 Introduction 122 4.2 Principle of Photoelectrochemical (PEC) Hydrogen Generation 122 4.3 Photoeletrode Materials 125 4.3.1 Photoanode Materials 125 4.3.1.1 TiO2-Based Photoelectrode 125 4.3.1.2 BiVO4-Based Photoelectrode 126 4.3.1.3 α-Fe2O3-Based Photoelectrode 129 4.3.2 Photocathode Materials 129 4.3.2.1 Copper-Based Chalcogenides-Based Photoelectrode 129 4.3.2.2 Silicon-Based Photoelectrode 130 4.3.2.3 Cu2O-Based Photoelectrode 131 4.3.2.4 III-V Group Materials 132 4.3.2.5 CdS-Based Photoelectrode 134 4.4 Advances in Photoelectrochemical (PEC) Hydrogen Generation 135 4.4.1 Monocomponent Catalyst 135 4.4.2 Functional Cocatalyst 137 4.4.3 Z-scheme Catalyst 139 4.5 Pros and cons of photoelectrodes and photocatalysts 142 4.6 Conclusion and Outlook 144 Acknowledgments 145 References 145 Part II: Photoactive Materials for Solar Hydrogen Generation 159 5 Hematite Materials for Solar-Driven Photoelectrochemical Cells 161Tianyu Liu, Martina Morelli and Yat Li 5.1 Introduction 161 5.2 Physical Properties of Hematite 163 5.2.1 Crystal Structure 163 5.2.2 Optical Properties 164 5.2.3 Electronic Properties 165 5.2.4 Band Structure 166 5.2.5 Overview of Hematite Bottlenecks and Corresponding Strategies 167 5.2.5.1 Addressing Poor Light Absorption Efficiency 168 5.2.5.2 Addressing Fast Charge Carrier Recombination 169 5.2.5.3 Addressing Sluggish Water Oxidation 5.3 Kinetics 169 5.3 Experimental Strategies to Enhance the Photoactivity of Hematite 170 5.3.1 Nanostructuring 170 5.3.1.1 Direct Synthesis 170 5.3.1.3 In Situ Structural Transformation 172 5.3.1.4 “Locking” Nanostructures 173 5.3.2 Doping 175 5.3.2.1 Oxygen Vacancies 175 5.3.2.2 Foreign Ion Doping 177 5.3.3 Construction of Heterojunctions 180 5.3.3.1 Semiconducting Overlayers 180 5.3.3.2 Sensitization and Tandem Cells 181 5.3.3.3 OER Catalysts 182 5.3.3.4 Engineering of Current Collectors 184 5.4 Fundamental Characteristics of the PEC Behaviors of Hematite 185 5.4.1 Transient Absorption Spectroscopy 185 5.4.2 Effects of Morphology 196 5.4.3 Effect of Doping 198 5.4.3.1 Oxygen (O) Vacancies 198 5.4.3.2 n-type Dopants 199 5.4.3.3 p-type Dopants 201 5.4.3.4 Isovalent Dopants 201 5.4.3.5 Multiple Dopants 201 5.4.4 Effect of Water Oxidation Catalysts 202 5.4.4.1 Mechanism of Uncatalyzed Water Oxidation 202 5.4.4.2 Mechanism of Catalyzed Water Oxidation 203 5.4.5 Effect of Heterojunctions 204 5.4.5.1 Facilitating Charge Separation and Transfer 204 5.4.5.2 Surface Passivation 206 5.4.5.3 Back-contact Engineering 207 5.5 Summary 208 References 209 6 Design of Bismuth Vanadate-Based Materials: New Advanced Photoanodes for Solar Hydrogen Generation 219Olivier Monfort, Panagiotis Lianos and Gustav Plesch 6.1 Introduction 220 6.2 Photoanodes in Photoelectrochemical Processes 220 6.3 Bismuth Vanadate (BiVO4) 224 6.3.1 Structure and Properties of BiVO4 225 6.3.2 Synthesis of BiVO4 226 6.3.3 Applications of BiVO4 Materials 227 6.4 BiVO4 as Photoanode for Solar Hydrogen Generation 228 6.4.1 Optimization of the Photoanode 228 6.4.1.1 Photoanode Preparation 228 6.4.1.2 Choice of the Electrolyte 231 6.4.2 Solar Hydrogen Generation by Water Splitting 233 6.5 Modified BiVO4 Photoanodes 236 6.5.1 Transition Metal-Modified BiVO4 237 6.5.1.1 Generalities 237 6.5.1.2 Nb-modified BiVO4 238 6.5.2 BiVO4 Composites 240 6.5.2.1 Generalities 240 6.5.2.2 BiVO4/TiO2 Composite 242 6.6 Conclusion 245 6.7 Acknowledgments 246 References 246 7 Copper-Based Chalcopyrite and Kesterite Materials for Solar Hydrogen Generation 251Cigdem Tuc Altaf, Nazrin Abdullayeva and Nurdan Demirci Sankir 7.1 Introduction 252 7.2 Chalcopyrite I-III-VI2 Semiconductors 253 7.2.1 Material Properties 253 7.2.2 Synthesis Techniques of Chalcopyrite CuInS/Se2 Nanocrystals 255 7.2.2.1 Hot-Injection Method 258 7.2.2.2 Heat-Up (Noninjection) Method 258 7.2.2.3 Thermal Decomposition Method 258 7.2.2.4 Solvothermal Method 259 7.2.2.5 Microwave Treatment Method 260 7.2.3 Chalcopyrite CuInS/Se2 Thin-Film Fabrication Methods 260 7.2.3.1 Vacuum-Based Techniques 262 7.2.3.2 Nonvacuum Techniques 263 7.2.4 Applications in Photoelectrochemical Cells 266 7.3 Cu-Based Kesterite (I2-II-IV-VI4) Semiconductors 269 7.3.1 Material Properties 269 7.3.2 Synthesis Techniques of Kesterite Cu2ZnSnS/Se4 Nanocrystals 272 7.3.2.1 Hot-Injection Method 272 7.3.2.2 Solvothermal/Hydrothermal Method 274 7.3.2.3 Microwave-Assisted Chemical Synthesis 275 7.3.2.4 Additional Novel Approaches to CZTS Nanocrystal Syntheses 275 7.3.3 Kesterite Cu2ZnSnS4 Thin-Film Fabrication Methods 277 7.3.3.1 Vacuum-based Techniques 277 7.3.3.2 Nonvacuum Techniques 280 7.3.4 Applications in Photoelectrochemical Cells 284 7.4 Concluding Remarks 284 References 287 8 Eutectic Composites for Photoelectrochemical Solar Cells (PSCs) 297J. Sar, K. Kolodziejak, K. Wysmulek, K. Orlinski, A. Kusior, M. Radecka, A. Trenczek-Zajac, K. Zakrzewska and D.A. Pawlak 8.1 Introduction 297 8.2 The Photoelectrolysis of Water as a Source of Hydrogen 298 8.3 Experimental Methods for Studying Photoactive Materials Such as Electrochemical (Mott–Schottky Plots) and Photoelectrochemical Determination of the Flat-Band Potential, Impedance Spectroscopy, and Bandgap by Optical Spectroscopy 302 8.4 Eutectic Composites 318 8.5 Methods of Obtaining Eutectic Composites 322 8.6 Eutectic Composites used for Photoelectrochemical Water Splitting 324 8.7 Other Potential Eutectic Composites 328 8.8 Modification of the Properties of Eutectic Composites 329 8.9 Conclusions 331 References 332 Part III: Photoelectrochemical Related Systems 341 9 Implementation of Multijunction Solar Cells in Integrated Devices for the Generation of Solar Fuels 343V. Smirnov, K. Welter, F. Finger, F. Urbain, J.R. Morante, B. Kaiser and W. Jaegermann 9.1 Introduction 344 9.2 Multijunction Solar Cells as Photoelectrodes 349 9.3 PV-EC Devices Based on Multijunction Solar Cells 355 9.4 Promising Device Designs, Future Prospects 362 9.5 Summary and Conclusions 367 References 370 10 Photoelectrochemical Cells: Dye-Sensitized Solar Cells 375Go Kawamura, Pascal Nbelayim, Wai Kian Tan and Atsunori Matsuda 10.1 Introduction 376 10.2 Brief History of Solar Cells to DSSCs 377 10.3 Structure, Components, and Working Principle of the DSSC 377 10.3.1 The Transparent Conducting Oxide (TCO) Substrate 379 10.3.2 The Hole Blocking Layer (HBL) 379 10.3.3 The Photoanode 379 10.3.4 The Sensitizer/Dye 383 10.3.5 The HTM/Electrolyte 385 10.3.6 The CE 385 10.3.7 Electron Kinetics in an Active DSSC 386 10.4 Characterization Techniques for DSSCs 387 10.4.1 Computational Modeling 387 10.4.2 Morphological and Structural Studies 387 10.4.2.1 Electron Microscopy 387 10.4.2.2 X-Ray Diffraction 388 10.4.3 Dye Adsorption. 389 10.4.4 Spectroscopic Techniques 389 10.4.4.1 Optical (UV–Vis) Spectroscopy 389 10.4.4.2 X-ray Photoelectron Spectroscopy 390 10.4.4.3 FTIR Spectroscopy 390 10.4.4.4 Raman Spectroscopy 390 10.4.4.5 Material Composition 391 10.4.5 Electromagnetic Measurements 391 10.4.5.1 Hall Effect Measurement 391 10.4.5.2 Electron Paramagnetic Resonance Analysis 391 10.4.6 (Photo-)Electrochemical Measurements 391 10.4.6.1 Photovoltaic Properties 392 10.4.6.2 Electrochemical Impedance Spectroscopy 392 10.4.6.3 Electron Transport 392 10.4.6.4 Electron Lifetime 393 10.4.6.5 Electron Concentration 394 10.4.6.6 Flat-band Potential 394 10.4.6.7 Charge Collection Efficiency 394 10.5 Plasmonic DSSCs 395 10.6 Dye-Sensitized Solar Hydrogen Production 398 10.7 Applications and Future Outlook of DSSC 403 10.8 Academic 404 References 405 11 Photocatalytic Formation of Composite Electrodes for Semiconductor-Sensitized Solar Cells 415Oleksandr Stroyuk, Andriy Kozytskiy and Stepan Kuchmiy 11.1 Introduction 416 11.2 Photocatalytic Deposition of Metal Sulfide Nanoparticles on the Surface of Wide-Bandgap Semiconductors 417 11.2.1 Photodeposition of Cadmium Sulfide NPs 420 11.2.2 Photocatalytic Deposition of Lead Sulfide 430 11.2.3 Photocatalytic Deposition of Silver Sulfide 431 11.2.4 Photodeposition of Antimony Sulfide 431 11.2.5 Photocatalytic Deposition of Molybdenum and Tungsten Sulfides 433 11.2.6 Photocatalytic Deposition of Copper Sulfide 434 11.3 Photocatalytic Deposition of Metal Selenides 435 11.4 Conclusion and Outlook 442 References 443 Index 449

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Book SynopsisAn authoritative and comprehensive guide to the devices and applications of Terahertz technology Terahertz (THz) technology relates to applications that span in frequency from a few hundred GHz to more than 1000 GHz. Fundamentals of Terahertz Devices and Applications offers a comprehensive review of the devices and applications of Terahertz technology. With contributions from a range of experts on the topic, this book contains in a single volume an inclusive review of THz devices for signal generation, detection and treatment. Fundamentals of Terahertz Devices and Applications offers an exploration and addresses key categories and aspects of Terahertz Technology such as: sources, detectors, transmission, electronic considerations and applications, optical (photonic) considerations and applications. Worked examples?based on the contributors? extensive experience? highlight the chapter material presented. The text is designed for use by novices and professionals who want a better unTable of ContentsAbout the Editor xvii List of Contributors xix About the Companion Website xxi 1 Introduction to THz Technologies 1 Dimitris Pavlidis 2 Integrated Silicon Lens Antennas at Submillimeter-wave Frequencies 5 Maria Alonso-delPino, Darwin Blanco and Nuria Llombart Juan 2.1 Introduction 5 2.2 Elliptical Lens Antennas 7 2.2.1 Elliptical Lens Synthesis 8 2.2.2 Radiation of Elliptical Lenses 10 2.2.2.1 Transmission Function T(Q) 12 2.2.2.2 Spreading Factor S(Q) 14 2.2.2.3 Equivalent Current Distribution and Far-field Calculation 16 2.2.2.4 Lens Reflection Efficiency 17 2.3 Extended Semi-hemispherical Lens Antennas 19 2.3.1 Radiation of Extended Semi-hemispherical Lenses 20 2.4 Shallow Lenses Excited by Leaky Wave/Fabry–Perot Feeds 22 2.4.1 Analysis of the Leaky-wave Propagation Constant 24 2.4.2 Primary Fields Radiated by a Leaky-wave Antenna Feed on an Infinite Medium 25 2.4.3 Shallow-lens Geometry Optimization 27 2.5 Fly-eye Antenna Array 29 2.5.1 Silicon DRIE Micromachining Process at Submillimeter-wave Frequencies 31 2.5.1.1 Fabrication of Silicon Lenses Using DRIE 32 2.5.1.2 Surface Accuracy 33 2.5.2 Examples of Fabricated Antennas 35 Exercises 36 Exercise 1: Derivation of the Transmission Coefficients and Lens Critical Angle 36 Exercise 2 37 Exercise 3 38 References 39 3 Photoconductive THz Sources Driven at 1550 nm 43 Elliott R. Brown, Björn Globisch, Guillermo Carpintero, Alejandro Rivera, Daniel Segovia-Vargas and Andreas Steiger 3.1 Introduction 43 3.1.1 Overview of THz Photoconductive Sources 43 3.1.2 Lasers and Fiber Optics 45 3.2 1550-nm THz Photoconductive Sources 47 3.2.1 Epitaxial Materials 47 3.2.1.1 Bandgap Engineering 47 3.2.1.2 Low-Temperature Growth 50 3.2.2 Device Types and Modes of Operation 52 3.2.3 Analysis of THz Photoconductive Sources 53 3.2.3.1 PC-Switch Analysis 54 3.2.3.2 Photomixer Analysis 56 3.2.4 Practical Issues 61 3.2.4.1 Contact Effects 62 3.2.4.2 Thermal Effects 63 3.2.4.3 Circuit Limitations 68 3.3 THz Metrology 71 3.3.1 Power Measurements 71 3.3.1.1 A Traceable Power Sensor 71 3.3.1.2 Exemplary THz Power Measurement Exercise 74 3.3.1.3 Other Sources of Error 77 3.3.2 Frequency Metrology 78 3.4 THz Antenna Coupling 79 3.4.1 Fundamental Principles 79 3.4.2 Planar Antennas on Dielectric Substrates 80 3.4.2.1 Input Impedance 81 3.4.2.2 ΔEIRP (Increase in the EIRP of the Transmitting Antenna) 82 3.4.2.3 G/T or Aeff /T 83 3.4.3 Estimation of Power Coupling Factor 83 3.4.4 Exemplary THz Planar Antennas 84 3.4.4.1 Resonant Antennas 84 3.4.4.2 Quick Survey of Self-complementary Antennas 85 3.5 State of the Art in 1550-nm Photoconductive Sources 87 3.5.1 1550-nm MSM Photoconductive Switches 87 3.5.1.1 Material and Device Design 87 3.5.1.2 THz Performance 88 3.5.2 1550-nm Photodiode CW (Photomixer) Sources 90 3.5.2.1 Material and Device Design 90 3.5.2.2 THz Performance 92 3.6 Alternative 1550-nm THz Photoconductive Sources 92 3.6.1 Fe-Doped InGaAs 94 3.6.2 ErAs Nanoparticles in GaAs: Extrinsic Photoconductivity 94 3.7 System Applications 97 3.7.1 Comparison Between Pulsed and CW THz Systems 97 3.7.1.1 Device Aspects 97 3.7.1.2 Systems Aspects 98 3.7.2 Wireless Communications 100 3.7.3 THz Spectroscopy 106 3.7.3.1 Time vs Frequency Domain Systems 106 3.7.3.2 Analysis of Frequency Domain Systems: Amplitude and Phase Modulation 109 Exercises (1–4) 115 Exercises (5–8) THz Interaction with Matter 116 Exercises (9–12) Antennas, Links, and Beams 118 Exercises (13–15) Planar Antennas 120 Exercises (16–19) Device Noise, System Noise, and Dynamic Range 124 Exercises (20–22) Ultrafast Photoconductivity and Photodiodes 125 Explanatory Notes (see superscripts in text) 127 References 128 4 THz Photomixers 137 Emilien Peytavit, Guillaume Ducournau and Jean-François Lampin 4.1 Introduction 137 4.2 Photomixing Basics 137 4.2.1 Photomixing Principle 137 4.2.2 Historical Background 138 4.3 Modeling THz Photomixers 139 4.3.1 Photoconductors 140 4.3.1.1 Photocurrent Generation 140 4.3.1.2 Electrical Model 142 4.3.1.3 Efficiency and Maximum Power 145 4.3.2 Photodiode 146 4.3.2.1 PIN photodiodes 146 4.3.2.2 Uni-Traveling-Carrier Photodiodes 147 4.3.2.3 Photocurrent Generation 148 4.3.2.4 Electrical Model and Output Power 150 4.3.3 Frequency Down-conversion Using Photomixers 151 4.3.3.1 Electrical Model: Conversion Loss 152 4.4 Standard Photomixing Devices 153 4.4.1 Planar Photoconductors 153 4.4.1.1 Intrinsic Limitation 154 4.4.2 UTC Photodiodes 156 4.4.2.1 Backside Illuminated UTC Photodiodes 156 4.4.2.2 Waveguide-fed UTC Photodiodes 156 4.5 Optical Cavity Based Photomixers 158 4.5.1 LT-GaAs Photoconductors 158 4.5.1.1 Optical Modeling 158 4.5.1.2 Experimental Validation 160 4.5.2 UTC Photodiodes 167 4.5.2.1 Nano Grid Top Contact Electrodes 167 4.5.2.2 UTC Photodiodes Using Nano-Grid Top Contact Electrodes 167 4.5.2.3 Photoresponse Measurement 168 4.5.2.4 THz Power Generation by Photomixing 169 4.6 THz Antennas 170 4.6.1 Planar Antennas 171 4.6.2 Micromachined Antennas 173 4.7 Characterization of Photomixing Devices 175 4.7.1 On Wafer Characterization 175 4.7.2 Free Space Characterization 178 Exercises 180 Exercise A. Photodetector Theory 180 Exercise B. Photomixing Model 180 1. Ultrafast Photoconductor 180 2. UTC Photodiode 181 Exercise C. Antennas 181 References 181 5 Plasmonics-enhanced Photoconductive Terahertz Devices 187 Ping-Keng Lu and Mona Jarrahi 5.1 Introduction 187 5.2 Photoconductive Antennas 187 5.2.1 Photoconductors for THz Operation 187 5.2.2 Photoconductive THz Emitters 190 5.2.2.1 Pulsed THz Emitters 191 5.2.2.2 Continuous-wave THz Emitters 192 5.2.3 Photoconductive THz Detectors 193 5.2.4 Common Photoconductors and Antennas for Photoconductive THz Devices 194 5.2.4.1 Choice of Photoconductor 194 5.2.4.2 Choice of Antenna 195 5.3 Plasmonics-enhanced Photoconductive Antennas 196 5.3.1 Fundamentals of Plasmonics 196 5.3.2 Plasmonics for Enhancing Performance of Photoconductive THz Devices 197 5.3.2.1 Principles of Plasmonic Enhancement 197 5.3.2.2 Design Considerations for Plasmonic Nanostructures 203 5.3.3 State-of-the-art Plasmonics-enhanced Photoconductive THz Devices 203 5.3.3.1 Photoconductive THz Devices with Plasmonic Light Concentrators 203 5.3.3.2 Photoconductive THz Devices with Plasmonic Contact Electrodes 205 5.3.3.3 Large Area Plasmonic Photoconductive Nanoantenna Arrays 207 5.3.3.4 Plasmonic Photoconductive THz Devices with Optical Nanocavities 210 5.4 Conclusion and Outlook 212 Exercises 212 References 213 6 Terahertz Quantum Cascade Lasers 221 Roberto Paiella 6.1 Introduction 221 6.2 Fundamentals of Intersubband Transitions 223 6.3 Active Material Design 225 6.4 Optical Waveguides and Cavities 229 6.5 State-of-the-Art Performance and Limitations 232 6.6 Novel Materials Systems 236 6.6.1 III-Nitride Quantum Wells 236 6.6.2 SiGe Quantum Wells 239 6.7 Conclusion 242 Acknowledgments 243 Exercises 243 References 244 7 Advanced Devices Using Two-Dimensional Layer Technology 251 Berardi Sensale-Rodriguez 7.1 Graphene-Based THz Devices 251 7.1.1 THz Properties of Graphene 251 7.1.2 How to Simulate and Model Graphene? 253 7.1.3 Terahertz Device Applications of Graphene 254 7.1.3.1 Modulators 254 7.1.3.2 Active Filters 265 7.1.3.3 Phase Modulation in Graphene-Based Metamaterials 268 7.2 TMD Based THz Devices 270 7.3 Applications 274 Exercises 279 Exercise 1 Computation of the Optical Conductivity of Graphene 279 Exercise 2 Terahertz Transmission Through a 2D Material Layer Placed at an Optical Interface 280 Exercise 3 Transfer Matrix Approach for Multi-layer Transmission Problems 280 Exercise 4 A Condition for Perfect Absorption 280 Exercise 5 Terahertz Plasmon Resonances in Periodically Patterned Graphene Disk Arrays 280 Exercise 6 Electron Plasma Waves in Gated Graphene 280 Exercise 7 Equivalent Circuit Modeling of 2D Material-Loaded Frequency Selective Surfaces 281 Exercise 8 Maximum Terahertz Absorption in 2D Material-Loaded Frequency Selective Surfaces 281 References 281 8 THz Plasma Field Effect Transistor Detectors 285 Naznin Akter, Nezih Pala, Wojciech Knap and Michael Shur 8.1 Introduction 285 8.2 Field Effect Transistors (FETs) and THz Plasma Oscillations 286 8.2.1 Dispersion of Plasma Waves in FETs 287 8.2.2 THz Detection by an FET 289 8.2.2.1 Resonant Detection 293 8.2.2.2 Broadband Detection 294 8.2.2.3 Enhancement by DC Drain Current 295 8.3 THz Detectors Based on Silicon FETs 296 8.4 Terahertz Detection by Graphene Plasmonic FETs 301 8.5 Terahertz Detection in Black-Phosphorus Nano-Transistors 306 8.6 Diamond Plasmonic THz Detectors 310 8.7 Conclusion 312 Exercises 314 Exercises 1–2 314 Exercises 3–10 315 Exercises 11–13 316 References 316 9 Signal Generation by Diode Frequency Multiplication 323 Alain Maestrini and Jose V. Siles 9.1 Introduction 323 9.2 Bridging the Microwave to Photonics Gap with Terahertz Frequency Multipliers 324 9.3 A Practical Approach to the Design of Frequency Multipliers 326 9.3.1 Frequency Multiplier Versus Comb Generator 326 9.3.2 Frequency Multiplier Ideal Matching Network and Ideal Device Performance 326 9.3.3 Symmetry at Device Level Versus Symmetry at Circuit Level 328 9.3.4 Classic Balanced Frequency Doublers 328 9.3.4.1 General Circuit Description 328 9.3.4.2 Necessary Condition to Balance the Circuit 329 9.3.5 Balanced Frequency Triplers with an Anti-Parallel Pair of Diodes 332 9.3.6 Multi-Anode Frequency Triplers in a Virtual Loop Configuration 332 9.3.6.1 General Circuit Description 333 9.3.6.2 Necessary Condition to Balance the Circuit 335 9.3.7 Multiplier Design Optimization 337 9.3.7.1 General Design Methodology 337 9.3.7.2 Nonlinear Modeling of the Schottky Diode Barrier 347 9.3.7.3 3D Modeling of the Extrinsic Structure of the Diodes 348 9.3.7.4 Modeling and Optimization of the Diode Cell 349 9.3.7.5 Input and Output Matching Circuits 351 9.4 Technology of THz Diode Frequency Multipliers 351 9.4.1 From Whisker-Contacted Diodes to Planar Discrete Diodes 351 9.4.2 Semi-Monolithic Frequency Multipliers at THz Frequencies 352 9.4.3 THz Local Oscillators for the Heterodyne Instrument of Herschel Space Observatory 354 9.4.4 First 2.7 THz Multiplier Chain with More Than 10 μW of Power at Room Temperature 356 9.4.5 High Power 1.6 THz Frequency Multiplied Source for Future 4.75 THz Local Oscillator 358 9.5 Power-Combining at Sub-Millimeter Wavelength 361 9.5.1 In-Phase Power Combining 362 9.5.1.1 First In-Phase Power-Combined Submillimeter-Wave Frequency Multiplier 362 9.5.1.2 In-Phase Power Combining at 900 GHz 364 9.5.1.3 In-Phase Power-Combined Balanced Doublers 364 9.5.2 In-Channel Power Combining 365 9.5.3 Advanced on-Chip Power Combining 367 9.5.3.1 High Power 490–560 GHz Frequency Tripler 369 9.5.3.2 Dual-Output 550 GHz Frequency Tripler 369 9.5.3.3 High-Power Quad-channel 165–195 GHz Frequency Doubler 370 9.6 Conclusions and Perspectives 372 Exercises 373 Exercise 1 373 Exercises 2–5 374 Explanatory Notes (see superscripts in text) 374 References 375 10 GaN Multipliers 383 Chong Jin and Dimitris Pavlidis 10.1 Introduction 383 10.1.1 Frequency Multipliers 383 10.1.2 Properties of Nitride Materials 384 10.1.3 Motivation and Challenges 385 10.2 Theoretical Considerations of GaN Schottky Diode Design 386 10.2.1 Analysis by Analytical Equations 386 10.2.1.1 Nonlinearity and Harmonic Generation 386 10.2.1.2 Nonlinearity of Ideal Schottky Diode 388 10.2.1.3 Series Resistance 391 10.2.2 Analysis by Numeric Simulation 394 10.2.2.1 Introduction of Semiconductor Device Numerical Simulation 394 10.2.2.2 Parameters for GaN-Based Device Simulation 395 10.2.2.3 Simulation Results 398 10.2.3 Conclusions on Theoretical Considerations of GaN Schottky Diode Design 407 10.3 Fabrication Process of GaN Schottky Diodes 407 10.3.1 Fabrication Process 407 10.3.2 Etching 409 10.3.3 Metallization 410 10.3.3.1 Ohmic Contacts on GaN 410 10.3.3.2 Schottky Contacts on GaN 410 10.3.4 Bridge Interconnects 413 10.3.4.1 Dielectric Bridge 413 10.3.4.2 Optical Air-bridge 413 10.3.4.3 E-beam Air-bridge 414 10.3.5 Conclusion on Fabrication Process of GaN Schottky Diodes 414 10.4 Small-signal High-frequency Characterization of GaN Schottky Diodes 414 10.4.1 Current-voltage Characteristics 414 10.4.2 Small-signal Characterization and Equivalent Circuit Modeling 415 10.4.2.1 Step 1. Parasitic Elements 417 10.4.2.2 Step 2. Junction Capacitance 419 10.4.2.3 Step 3. Optimization 419 10.4.2.4 Summary 420 10.4.3 Results 422 10.4.4 Conclusion 423 10.5 Large-signal On-wafer Characterization 423 10.5.1 Characterization Approach 423 10.5.2 Large Signal Measurements of GaN Schottky Diodes 424 10.5.2.1 LSNA With 50 Ω Load 424 10.5.2.2 Time Domain Waveforms 425 10.5.2.3 Instant C–V Under Large-signal Driven Conditions 426 10.5.2.4 Power Handling Characteristics 427 10.5.3 LSNA With Harmonic Load-pull 427 10.5.4 Conclusion 428 10.6 GaN Diode Implementation for Signal Generation 428 10.6.1 Large-signal Modeling of GaN Schottky Diodes 428 10.6.2 Frequency Doubler 430 10.7 Multiplier Considerations for Optimum Performance 434 Exercises 440 References 442 11 THz Resonant Tunneling Devices 447 Masahiro Asada and Safumi Suzuki 11.1 Introduction 447 11.2 Principle of RTD Oscillators 449 11.2.1 Basic Operation of RTD 449 11.2.2 Principle of Oscillation 451 11.2.3 Effect of Electron Delay Time 452 11.2.3.1 Degradation of NDC at High Frequency 452 11.2.3.2 Generation of Reactance at High Frequency 453 11.3 Structure and Oscillation Characteristics of Fabricated RTD Oscillators 454 11.3.1 Actual Structure of RTD Oscillators 454 11.3.2 High-frequency Oscillation 456 11.3.3 High-output Power Oscillation 460 11.4 Control of Oscillation Spectrum and Frequency 463 11.4.1 Oscillation Spectrum and Phase-Locked Loop 463 11.4.2 Frequency-tunable Oscillators 465 11.5 Targeted Applications 467 11.5.1 High-speed Wireless Communications 467 11.5.2 Spectroscopy 469 11.5.3 Other Applications and Expected Future Development 470 Exercises 471 Exercise 1–6 471 Exercise 7–8 472 References 472 12 Wireless Communications in the THz Range 479 Guillaume Ducournau and Tadao Nagatsuma 12.1 Introduction 479 12.2 Evolution of Telecoms Toward THz 479 12.2.1 Brief Historic 479 12.2.2 Data Rate Evolution 480 12.2.3 THz Waves: Propagation, Advantages, and Disadvantages 480 12.2.4 Frequency Bands 482 12.2.5 Potential Scenarios 483 12.2.6 Comparison Between FSO and THz 484 12.3 THz Technologies: Transmitters, Receivers, and Basic Architecture 485 12.3.1 THz Sources 485 12.3.2 THz Receivers 486 12.3.3 Basic Architecture of the Transmission System 486 12.4 Devices/Function Examples for T-Ray CMOS 488 12.4.1 Photomixing Techniques for THz CMOS 488 12.4.2 THz Modulated Signals Enabled by Photomixing 489 12.4.3 Other Techniques for the Generation of Modulated THz Signals 492 12.4.4 Integration, Interconnections, and Antennas 492 12.4.4.1 Integration 492 12.4.4.2 Antennas 493 12.5 THz Links 493 12.5.1 Modulations and Key Indicators of a THz Communication Link 493 12.5.2 State-of-the-Art of THz Links 494 12.5.2.1 First Systems 494 12.5.2.2 Photonics-Based Demos 495 12.5.2.3 Electronic-Based Demos 496 12.5.2.4 Beyond 100 GHz High Power Amplification 497 12.5.2.5 Table of Reported Systems 498 12.6 Toward Normalization of 100G Links in the THz Range 498 12.7 Conclusion 502 12.8 Acronyms 502 Exercise: Link Budget of a THz Link 503 References 504 13 THz Applications: Devices to Space System 511 Imran Mehdi 13.1 Introduction 511 13.1.1 Why Is THz Technology Important for Space Science? 512 13.1.2 Fundamentals of THz Spectroscopy 516 13.1.3 THz Technology for Space Exploration 517 13.2 THz Heterodyne Receivers 518 13.2.1 Local Oscillators 521 13.2.1.1 Frequency Multiplied Chains 523 13.2.2 Mixers 524 13.2.2.1 Room Temperature Schottky Diode Mixers 524 13.2.2.2 SIS Mixer Technology 526 13.2.2.3 Hot Electron Bolometric (HEB) Mixers 527 13.2.2.4 State-of-the-Art Receiver Sensitivities 529 13.3 THz Space Applications 530 13.3.1 Planetary Science: The Case for Miniaturization 530 13.3.2 Astrophysics: The Case for THz Array Receivers 533 13.3.3 Earth Science: The Case for Active THz Systems 535 13.4 Summary and Future Trends 538 Acknowledgment 539 Exercises 539 Exercise 1–3 539 Exercise 4 540 References 540 Index 547

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Book SynopsisExplore a thorough treatment of the foundations of smart grid sensing, communication, computation, and control As electric power systems undergo a transformative upgrade with the integration of advanced technologies to enable the smarter electric grid, professionals who work in the area require a new understanding of the evolving complexity of the grid. Cyber Infrastructure for the Smart Electric Grid delivers a comprehensive overview of the fundamental principles of smart grid operation and control, smart grid technologies, including sensors, communication networks, computation, data management, and cyber security, and the interdependencies between the component technologies on which a smart grid's security depends. The book offers readers the opportunity to critically analyze the smart grid infrastructure needed to sense, communicate, compute, and control in a secure way. Readers of the book will be able to apply the interdisciplinary principles they've learned in the book to dTable of Contents1 Introduction to the Smart Grid 1 1.1 Overview of the electric power grid 1 1.2 What can go wrong in power grid operation 12 1.3 Learning from past events 14 1.4 Towards a smarter electric grid 18 1.5 Summary 20 1.6 Problems 20 1.7 Questions 22 2 Sense, communicate, compute and control in secure way 23 2.1 Sensing in smart grid 25 2.2 Communication infrastructure in smart grid 37 2.3 Computational infrastructure and control requirements in smart grid 38 2.4 Cyber security in smart grid 43 2.5 Summary 45 2.6 Problems 45 2.7 Questions 47 3 Smart Grid Operational Structure and Standards 49 3.1 Organization to ensure system reliability 53 3.2 Smart grid standards and interoperability 56 3.3 Operational structure in the rest of the world 58 3.4 Summary 58 3.5 Problems 59 3.6 Questions 60 4 Communication performance and factors that Affect it 63 4.1 Introduction 63 4.2 Propagation Delay 66 4.3 Transmission Delay 67 4.4 Queuing Delay and Jitter 69 4.5 Processing Delay 73 4.6 Delay in Multi-hop networks 73 4.7 Data Loss and Corruption 74 4.8 Summary 76 4.9 Exercises 76 5 Layered communication model 81 5.1 Introduction 81 5.2 Physical layer 86 5.3 Link layer: service models 87 5.4 Network layer: addressing and routing 92 5.5 Transport layer: datagram and stream protocols 100 5.6 Application layer 107 5.7 Glue protocols: ARP, DNS 109 5.8 Comparison between OST and TCP/IP models 112 5.9 Summary 113 5.10 Problems 113 5.11 Questions 115 6 Power system application-layer protocols 117 6.1 Introduction 117 6.2 SCADA protocols 118 6.3 ICCP 125 6.4 C37.118 127 6.5 Smart metering and distributed energy resources 129 6.6 Time synchronization 132 6.7 Summary 134 6.8 Problems 134 6.9 Questions 136 7 Utility IT infrastructures for control center and Fault-tolerant computing 137 7.1 Conventional control centers 137 7.2 Modern Control Centers 141 7.3 Future Control Centers 143 7.4 UML, XML, RDF,and CIM 145 7.5 Basics of Fault-tolerant computing 154 7.6 Cloud computing 157 7.7 Summary 159 7.8 Problems 160 7.9 Questions 161 8 Basic security concepts, cryptographic protocols, and access control 163 8.1 Introduction 163 8.2 Basic Cybersecurity Concepts and Threats to Power systems 164 8.3 The CIA Triad and Other Core Security Properties 168 8.4 Introduction to Encryption and Authentication 178 8.5 Cryptography in power systems 182 8.6 Access control 187 8.7 Summary 189 8.8 Problems 190 8.9 Questions 191 9 Network attacks and protection 193 9.1 Attacks to network communications 193 9.2 Mitigation mechanisms against network attacks 202 9.3 Network protection through rewalls 208 9.4 Intrusion detection 210 9.5 Summary 214 9.6 Problems 214 9.7 Questions 216 10 Vulnerabilities, and Risk Management 217 10.1 System vulnerabilities 217 10.2 Security mechanisms: Access control and Malware Detection 229 10.3 Assurance and Evaluation 233 10.4 Compliance: Industrial practice to implement NERC CIP 241 10.5 Summary 242 10.6 Problems 243 10.7 Questions 244 11 Smart grid case studies 245 11.1 Smart Grid Demonstration Projects 245 11.2 Smart grid metrics 249 11.3 Smart Grid Challenges: Attack case-studies 250 11.4 Mitigation using NIST Cybersecurity Framework 257 11.5 Summary 259 11.6 Problems 259 11.7 Questions 261 Index

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Book SynopsisProvides a self-contained account on applications of electromagnetic reciprocity theorems to multiport antenna systems The reciprocity theorem is among the most intriguing concepts in wave field theory and has become an integral part of almost all standard textbooks on electromagnetic (EM) theory. This book makes use of the theorem to quantitatively describe EM interactions concerning general multiport antenna systems. It covers a general reciprocity-based description of antenna systems, their EM scattering properties, and further related aspects. Beginning with an introduction to the subject, Electromagnetic Reciprocity in Antenna Theory provides readers first with the basic prerequisites before offering coverage of the equivalent multiport circuit antenna representations, EM coupling between multiport antenna systems and their EM interactions with scatterers, accompanied with the corresponding EM compensation theorems. In addition, the text: Presents basic prerequisites includiTable of ContentsIntroduction xi 1 Basic Prerequisites 1 1.1 Laplace Transformation 3 1.2 Time Convolution 4 1.3 Time Correlation 5 1.4 EMReciprocity Theorems 6 1.4.1 Reciprocity Theorem of the Time-Convolution Type 8 1.4.2 Reciprocity Theorem of the Time-Correlation Type 9 1.4.3 Application of the Reciprocity Theorems to an Unbounded Domain 11 1.5 Description of the Antenna Configuration 13 1.5.1 Antenna Power Conservation 14 1.5.2 Antenna Interface Relations 16 2 Antenna Uniqueness Theorem 19 2.1 Problem Description 19 2.2 Problem Solution 19 3 Forward-Scattering Theorem in Antenna Theory 23 3.1 Problem Description 23 3.2 Problem Solution 23 4 Antenna Matching Theorems 31 4.1 Reciprocity Analysis of the Time-Correlation Type 31 4.1.1 Transmitting State 31 4.1.2 Receiving State 34 4.1.3 EquivalentMatching Condition 35 5 Equivalent Kirchhoff Network Representations of a Receiving Antenna System 41 5.1 Reciprocity Analysis of the Time-Convolution Type 41 5.1.1 Equivalent Circuits for Plane-Wave Incidence 41 5.1.2 Equivalent Circuits for a Known Volume-Current Distribution 45 6 The Antenna Systemin the Presence of a Scatterer 51 6.1 Receiving Antenna in the Presence of a Scatterer 51 6.2 Transmitting Antenna in the Presence of a Scatterer 56 6.2.1 Analysis Based on the Reciprocity Theorem of the Time-Convolution Type 57 6.2.2 Analysis Based on the Reciprocity Theorem of the Time-Correlation Type 59 7 EMCoupling Between Two Multiport Antenna Systems 65 7.1 Description of the Problem Configuration 65 7.2 Analysis Based on the Reciprocity Theorem of the Time-Convolution Type 68 7.3 Analysis Based on the Reciprocity Theorem of the Time-Correlation Type 71 8 Compensation Theorems for the EMCoupling Between Two Multiport Antennas 77 8.1 Description of the Problem Configuration 77 8.2 Analysis Based on the Reciprocity Theorem of the Time-Convolution Type 79 8.2.1 The Change in Scenario (BA) 79 8.2.2 The Change in Scenario (AB) 82 8.3 Analysis Based on the Reciprocity Theorem of the Time-Correlation Type 85 8.3.1 The Change in Scenario (BA) 85 8.3.2 The Change in Scenario (AB) 88 9 Compensation Theorems for the EMScattering of an Antenna System 95 9.1 Description of the Problem Configuration 95 9.2 Reciprocity Analysis 96 9.2.1 Compensation Theorems in Terms of Electric Current-excited Sensing EM Fields 99 9.2.2 Compensation Theorems in Terms of Voltage-Excited Sensing EM Fields 100 9.2.3 Power Reciprocity Expressions 101 AppendixA Lerch’s Uniqueness Theorem 107 A.1 Problem ofMoments 107 A.2 Proof of Lerch’s Theorem 108 References 111 Index 115

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Book SynopsisCovers PID control systems from the very basics to the advanced topics This book covers the design, implementation and automatic tuning of PID control systems with operational constraints. It provides students, researchers, and industrial practitioners with everything they need to know about PID control systemsfrom classical tuning rules and model-based design to constraints, automatic tuning, cascade control, and gain scheduled control. PID Control System Design and Automatic Tuning using MATLAB/Simulink introduces PID control system structures, sensitivity analysis, PID control design, implementation with constraints, disturbance observer-based PID control, gain scheduled PID control systems, cascade PID control systems, PID control design for complex systems, automatic tuning and applications of PID control to unmanned aerial vehicles. It also presents resonant control systems relevant to many engineering applications. The implementation of PID control and resonant control highlightTable of ContentsPreface xv Acknowledgment xvii List of Symbols and Acronyms xix About the Companion Website xxi 1 Basics of PID Control 1 1.1 Introduction 1 1.2 PID Controller Structure 1 1.2.1 Proportional Controller 1 1.2.2 Proportional Plus Derivative Controller 3 1.2.3 Proportional Plus Integral Controller 5 1.2.4 PID Controllers 9 1.2.5 The Commercial PID Controller Structure 12 1.2.6 Food for Thought 13 1.3 Classical Tuning Rules for PID Controllers 13 1.3.1 Ziegler–Nichols Oscillation Based Tuning Rules 13 1.3.2 Tuning Rules based on the First Order Plus Delay Model 15 1.3.3 Food for Thought 17 1.4 Model Based PID Controller Tuning Rules 18 1.4.1 IMC-PID Controller Tuning Rules 18 1.4.2 Padula and Visioli Tuning Rules 19 1.4.3 Wang and Cluett Tuning Rules 20 1.4.4 Food for Thought 21 1.5 Examples for Evaluations of the Tuning Rules 21 1.5.1 Examples for Evaluating the Tuning Rules 21 1.5.2 Fired Heater Control Example 25 1.6 Summary 27 1.7 Further Reading 28 Problems 28 2 Closed-loop Performance and Stability 31 2.1 Introduction 31 2.2 Routh–Hurwitz Stability Criterion 31 2.2.1 Determining Closed-loop Poles 32 2.2.2 Routh–Hurwitz Stability Criterion 33 2.2.3 Food for Thought 36 2.3 Nyquist Stability Criterion 36 2.3.1 Nyquist Diagram 36 2.3.1.1 Gain Margin 38 2.3.1.2 Phase Margin 38 2.3.1.3 Delay Margin 38 2.3.2 Rework of Tuning Rules based PID Controllers 40 2.3.3 Food for Thought 42 2.4 Control System Structures and Sensitivity Functions 42 2.4.1 One Degree of Freedom Control System Structure 43 2.4.2 Two Degrees of Freedom Design 44 2.4.2.1 Two degrees of freedom implementation of PI controllers 45 2.4.3 Sensitivity Functions in Feedback Control 45 2.4.4 Food for Thought 47 2.5 Reference Following and Disturbance Rejection 47 2.5.1 Closed-loop Bandwidth 47 2.5.2 Reference Following and Disturbance Rejection with PID Controllers 50 2.5.3 Reference Following and Disturbance Rejection with Resonant Controllers 53 2.5.4 Food for Thought 54 2.6 Disturbance Rejection and Noise Attenuation 54 2.6.1 Conflict between Disturbance Rejection and Noise Attenuation 54 2.6.2 PID Controller for Disturbance Rejection and Noise Attenuation 55 2.6.3 Food for Thought 58 2.7 Robust Stability and Robust Performance 59 2.7.1 Modeling Errors 59 2.7.2 Robust Stability 60 2.7.3 Case Study: Robust Control of Polymer Reactor 62 2.7.4 Food for Thought 65 2.8 Summary 65 2.9 Further Reading 67 Problems 67 3 Model-Based PID and Resonant Controller Design 71 3.1 Introduction 71 3.2 PI Controller Design 71 3.2.1 Desired Closed-loop Performance Specification 71 3.2.2 Model and Controller Structures 72 3.2.3 Closed-loop Transfer Functions for Different Configurations 75 3.2.4 Food for Thought 77 3.3 Model Based Design for PID Controllers 78 3.3.1 PD Controller Design 78 3.3.2 Analytical Examples for Ideal PID with Pole-zero Cancellation 81 3.3.3 Analytical Examples for PID Controllers with Filters 84 3.3.4 PID Controller Design without Pole–Zero Cancellation 92 3.3.5 MATLAB Tutorial on Solution of a PID Controller with Filter 94 3.3.6 Food for Thought 95 3.4 Resonant Controller Design 96 3.4.1 Resonant Controller Design 96 3.4.2 Steady-state Error Analysis 97 3.4.3 Pole–Zero Cancellation in the Design of a Resonant Controller 99 3.4.4 Food for Thought 101 3.5 Feedforward Control 102 3.5.1 Basic Ideas about Feedforward Control 102 3.5.2 Three Springs and Double Mass System 103 3.5.3 Food for Thought 108 3.6 Summary 108 3.7 Further Reading 108 Problems 109 4 Implementation of PID Controllers 113 4.1 Introduction 113 4.2 Scenario of a PID Controller at work 113 4.3 PID Controller Implementation using the Position Form 114 4.3.1 The Steady-state Information Needed 114 4.3.2 Discretization of a PID Controller 115 4.3.3 Food for Thought 116 4.4 PID Controller Implementation using the Velocity Form 117 4.4.1 Discretization of a PI Controller 117 4.4.2 Discretization of a PID Controller using the Velocity Form 119 4.4.3 Improving Accuracy in a Slower Sampling Environment 120 4.4.4 Food for Thought 122 4.5 Anti-windup Implementation using the Position Form 122 4.5.1 Integrator Windup Scenario 122 4.5.2 Anti-windup Mechanisms in the Position Form of PI Controllers 124 4.5.3 Food for Thought 125 4.6 Anti-windup Mechanisms in the Velocity Form 126 4.6.1 Anti-windup Mechanism on the Amplitude of the Control Signal 126 4.6.2 Limits on the Rate of Change of the Control Signal 129 4.6.3 Food for Thought 129 4.7 Tutorial on PID Anti-windup Implementation 130 4.8 Dealing with Other Implementation Issues 133 4.8.1 Plant Start-up 134 4.8.2 Dealing with Quantization Errors in PID Controller Implementation 135 4.9 Summary 136 4.10 Further Reading 137 Problems 137 5 Disturbance Observer- Based PID and Resonant Controller 139 5.1 Introduction 139 5.2 Disturbance observer-Based PI Controller 139 5.2.1 Estimation of Disturbance with Control 139 5.2.1.1 Choice of Proportional Controller K1 140 5.2.1.2 Compensation of Steady-state Error 140 5.2.1.3 The closed-loop poles 141 5.2.1.4 Implementation procedure 142 5.2.2 Equivalence to PI controller 143 5.2.3 MATLAB Tutorial for Implementation of a PI Controller via Estimation 144 5.2.4 Examples for Estimator based PI Controllers 145 5.2.5 Food for Thought 148 5.3 Disturbance observer-Based PID Controller 149 5.3.1 Proportional Plus Derivative Control 149 5.3.2 Adding Integral Action 150 5.3.3 Equivalence to a PID Controller 151 5.3.4 MATLAB Tutorial on the Implementation of a disturbance observer-based PID Controller 153 5.3.5 Examples for Disturbance observer-based PID Controller 155 5.3.6 Food for Thought 156 5.4 Disturbance observer-Based Resonant Controller 156 5.4.1 Resonant Controller Design 156 5.4.2 Resonant Controller Implementation 158 5.4.3 Equivalence to a Resonant Controller 159 5.4.4 MATLAB Tutorial on Disturbance observer-Based Resonant Controller Implementation 160 5.4.5 Examples for Disturbance observer-Based Resonant Controllers 162 5.4.6 Food for Thought 167 5.5 Multi-frequency Resonant Controller 167 5.5.1 Adding Integral Action to the Resonant Controller 168 5.5.2 Adding More Periodic Components 170 5.5.3 Food for Thought 171 5.6 Summary 172 5.7 Further Reading 172 Problems 173 6 PID Control of Nonlinear Systems 179 6.1 Introduction 179 6.2 Linearization of the Nonlinear Model 179 6.2.1 Approximation of a Nonlinear Function 179 6.2.2 Linearization of nonlinear differential equations 181 6.2.3 Case Study: Linearization of the Coupled Tank Model 181 6.2.4 Case Study: Linearization of the Induction Motor Model 184 6.2.5 Food for Thought 186 6.3 Case Study: Ball and Plate Balancing System 187 6.3.1 Dynamics of the Ball and Plate Balancing System 187 6.3.2 Linearization of the Nonlinear Model 188 6.3.3 PID Controller Design 189 6.3.4 Implementation and Experimental Results 190 6.3.4.1 Disturbance Rejection 191 6.3.4.2 Making a Square Movement 192 6.3.4.3 Making a Circle Movement 192 6.3.4.4 Making more Complicated Movements 194 6.3.5 Food for Thought 194 6.4 Gain Scheduled PID Control Systems 194 6.4.1 TheWeighting Parameters 194 6.4.2 Gain Scheduled Implementation using PID Velocity Form 196 6.4.3 Gain Scheduled Implementation using an Estimator Based PID Controller 197 6.4.4 Food for Thought 199 6.5 Summary 199 6.6 Further Reading 199 Problems 200 7 Cascade PID Control Systems 203 7.1 Introduction 203 7.2 Design of a Cascade PID Control System 203 7.2.1 Design Steps for a Cascade Control System 203 7.2.2 Simple Design Examples 204 7.2.3 Achieving Closed-loop Performance Invariance (Approximate) in a Cascade Structure 208 7.2.4 Food for Thought 209 7.3 Cascade Control System for Input Disturbance Rejection 209 7.3.1 Frequency Characteristics for Disturbance Rejection 210 7.3.2 Simulation Studies 211 7.3.3 Food for Thought 213 7.4 Cascade Control System for Actuator Nonlinearities 214 7.4.1 Cascade Control for Actuator with a Deadzone 214 7.4.2 Cascade Control for Actuators with Quantization Errors 218 7.4.3 Cascade Control for Actuators with Backlash Nonlinearity 221 7.4.4 Food for Thought 227 7.5 Summary 230 7.6 Further Reading 230 Problems 231 8 PID Controller Design for Complex Systems 233 8.1 Introduction 233 8.2 PI Controller Design via Gain and Phase Margins 233 8.2.1 PI Controller Design Using Gain Margin and Phase Margin Specifications 233 8.2.2 Design Examples 234 8.2.3 Food for Thought 238 8.3 PID Controller Design using Two Frequency Points 238 8.3.1 Finding the PID Controller Parameters 238 8.3.2 Desired Closed-loop Performance Specification using Two Frequency Points 240 8.3.3 Design Examples 242 8.3.4 MATLAB Tutorial on PID Controller Design Using two Frequency Points 243 8.3.5 PID Controller Design for Beer Filtration Process 245 8.3.6 Food for Thought 248 8.4 PID Controller Design for Integrating Systems 249 8.4.1 The Approximate Model 249 8.4.2 Selection of Desired Closed-loop Performance 250 8.4.3 Normalization of the Parameters and Empirical Rules 251 8.4.4 Gain and Phase Margins 253 8.4.5 Simulation Examples 253 8.4.6 Food for Thought 256 8.5 Summary 256 8.6 Further Reading 257 Problems 257 9 Automatic Tuning of PID Controllers 259 9.1 Introduction 259 9.2 Relay Feedback Control 259 9.2.1 Relay Control with Hysteresis 259 9.2.2 Relay Control with Integrator 263 9.2.3 Food for Thought 267 9.3 Estimation of Frequency Response using the Fast Fourier Transform (FFT) 267 9.3.1 FFT Estimation 268 9.3.2 MATLAB Tutorial using the FFT for Estimation 269 9.3.3 Monte-Carlo Simulation Studies 270 9.3.4 Food for Thought 272 9.4 Estimation of Frequency Response Using the frequency sampling filter (FSF) 273 9.4.1 Frequency Sampling FilterModel 273 9.4.2 MATLAB Tutorial on Estimation Using the FSF Model 276 9.4.3 Monte-Carlo Simulation using the FSF Estimation 278 9.4.4 Food for Thought 279 9.5 Monte-Carlo Simulation Studies 279 9.5.1 Effect of Unknown Constant Disturbance 279 9.5.2 Effect of Unknown Low Frequency Disturbance 280 9.5.3 Estimation of the Steady-state Value 282 9.5.4 Food for Thought 283 9.6 Auto-tuner Design for Stable Plant 283 9.6.1 MATLAB Tutorial on Auto-tuner for Stable Plant 284 9.6.2 Evaluation of the Auto-tuner for a Stable Plant 286 9.6.2.1 PID Controller Parameters 287 9.6.2.2 Nyquist Plots 287 9.6.2.3 Closed-loop Simulation Results 288 9.6.3 Comparative Studies 289 9.6.4 Food for Thought 290 9.7 Auto-tuner Design for a Plant with an Integrator 291 9.7.1 Estimation of an Integrating Plus Delay Model 291 9.7.2 Auto-tuner for Integrating Systems 292 9.7.3 Auto-tuning of Cascade Control Systems 297 9.7.4 Food for Thought 300 9.8 Summary 300 9.9 Further Reading 301 Problems 302 10 PID Control of Multi-rotor Unmanned Aerial Vehicles 305 10.1 Introduction 305 10.2 Multi-rotor Dynamics 305 10.2.1 Dynamic Models for Attitude Control 305 10.2.2 Actuator Dynamics for Quadrotor UAVs 307 10.2.3 Actuator Dynamics of Hexacopters 309 10.2.4 Food for Thought 311 10.3 Cascade Attitude Control of Multi-rotor UAVs 311 10.3.1 Linearized Model for the Secondary Plant 312 10.3.2 Linearized Model for the Primary Plant 313 10.3.3 Food for Thought 313 10.4 Automatic Tuning of Attitude Control Systems 313 10.4.1 Test Rigs for Auto-tuning Cascade PI Controllers of Multi-rotor UAVs 314 10.4.2 Experimental Results for Quadrotor UAV 314 10.4.3 Experimental Results for Hexacopter 320 10.4.4 Food for Thought 324 10.5 Summary 324 10.6 Further Reading 325 Problems 325 Suggestions to Food for Thought Questions 327 Bibliography 331 Index 341

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Book SynopsisProvides extensive coverage of standardized QoS technologies for fixed and mobile ultra-broadband networks and servicesbringing together technical, regulation, and business aspects The Quality of Service (QoS) has been mandatory for traditional telecommunication services such as telephony (voice) and television (TV) since the first half of the past century, however, with the convergence of telecommunication networks and services onto Internet technologies, the QoS provision remains a big challenge for all ICT services, not only for traditional ones. This book covers the standardized QoS technologies for fixed and mobile ultra-broadband networks and services, including the business aspects and QoS regulation framework, which all will have high impact on the ICTs in the current and the following decade. QoS for Fixed and Mobile Ultra-Broadband starts by introducing readers to the telecommunications field and the technology, and the many aspects of both QoS Table of Contents1 Introduction 1 1.1 The Telecommunications/ICT Sector in the Twenty-First Century 2 1.2 Convergence of the Telecom and Internet Worlds and QoS 4 1.3 Introduction to QoS, QoE, and Network Performance 9 1.3.1 Quality of Service (QoS) Definition 10 1.3.2 Quality of Experience (QoE) 11 1.3.3 Network Performance (NP) 12 1.3.4 QoS, QoE, and NP Relations 13 1.4 ITU’s QoS Framework 14 1.4.1 Universal Model 14 1.4.2 Performance Model 15 1.4.3 Four-Market Model 17 1.5 QoE Concepts and Standards 18 1.5.1 QoE and QoS Comparison 18 1.5.2 QoS and QoE Standards 19 1.6 General QoS Terminology 20 1.7 Discussion 21 References 23 2 Internet QoS 25 2.1 Overview of Internet Technology Protocols 25 2.1.1 Internet Network Layer Protocols: IPv4 and IPv6 26 2.1.2 Main Internet Transport Layer Protocols: TCP and UDP 28 2.1.3 Dynamic Host Configuration Protocol – DHCP 32 2.1.4 Domain Name System – DNS 32 2.1.5 Internet Fundamental Applications 34 2.1.5.1 Web Technology 34 2.1.5.2 File Transfer Protocol (FTP) 34 2.1.5.3 Email Protocols 35 2.2 Fundamental Internet Network Architectures 35 2.2.1 Client-Server Internet Networking 35 2.2.2 Peer-to-Peer Internet Networking 36 2.2.3 Basic Internet Network Architectures 36 2.2.4 Autonomous Systems on the Internet 38 2.3 Internet Traffic Characterization 39 2.3.1 Audio Traffic Characterization 40 2.3.2 Video Traffic Characterization 40 2.3.3 Non-Real-Time Traffic Characterization 42 2.4 QoS on Different Protocols Layers 44 2.5 Traffic Management Techniques 45 2.5.1 Classification of IP Packets 46 2.5.2 Packet Classification From the Technical Side 46 2.5.3 Packet Scheduling 47 2.5.4 Admission Control 47 2.5.5 Traffic Management Versus Network Capacity 49 2.6 Internet QoS Frameworks: the IETF and the ITU 50 2.7 Integrated Services (IntServ) and Differentiated Services (DiffServ) 51 2.8 QoS with Multi-Protocol Label Switching (MPLS) 54 2.9 Deep Packet Inspection (DPI) 55 2.10 Basic Inter-Provider QoS Model 57 2.10.1 Basic DiffServ Model for a Single Provider 58 2.10.2 Basic DiffServ Inter-Provider Model 58 2.11 IP Network Architectures for End-to-End QoS 59 2.12 Discussion 61 References 62 3 QoS in NGN and Future Networks 65 3.1 ITU’s Next Generation Networks 65 3.2 Transport and Service Stratum of NGNs 67 3.3 Service Architecture in NGN 69 3.3.1 IMS Architecture 70 3.3.2 Session Initiation Protocol (SIP) 73 3.3.3 Diameter 75 3.4 QoS Architectures for NGN 78 3.4.1 Resource and Admission Control Function 78 3.4.2 Ethernet QoS for NGN 79 3.4.2.1 QoS Services in Ethernet-based NGN 81 3.4.3 Multi-Protocol Label Switching (MPLS) 83 3.5 Management of Performance Measurements in NGN 84 3.6 DPI Performance Models and Metrics 86 3.7 QoS in Future Networks 89 3.7.1 Network Virtualization and QoS 90 3.7.2 Software-Defined Networking and QoS 93 3.8 Business and Regulatory Aspects 95 3.8.1 NGN Policies 95 3.8.2 NGN Regulation Aspects 96 3.8.3 NGN Business Aspects 97 References 99 4 QoS for Fixed Ultra-Broadband 101 4.1 Ultra-broadband DSL and Cable Access 103 4.1.1 DSL Ultra-Broadband Access 103 4.1.1.1 ADSL (Asymmetric DSL) 103 4.1.2 Cable Ultra-Broadband Access 105 4.2 Ultra-Broadband Optical Access 107 4.3 QoS for Fixed Ultra-Broadband Access 110 4.3.1 QoS for DSL Access 110 4.3.2 QoS for Cable Access 112 4.3.3 QoS for PON Access 114 4.4 QoS in Ethernet and Metro Ethernet 117 4.4.1 Class of Service for the Carrier Ethernet 120 4.5 End-to-End QoS Network Design 123 4.5.1 End-to-End Network Performance Parameters for IP-based Services 124 4.5.2 QoS Classes by the ITU 126 4.5.3 End-to-End QoS Considerations for Network Design 128 4.6 Strategic Aspects for Ultra-Broadband 130 References 133 5 QoS for Mobile Ultra-Broadband 137 5.1 Mobile Ultra-Broadband Network Architectures 138 5.1.1 3G Network Architecture 139 5.1.2 4G Network Architecture 140 5.1.3 5G Network Architecture 145 5.2 QoS in 3G Broadband Mobile Networks 147 5.3 QoS in 4G Ultra-Broadband: LTE-Advanced-Pro 150 5.4 QoS and Giga Speed WiFi 154 5.5 WiFi vs. LTE/LTE-Advanced in Unlicensed Bands: The QoS Viewpoint 160 5.6 The ITU’s IMT-2020 162 5.7 QoS in 5G Mobile Ultra-Broadband 165 5.7.1 5G QoS Control and Rules 168 5.7.2 5G QoS Flow Mapping 168 5.8 Mobile Broadband Spectrum Management and QoS 170 5.9 Very Small Cell Deployments and Impact on QoS 172 5.10 Business and Regulation Aspects for Mobile Ultra-Broadband 174 5.10.1 Business Aspects 174 5.10.2 Regulation Aspects 176 References 177 6 Services in Fixed and Mobile Ultra-Broadband 179 6.1 QoS-enabled VoIP Services 179 6.1.1 NGN Provision of VoIP Services 180 6.1.2 Discussion on Telecom Operator vs. OTT Voice Service Quality 182 6.2 QoS-enabled Video and IPTV Services 183 6.2.1 IPTV and QoS 184 6.3 QoE for VoIP and IPTV 188 6.3.1 QoE for VoIP 188 6.3.2 QoE for IPTV 190 6.4 QoS for Popular Internet Services 192 6.5 QoS for Business Users (VPN Services) 196 6.6 QoS for Internet Access Service and Over-the-Top Data Services 198 6.6.1 Traffic Management for OTT Services 200 6.6.2 Traffic Management Approaches 200 6.6.3 Traffic Management Influence on QoE for OTT Services 204 6.7 Internet of Things (IoT) Services 205 6.7.1 Mobile Cellular Internet of Things 206 6.7.2 IoT Big Data and Artificial Intelligence 209 6.8 Cloud Computing Services 210 6.8.1 QoS Metrics for Cloud Services 212 6.9 Business and Regulatory Challenges for Services Over Ultra-Broadband 214 6.9.1 Business Aspects for Broadband Services 214 6.9.2 Regulatory Challenges for Broadband Services 216 References 218 7 Broadband QoS Parameters, KPIs, and Measurements 221 7.1 QoS, QoE, and Application Needs 221 7.2 Generic and Specific QoS Parameters 224 7.2.1 Comparable Performance Indicators 225 7.2.2 Standardized QoS Parameters 225 7.3 Interconnection and QoS 227 7.3.1 QoS Aspects for TDM Interconnection 228 7.3.2 Internet Traffic Interconnection 230 7.3.3 End-to-End QoS and IP Networks Interconnection 231 7.4 KPIs for Real-Time Services 233 7.4.1 KPIs for Voice Over LTE Services 235 7.4.2 KPIs for IPTV and Video Services 236 7.5 KPIs for Data Services and VPNs 237 7.5.1 KPIs for Data Services 237 7.5.2 KPIs for VPN Services 240 7.5.3 KPIs for Mobile Services 241 7.6 KPIs for Smart Sustainable Cities 244 7.7 QoS and QoE Assessment Methodologies 246 7.7.1 QoS/QoE Measurement Systems 246 7.7.2 Basic Network Model for Measurements 248 7.7.3 Quality Assessment Methodologies 249 7.8 Broadband QoS Measurements 251 7.8.1 Framework for QoS Measurements of IP Network Services 251 7.8.2 QoS Evaluation Scenarios 253 7.8.3 Discussion About the Sampling Methodology 254 7.9 Quality Measurement Tools and Platforms 255 7.10 Discussion 257 References 258 8 Network Neutrality 261 8.1 Introduction to Network Neutrality 261 8.2 Degradations of Internet Access Service 262 8.3 Main Regulatory Goals on Network Neutrality 266 8.4 Network Neutrality Business Aspects 268 8.5 Role of NRAs in Regulation of Network Neutrality 270 8.6 Network Neutrality Approaches 272 8.6.1 Network Neutrality Approach in Europe 272 8.6.2 Network Neutrality Approach in the United States 274 8.7 Challenges Regarding QoS and Network Neutrality 276 8.8 Network Neutrality Enforcement 278 8.9 Discussion 279 References 281 9 QoS Regulatory Framework 283 9.1 Scope of QoS Regulation 283 9.2 Fundamentals of QoS Regulation 285 9.3 QoS Regulation Guidelines by the ITU 287 9.4 SLA and QoS Regulation 288 9.4.1 QoS Agreement 289 9.4.2 SLA and QoS Regulation 290 9.5 Specifying Parameters, Levels, and Measurement Methods 291 9.5.1 Defining QoS Parameters 292 9.5.2 Setting Target Levels and Making Measurements 293 9.6 KPIs and Measurement Methods for Fixed and Mobile Services 294 9.6.1 Audit of QoS and Publishing the Measurements 295 9.6.2 KPI Measurements in Mobile Networks 295 9.6.3 KPI Measurements in Fixed Broadband Networks 298 9.7 QoS and Pricing 299 9.8 QoS Enforcement 302 9.9 Discussion 305 References 306 10 Conclusions 307 Index 313

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Book SynopsisDiscover the basic telecommunications systems principles in an accessible learn-by-doing format Communication Systems Principles Using MATLAB covers a variety of systems principles in telecommunications in an accessible format without the need to master a large body of theory. The text puts the focus on topics such as radio and wireless modulation, reception and transmission, wired networks and fiber optic communications. The book also explores packet networks and TCP/IP as well as digital source and channel coding, and the fundamentals of data encryption. Since MATLAB is widely used by telecommunications engineers, it was chosen as the vehicle to demonstrate many of the basic ideas, with code examples presented in every chapter. The text addresses digital communications with coverage of packet-switched networks. Many fundamental concepts such as routing via shortest-path are introduced with simple and concrete examples. The treatment of advanced telecommunications topics extends toTable of ContentsPreface xiii Acknowledgments xv Introduction xvii About the CompanionWebsite xxi 1 Signals and Systems 1 1.1 Chapter Objectives 1 1.2 Introduction 1 1.3 Signals and Phase Shift 2 1.4 System Building Blocks 3 1.4.1 Basic Building Blocks 3 1.4.2 Phase Shifting Blocks 4 1.4.3 Linear and Nonlinear Blocks 5 1.4.4 Filtering Blocks 8 1.5 Integration and Differentiation of aWaveform 10 1.6 Generating Signals 16 1.7 Measuring and Transferring Power 19 1.7.1 Root Mean Square 19 1.7.2 The Decibel 23 1.7.3 Maximum Power Transfer 25 1.8 System Noise 29 1.9 Chapter Summary 32 Problems 32 2 Wired,Wireless, and Optical Systems 37 2.1 Chapter Objectives 37 2.2 Introduction 37 2.3 Useful Preliminaries 38 2.3.1 Frequency Components When a SignalWaveform Is Known 38 2.3.2 Frequency SpectrumWhen a Signal Is Measured 42 2.3.3 Measuring the Frequency Spectrum in Practice 44 2.4 Wired Communications 50 2.4.1 Cabling Considerations 50 2.4.2 Pulse Shaping 52 2.4.3 Line Codes and Synchronization 62 2.4.4 Scrambling and Synchronization 66 2.4.5 Pulse Reflection 73 2.4.6 Characteristic Impedance of a Transmission Line 80 2.4.7 Wave Equation for a Transmission Line 83 2.4.8 StandingWaves 84 2.5 Radio andWireless 92 2.5.1 Radio-frequency Spectrum 92 2.5.2 Radio Propagation 92 2.5.3 Line-of-sight Considerations 96 2.5.4 Radio Reflection 97 2.5.5 RadioWave Diffraction 99 2.5.6 RadioWaves with a Moving Sender or Receiver 103 2.5.7 Sending and Capturing a Radio Signal 105 2.5.8 Processing aWireless Signal 119 2.5.9 Intermodulation 128 2.5.10 External Noise 131 2.6 Optical Transmission 132 2.6.1 Principles of Optical Transmission 132 2.6.2 Optical Sources 134 2.6.3 Optical Fiber 139 2.6.4 Optical Fiber Losses 145 2.6.5 Optical Transmission Measurements 147 2.7 Chapter Summary 150 Problems 151 3 Modulation and Demodulation 155 3.1 Chapter Objectives 155 3.2 Introduction 155 3.3 Useful Preliminaries 156 3.3.1 Trigonometry 157 3.3.2 Complex Numbers 159 3.4 The Need for Modulation 162 3.5 Amplitude Modulation 164 3.5.1 Frequency Components 167 3.5.2 Power Analysis 170 3.5.3 AM Demodulation 171 3.5.4 Variations on AM 173 3.6 Frequency and Phase Modulation 180 3.6.1 FM and PM Concepts 181 3.6.2 FM and PM Analysis 183 3.6.3 Generation of FM and PM Signals 185 3.6.4 The Spectrum of Frequency Modulation 186 3.6.5 Why Do the Bessel Coefficients Give the Spectrum of FM? 195 3.6.6 FM Demodulation 200 3.7 Phase Tracking and Synchronization 204 3.8 Demodulation Using IQ Methods 215 3.8.1 Demodulation of AM Using IQ Signals 216 3.8.2 Demodulation of PM Using IQ Signals 219 3.8.3 Demodulation of FM Using IQ Signals 222 3.9 Modulation for Digital Transmission 225 3.9.1 Digital Modulation 226 3.9.2 Recovering Digital Signals 228 3.9.3 Orthogonal Signals 237 3.9.4 Quadrature Amplitude Modulation 239 3.9.5 Frequency Division Multiplexing 242 3.9.6 Orthogonal Frequency Division Multiplexing 244 3.9.7 Implementing OFDM: The FFT 247 3.9.8 Spread Spectrum 254 3.10 Chapter Summary 261 Problems 261 4 Internet Protocols and Packet Delivery Algorithms 269 4.1 Chapter Objectives 269 4.2 Introduction 269 4.3 Useful Preliminaries 270 4.3.1 Packet Switching 270 4.3.2 Binary Operations 272 4.3.3 Data Structures and Dereferencing Data 272 4.4 Packets, Protocol Layers, and the Protocol Stack 277 4.5 Local Area Networks 281 4.5.1 Wired LANs 282 4.5.2 Wireless LANs 284 4.6 Device Packet Delivery: Internet Protocol 286 4.6.1 The Original IPv4 286 4.6.2 Extension to IPv6 286 4.6.3 IP Checksum 290 4.6.4 IP Addressing 294 4.6.5 Subnetworks 296 4.6.6 Network Address Translation 298 4.7 Network Access Configuration 300 4.7.1 Mapping MAC to IP: ARP 301 4.7.2 IP Configuration: DHCP 302 4.7.3 Domain Name System (DNS) 302 4.8 Application Packet Delivery: TCP and UDP 303 4.9 TCP: Reliable Delivery and Network Fairness 309 4.9.1 Connection Establishment and Teardown 311 4.9.2 Congestion Control 311 4.9.3 TCP Timeouts 319 4.10 Packet Routing 321 4.10.1 Routing Example 322 4.10.2 Mechanics of Packet Forwarding 323 4.10.3 Routing Tasks 325 4.10.4 Forwarding Table Using Supernetting 326 4.10.5 Route Path Lookup 330 4.10.6 Routing Tables Based on Neighbor Discovery: Distance Vector 343 4.10.7 Routing Tables Based on Network Topology: Link State 348 4.11 Chapter Summary 359 Problems 359 5 Quantization and Coding 363 5.1 Chapter Objectives 363 5.2 Introduction 363 5.3 Useful Preliminaries 364 5.3.1 Probability Functions 364 5.3.2 Difference Equations and the z Transform 366 5.4 Digital Channel Capacity 369 5.5 Quantization 372 5.5.1 Scalar Quantization 373 5.5.2 Companding 379 5.5.3 Unequal Step Size Quantization 382 5.5.4 Adaptive Scalar Quantization 383 5.5.5 Vector Quantization 385 5.6 Source Coding 389 5.6.1 Lossless Codes 390 5.6.1.1 Entropy and Codewords 390 5.6.1.2 The Huffman Code 392 5.6.1.3 Adapting the Probability Table 404 5.6.2 Block-based Lossless Encoders 405 5.6.2.1 Sliding-Window Lossless Encoders 405 5.6.2.2 Dictionary-based Lossless Encoders 407 5.6.3 Differential PCM 409 5.6.3.1 Sample-by-sample Prediction 410 5.6.3.2 Adaptive Prediction 417 5.7 Image Coding 420 5.7.1 Block Truncation Algorithm 422 5.7.2 Discrete Cosine Transform 425 5.7.3 Quadtree Decomposition 430 5.7.4 Color Representation 431 5.8 Speech and Audio Coding 433 5.8.1 Linear Prediction for Speech Coding 434 5.8.2 Analysis by Synthesis 439 5.8.3 Spectral Response and NoiseWeighting 440 5.8.4 Audio Coding 442 5.9 Chapter Summary 447 Problems 447 6 Data Transmission and Integrity 453 6.1 Chapter Objectives 453 6.2 Introduction 453 6.3 Useful Preliminaries 454 6.3.1 Probability Error Functions 454 6.3.2 Integer Arithmetic 458 6.4 Bit Errors in Digital Systems 461 6.4.1 Basic Concepts 461 6.4.2 Analyzing Bit Errors 463 6.5 Approaches to Block Error Detection 470 6.5.1 Hamming Codes 472 6.5.2 Checksums 478 6.5.3 Cyclic Redundancy Checks 482 6.5.4 Convolutional Coding for Error Correction 489 6.6 Encryption and Security 507 6.6.1 Cipher Algorithms 508 6.6.2 Simple Encipherment Systems 509 6.6.3 Key Exchange 512 6.6.4 Digital Signatures and Hash Functions 519 6.6.5 Public-key Encryption 520 6.6.6 Public-key Authentication 522 6.6.7 Mathematics Underpinning Public-key Encryption 522 6.7 Chapter Summary 526 Problems 526 References 531 Index 541

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Book SynopsisFIELDS AND WAVES IN ELECTROMAGNETIC COMMUNICATIONS A vital resource that comprehensively covers advanced topics in applied electromagnetics for the professional Electromagnetism (EM) is a highly abstract and complex subject that examines how exerting a force on charged particles is affected by the presence and motion of adjacent particles. The interdependence of the time varying electric and magnetic fieldsone producing the other, and vice versahas allowed researchers to consider them as a single coherent entity: the electromagnetic field. Under this umbrella, students can learn about numerous and varied topics, such as wireless propagation, satellite communications, microwave technology, EM techniques, antennas, and optics, among many others. Fields and Waves in Electromagnetic Communications covers advanced topics in applied electromagnetics for the professional by offering a comprehensive textbook that covers the basics of EM to the most advanced topics such as the classical electrTable of ContentsPreface xii Acknowledgments xiv About the Companion Website xvi 1 Uniform Plane Wave 1 1.1 Introduction to Uniform Plane Wave 1 1.2 Fundamental Concept of Wave Propagation 4 1.3 Plane Wave Concept 7 1.4 One Dimensional Wave Equation Concept 14 1.5 Wave Motion and Wave Front 17 1.6 Phase Velocity of UPW 19 1.7 Wave Impedance 23 1.8 Time Harmonic Field Wave Equations 25 1.8.1 Summary of Propagation Constant 29 1.9 Refractive Index of Medium and Dispersion 30 1.9.1 Summary of Wave Propagation in Lossless Medium 32 1.10 Time Harmonic Wave Solution 33 1.11 Poynting Theorem 35 1.12 Static Poynting Theorem 40 1.12.1 Poynting Theorem for a Wire 40 1.13 Energy Balance Equation in the Presence of a Generator: In-Flux and Out-Flow of Power 41 1.14 Time Harmonic Poynting Vector 43 1.15 Problems 48 2 Wave Propagation in Homogeneous, Nondispersive Lossy Media 55 2.1 Introduction 55 2.2 Wave Propagation in Lossy Media 57 2.3 Good Dielectric Medium 60 2.3.1 Wave Impedance of Good Dielectric 61 2.4 Low-Loss Dielectric Medium 62 2.4.1 Measurement Procedure of Relative Permittivity and Loss Tangent 65 2.4.2 Summary of Lossy Dielectric Materials 65 2.5 Wave Propagation in Good Conducting Medium 66 2.6 Wave Impedance in Good Conductors 70 2.6.1 Practical Applications: Geophysics 72 2.7 Current Wave Equation in High Conductivity Materials 73 2.7.1 Current in a Conducting Sheet 74 2.7.2 Skin Effect and Internal Impedance 76 2.7.3 Sheet Resistance 79 2.7.4 High Frequency Effect 80 2.8 Sheet Resistance of a Wire and a Coaxial Line 84 2.9 Current Distribution on a Wire 85 2.9.1 Rayleigh Approximation of Finite Conductor Thickness 86 2.9.2 Internal Impedance of a Round Wire 87 2.10 Low Frequency Approximation 89 2.11 Skin-Effect Resistance and Inductance Ratios 90 2.12 Impedance of a Circular Tube and Coaxial Cable 91 2.13 Impedance of a Coaxial Cable 96 2.14 Impedance of Metallic-Coated Conductors and Laminates 98 2.15 1D Current Wave Equation in Multilayered Media 100 2.16 Boundary Conditions and Exact Solution of Surface Current of a Multilayered Medium 101 2.17 Design of Multi-Bit Chipless RFID Tags 103 2.18 Power Loss in Good Conductor 104 2.19 Practical Measurement of Sheet Resistance 106 2.19.1 Measurement of Sheet Resistance 109 2.19.1.1 Sheet Resistance Meter 110 2.20 Summary of Propagation in Conducting Media 112 2.21 Chapter Remarks 112 2.22 Problems 113 3 Uniform Plane Wave in Dispersive Media 117 3.1 Introduction 117 3.2 One-Dimensional Wave Equation 118 3.2.1 Field Solutions in Different Forms 122 3.2.2 Wave Motion 124 3.2.3 Phase Velocity 127 3.3 Dispersion of Media and Group Velocity 127 3.4 Dispersion in Digital Signal Processing and Information Theory 137 3.4.1 Group Velocity in Information Theory 137 3.4.2 Pulse Broadening in Dispersive Medium 139 3.5 Wave Impedance of Uniform Plane Wave 143 3.6 Polarization of Wave Fields 144 3.6.1 Linearly Polarized Waves 148 3.6.2 Circularly Polarized Waves 154 3.6.2.1 Practical Design of Circularly Polarized Wave 158 3.6.2.2 Applications of CP Waves 159 3.6.3 Elliptical Polarization 160 3.6.4 Polarization Loss Factor and Polarization Efficiency 166 3.6.4.1 Polarization Loss Factor 166 3.6.4.2 Polarization Efficiency 170 3.7 Specific Topics on Polarizations of Uniform Plane Wave 170 3.7.1 Magnetic Field in Plane Wave with Generic Polarization 171 3.7.2 Poynting Vector Calculation in Different Polarizations of Electromagnetic Fields 172 3.7.3 Elliptically Polarized Wave from Two Unequal Cross-Polar Circularly Polarized Wave 174 3.7.4 Effect of Medium Characteristics on Polarization-Anisotropic Medium 174 3.8 Chapter Remarks 177 3.9 Problems 178 4 Wave Propagation in Dispersive Media 181 4.1 Introduction 181 4.2 Dispersion in Materials 182 4.3 Classical Electron Theory and Dispersion in Material Media 184 4.4 Discrete Charged Particles in Static Electromagnetic Fields 185 4.5 Classical Mechanics Model of Matters 192 4.6 Motion of Charged Particle in Steady Electric and Magnetic Fields 195 4.7 Theory of Cyclotron 198 4.8 Analysis of Charged Particle in Time Harmonic Electric Field and Uniform Magnetic Field 200 4.9 Dispersion in Gaseous Media 203 4.10 Dispersion in Liquid and Solid Media 208 4.11 Ionic Dispersion in Liquid and Solid Media 210 4.12 Dispersion in Metals 214 4.12.1 Significance of Dispersion in Metals in Mixed Signal Electronics? 214 4.12.2 What Are Metals Made of: The Classical Electron Theory and Electromagnetic Wave Interaction? 216 4.13 Waves Propagation in Plasma 223 4.13.1 Electromagnetic Wave Interaction with Plasma 226 4.14 Wave Propagation in Plasma and Satellite Communications 235 4.14.1 Refractive Indices and Phase Velocities for RHCP and LHCP Cases 239 4.15 Waves in Dielectric Media 244 4.15.1 Classical Electron Theory of Dielectric 246 4.15.2 Macroscopic View of Dielectric 249 4.16 Microscopic View of Dielectric 252 4.16.1 Waves in Anisotropic Dielectric Medium 255 4.17 Problems 259 5 Reflection and Transmission of Uniform Plane Wave 263 5.1 Introduction 263 5.2 Electromagnetic Waves Analysis in the Context of Boundary Value Problems 267 5.3 Reflection and Refraction at Plane Surface 271 5.4 Normal Incidence on a Perfect Conductor 272 5.5 Circularly Polarized Wave Incidence on a Conducting Surface 284 5.6 Normal Incidence at Dielectric Boundary 287 5.6.1 Calculation of Reflection and Transmission Coefficients 291 5.6.2 Calculation of Electromagnetic Power Density 293 5.7 Concept of Standing Waves 300 5.7.1 Trigonometric Analysis of Standing Wave 303 5.7.2 Time Domain Analysis of Standing Wave 307 5.7.3 Phasor Vector Analysis of Standing Wave 311 5.7.4 Transmission Line Analogy of Normal Incidence 317 5.8 Reflection from Multiple Layers 320 5.8.1 Effective Transmission and Reflection Analysis of Multilayered Dielectric Media Using Steady-State Boundary Conditions 322 5.8.2 Successive Transmission and Reflection Analysis of Multilayered Dielectric Media 327 5.8.3 Successive Transmission and Reflection Analysis Via λ/4-Thick Dielectric Medium 329 5.8.4 Effective Transmission and Reflection Coefficients of Multilayered Dielectric Media 332 5.8.5 Reflection for a Large Number of Multiple Dielectric Media 336 5.9 Special Cases of Reflection from Multiple Layers 340 5.9.1 Reflection from a Dielectric Coated Good Conductor 341 5.9.2 λ/2-Dielectric Window for Zero Reflection 343 5.9.3 Electrically Thin Dielectric Window 347 5.9.4 λ/4-Dielectric Transformer Window 349 5.9.5 Reflection for 2-Ply Dielectric Window 354 5.9.6 Electromagnetic Absorber Design with a Thin Dielectric Window Placed (3λ 0)/4 Distance from a Perfect Electric Conductor 356 5.9.7 Absorbers in Anechoic Chamber: Antenna Measurement 358 5.10 Final Remarks 359 5.11 Problems 360 6 Oblique Incidence of Uniform Plane Wave 371 6.1 Introduction 371 6.2 Methodologies Used in Oblique Incidence Theory 376 6.3 Coordinate System for Oblique Incidence Cases 378 6.4 Oblique Incidence on Conducting Boundary 387 6.5 TE Polarization on Conducting Boundary 390 6.5.1 Poynting Vector in TE Polarization 393 6.5.2 Phase Velocity Calculation 394 6.5.3 Waveguide Concept 396 6.5.4 Surface Current Calculation on Metallic Boundary 399 6.6 Parallel (TM) Polarization on Conducting Boundary 403 6.6.1 Surface Current and Induced Electric Charge Calculations on Metallic Boundary 407 6.7 Characteristic Wave Impedances 410 6.8 Oblique Incidence on Dielectric Boundary 410 6.8.1 Ray Trace Model of Generalized Oblique Incidence Field 411 6.9 Total Internal Reflection 413 6.9.1 Wave Phenomenon for Θ I > Θ c 415 6.10 TE Polarization of Oblique Incidence on Dielectric Boundary 421 6.10.1 Applications of Boundary Conditions at z = 0 426 6.10.2 Total Internal Reflection and Critical Angle θ c 428 6.10.3 Calculations of Γ TE and τ TE 430 6.10.4 Effective Impedance Concept of TE Polarized Oblique Incidence 433 6.10.5 Total Internal Reflection in the Light of Impedance Concept 434 6.10.6 Special Cases of Γ TE 435 6.10.6.1 Reflection Coefficient Γ TE for Perfect Conductor 435 6.10.6.2 Both Medium Lossless and Non-magnetic Media 436 6.10.6.3 Critical Angle and Submarine Communications 436 6.10.6.4 TE Oblique Incidence on Multiple Dielectric Layers 437 6.10.7 Power Balance in TE Oblique Incidence 439 6.10.8 Equivalent Impedance Concept in Power Balance Equation 443 6.10.9 Summary of TE Polarized Oblique Incidence Case 444 6.11 TM Polarization Oblique Incidence 445 6.11.1 Field Analysis of TM Polarization Oblique Incidence 446 6.11.2 Applications of Boundary Conditions at z = 0 451 6.11.3 Calculations of Γ TM and τ TM 453 6.11.4 Total Transmission and Brewster Angle θ B 456 6.11.5 Total Transmission for Arbitrary Polarized Signal at Plane Interface Between Dissimilar Perfect Dielectric 457 6.11.6 Brewster Angle and Wireless Communications 459 6.11.7 Chipless RFID Polarizer Exploits Brewster Angle 460 6.11.8 Effective Impedance Concept of TM Polarized Oblique Incidence 461 6.11.9 Total Transmission in the Light of Impedance Concept 462 6.11.10 Special Cases of Γ TM 464 6.11.10.1 Reflection Coefficient Γ TM for Perfect Conductor 464 6.11.10.2 Both Medium Lossless and Non-magnetic Media 464 6.11.10.3 Brewster Angle and Laser Beam with TM Polarization 464 6.11.10.4 Calculations of Γ eff for TM and TE Oblique Incidence on Multiple Dielectric Layer 465 6.11.11 Power Balance in TM Oblique Incidence 471 6.11.12 Equivalent Impedance Concept in Power Balance Equation 473 6.11.13 Summary of TM Polarized Oblique Incidence Cases 474 6.12 Problems 475 References 480 7 Incidence of Uniform Plane Wave in Lossy Media 481 7.1 Introduction 481 7.2 Applications 483 7.3 Normal Incidence on Imperfect Media 485 7.3.1 Normal Incidence on Imperfect Dielectric Boundary 493 7.3.1.1 Time Average Power Loss in Lossy Dielectric Medium 494 7.4 Applications of Normal Incidences on Lossy Dielectric Boundary 495 7.4.1 Microwave Biomedical Engineering 495 7.4.2 RF/Microwave Shielding for EMC Measures 497 7.5 Oblique Incidence in Lossy Medium 502 7.5.1 General Theory of Oblique Incidence from Air to Lossy Medium 502 7.5.2 Oblique Incidence and Propagation in Good Conductor 506 7.5.3 Oblique Incidence and Reflection from Lossy Medium 509 7.5.4 Oblique Incidence: Reflection from Good Conductor 510 7.5.5 Good Conductor to Good Conductor Interface 512 7.5.6 Oblique Incidence at the Interface of Two Lossy Medium with Real Θ I 512 7.5.7 Refraction for Two Conductive Media 515 7.6 Emerging Applications: Precision Agriculture 519 7.6.1 Wireless Sensor 521 7.6.2 Soil Models 522 7.6.3 TDR Technique in Soil Moisture Measurements 522 7.6.4 Sensor Design 524 7.6.5 Soil Moisture Remote Sensing Radiometer 524 7.6.6 Test Set Up 529 7.7 Chapter Summary 531 7.8 Problems 531 Acknowledgments 534 References 534 Appendix A Useful Electromagnetic Data 537 Index 542

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Book SynopsisSolid-State Sensors A thorough and up-to-date introduction to solid-state sensors, materials, fabrication processes, and applications Solid-State Sensors provides a comprehensive introduction to the field, covering fundamental principles, underlying theories, sensor materials, fabrication technologies, current and possible future applications, and more. Presented in a clear and accessible format, this reader-friendly textbook describes the fundamentals and classification of all major types of solid-state sensors, including piezoresistive, capacitive, thermometric, optical bio-chemical, magnetic, and acoustic-based sensors. Throughout the text, the authors offer insight into how different solid-state methods complement each other as well as their respective advantages and disadvantages in relation to specific devices and a variety of state-of-the-art applications. Detailed yet concise chapters include numerous visual illustrations and comparative tables oTable of ContentsAbout the Authors xv Preface xvii 1 Introduction 1 1.1 Overview 1 1.1.1 Growth in Solid-State Sensor Market 2 1.1.2 Solid-State Sensors: A Recipe for Smart Sensing Systems 5 1.2 Evolution of Solid-State Sensors 6 1.2.1 Origin and Early Developments in Detection Devices 6 1.2.2 Solid-State Electronics: Post Transistor Era 9 1.2.3 Emergence of New Technologies 12 1.2.3.1 Thin-Film Technology 14 1.2.3.2 Advancements in Micro- and Nanofabrication 14 1.2.3.3 Emergence of Nanotechnology 16 1.2.3.4 Printed Electronics on Flexible Substrates 17 1.2.3.5 Smart Devices with Artificial Intelligence 20 1.2.3.6 IoT-Enabled Sensors 21 1.2.4 Paradigm Shift in Solid-State Sensor Research 22 1.2.4.1 Organic Devices 23 1.2.4.2 Wearable Devices 24 1.2.4.3 Implantable Sensors 25 1.3 Outline 27 References 28 2 Classification and Terminology 35 2.1 Sensor Components 35 2.2 Classification of Solid-State Sensors 36 2.3 Sensor Terminology 40 2.3.1 Accuracy 40 2.3.2 Precision 41 2.3.3 Calibration Curve 41 2.3.4 Sensitivity 41 2.3.5 Threshold/Minimum Detectable Limit 42 2.3.6 Null Offset 42 2.3.7 Dynamic Range 42 2.3.8 Nonlinearity 42 2.3.9 Hysteresis 43 2.3.10 Selectivity 43 2.3.11 Repeatability 43 2.3.12 Reproducibility 43 2.3.13 Resolution 43 2.3.14 Stability 43 2.3.15 Noise 44 2.3.16 Response and Recovery Time 44 2.3.17 Drift 45 2.4 Conclusion 45 References 45 3 Fabrication Technologies 47 3.1 Introduction 47 3.2 Deposition 48 3.2.1 Physical Vapor Deposition 49 3.2.1.1 Thermal Evaporation 50 3.2.1.2 Sputter Deposition 52 3.2.1.3 Electron-Beam PVD 55 3.2.1.4 Laser Ablation 58 3.2.2 Electroplating 59 3.2.3 Thermal Oxidation 61 3.2.4 Chemical Vapor Deposition 62 3.2.4.1 Atmospheric Pressure Chemical Vapor Deposition 62 3.2.4.2 Low-Pressure Chemical Vapor Deposition 63 3.2.4.3 Plasma-Enhanced Chemical Vapor Deposition 63 3.3 Exposure-Based Lithography Techniques 64 3.3.1 UV Lithography 65 3.3.1.1 Exposure Tool 65 3.3.1.2 Mask 66 3.3.1.3 Photoresist 67 3.3.2 Electron-Beam Lithography 68 3.3.3 X-Ray Lithography 71 3.3.4 Ion-Beam Lithography 71 3.4 Soft Lithography Techniques 72 3.4.1 Particle Replication in Nonwetting Templates 74 3.4.2 Microcontact Printing 75 3.4.3 Microfluidic Patterning 77 3.4.4 Laminar Flow Patterning 79 3.4.5 Step and Flash Imprint Lithography 80 3.4.6 Hydrogel Template 82 3.5 Etching 83 3.5.1 Wet Etching 85 3.5.2 Dry Etching 89 3.6 Doping 90 3.6.1 Diffusion 92 3.6.2 Ion Implantation 94 3.7 Solution Processed Methods 95 3.7.1 Inkjet Printing 95 3.7.2 Drop Dispensing 98 3.7.3 Spray Deposition 100 3.7.4 Screen Printing 101 3.7.5 Tape Casting 103 3.8 Conclusions 105 References 106 4 Piezoelectric Sensors 113 4.1 Overview 113 4.2 Theory of Piezoelectricity 115 4.2.1 Direct Piezoelectric Effect 115 4.2.2 Poling 116 4.2.3 Static Piezoelectricity 118 4.2.4 Anisotropic Crystals 118 4.3 Basic Mathematical Formulation 119 4.3.1 Contribution of Piezoelectric Effect to Elastic constant C 120 4.3.2 Contribution of Piezoelectric Effect to Dielectric Constant ε 121 4.4 Constitutive Equations 122 4.4.1 Piezoelectric 122 4.4.2 Sensor Equations for Electrical Circuits 124 4.4.3 Piezoelectric Constants for a Material 126 4.4.3.1 Piezoelectric Strain Constant d 127 4.4.3.2 Piezoelectric Voltage Coefficient g 127 4.4.3.3 Piezoelectric Coupling Coefficients k 128 4.4.3.4 Mechanical Quality Factor QM 128 4.4.3.5 Acoustic Impedance 129 4.4.3.6 Aging Rate 129 4.4.3.7 Dielectric Constants KTij 129 4.5 Piezoelectric Materials 130 4.5.1 Natural Piezoelectric Materials 131 4.5.1.1 Piezoelectric Single Crystals 131 4.5.1.2 Organic Materials 133 4.5.1.3 Biopiezoelectric Materials 138 4.5.2 Man-made/Synthetic Piezoelectric Material 141 4.5.2.1 Polymers 141 4.5.2.2 Ceramics 143 4.5.2.3 Piezoelectric Composites 146 4.5.2.4 Thin Film 150 4.5.2.5 Choice of Piezoelectric Material for Desired Applications 151 4.6 Uses of Piezoelectric Materials 151 4.6.1 Piezoelectric Transducer 152 4.6.2 Piezoelectric Actuator 153 4.6.3 Piezoelectric Generator 155 4.7 Piezoelectric Transducers as Sensors 157 4.7.1 Pressure Sensor 157 4.7.2 Accelerometer 158 4.7.3 Acoustic Sensor 159 4.8 Design of Piezoelectric Devices 163 4.8.1 Orientation of Piezo Crystals 163 4.8.2 Piezo Stacks 164 4.8.3 Bimorph Architecture 166 4.9 Application of Piezoelectric Sensors 167 4.9.1 Industrial Applications 167 4.9.1.1 Engine Knock Sensors 167 4.9.1.2 Tactile Sensors 168 4.9.1.3 Piezoelectric Motors 169 4.9.1.4 Sonar 171 4.9.2 Consumer Electronics 172 4.9.2.1 Piezoelectric Igniters 172 4.9.2.2 Drop on Demand Piezoelectric Printers 172 4.9.2.3 Speakers 173 4.9.2.4 Other Daily Use Products 173 4.9.3 Medical Applications 174 4.9.3.1 Ultrasound Imaging 174 4.9.3.2 Surgery and Ultrasound Procedures 175 4.9.3.3 Wound and Bone Fracture Healing 175 4.9.4 Defense Applications 176 4.9.4.1 Micro Robotics 176 4.9.4.2 Laser-Guided Bullets and Missiles 178 4.9.5 Musical Applications 179 4.9.5.1 Piezoelectric Pickups for Instruments 179 4.9.5.2 Microphones and Ear Pieces 179 4.9.6 Other Applications 180 4.9.6.1 Energy Harvesters 180 4.9.6.2 Sports-Tennis Racquets 184 4.10 Conclusions 184 References 188 5 Capacitive Sensors 193 5.1 Overview 193 5.1.1 A Capacitor 194 5.1.2 Capacitance of a Capacitor 195 5.2 Sensor Construction 196 5.2.1 Overlapping Electrode Area A 196 5.2.2 Dielectric Thickness d 197 5.2.3 Dielectric Material 199 5.2.4 Parallel Fingers and Fringing Fields 201 5.3 Sensor Architecture 203 5.3.1 Mixed Dielectrics 203 5.3.2 Multielectrode Capacitor 207 5.3.3 Geometry 209 5.4 Classifications of Capacitive Sensors 211 5.4.1 Displacement Capacitive Sensor 211 5.4.2 Overlapping Area Variation Based Capacitive Sensor 213 5.4.3 Effective Dielectric Permittivity Variation Based Capacitive Sensor 214 5.4.4 Fringing Field Capacitive Sensor 218 5.5 Flexible Capacitive Sensors 219 5.6 Applications 221 5.6.1 Motion Detection 221 5.6.1.1 Displacement Motion (z-Direction) 221 5.6.1.2 Shear Motion (x Direction) 221 5.6.1.3 Tilt Sensor 221 5.6.1.4 Rotary Motion Sensor 222 5.6.1.5 Finger Position (2D, x–y Direction) 222 5.6.2 Pressure 222 5.6.3 Liquid Level 223 5.6.4 Spacing 223 5.6.5 Scanned Multiplate Sensor 223 5.6.6 Thickness Measurement 223 5.6.7 Ice Detector 223 5.6.8 Shaft Angle or Linear Position 223 5.6.9 Lamp Dimmer Switch 223 5.6.10 Key Switch 223 5.6.11 Limit Switch 224 5.6.12 Accelerometers 224 5.6.13 Soil Moisture Measurement 224 5.7 Prospects and Limitations 224 5.7.1 Prospects 224 5.7.2 Limitations 224 References 226 6 Chemical Sensors 233 6.1 Introduction 233 6.1.1 Overview 233 6.1.2 Global Limelight 237 6.1.3 Evolution of Chemical Sensors 237 6.1.4 Requirements for Chemical Sensors 240 6.1.4.1 Selectivity 240 6.1.4.2 Stability 240 6.1.4.3 Sensitivity 241 6.1.4.4 Response Time 241 6.1.4.5 Limit of Detection 241 6.2 Materials for Chemical Sensing 241 6.2.1 Metal Oxides 241 6.2.1.1 Types of Metal Oxides 242 6.2.1.2 Chemical Sensing Mechanism 243 6.2.1.3 Metal Oxide Nanoparticles and Films as Sensor Materials 244 6.2.2 Honeycomb Structured Materials 245 6.2.2.1 Graphene 246 6.2.2.2 Carbon Nanotubes 248 6.2.2.3 Other 2D Materials 250 6.2.3 Biopolymers 251 6.2.3.1 On the Basis of Type 252 6.2.3.2 On the Basis of Origin 255 6.2.3.3 On the Basis of Monomeric Units 261 6.2.4 Functionalization 265 6.2.4.1 Covalent Functionalization 266 6.2.4.2 Noncovalent Functionalization 268 6.2.5 Biocomposites 270 6.3 Architectures in Chemical Sensors 272 6.3.1 Chemiresistors 272 6.3.2 ChemFET 275 6.4 Applications 277 6.4.1 Gas Sensors 277 6.4.2 Environmental Sensors 278 6.4.2.1 Pollutants/Aerosols Sensors 279 6.4.2.2 Water Quality Monitoring Sensors 281 6.4.2.3 Humidity Detectors 282 6.4.2.4 UV Radiation Exposure Monitoring 283 6.4.3 Biomolecule Sensors 284 6.4.4 Food Quality Monitoring 284 6.4.4.1 Relative Humidity Monitoring 284 6.4.4.2 Gas Monitoring 285 6.4.4.3 Temperature Monitoring 285 6.4.4.4 Presence of Toxic Metals 286 6.4.5 Water Quality Management in Public Pools 286 6.4.6 Health Monitoring 287 6.4.7 Defense and Security 288 6.5 Conclusions 290 References 293 7 Optical Sensors 309 7.1 Introduction 309 7.2 Classifications of Optical Properties 311 7.2.1 Absorbance 311 7.2.2 Reflectance 312 7.2.3 Light Scattering 312 7.2.4 Luminescence 314 7.2.5 Fluorescence 314 7.2.6 Circular Dichroism 315 7.2.7 Z-Scan Technique 317 7.2.8 Förster Resonance Energy Transfer 317 7.3 Materials for Optical Sensing 319 7.3.1 Metal Oxide Materials 319 7.3.2 Polymer Materials 319 7.3.3 Carbon Materials 320 7.4 Optical Techniques for Sensing 320 7.4.1 SPR-Based Detection 321 7.4.2 Nanostructure Aggregation-Mediated Detection 323 7.4.3 Micro/Nanofiber-Based Detection 323 7.4.4 Colorimetric Sensing 324 7.4.5 Spectroscopy Techniques Associated with Sensing 325 7.4.5.1 Raman Spectroscopy 326 7.4.5.2 Luminescence Spectroscopy 326 7.4.5.3 Absorption Spectroscopy 326 7.5 Fabrication Technique of Optical Sensors 327 7.5.1 Solution Process 327 7.5.2 Inkjet Printing 328 7.5.3 Screen Printing 328 7.6 Applications of Optical Sensing 328 7.6.1 Environment Monitoring and Gas Sensing 328 7.6.2 Health Monitoring 332 7.6.3 Fingerprint Detection 332 7.6.4 Defense and Security 333 7.6.5 Motion Detection 334 7.6.6 Water Quality Monitoring 334 7.6.7 e-Waste and Detection of Toxic Materials 335 7.6.8 Detection of Microorganisms 337 7.7 Prospects and Limitations 337 References 339 8 Magnetic Sensors 341 8.1 Introduction 341 8.2 Materials’ Magnetic Properties 342 8.2.1 Diamagnetism 343 8.2.2 Paramagnetism 343 8.2.3 Ferromagnetism and Antiferromagnetism 344 8.3 Nanomagnetism 347 8.3.1 Magnetic Anisotropy 347 8.3.2 Interlayer Exchange Coupling 347 8.3.3 Exchange Bias 347 8.3.4 Spin-Polarized Transport 347 8.4 Magnetic Sensing Techniques 349 8.4.1 Hall Effect Sensors 349 8.4.2 Magnetoresistive Sensors 354 8.4.2.1 Ordinary Magnetoresistance 354 8.4.2.2 Anisotropic Magnetoresistance 356 8.4.2.3 Giant Magnetoresistance 357 8.4.2.4 Tunnel Magnetoresistance 358 8.4.2.5 Colossal Magnetoresistance 360 8.5 Fabrication and Characterization Technologies 360 8.5.1 Conventional Fabrication 361 8.5.2 Solution Process 361 8.5.3 Printing Technologies 361 8.6 Magnetic Sensor Applications 361 8.6.1 Biosensors 361 8.6.2 Magnetic Storage and Read Heads 362 8.6.3 Current Sensing 362 8.6.4 Position and Angle Sensors 364 8.7 Prospects and Limitations 365 References 365 9 Interface Circuits 369 9.1 Introduction 369 9.1.1 Functions of Interface 369 9.1.2 Types of Sensor Interfacing Circuits 370 9.1.3 Battery 372 9.1.4 Battery Characteristics in System Analysis 373 9.1.5 Applications of an I/O Interface Device 376 9.1.6 Importance of Input Impedance 377 9.2 Amplifier Circuits 378 9.2.1 Ideal Operational Amplifier (Op-amp) 378 9.2.2 Inverting and Noninverting Op-amps 379 9.2.3 Voltage Follower 380 9.2.4 Instrumentation Amplifier 381 9.2.5 Charge Amplifiers 382 9.2.6 Applications of Amplifiers 382 9.3 Excitation Circuits 383 9.3.1 Current Generators 383 9.3.2 Voltage Reference 383 9.3.3 Oscillators 385 9.3.4 Drivers 386 9.4 Analog-to-Digital Converters 386 9.4.1 Basic Concepts of ADC 386 9.4.2 V/F Converter 387 9.4.3 Dual-Slope Converter 389 9.4.4 Successive Approximation Converter 390 9.4.5 Resolution Extension 391 9.5 Noise in Sensors and Circuits 391 9.5.1 Inherent Noise 392 9.5.2 Electric Shielding 393 9.5.3 Bypass Capacitor 394 9.5.4 Magnetic Shielding 394 9.5.5 Ground Planes 395 9.5.6 Ground Loops and Ground Isolation 396 9.6 Batteries for Low-Power Sensors and Wireless Systems 398 9.6.1 Primary Cells 400 9.6.2 Secondary Cells 401 9.6.3 Energy Harvesting for WSN 401 References 403 Index 409

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Book SynopsisOffers comprehensive insight into the theory, models, and techniques of ultra-dense networks and applications in 5G and other emerging wireless networks The need for speedand powerin wireless communications is growing exponentially. Data rates are projected to increase by a factor of ten every five yearsand with the emerging Internet of Things (IoT) predicted to wirelessly connect trillions of devices across the globe, future mobile networks (5G) will grind to a halt unless more capacity is created. This book presents new research related to the theory and practice of all aspects of ultra-dense networks, covering recent advances in ultra-dense networks for 5G networks and beyond, including cognitive radio networks, massive multiple-input multiple-output (MIMO), device-to-device (D2D) communications, millimeter-wave communications, and energy harvesting communications. Clear and concise throughout, Ultra-Dense Networks for 5G and Beyond - Modelling, Analysis, Table of ContentsList of Contributors xi Preface xv Part I Fundamentals of Ultra-dense Networks 1 1 Fundamental Limits of Ultra-dense Networks 3Marios Kountouris and Van Minh Nguyen 1.1 Introduction 3 1.2 System Model 6 1.2.1 Network Topology 6 1.2.2 Wireless Propagation Model 6 1.2.3 User Association 8 1.2.4 Performance Metrics 8 1.3 The Quest for Exact Analytical Expressions 9 1.3.1 Coverage Probability 10 1.3.2 The Effect of LOS Fading 16 1.3.3 The Effect of BS Height 19 1.4 The Quest for Scaling Laws 25 1.4.1 User Performance 26 1.4.2 Network Performance 33 1.4.3 Network Ordering and Design Guidelines 35 1.5 Conclusions and Future Challenges 36 Bibliography 37 2 Performance Analysis of Dense Small Cell Networks with Line of Sight and Non-Line of Sight Transmissions under Rician Fading 41Amir Hossein Jafari,Ming Ding and David López-Pérez 2.1 Introduction 41 2.2 System Model 42 2.2.1 BS Distribution 42 2.2.2 User Distribution 42 2.2.3 Path Loss 43 2.2.4 User Association Strategy (UAS) 44 2.2.5 Antenna Radiation Pattern 44 2.2.6 Multi-path Fading 44 2.3 Coverage Probability Analysis Based on the Piecewise Path Loss Model 44 2.4 Study of a 3GPP Special Case 46 2.4.1 The Computation of T1L 47 2.4.2 The Computation of T1NL 48 2.4.3 The Computation of T2 L 51 2.4.4 The Computation of T2 NL 51 2.4.5 The Results of pcov(𝜆, 𝛾) and AASE(𝜆, 𝛾0) 52 2.5 Simulation and Discussion 52 2.5.1 Validation of the Analytical Results of pcov(𝜆, 𝛾) for the 3GPP Case 52 2.5.2 Discussion on the Analytical Results of AASE(𝜆, 𝛾0) for the 3GPP Case 54 2.6 Conclusion 55 Appendix A: Proof ofTheorem 1.1 55 Appendix B: Proof of Lemma 2.2 60 Appendix C: Proof of Lemma 2.3 61 Appendix D: Proof of Lemma 2.4 62 Bibliography 62 3 Mean Field Games for 5G Ultra-dense Networks: A Resource Management Perspective 65Mbazingwa E.Mkiramweni, Chungang Yang and Zhu Han 3.1 Introduction 65 3.2 Literature Review 67 3.2.1 5G Ultra-dense Networks 67 3.2.2 Resource Management Challenges in 5G 71 3.2.3 Game Theory for Resource Management in 5G 71 3.3 Basics of Mean field game 71 3.3.1 Background 72 3.3.2 Mean Field Games 73 3.4 MFGs for D2D Communications in 5G 76 3.4.1 Applications of MFGs in 5G Ultra-dense D2D Networks 76 3.4.2 An Example of MFGs for Interference Management in UDN 77 3.5 MFGs for Radio Access Network in 5G 78 3.5.1 Application of MFGs for Radio Access Network in 5G 79 3.5.2 Energy Harvesting 81 3.5.3 An Example of MFGs for Radio Access Network in 5G 81 3.6 MFGs in 5G Edge Computing 84 3.6.1 MFG Applications in Edge Cloud Communication 85 3.7 Conclusion 85 Bibliography 85 Part II Ultra-dense Networks with Emerging 5G Technologies 91 4 Inband Full-duplex Self-backhauling in Ultra-dense Networks 93Dani Korpi, Taneli Riihonen and Mikko Valkama 4.1 Introduction 93 4.2 Self-backhauling in Existing Literature 94 4.3 Self-backhauling Strategies 95 4.3.1 Half-duplex Base Station without Access Nodes 97 4.3.2 Half-duplex Base Station with Half-duplex Access Nodes 97 4.3.3 Full-Duplex Base Station with Half-Duplex Access Nodes 98 4.3.4 Half-duplex Base Station with Full-duplex Access Nodes 99 4.4 Transmit Power Optimization under QoS Requirements 99 4.5 Performance Analysis 101 4.5.1 Simulation Setup 101 4.5.2 Numerical Results 103 4.6 Summary 109 Bibliography 110 5 The Role of Massive MIMO and Small Cells in Ultra-dense Networks 113Qi Zhang, Howard H. Yang and Tony Q. S. Quek 5.1 Introduction 113 5.2 System Model 115 5.2.1 Network Topology 115 5.2.2 Propagation Environment 116 5.2.3 User Association Policy 117 5.3 Average Downlink Rate 117 5.3.1 Association Probabilities 117 5.3.2 Uplink Training 119 5.3.3 Downlink Data Transmission 120 5.3.4 Approximation of Average Downlink Rate 121 5.4 Numerical Results 123 5.4.1 Validation of Analytical Results 123 5.4.2 Comparison between Massive MIMO and Small Cells 124 5.4.3 Optimal Network Configuration 126 5.5 Conclusion 127 Appendix 128 A.1 Proof of Theorem 5.1 128 A.2 Proof of Corollary 5.1 129 A.3 Proof of Theorem 5.2 129 A.4 Proof of Theorem 5.3 130 A.5 Proof of Proposition 5.1 130 A.6 Proof of Proposition 5.2 130 Bibliography 131 6 Security for Cell-free Massive MIMO Networks 135Tiep M. Hoang, Hien Quoc Ngo, Trung Q. Duong and Hoang D. Tuan 6.1 Introduction 135 6.2 Cell-free Massive MIMO System Model 136 6.3 Cell-free System Model in the presence of an active eavesdropper 139 6.4 On Dealing with Eavesdropper 143 6.4.1 Case 1: Power Coefficients Are Different 143 6.4.2 Case 2: Power Coefficients Are the Same 145 6.5 Numerical Results 146 6.6 Conclusion 148 Appendix 149 Bibliography 150 7 Massive MIMO for High-performance Ultra-dense Networks in the Unlicensed Spectrum 151Adrian Garcia-Rodriguez, Giovanni Geraci, Lorenzo Galati-Giordano and David López-Pérez 7.1 Introduction 151 7.2 System Model 152 7.3 Fundamentals of Massive MIMO Unlicensed (mMIMO-U) 154 7.3.1 Channel Covariance Estimation 154 7.3.2 Enhanced Listen Before Talk (eLBT) 155 7.3.3 Neighboring-Node-Aware Scheduling 157 7.3.4 Acquisition of Channel State Information 159 7.3.5 Beamforming with Radiation Nulls 160 7.4 Performance Evaluation 160 7.4.1 Outdoor Deployments 160 7.4.1.1 Cellular/Wi-Fi Coexistence 161 7.4.1.2 Achievable Cellular Data Rates 162 7.4.2 Indoor Deployments 165 7.4.2.1 Channel Access Success Rate 166 7.4.2.2 Downlink User SINR 166 7.4.2.3 Downlink Sum Throughput 169 7.5 Challenges 170 7.5.1 Wi-Fi Channel Subspace Estimation 170 7.5.2 Uplink Transmission 170 7.5.3 Hidden Terminals 171 7.6 Conclusion 172 Bibliography 172 8 Energy Efficiency Optimization for Dense Networks 175Quang-Doanh Vu, Markku Juntti, Een-Kee Hong and Le-Nam Tran 8.1 Introduction 175 8.2 Energy Efficiency Optimization Tools 176 8.2.1 Fractional Programming 176 8.2.2 Concave Fractional Programs 177 8.2.2.1 Parameterized Approach 177 8.2.2.2 Parameter-free Approach 178 8.2.3 Max–Min Fractional Programs 179 8.2.4 Generalized Non-convex Fractional Programs 179 8.2.5 Alternating Direction Method of Multipliers for Distributed Implementation 180 8.3 Energy Efficiency Optimization for Dense Networks: Case Studies 181 8.3.1 Multiple Radio Access Technologies 181 8.3.1.1 System Model and Energy Efficiency Maximization Problem 182 8.3.1.2 Solution via Parameterized Approach 184 8.3.1.3 Solution via Parameter-free Approach 184 8.3.1.4 Distributed Implementation 185 8.3.1.5 Numerical Examples 189 8.3.2 Dense Small Cell Networks 191 8.3.2.1 System Model 191 8.3.2.2 Centralized Solution via Successive Convex Approximation 193 8.3.2.3 Distributed Implementation 195 8.3.2.4 Numerical Examples 198 8.4 Conclusion 200 Bibliography 200 Part III Applications of Ultra-dense Networks 203 9 Big Data Methods for Ultra-dense Network Deployment 205Weisi Guo,Maria Liakata, GuillemMosquera,Weijie Qi, Jie Deng and Jie Zhang 9.1 Introduction 205 9.1.1 The Economic Case for Big Data in UDNs 205 9.1.2 Chapter Organization 207 9.2 Structured Data Analytics for Traffic Hotspot Characterization 207 9.2.1 Social Media Mapping of Hotspots 207 9.2.2 Community and Cluster Detection 211 9.2.3 Machine Learning for Clustering in Heterogeneous UDNs 213 9.3 Unstructured Data Analytics for Quality-of-Experience Mapping 219 9.3.1 Topic Identification 220 9.3.2 Sentiment 221 9.3.3 Data-Aware Wireless Network (DAWN) 222 9.4 Conclusion 226 Bibliography 227 10 Physical Layer Security for Ultra-dense Networks under Unreliable Backhaul Connection 231Huy T. Nguyen, Nam-Phong Nguyen, Trung Q. Duong andWon-Joo Hwang 10.1 Backhaul Reliability Level and Performance Limitation 232 10.1.1 Outage Probability Analysis under Backhaul Reliability Impacts 233 10.1.2 Performance Limitation 234 10.1.3 Numerical Results 234 10.2 Unreliable Backhaul Impacts with Physical Layer Security 235 10.2.1 The Two-Phase Transmitter/Relay Selection Scheme 237 10.2.2 Secrecy Outage Probability with Backhaul Reliability Impact 240 10.2.3 Secrecy Performance Limitation under Backhaul Reliability Impact 240 10.2.4 Numerical Results 241 Appendix A 242 Appendix B 243 Appendix C 244 Bibliography 245 11 SimultaneousWireless Information and Power Transfer in UDNs with Caching Architecture 247Sumit Gautam, Thang X. Vu, Symeon Chatzinotas and Björn Ottersten 11.1 Introduction 247 11.2 System Model 249 11.2.1 Signal Model 250 11.2.2 Caching Model 251 11.2.3 Power Assumption at the Relay 252 11.3 Maximization of the serving information rate 252 11.3.1 Optimization of TS Factors and the Relay Transmit Power 253 11.3.2 Relay Selection 255 11.4 Maximization of the Energy Stored at the Relay 255 11.4.1 Optimization of TS Factors and the Relay Transmit Power 256 11.4.2 Relay Selection 259 11.5 Numerical Results 260 11.6 Conclusion 263 Acknowledgment 265 Bibliography 265 12 Cooperative Video Streaming in Ultra-dense Networks with D2D Caching 267Nguyen-Son Vo and Trung Q. Duong 12.1 Introduction 267 12.2 5G Network with Dense D2D Caching for Video Streaming 268 12.2.1 System Model and Assumptions 269 12.2.2 Cooperative Transmission Strategy 270 12.2.3 Source Video Packetization Model 271 12.3 Problem Formulation and Solution 273 12.3.1 System Parameters Formulation 273 12.3.1.1 Average Reconstructed Distortion 273 12.3.1.2 Energy Consumption Guarantee 274 12.3.1.3 Co-channel Interference Guarantee 275 12.3.2 RDO Problem 275 12.3.3 GAs Solution 276 12.4 Performance Evaluation 276 12.4.1 D2D Caching 276 12.4.2 RDO 277 12.4.2.1 Simulation Setup 277 12.4.2.2 Performance Metrics 280 12.4.2.3 Discussions 285 12.5 Conclusion 285 Bibliography 285 Index 289

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Book SynopsisEngineered to Speak: Helping You Create and Deliver Engaging Technical Presentations Technical expertise alone is not enough to ensure professional success. Twenty-first century engineers and technical professionals must master making the complex simple and the simple interesting. This book helps engineers do what they love most: take a complicated system and create a stronger solution. You will learn tips and strategies that help you answer one essential question, How can I get better at sharing my ideas with a variety of audiences? In Engineered to Speak, Alexa Chilcutt and Adam Brooks combine their expertise in messaging and public speaking with research that illustrates how effective communication contributes to career advancement. Each chapter contains inspiring stories from practicing engineers around the world as well as useful examples, exercises and repeatable processes for creating compelling messages. This book helps technical talent becTable of ContentsA Note From Series Editor xi About the Authors xiii Acknowledgments xv PART I: RECOGNIZE COMMUNICATION OPPORTUNITIES 1 WHY THIS BOOK? 3 1.1 Why Now? 5 1.2 Managers 6 1.3 Engineers and Technical Professionals 6 1.4 Students 7 1.5 Embracing Your Power as a Presenter 7 1.6 How to Use this Book 8 1.7 Calls to Action 9 2 DEMYSTIFYING COMMUNICATION AND ENGINEERING 11 2.1 The Place to Start 12 2.2 Rejecting Stereotypes 13 2.3 Debunking the Myths 14 2.3.1 Myth 1: Good Communicators Are Not Anxious 14 2.3.2 Myth 2: Some People Are Naturally Great Speakers 15 2.3.3 Myth 3: Winging it Works 16 2.3.4 Myth 4: Need to Be the "Sage on Stage" 16 2.3.5 Myth 5: Data Is Supreme 17 2.3.6 Myth 6: Time - I Must Fill It 17 2.3.7 Myth 7: Extroverts Make Better Speakers 18 2.4 Calls to Action 18 2.4.1 Communication Assessment Questions 18 2.4.2 Level of Anxiety in Public Speaking Situations 19 2.4.3 Putting Knowledge into Practice 20 3 RECOGNIZING COMMUNICATION OPPORTUNITIES 23 3.1 The Sphere of Influence Model 24 3.1.1 Internal Interactions Quadrant 25 3.1.2 Leadership Interactions Quadrant 26 3.1.3 External Interactions Quadrant 27 3.1.4 Personal Interactions Quadrant 28 3.2 Communicating to Connect 28 3.3 Listening Hang]Ups 29 3.4 Active Listening Tactics 31 3.4.1 Paraphrasing 31 3.4.2 Priming 31 3.4.3 Expressing Understanding 31 3.4.4 Use of Nonverbal Body Language 32 3.5 Putting it into Practice 32 3.6 Calls to Action 34 4 ASKING THE QUESTIONS 37 4.1 Asking the Questions 38 4.1.1 Who Am I Speaking to? 39 4.1.2 What Is the Purpose of My Presentation? 39 4.1.3 What Is the Desired Outcome? 39 4.1.4 What Information Matters Most? 40 4.1.5 Why Should they Care? 40 4.1.6 When Am I Speaking? 41 4.1.7 Where Am I Speaking? 41 4.1.8 How Should I Present? 41 4.2 Analyzing your Audience 42 4.2.1 Captive Verses Voluntary Audiences 42 4.2.2 Knowledge 43 4.2.3 Technical and Nontechnical Audiences 43 4.2.4 The Jargon Barrier 44 4.3 Competing for Attention 45 4.4 Opposing Viewpoints 46 4.5 Calls to Action 47 PART II: APPLY THE PROCESS 5 ORGANIZING AND OUTLINING YOUR PRESENTATION 51 5.1 Benefits of Organization – Decreasing Uncertainty 52 5.2 Engineering the Outline 52 5.2.1 Informational Organizational Pattern 53 5.2.2 Put it into Practice 54 5.2.3 Persuasive Organizational Patterns 56 5.2.4 Transitions 57 5.3 How to Begin your Presentation 57 5.4 How to Close your Presentation 59 5.5 Preparation Outline 60 5.6 Calls to Action 60 6 PERFECTING YOUR PITCH 63 6.1 Lead with Meaning 64 6.2 Start with an Essential Truth 64 6.3 Use Evidence to Tell your Story 65 6.3.1 Building Compelling Narratives 66 6.3.2 Applying the STAR Method 66 6.4 End with the Call to Action 68 6.5 Calls to Action 69 7 VISUALIZING YOUR MESSAGE 71 7.1 Understanding why Visuals Work 73 7.2 Designing your Slides 75 7.2.1 Storyboard Design 76 7.2.2 Keep it Simple 77 7.3 Handling Handouts 79 7.4 Physical Objects/Demonstrations 81 7.5 Real]time Writing and Drawing 82 7.5.1 The White Board 82 7.5.2 The Flip Chart 83 7.6 Calls to Action 85 8 CREATING CHARISMA 87 8.1 Dynamic Delivery 88 8.2 The Voice 88 8.2.1 Tone 89 8.2.2 Volume 90 8.2.3 Rate 91 8.2.4 Pausing 91 8.2.5 Articulation 92 8.3 Body Language 94 8.3.1 Eye Contact 94 8.3.2 Gestures 95 8.3.3 Stance 96 8.3.4 Using the Space 97 8.4 Calls to Action 98 PART III: COMMIT TO IMPROVEMENT 9 PRACTICE, FEEDBACK, AND ANXIETY REDUCTION TECHNIQUES 103 9.1 Practice Makes Better, not Perfect 104 9.2 Giving and Receiving Feedback 107 9.2.1 Requesting Real Feedback 108 9.2.2 Providing Feedback to Others 110 9.3 Managing Anxiety Through Uncertainty Reduction Tactics 112 9.3.1 Get Outside of Yourself 112 9.3.2 The Audience Is There for You 113 9.4 Fielding Questions 114 9.4.1 Addressing Opposing Viewpoints 115 9.4.2 Stumped? 115 9.5 Calls to Action 116 10 PROFESSIONALLY SPEAKING 119 10.1 Embracing your Influence 120 10.2 Taking the Lead 121 10.3 Being Part of the Strategy 122 10.4 Breaking out of Bad 123 10.5 Reading the Signs 124 10.6 Listening 126 10.7 Finishing Strong 127 APPENDICES 129 Appendix A: Self-Assessments from Chapter 1 130 Appendix B: Sphere of Influence/Active listening from Chapter 3 132 Appendix C: Asking the Questions from Chapter 4 135 Appendix D: Organizing and Outline Your Presentation from Chapter 5 136 Appendix E: Perfecting Your Pitch from Chapter 6 141 Appendix F: Visualizing Your Message from Chapter 7 144 Appendix G: Creating Charisma from Chapter 8 147 Appendix H: Practice, Feedback, and Anxiety Reduction Techniques from Chapter 9 150 Appendix I: Ten Session Communication Curriculum 153 Index 169

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Book SynopsisThe must-have resource for media selling in today's technology-driven environment The revised and updated fifth edition of Media Selling is an essential guide to our technology-driven, programmatic, micro-targeted, mobile, multi-channel media ecosystem. Today, digital advertising has surpassed television as the number-one ad investment platform, and Google and Facebook dominate the digital advertising marketplace. The authors highlight the new sales processes and approaches that will give media salespeople a leg up on the competition in our post-Internet media era. The book explores the automated programmatic buying and selling of digital ad inventory that is disrupting both media buyers and media salespeople. In addition to information on disruptive technologies in media sales, the book explores sales ethics, communication theory and listening, emotional intelligence, creating value, the principles of persuasion, sales stage management guides, and sampleTable of ContentsAbout the Authors ix Acknowledgments xi Preface xiii 1 The Marketing/Media Ecology 1Charles Warner 2 Selling in the Digital Era 15Charles Warner 3 Sales Ethics and Transparency 47Charles Warner 4 The AESKOPP Approach, Attitude, and Goal Setting 61Charles Warner 5 Emotional Intelligence 81Charles Warner 6 Effective Communication, Effective Listening, and Understanding People 91Charles Warner 7 Influence and Creating Value 111Charles Warner 8 The New Buying and Selling Process 139Charles Warner 9 Prospecting and Qualifying 155Charles Warner 10 Researching Insights and Solutions 187Brian Moroz 11 Educating 207Charles Warner 12 Proposing 235Charles Warner 13 Negotiating and Closing 245Charles Warner 14 Customer Success 293Charles Warner 15 Marketing 305Charles Warner 16 Advertising 327Charles Warner 17 Programmatic Marketing and Advertising 353William A. Lederer 18 Measuring Advertising 375William A. Lederer 19 Selling Digital and Cross‐Platform Advertising 391Charles Warner 20 Google and Search 415Brian Moroz 21 Facebook and Social Media 425Charles Warner 22 Television 457Charles Warner 23 Print and Out of Home 475Charles Warner 24 Audio 495Charles Warner 25 Time Management 513Charles Warner Appendix: Digital Advertising Glossary 523 Index 535

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Book SynopsisA much-needed, up-to-date guide on conventional and alternative power generation This book goes beyond the traditional methods of power generation. It introduces the many recent innovations on the production of electricity and the way they play a major role in combating global warming and improving the efficiency of generation. It contains a strong analytical approach to underpin the theory of power plantsfor those using conventional fuels, as well as those using renewable fuelsand looks at the problems from a unique environmental engineering perspective. The book also includes numerous worked examples and case studies to demonstrate the working principles of these systems. Conventional and Alternative Power Generation: Thermodynamics, Mitigation and Sustainability is divided into 8 chapters that comprehensively cover: thermodynamic systems; vapor power cycles, gas power cycles, combustion; control of particulates; carbon capture and storage; air pollutioTable of ContentsPreface xi Structure of the Book xiii Notation xvii 1 Thermodynamic Systems 1 1.1 Overview 1 Learning Outcomes 1 1.2 Thermodynamic System Definitions 1 1.3 Thermodynamic Properties 1 1.4 Thermodynamic Processes 3 1.5 Formation of Steam and the State Diagrams 4 1.5.1 Property Tables and Charts for Vapours 6 1.6 Ideal Gas Behaviour in Closed and Open Systems and Processes 7 1.7 First Law ofThermodynamics 9 1.7.1 First Law of Thermodynamics Applied to Open Systems 10 1.7.2 First Law of Thermodynamics Applied to Closed Systems 10 1.8 Worked Examples 11 1.9 Tutorial Problems 17 2 Vapour Power Cycles 19 2.1 Overview 19 Learning Outcomes 19 2.2 Steam Power Plants 19 2.3 Vapour Power Cycles 20 2.3.1 The Carnot Cycle 21 2.3.2 The Simple Rankine Cycle 22 2.3.3 The Rankine Superheat Cycle 22 2.3.4 The Rankine Reheat Cycle 23 2.3.4.1 Analysis of the Rankine Reheat Cycle 24 2.3.5 Real Steam Processes 25 2.3.6 Regenerative Cycles 25 2.3.6.1 Single Feed Heater 26 2.3.6.2 Multiple Feed Heaters 27 2.3.7 Organic Rankine Cycle (ORc) 29 2.3.7.1 Choice of theWorking Fluid for ORc 29 2.4 Combined Heat and Power 30 2.4.1 Scenario One: Power Only 30 2.4.2 Scenario Two: Heat Only 31 2.4.3 ScenarioThree: Heat and Power 32 2.4.4 Cogeneration, Trigeneration and Quad Generation 33 2.5 Steam Generation Hardware 33 2.5.1 Steam Boiler Components 34 2.5.2 Types of Boiler 35 2.5.3 Fuel Preparation System 35 2.5.4 Methods of Superheat Control 36 2.5.5 Performance of Steam Boilers 36 2.5.5.1 Boiler Efficiency 36 2.5.5.2 Boiler Rating 37 2.5.5.3 Equivalent Evaporation 38 2.5.6 Steam Condensers 38 2.5.6.1 Condenser Calculations 38 2.5.7 Cooling Towers 39 2.5.8 Power-station Pumps 39 2.5.8.1 Pump Applications 39 2.5.9 Steam Turbines 41 2.6 Worked Examples 41 2.7 Tutorial Problems 54 3 Gas Power Cycles 57 3.1 Overview 57 Learning Outcomes 57 3.2 Introduction to Gas Turbines 57 3.3 Gas Turbine Cycle 57 3.3.1 Irreversibilities in Gas Turbine Processes 58 3.3.2 The Compressor Unit 58 3.3.3 The Combustion Chamber 59 3.3.4 The Turbine Unit 60 3.3.5 Overall Performance of Gas Turbine Plants 60 3.4 Modifications to the Simple Gas Turbine Cycle 61 3.4.1 Heat Exchanger 61 3.4.2 Intercooling 61 3.4.3 Reheating 62 3.4.4 Compound System 63 3.4.5 Combined Gas Turbine/Steam Turbine Cycle 65 3.5 Gas Engines 68 3.5.1 Internal Combustion Engines 68 3.5.2 The Otto Cycle 68 3.5.2.1 Analysis of the Otto Cycle 69 3.5.3 The Diesel Cycle 69 3.5.3.1 Analysis of the Diesel Cycle 70 3.5.4 The Dual Combustion Cycle 71 3.5.4.1 Analysis of the Dual Cycle 72 3.5.5 Diesel Engine Power Plants 72 3.5.6 External Combustion Engines –The Stirling Engine 72 3.6 Worked Examples 75 3.7 Tutorial Problems 84 4 Combustion 87 4.1 Overview 87 Learning Outcomes 87 4.2 Mass and Matter 87 4.2.1 Chemical Quantities 88 4.2.2 Chemical Reactions 88 4.2.3 Physical Quantities 88 4.3 Balancing Chemical Equations 89 4.3.1 Combustion Equations 90 4.4 Combustion Terminology 90 4.4.1 Oxidizer Provision 90 4.4.2 Combustion Product Analyses 91 4.4.3 Fuel mixtures 92 4.5 Energy Changes During Combustion 92 4.6 First Law ofThermodynamics Applied to Combustion 93 4.6.1 Steady-flow Systems (SFEE) [Applicable to Boilers, Furnaces] 93 4.6.2 Closed Systems (NFEE) [Applicable to Engines] 93 4.6.3 Flame Temperature 94 4.7 Oxidation of Nitrogen and Sulphur 94 4.7.1 Nitrogen and Sulphur 95 4.7.2 Formation of Nitrogen Oxides (NOx) 95 4.7.3 NOx Control 97 4.7.3.1 Modify the Combustion Process 97 4.7.3.2 Post-flame Treatment 97 4.7.4 Formation of Sulphur Oxides (SOx) 98 4.7.5 SOx Control 98 4.7.5.1 Flue Gas Sulphur Compounds from Fossil-fuel Consumption 98 4.7.5.2 Sulphur Compounds from Petroleum and Natural Gas Streams 100 4.7.6 Acid Rain 100 4.8 Worked Examples 101 4.9 Tutorial Problems 111 5 Control of Particulates 115 5.1 Overview 115 Learning Outcomes 115 5.2 Some Particle Dynamics 115 5.2.1 Nature of Particulates 115 5.2.2 Stokes’s Law and Terminal Velocity 116 5.3 Principles of Collection 119 5.3.1 Collection Surfaces 119 5.3.2 Collection Devices 119 5.3.3 Fractional Collection Efficiency 121 5.4 Control Technologies 121 5.4.1 Gravity Settlers 121 5.4.1.1 Model 1: Unmixed Flow Model 122 5.4.1.2 Model 2:Well-mixed Flow Model 123 5.4.2 Centrifugal Separators or Cyclones 124 5.4.3 Electrostatic Precipitators (ESPs) 128 5.4.4 Fabric Filters 132 5.4.5 Spray Chambers and Scrubbers 135 5.5 Worked Examples 137 5.6 Tutorial Problems 140 6 Carbon Capture and Storage 145 6.1 Overview 145 Learning Outcomes 145 6.2 Thermodynamic Properties of CO2 146 6.2.1 General Properties 146 6.2.2 Equations of State 148 6.2.2.1 The Ideal or Perfect Gas Law 148 6.2.2.2 The Compressibility Factor 148 6.2.2.3 Van derWaal Equation of State 148 6.2.2.4 Beattie–Bridgeman Equation (1928) 149 6.2.2.5 Benedict–Webb–Rubin Equation (1940) 150 6.2.2.6 Peng–Robinson Equation of State (1976) 150 6.3 Gas Mixtures 150 6.3.1 Fundamental Mixture Laws 151 6.3.2 PVT Behaviour of Gas Mixtures 151 6.3.2.1 Dalton’s Law 152 6.3.2.2 Amagat’s Law 152 6.3.3 Thermodynamic Properties of Gas Mixtures 153 6.3.4 Thermodynamics of Mixture Separation 155 6.3.4.1 Minimum SeparationWork 155 6.3.4.2 Separation of a Two-component Mixture 156 6.4 Gas SeparationMethods 157 6.4.1 Chemical Absorption by Liquids 157 6.4.1.1 Aqueous Carbon Dioxide and Alkanolamine Chemistry 158 6.4.1.2 Alternative Absorber Solutions 159 6.4.2 Physical Absorption by Liquids 160 6.4.3 Oxyfuel, Cryogenics and Chemical Looping 161 6.4.4 Gas Membranes 162 6.4.4.1 Membrane Flux 163 6.4.4.2 Maximizing Flux 163 6.4.4.3 Membrane Types 163 6.5 Aspects of CO2 Conditioning and Transport 164 6.5.1 Multi-stage Compression 165 6.5.2 Pipework Design 167 6.5.2.1 Pressure Drop 167 6.5.2.2 Materials 167 6.5.2.3 Maintenance and Control 167 6.5.3 Carbon Dioxide Hazards 168 6.5.3.1 Respiration 168 6.5.3.2 Temperature 168 6.5.3.3 Ventilation 168 6.6 Aspects of CO2 Storage 169 6.6.1 Biological Sequestration 169 6.6.2 Mineral Carbonation 171 6.6.3 Geological Storage Media 172 6.6.4 Oceanic Storage 174 6.7 Worked Examples 176 6.8 Tutorial Problems 182 7 Pollution Dispersal 185 7.1 Overview 185 Learning Outcomes 185 7.2 Atmospheric Behaviour 186 7.2.1 The Atmosphere 186 7.2.2 Atmospheric Vertical Temperature Variation and Air Motion 187 7.3 Atmospheric Stability 189 7.3.1 Stability Classifications 190 7.3.2 Stability and Stack Dispersal 191 7.3.2.1 Non-inversion Conditions 191 7.3.2.2 Inversion Conditions 192 7.3.3 Variation inWind Velocity with Elevation 192 7.4 Dispersion Modelling 193 7.4.1 Point Source Modelling 193 7.4.2 Plume Rise 198 7.4.3 Effect of Non-uniform Terrain on Dispersal 199 7.5 Alternative Expressions of Concentration 200 7.6 Worked Examples 200 7.7 Tutorial Problems 203 8 Alternative Energy and Power Plants 207 8.1 Overview 207 Learning Outcomes 207 8.2 Nuclear Power Plants 208 8.2.1 Components of a Typical Nuclear Reactor 208 8.2.2 Types of Nuclear Reactor 209 8.2.3 Environmental Impact of Nuclear Reactors 209 8.3 Solar Power Plants 210 8.3.1 Photovoltaic Power Plants 211 8.3.2 Solar Thermal Power Plants 215 8.4 Biomass Power Plants 216 8.4.1 Forestry, Agricultural and Municipal Biomass for Direct Combustion 217 8.4.1.1 Bulk Density (kg/m3) 217 8.4.1.2 Moisture Content (% by Mass) 217 8.4.1.3 Ash Content (% by Mass) 218 8.4.1.4 Calorific Value (kJ/kg) and Combustion 218 8.4.2 Anaerobic Digestion 220 8.4.3 Biofuels 222 8.4.3.1 Biodiesel 222 8.4.3.2 Bioethanol 222 8.4.4 Gasification and Pyrolysis of Biomass 223 8.5 Geothermal Power Plants 224 8.6 Wind Energy 226 8.6.1 Theory ofWind Energy 227 8.6.1.1 Actual Power Output of the Turbine 229 8.6.2 Wind Turbine Types and Components 230 8.7 Hydropower 230 8.7.1 Types of Hydraulic Power Plant 231 8.7.1.1 Run-of-river Hydropower 231 8.7.1.2 Storage Hydropower 232 8.7.2 Estimation of Hydropower 233 8.7.3 Types of Hydraulic Turbine 233 8.8 Wave and Tidal (or Marine) Power 233 8.8.1 Characteristics ofWaves 234 8.8.2 Estimation ofWave Energy 235 8.8.3 Types ofWave Power Device 235 8.8.4 Tidal Power 237 8.8.4.1 Tidal Barrage Energy 238 8.8.4.2 Tidal Stream Energy 239 8.9 Thermoelectric Energy 239 8.9.1 DirectThermal Energy to Electrical Energy Conversion 240 8.9.2 Thermoelectric Generators (TEGs) 241 8.10 Fuel Cells 242 8.10.1 Principles of Simple Fuel Cell Operation 243 8.10.2 Fuel Cell Efficiency 243 8.10.3 Fuel Cell Types 244 8.11 Energy Storage Technologies 244 8.11.1 Energy Storage Characteristics 246 8.11.2 Energy Storage Technologies 246 8.11.2.1 Hydraulic Energy 246 8.11.2.2 Pneumatic Energy 247 8.11.2.3 Ionic Energy 247 8.11.2.4 Rotational Energy 248 8.11.2.5 Electrostatic Energy 249 8.11.2.6 Magnetic Energy 249 8.12 Worked Examples 250 8.13 Tutorial Problems 255 A Properties ofWater and Steam 257 B Thermodynamic Properties of Fuels and Combustion Products 263 Bibliography 265 Index 267

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Book SynopsisA guide to the role of static state estimation in the mitigation of potential system failures With contributions from a noted panel of experts on the topic, Advances in Electric Power and Energy: Static State Estimation addresses the wide-range of issues concerning static state estimation as a main energy control function and major tool for evaluating prevailing operating conditions in electric power systems worldwide. This book is an essential guide for system operators who must be fully aware of potential threats to the integrity of their own and neighboring systems. The contributors provide an overview of the topic and review common threats such as cascading black-outs to model-based anomaly detection to the operation of micro-grids and much more. The book also includes a discussion of an effective mathematical programming approach to state estimation in power systems. Advances in Electric Power and Energy reviews the most recent developments inTable of ContentsAbout the Editor xi About the Contributors xiii Chapter 1 General Considerations 1 1.1 Prelude 1 1.2 Defining SSE 2 1.3 The Need for State Estimation 3 1.4 Static State Estimation in Practice 4 1.5 Applications That Use SE Solution 10 1.6 Overview of Chapters 13 Chapter 2 State Estimation In Power Systems Based On A Mathematical Programming Approach 23 2.1 Introduction 23 2.2 Formulation 24 2.3 Classical State Estimation Procedure 26 2.4 Mathematical Programming Solution 31 2.5 Alternative State Estimators 32 Part 1 System Failure Mitigation 59 Chapter 3 System Stress and Cascading Blackouts 61 3.1 Introduction 61 3.2 Cascading Blackouts and Previous Work 62 3.3 Problem Statement and Approach 66 3.4 DFAXes, Vulnerability, and Criticality Metrics 70 3.5 Validity of Metrics 78 3.6 Studies with Metrics 82 3.7 Summary 93 3.8 Application of Stress Metrics 94 3.9 Conclusions 94 Chapter 4 Model-Based Anomaly Detection For Power System State Estimation 99 4.1 Introduction 99 4.2 Cyberattacks on State Estimation 100 4.3 ATTACK-RESILIENT State Estimation 103 4.4 Model-Based Anomaly Detection 106 4.5 Conclusions 117 Chapter 5 Protection, Control, and Operation of Microgrids 123 5.1 Prelude 123 5.2 Introduction 126 5.3 State of the Art in Microgrid Protection and Control 128 5.4 Emerging Technologies 146 5.5 Test Case for DDSE 154 5.6 Test Results 159 5.7 Test Case for Adaptive Setting-Less Protection 161 5.8 Conclusions 167 Part 2 Robust State Estimation 171 Chapter 6 PSSE Redux: Convex Relaxation, Decentralized, Robust, And Dynamic Solvers 173 6.1 Introduction 173 6.2 Power Grid Modeling 174 6.3 Problem Statement 176 6.4 Distributed Solvers 186 6.5 Robust Estimators and Cyberattacks 193 6.6 Power System State Tracking 198 6.7 Discussion 202 Chapter 7 Robust Wide-Area Fault Visibility and Structural Observability In Power Systems With Synchronized Measurement Units 209 7.1 Introduction 209 7.2 Robust Fault Visibility Using Strategically Deployed Synchronized Measurements 210 7.3 Optimal PMU Deployment for System-Wide Structural Observability 221 7.4 Conclusions 229 Chapter 8 A Robust Hybrid Power System State Estimator With Unknown Measurement Noise 231 8.1 Introduction 231 8.2 Problem Statement 233 8.3 Proposed Framework for Robust Hybrid State Estimation 234 8.4 Numerical Results 245 8.5 Conclusions 249 Chapter 9 Least-Trimmed-Absolute-Value State Estimator 255 9.1 Bad Data Detection and Robust Estimators 256 9.2 Results and Discussion 266 9.3 Conclusions 287 Part 3 State Estimation For Distribution Systems 295 Chapter 10 Probabilistic State Estimation In Distribution Networks 297 10.1 Introduction 297 10.2 State Estimation in Distribution Networks 298 10.3 Improving Observability in Distribution Networks 309 10.4 Conclusion 324 Chapter 11 Advanced Distribution System State Estimation In Multi-Area Architectures 329 11.1 Issues and Challenges of Distribution System State Estimation 329 11.2 Distribution System Multi-Area State Estimation (DS-MASE) Approach 342 11.3 Application of the DS-MASE Approach 357 11.4 Validity and Applicability of DS-MASE Approach 369 Part 4 Parallel/Distributed Processing 375 Chapter 12 Hierarchical Multi-Area State Estimation 377 12.1 Introduction 377 12.2 Preliminaries 381 12.3 Modeling and Problem Formulation 385 12.4 A Brief Survey of Solution Techniques 387 12.5 Hierarchical State Estimator Via Sensitivity Function Exchanges 393 12.6 Add-On Functions in Multi-area State Estimation 399 12.7 Properties 401 12.8 Simulations 405 12.9 Conclusions 409 Chapter 13 Parallel Domain-Decomposition-Based Distributed State Estimation For Large-Scale Power Systems 413 13.1 Introduction 413 13.2 Fundamental Theory and Formulation 416 13.3 Experimental Results 436 13.4 Conclusion 449 Chapter 14 Dishonest Gauss–Newton Method-Based Power System State Estimation On A GPU 455 14.1 Introduction 455 14.2 Background 456 14.3 Performance of Dishonest Gauss–Newton Method 461 14.4 GPU Implementation 463 14.5 Simulation Results 467 14.6 Discussions on Scalability 468 14.7 Distributed Method of Parallelization 470 14.8 Conclusions 473 Index 475

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Book SynopsisA comprehensive examination of advanced battery management technologies and practices in modern electric vehicles Policies surrounding energy sustainability and environmental impact have become of increasing interest to governments, industries, and the general public worldwide. Policies embracing strategies that reduce fossil fuel dependency and greenhouse gas emissions have driven the widespread adoption of electric vehicles (EVs), including hybrid electric vehicles (HEVs), pure electric vehicles (PEVs) and plug-in electric vehicles (PHEVs). Battery management systems (BMSs) are crucial components of such vehicles, protecting a battery system from operating outside its Safe Operating Area (SOA), monitoring its working conditions, calculating and reporting its states, and charging and balancing the battery system. Advanced Battery Management Technologies for Electric Vehicles is a compilation of contemporary model-based state estimation methods and battery charging and balancing techniTable of ContentsBiographies xi Foreword by Professor Sun xiii Foreword by Professor Ouyang xv Series Preface xvii Preface xix 1 Introduction 1 1.1 Background 1 1.2 Electric Vehicle Fundamentals 2 1.3 Requirements for Battery Systems in Electric Vehicles 3 1.3.1 Range Per Charge 4 1.3.2 Acceleration Rate 10 1.3.3 Maximum Speed 11 1.4 Battery Systems 11 1.4.1 Introduction to Electrochemistry of Battery Cells 12 1.4.1.1 Ohmic Overvoltage Drop 14 1.4.1.2 Activation Overvoltage 14 1.4.1.3 Concentration Overvoltage 14 1.4.2 Lead–Acid Batteries 15 1.4.3 NiCd and NiMH Batteries 16 1.4.3.1 NiCd Batteries 16 1.4.3.2 NiMH Batteries 17 1.4.4 Lithium-Ion Batteries 18 1.4.5 Battery Performance Comparison 19 1.4.5.1 Nominal Voltage 20 1.4.5.2 Specific Energy and Energy Density 20 1.4.5.3 Capacity Efficiency and Energy Efficiency 20 1.4.5.4 Specific Power and Power Density 20 1.4.5.5 Self-discharge 21 1.4.5.6 Cycle Life 21 1.4.5.7 Temperature Operation Range 21 1.5 Key Battery Management Technologies 21 1.5.1 Battery Modeling 21 1.5.2 Battery States Estimation 23 1.5.3 Battery Charging 24 1.5.4 Battery Balancing 25 1.6 Battery Management Systems 25 1.6.1 Hardware of BMS 26 1.6.2 Software of BMS 26 1.6.3 Centralized BMS 27 1.6.4 Distributed BMS 28 1.7 Summary 28 References 28 2 BatteryModeling 31 2.1 Background 31 2.2 Electrochemical Models 31 2.3 Black Box Models 33 2.4 Equivalent Circuit Models 34 2.4.1 General n-RC Model 35 2.4.2 Models with Different Numbers of RC Networks 35 2.4.2.1 Rint Model 35 2.4.2.2 Thevenin Model 36 2.4.2.3 Dual Polarization Model 37 2.4.2.4 n-RC Model 38 2.4.3 Open Circuit Voltage 39 2.4.4 Polarization Characteristics 42 2.5 Experiments 43 2.6 Parameter Identification Methods 47 2.6.1 Offline Parameter Identification Method 47 2.6.2 Online Parameter Identification Method 50 2.7 Case Study 51 2.7.1 Testing Data 51 2.7.2 Case One – OFFPIM Application 51 2.7.3 Case Two – ONPIM Application 54 2.7.4 Discussions 56 2.8 Model Uncertainties 57 2.8.1 Battery Aging 57 2.8.2 Battery Type 59 2.8.3 Battery Temperature 61 2.9 Other Battery Models 62 2.10 Summary 64 References 64 3 Battery State of Charge and State of Energy Estimation 67 3.1 Background 67 3.2 Classification 67 3.2.1 Look-Up-Table-Based Method 67 3.2.2 Ampere-Hour Integral Method 68 3.2.3 Data-Driven Estimation Methods 69 3.2.4 Model-Based Estimation Methods 70 3.3 Model-Based SOC Estimation Method with Constant Model Parameters 71 3.3.1 Discrete-Time Realization Algorithm 71 3.3.2 Extended Kalman Filter 72 3.3.2.1 Selection of Correction Coefficients 73 3.3.2.2 SOC Estimation Based on EKF 73 3.3.3 SOC Estimation Based on HIF 75 3.3.4 Case Study 77 3.3.5 Influence of Uncertainties on SOC Estimation 78 3.3.5.1 Initial SOC Value 79 3.3.5.2 Dynamic Working Condition 80 3.3.5.3 Battery Temperature 81 3.4 Model-Based SOC Estimation Method with Identified Model Parameters in Real-Time 84 3.4.1 Real-Time Modeling Process 84 3.4.2 Case Study 86 3.5 Model-Based SOE Estimation Method with Identified Model Parameters in Real-Time 86 3.5.1 SOE Definition 87 3.5.2 State Space Modeling 87 3.5.3 Case Study 88 3.5.4 Influence of Uncertainties on SOE Estimation 89 3.5.4.1 Initial SOE Value 89 3.5.4.2 DynamicWorking Condition 90 3.5.4.3 Battery Temperature 90 3.6 Summary 92 References 92 4 Battery State of Health Estimation 95 4.1 Background 95 4.2 Experimental Methods 95 4.2.1 Direct Measurement Methods 96 4.2.1.1 Capacity or Energy Measurement 96 4.2.1.2 Internal Resistance Measurement 96 4.2.1.3 Impedance Measurement 97 4.2.1.4 Cycle Number Counting 97 4.2.1.5 Destructive Methods 98 4.2.2 Indirect Analysis Methods 98 4.2.2.1 Voltage Trajectory Method 98 4.2.2.2 ICA Method 100 4.2.2.3 DVA Method 102 4.3 Model-Based Methods 104 4.3.1 Adaptive State Estimation Methods 104 4.3.2 Data-Driven Methods 111 4.3.2.1 Empirical and Fitting Methods 112 4.3.2.2 Response Surface-Based Optimization Algorithms 112 4.3.2.3 Sample Entropy Methods 115 4.4 Joint Estimation Method 116 4.4.1 Relationship between SOC and Capacity 116 4.4.2 Case Study 117 4.5 Dual Estimation Method 118 4.5.1 Implementation with the AEKF Algorithm 118 4.5.2 SOC–SOH Estimation 122 4.5.3 Case Study 125 4.6 Summary 128 References 129 5 Battery State of Power Estimation 131 5.1 Background 131 5.2 Instantaneous SOP Estimation Methods 131 5.2.1 HPPC Method 132 5.2.2 SOC-Limited Method 133 5.2.3 Voltage-Limited Method 133 5.2.4 MCD Method 134 5.2.5 Case Study 136 5.3 Continuous SOP Estimation Method 139 5.3.1 Continuous Peak Current Estimation 139 5.3.2 Continuous SOP Estimation 140 5.3.3 Influences of Battery States and Parameters on SOP Estimation 141 5.3.3.1 Uncertainty of SOC 141 5.3.3.2 Case Study 142 5.3.3.3 Uncertainty of Model Parameters 146 5.3.3.4 Case Study 148 5.3.3.5 Uncertainty of SOH 150 5.4 Summary 154 References 154 6 Battery Charging 155 6.1 Background 155 6.2 Basic Terms for Evaluating Charging Performances 157 6.2.1 Cell and Pack 157 6.2.2 Nominal Ampere-Hour Capacity 157 6.2.3 C-rate 157 6.2.4 Cut-off Voltage for Discharge or Charge 157 6.2.5 Cut-off Current 157 6.2.6 State of Charge 158 6.2.7 State of Health 158 6.2.8 Cycle Life 158 6.2.9 Charge Acceptance 158 6.2.10 Ampere-Hour Efficiency 158 6.2.11 Ampere-Hour Charging Factor 159 6.2.12 Energy Efficiency 159 6.2.13 Watt-Hour Charging Factor 159 6.2.14 Trickle Charging 159 6.3 Charging Algorithms for Li-Ion Batteries 159 6.3.1 Constant Current and Constant Voltage Charging 160 6.3.2 Multistep Constant Current Charging 165 6.3.3 Two-Step Constant Current Constant Voltage Charging 168 6.3.4 Constant Voltage Constant Current Constant Voltage Charging 169 6.3.5 Pulse Charging 169 6.3.6 Charging Termination 172 6.3.7 Comparison of Charging Algorithms for Lithium-Ion Batteries 172 6.4 Optimal Charging Current Profiles for Lithium-Ion Batteries 173 6.4.1 Energy Loss Modeling 174 6.4.2 Minimization of Energy Loss 175 6.5 Lithium Titanate Oxide Battery with Extreme Fast Charging Capability 177 6.6 Summary 179 References 180 7 Battery Balancing 183 7.1 Background 183 7.2 Battery Sorting 184 7.2.1 Battery Sorting Based on Capacity and Internal Resistance 184 7.2.2 Battery Sorting Based on a Self-organizing Map 185 7.3 Battery Passive Balancing 189 7.3.1 Fixed Shunt Resistor 189 7.3.2 Switched Shunt Resistor 189 7.3.3 Shunt Transistor 190 7.4 Battery Active Balancing 191 7.4.1 Balancing Criterion 191 7.4.2 Balancing Control 193 7.4.3 Balancing Circuits 193 7.4.3.1 Cell to Cell 194 7.4.3.2 Cell to Pack 196 7.4.3.3 Pack to Cell 199 7.4.3.4 Cell to Energy Storage Tank to Cell 201 7.4.3.5 Cell to Pack to Cell 201 7.5 Battery Active Balancing Systems 203 7.5.1 Active Balancing System Based on the SOC as a Balancing Criterion 204 7.5.1.1 Battery Balancing Criterion 204 7.5.1.2 Battery Balancing Circuit 208 7.5.1.3 Battery Balancing Control 208 7.5.1.4 Experimental Results 208 7.5.2 Active Balancing System Based on FL Controller 212 7.5.2.1 Balancing Principle 215 7.5.2.2 Design of FL Controller 215 7.5.2.3 Adaptability of FL Controller 220 7.5.2.4 Battery Balancing Criterion 222 7.5.2.5 Experimental Results 222 7.6 Summary 227 References 227 8 Battery Management Systems in Electric Vehicles 231 8.1 Background 231 8.2 Battery Management Systems 231 8.2.1 Battery Parameter Acquisition Module 232 8.2.2 Battery System Balancing Module 233 8.2.3 Battery Information Management Module 236 8.2.4 Thermal Management Module 237 8.3 Typical Structure of BMSs 238 8.3.1 Centralized BMS 238 8.3.2 Distributed BMS 239 8.4 Representative Products 239 8.4.1 E-Power BMS 239 8.4.2 Klclear BMS 240 8.4.3 Tesla BMS 241 8.4.4 ICs for BMS Design 242 8.5 Key Points of BMSs in Future Generation 242 8.5.1 Self-Heating Management 243 8.5.2 Safety Management 244 8.5.3 Cloud Computing 244 8.6 Summary 247 References 247 Index 249

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Book SynopsisCoveringthe majortopics in lead-free soldering Lead-free Soldering Process Development and Reliabilityprovides a comprehensive discussion of all modern topics in lead-free soldering. Perfect forprocess, quality,failure analysisand reliability engineersin production industries,this reference will help practitioners address issues inresearch, development andproduction. Among other topics, the book addresses: Developments in process engineering(SMT, Wave, Rework, Paste Technology) Lowtemperature,hightemperature andhighreliabilityalloys Intermetallic compounds PCB surface finishesandlaminates Underfills, encapsulants and conformal coatings Reliability assessments In a regulatory environment that includes the adoption of mandatory lead-free requirements in a variety of countries, the book'sexplanations ofhigh-temperature, low-temperature, andhigh-reliabilitylead-free alloysin terms of process and reTable of ContentsList of Contributors xix Introduction xxi 1 Lead-Free Surface Mount Technology 1Jennifer Nguyen and Jasbir Bath 1.1 Introduction 1 1.2 Lead-Free Solder Paste Alloys 1 1.3 Solder Paste Printing 2 1.3.1 Introduction 2 1.3.2 Key Paste Printing Elements 2 1.4 Component Placement 5 1.4.1 Introduction 5 1.4.2 Key Placement Parameters 5 1.4.2.1 Nozzle 6 1.4.2.2 Vision System 6 1.4.2.3 PCB Support 6 1.4.2.4 Component Size, Packaging, and Feeder Capacity 6 1.4.2.5 Feeder Capacity 6 1.5 Reflow Process 7 1.5.1 Introduction 7 1.5.2 Key Parameters 7 1.5.2.1 Preheat 7 1.5.2.2 Soak 8 1.5.2.3 Reflow 8 1.5.2.4 Cooling 9 1.5.2.5 Reflow Atmosphere 9 1.6 Vacuum Soldering 9 1.7 Paste in Hole 10 1.8 Robotic Soldering 11 1.9 Advanced Technologies 12 1.9.1 Flip Chip 12 1.9.2 Package on Package 12 1.10 Inspection 13 1.10.1 Solder Paste Inspection (SPI) 13 1.10.2 Solder Joint Inspection 14 1.10.2.1 Automated Optical Inspection (AOI) 14 1.10.2.2 X-ray Inspection 15 1.11 Conclusions 16 References 17 2 Wave/Selective Soldering 19Gerjan Diepstraten 2.1 Introduction 19 2.2 Flux 19 2.2.1 The Function of a Flux 19 2.2.2 Flux Contents 20 2.3 Amount of Flux Application on a Board 20 2.4 Flux Handling 21 2.5 Flux Application 21 2.5.1 Methods to Apply Flux (Wave Soldering) 21 2.5.2 Methods to Apply Flux (Selective Soldering) 23 2.6 Preheat 24 2.6.1 Preheat Process-Heating Methods 24 2.6.2 Preheat Temperatures 27 2.6.3 Preheat Time 28 2.6.4 Controlling Preheat Temperatures 28 2.6.5 BoardWarpage Compensation (Selective Soldering) 29 2.7 Selective Soldering 29 2.7.1 Different Selective Soldering Point to Point Nozzles (Selective Soldering) 29 2.7.2 Solder Temperatures (Selective Soldering) 30 2.7.3 Dip/Contact Times (Selective Soldering) 31 2.7.4 Drag Conditions (Selective Soldering) 31 2.7.5 Nitrogen Environment (Selective Soldering) 31 2.7.6 Wave Height Controls (Selective Soldering) 32 2.7.7 De-Bridging Tools (Selective Soldering) 32 2.7.8 Solder Pot (Selective Soldering) 33 2.7.9 Topside Heating during Soldering (Selective Soldering) 34 2.7.10 Selective Soldering Dip Process with Nozzle Plates (Selective Soldering) 34 2.7.11 Solder Temperatures for Multi-Wave Dip Soldering (Selective Soldering) 35 2.7.12 Nitrogen Environment (Selective Soldering) 35 2.7.13 Wave Height Control (Selective Soldering) 36 2.7.14 Dip Time – Contact Time with Solder (Selective Soldering) 36 2.7.15 Solder Flow Acceleration and Deceleration (Selective Soldering) 37 2.7.16 De-Bridging Tools (Selective Soldering) 37 2.7.17 Pallets (Selective Soldering) 38 2.7.18 Conveyor (Selective Soldering) 38 2.8 Wave Soldering 39 2.8.1 Wave Formers (Wave Soldering) 39 2.8.2 Pallets (Wave Soldering) 40 2.8.3 Nitrogen Environment (Wave Soldering) 40 2.8.4 Process Control (Wave Soldering) 41 2.8.5 Conveyor (Wave Soldering) 41 2.9 Conclusions 42 References 42 3 Lead-Free Rework 43Jasbir Bath 3.1 Introduction 43 3.2 Hand Soldering Rework for SMT and PTH Components 43 3.2.1 Alloy and Flux Choices 43 3.2.1.1 Alloys 43 3.2.1.2 Flux 44 3.2.2 Soldering Iron Tip Life 44 3.2.3 Hand Soldering Temperatures and Times 47 3.3 BGA/CSP Rework 50 3.3.1 Alloy and Flux Choices 50 3.3.1.1 Alloys 50 3.3.1.2 Flux 50 3.3.2 BGA/CSP Rework Soldering Temperatures and Times 50 3.3.3 Component Temperatures in Relation to IPC/JEDEC J-STD-020 and Component/BoardWarpage Standards 52 3.3.3.1 IPC/JEDEC J-STD-020 Standard 52 3.3.3.2 ComponentWarpage Standards 52 3.3.3.3 BoardWarpage Standards 52 3.3.4 Equipment Updates for Lead-Free BGA/CSP Rework 53 3.3.5 Adjacent Component Temperatures 53 3.4 Non-standard Component Rework (Including BTC/QFN) 54 3.4.1 Alloy and Flux Choices 54 3.4.1.1 Alloys 54 3.4.1.2 Flux 54 3.4.2 Soldering Temperatures and Times 54 3.4.3 Non-standard Component Temperatures in Relation to IPC JEDEC J-STD-020 Standard and ComponentWarpage Standards 55 3.4.4 Equipment and Tooling Updates for Lead-Free Non-standard Component Rework 55 3.4.5 Adjacent Component Temperatures 56 3.4.6 Non-standard Component Rework Solder Joint Reliability 56 3.5 PTH (Pin-Through-Hole)Wave Rework 56 3.5.1 Alloy and Flux Choices 56 3.5.1.1 Alloys 56 3.5.1.2 Flux 57 3.5.2 Soldering Temperatures and Times 57 3.5.3 Component Temperatures in Relation to Industry and Board Standards During PTH Rework 67 3.5.3.1 Component Temperature Rating Standards 67 3.5.3.2 Bare Board Testing Standards and Methods for PTH Rework 67 3.5.4 Equipment Updates for PTH Component Rework 68 3.5.5 Adjacent Component Temperatures During PTH Rework 68 3.5.6 PTH Component Rework Solder Joint Reliability 68 3.5.6.1 Copper Dissolution 68 3.5.6.2 Holefill 69 3.6 Conclusions 69 References 70 4 Solder Paste and Flux Technology 73Shantanu Joshi and Peter Borgesen 4.1 Introduction 73 4.2 Solder Paste 75 4.2.1 Water-Soluble Solder Paste 75 4.2.2 No-Clean Solder Paste 76 4.3 Flux Technology 77 4.3.1 Halide-Free and Halide-Containing 77 4.4 Composition of Solder Paste 79 4.4.1 Alloy 79 4.4.2 Flux 82 4.4.3 Solder Powder Type 83 4.4.3.1 Oxide Layer 84 4.5 Characteristics of a Solder Paste 84 4.5.1 Printing 84 4.5.1.1 Printing Parameters 85 4.5.2 Reflow 86 4.5.2.1 Wetting/Spreadability of Lead-Free Solder Paste 86 4.5.2.2 Bridging 86 4.5.2.3 Micro Solder Balls 86 4.5.2.4 Voiding 86 4.5.2.5 Head-on-Pillow Component Soldering Defect 88 4.5.2.6 Non-Wet Open 90 4.5.2.7 Tombstoning 90 4.5.3 In-Circuit Test (ICT) Probe Testability 90 4.5.4 Flux Reliability Issues 91 4.6 Conclusions 92 References 92 5 Low Temperature Lead-Free Alloys and Solder Pastes 95Raiyo Aspandiar, Nilesh Badwe, and Kevin Byrd 5.1 Introduction 95 5.1.1 Definition of Low Temperature Solders 95 5.1.2 Benefits of Low Temperature Soldering 97 5.1.2.1 Reduced Manufacturing Cost 98 5.1.2.2 Power Use Savings 98 5.1.2.3 Environmental Benefits 99 5.1.2.4 Manufacturing Yield Improvements 100 5.1.3 Drawbacks 103 5.1.3.1 Brittleness 103 5.1.4 Other Low Temperature Metallurgical Systems 103 5.2 Development of Robust Bismuth-Based Low Temperature Solder Alloys 105 5.2.1 Bismuth-Tin (Bi-Sn) Phase Diagram 105 5.2.2 Mechanical Properties 107 5.2.3 Physical Properties 108 5.2.4 Alloy Development Progress 108 5.2.5 Fluxes for Low Temperature Solders 109 5.3 SMT Process Characterization of Sn-Bi Based Solder Pastes 111 5.3.1 Printability 111 5.3.2 Reflow Profiles 112 5.3.3 Rework 113 5.4 Polymeric Reinforcement of Sn-Bi Based Low Temperature Alloys 114 5.4.1 Current Polymeric Reinforcement Strategies 114 5.4.2 Joint Reinforced Pastes (JRP) 118 5.4.3 Polymeric Reinforcement Summary 128 5.5 Mixed SnAgCu-BiSn BGA Solder Joints 128 5.5.1 Formation Mechanism 128 5.5.2 Microstructural Features and Key Characteristics 133 5.5.3 Soldering Process Optimization 134 5.5.4 Possible Defects 135 5.6 Solder Joint Reliability 140 5.7 Conclusions 145 5.8 Future Development and Trends 146 References 149 6 High Temperature Lead-Free Bonding Materials – The Need, the Potential Candidates and the Challenges 155Hongwen Zhang and Ning-Cheng Lee 6.1 Introduction 155 6.2 Solder Materials 159 6.2.1 Gold-Based Solders 159 6.2.2 Bismuth-Rich Solders 160 6.2.2.1 Design of Bismuth-Rich Solders 160 6.2.2.2 Mechanical Behavior of BiAgX 163 6.2.2.3 Microstructure and Microstructural Evolution of BiAgX Joint 167 6.2.3 Tin-Antimony (Sn-Sb) High Temperature Solders 174 6.2.4 Zinc-Aluminum Solders 176 6.3 Silver (Ag)-Sintering Materials 178 6.4 Transient Liquid Phase Bonding Materials/Technique 181 6.5 Summary 182 Acknowledgment 185 References 185 7 Lead (Pb)-Free Solders for High Reliability and High-Performance Applications 191Richard J. Coyle 7.1 Evolution of Commercial Lead (Pb)-Free Solder Alloys 191 7.1.1 First Generation Commercial Pb-Free Solders 191 7.1.2 Second Generation Commercial Pb-Free Solders 192 7.1.3 Third Generation Commercial Pb-Free Solders 196 7.2 Third Generation Alloy Research and Development 196 7.2.1 Limitations of Sn-Ag-Cu Solder Alloys 196 7.2.2 Emergence of Commercial Third Generation Alloys 202 7.2.2.1 The Genesis of 3rd Generation Alloy Development 202 7.2.2.2 An Expanding Class of 3rd Generation Alloys 202 7.2.3 Metallurgical Considerations 203 7.2.3.1 Antimony (Sb) Additions to Tin (Sn) 206 7.2.3.2 Indium (In) Additions to Tin (Sn) 207 7.2.3.3 Bismuth (Bi) Additions to Tin (Sn) 209 7.3 Reliability Testing Third Generation Commercial Pb-Free Solders 210 7.3.1 Thermal Fatigue Evaluations 210 7.3.2 iNEMI/HDPUG Third Generation Alloy Pb-Free Thermal Fatigue Project 213 7.3.3 Microstructure and Reliability of Third Generation Alloys 219 7.4 Reliability Gaps and Suggestions for AdditionalWork 223 7.4.1 Root Cause of Interfacial Fractures 223 7.4.2 Effect of Component Attributes on Thermal Fatigue 224 7.4.3 Effect of Surface Finish on Thermal Fatigue 224 7.4.4 Thermomechanical Test Parameters and Test Outcomes 225 7.4.4.1 Thermal Cycling Dwell Time 225 7.4.4.2 Preconditioning (Isothermal Aging) 225 7.4.4.3 Thermal Cycling of Mixed Metallurgy BGA Assemblies 226 7.4.4.4 Thermal Shock or Aggressive Thermal Cycling 226 7.4.5 Reliability Under Mechanical Loading: Drop/Shock, and Vibration 227 7.4.6 Solder Alloy Microstructure and Reliability 230 7.4.7 Summary of Suggestions for Additional Investigation 231 7.5 Conclusions 232 Acknowledgments 234 References 234 8 Lead-Free Printed Wiring Board Surface Finishes 249Rick Nichols 8.1 Introduction: Why a Surface Finish is Needed 249 8.2 Surface Finishes in the Market 250 8.3 Application Perspective 255 8.4 A Description of Final Finishes 261 8.4.1 Hot Air Solder Leveling (HASL) 263 8.4.1.1 Process Complexity 263 8.4.1.2 Process Description 265 8.4.1.3 Issues and Remedies 267 8.4.1.4 Summary 267 8.4.2 High Temperature OSP 267 8.4.2.1 Process Complexity 267 8.4.2.2 Process Description 269 8.4.2.3 Issues and Remedies 270 8.4.2.4 Summary 270 8.4.3 Immersion Tin 271 8.4.3.1 Process Complexity 271 8.4.3.2 Process Description 273 8.4.3.3 Issues and Remedies 275 8.4.3.4 Summary 276 8.4.4 Immersion Silver 276 8.4.4.1 Process Complexity 277 8.4.4.2 Process Description 279 8.4.4.3 Issues and Remedies 280 8.4.4.4 Summary 281 8.4.5 Electroless Nickel Immersion Gold (ENIG) 281 8.4.5.1 Process Complexity 281 8.4.5.2 Process Description 283 8.4.5.3 Issues and Remedies 285 8.4.5.4 Summary 286 8.4.6 Electroless Nickel/Electroless Palladium/Immersion Gold (ENEPIG) 287 8.4.6.1 Process Complexity 287 8.4.6.2 Process Description 289 8.4.6.3 Issues and Remedies 290 8.4.6.4 Summary 291 8.4.7 Electroless Nickel Autocatalytic Gold (ENAG) 291 8.4.7.1 Process Complexity 292 8.4.7.2 Process Description 293 8.4.7.3 Issues and Remedies 295 8.4.7.4 Summary 295 8.4.8 Electroless Palladium Autocatalytic Gold (EPAG) 295 8.4.8.1 Process Complexity 295 8.4.8.2 Process Description 297 8.4.8.3 Issues and Remedies 298 8.4.8.4 Summary 299 8.4.9 Electrolytic Nickel Electrolytic Gold 299 8.4.9.1 Process Complexity 299 8.4.9.2 Process Description 301 8.4.9.3 Issues and Remedies 301 8.4.9.4 Summary 302 8.5 Conclusions 303 References 304 9 PCB Laminates (Including High Speed Requirements) 307Karl Sauter and Silvio Bertling 9.1 Introduction 307 9.2 Manufacturing Background 307 9.3 PCB Fabrication Design and Laminate Manufacturing Factors Affecting Yield and Reliability 308 9.3.1 High Frequency Loss 308 9.3.2 Mixed Dielectric 308 9.3.3 Back-Drilling 309 9.3.4 Aspect Ratio 309 9.3.5 PCB Fabrication 309 9.3.6 Press Lamination 310 9.3.7 Moisture Content 310 9.3.8 Laminate Material 311 9.4 Assembly Factors Affecting Yields and Long-Term Reliability for Laminate Materials 311 9.4.1 Reflow Temperature 311 9.4.2 Assembly Components 312 9.4.3 Thermal Stress 312 9.5 Copper Foil Trends (by Silvio Bertling) 312 9.6 High Frequency/High Speed and Other Trends Affecting Laminate Materials 316 9.6.1 High Speed Standards 316 9.6.2 Adhesion Treatment (Prior to Press Lamination) 317 9.6.3 Laminate Material Filler Content 317 9.6.4 GlassWeave Effect 317 9.6.5 Halogen-Free 318 9.7 Conclusions 318 References 319 10 Underfills and Encapsulants Used in Lead-Free Electronic Assembly 321Brian J. Toleno 10.1 Introduction 321 10.2 Rheology 322 10.2.1 Rheological Response and Behavior 323 10.2.1.1 Thixotropy 325 10.2.2 Measuring Rheology 327 10.2.2.1 Spindle Type Viscometry 327 10.2.2.2 Cone and Plate Rheometry 328 10.3 Curing of Adhesive Systems 330 10.3.1 Thermal Cure 330 10.3.2 Ultraviolet (UV) Light Curing 335 10.3.3 Moisture Cure 338 10.4 Glass Transition Temperature 339 10.5 Coefficient of Thermal Expansion (CTE) 341 10.6 Young’s Modulus (E) 343 10.7 Applications 344 10.7.1 Underfills 344 10.7.1.1 Capillary Underfill 345 10.7.1.2 Fluxing (No-Flow) Underfill 348 10.7.1.3 Removable/Reworkable Underfill 349 10.7.1.4 Staking or Corner Bond Underfill 349 10.7.2 Encapsulant Materials 350 10.7.2.1 Glob Top 351 10.7.2.2 Component Encapsulation 351 10.7.2.3 Application 353 10.7.2.4 Low-Pressure Molding 355 10.8 Conclusions 355 References 355 11 Thermal Cycling and General Reliability Considerations 359Maxim Serebreni 11.1 Introduction to Thermal Cycling of Electronics 359 11.1.1 Influence of Solder Alloy Composition and Microstructure on Thermal Cycling Reliability 362 11.2 Influence of Package Type and Thermal Cycling Profile 363 11.2.1 Influence of Board and Pad Design 366 11.3 Fatigue Life Prediction Models 371 11.3.1 Empirical Models and Acceleration Factors 371 11.3.2 Semi-empirical Models 372 11.3.3 Finite Element Analysis (FEA) Based Fatigue Life Predictions 373 11.4 Conclusions 376 References 377 12 Intermetallic Compounds 381Alyssa Yaeger, Travis Dale, Elizabeth McClamrock, Ganesh Subbarayan, and Carol Handwerker 12.1 Introduction 381 12.1.1 Solders 382 12.1.2 Interaction with Substrates 382 12.2 Setting the Stage 384 12.2.1 Mechanical and Thermomechanical Response of Solder Joints 386 12.3 Common Lead-Free Solder Alloy Systems 392 12.3.1 Solder Joints Formed Between Sn-Cu, Sn-Ag, and Sn-Ag-Cu Solder Alloys and Copper Surface Finishes 396 12.3.1.1 Sn-Cu Solder on Copper 396 12.3.1.2 Sn-Ag and Sn-Ag-Cu Solder Alloys on Copper 399 12.3.2 Solder Joints Formed Between Sn-Cu, Sn-Ag, and Sn-Ag-Cu Alloys and Nickel Surface Finishes 408 12.3.2.1 Ni-Sn 408 12.3.2.2 Sn-Ag Solder Alloys on Nickel 411 12.3.2.3 Spalling 415 12.3.2.4 Effects of Phosphorus Concentration in ENIG on Solder Joint Reliability 416 12.3.3 Au-Sn 417 12.4 High Lead – Exemption 422 12.5 Conclusions 423 References 423 13 Conformal Coatings 429Jason Keeping 13.1 Introduction 429 13.2 Environmental, Health, and Safety (EHS) Requirements 430 13.3 Overview of Types of Conformal Coatings 430 13.3.1 Types of Conformal Coatings 431 13.3.1.1 Acrylic Resins (Type AR) 432 13.3.1.2 Urethane Resins (Type UR) 433 13.3.1.3 Epoxy Resins (Type ER) 433 13.3.1.4 Silicone Resins (Type SR) 435 13.3.1.5 Para-xylylene (Type XY) 436 13.3.1.6 Synthetic Rubber (Type SC) 437 13.3.1.7 Ultra-Thin (Type UT) 438 13.4 Preparatory Steps Necessary to Ensure a Successful Coating Process 440 13.4.1 Assembly Cleaning 440 13.4.2 Assembly Masking 440 13.4.3 Priming and Other Surface Treatments 441 13.4.3.1 Measuring Surface Energy 441 13.4.3.2 Water Drop Contact Angle 447 13.4.4 Bake-Out 448 13.5 Various Methods of Applying Conformal Coating 449 13.5.1 Manual Coating 449 13.5.2 Dip 449 13.5.3 Hand Spray 450 13.5.4 Automatic Spray 451 13.5.5 Selective Coating 451 13.5.6 Vapor Deposition 451 13.6 Aspects for Cure, Inspection, and Demasking 453 13.6.1 Cure 453 13.6.1.1 Solvent Evaporation 453 13.6.1.2 Room Temperature Vulcanization (RTV) 454 13.6.1.3 Heat Cure 454 13.6.1.4 UV Cure 454 13.6.1.5 Catalyzed 454 13.6.2 UV Inspection 455 13.6.3 Demasking 455 13.7 Repair and Rework Processes 456 13.7.1 Chemical 456 13.7.2 Thermal 456 13.7.3 Mechanical 457 13.7.4 Abrasion (Micro-Abrasion) 457 13.7.5 Plasma Etch 457 13.8 Design Guidance on When and Where Conformal Coating is Required, and Which Physical Characteristics and Properties are Important to Consider 457 13.8.1 Is Conformal Coating Required? 458 13.8.1.1 Why Use It? 458 13.8.1.2 Why Not Use Conformal Coating? 459 13.8.2 Desirable Material Properties 459 13.8.3 Areas to Mask 461 13.9 Long-Term Reliability and Testing 462 13.10 Conclusions 462 13.11 Future Work 463 References 463 Index 467

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Book SynopsisGuides the reader through a risk assessment and shows them the proper tools to be used at the various steps in the process This brand new edition of one of the most authoritative books on risk assessment adds ten new chapters to its pages to keep readers up to date with the changes in the types of risk that individuals, businesses, and governments are being exposed to today. It leads readers through a risk assessment and shows them the proper tools to be used at various steps in the process. The book also provides readers with a toolbox of techniques that can be used to aid them in analyzing conceptual designs, completed designs, procedures, and operational risk. Risk Assessment: Tools, Techniques, and Their Applications, Second Editionincludes expanded case studies and real life examples; coverage on risk assessment software like SAPPHIRE and RAVEN; and end-of-chapter questions for students. Chapters progress from the concept of risk, through the simple Table of ContentsAcknowledgments vii About the Companion Website ix 1 Introduction to Risk Assessment 1 2 Risk Perception 11 3 Risks and Consequences 17 4 Ecological Risk Assessment 27 5 Task Analysis Techniques 53 6 Preliminary Hazard Analysis 61 7 Primer on Probability and Statistics 79 8 Mathematical Tools for Updating Probabilities 93 9 Developing Probabilities 115 10 Quantifying the Unquantifiable 133 11 Failure Mode and Effects Analysis 145 12 Human Reliability Analyses 159 13 Critical Incident Technique 175 14 Basic Fault Tree Analysis Technique 185 15 Critical Function Analysis 203 16 Event Tree and Decision Tree Analysis 223 17 Probabilistic Risk Assessment 251 18 Probabilistic Risk Assessment Software 261 19 Qualitative and Quantitative Research Methods Used in Risk Assessment 267 20 Risk of an Epidemic 283 21 Vulnerability Analysis Technique 293 22 Developing Risk Model for Aviation Inspection and Maintenance Tasks 317 23 Risk Assessment and Community Planning 329 24 Threat Assessment 343 25 Project Risk Management 381 26 Enterprise Risk Management Overview 409 27 Process Safety Management and Hazard and Operability Assessment 419 28 Emerging Risks 449 29 Process Plant Risk Assessment Example 461 30 Risk Assessment Framework for Detecting, Predicting, and Mitigating Aircraft Material Inspection 487 31 Traffic Risks 547 Acronyms 559 Glossary 563 Index 569

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Book SynopsisCovers all aspects of electrical systems for nuclear power plants written by an authority in the field Based on author Omar Mazzoni's notes for a graduate level course he taught in Electrical Engineering, this book discusses all aspects of electrical systems for nuclear power plants, making reference to IEEE nuclear standards and regulatory documents. It covers such important topics as the requirements for equipment qualification, acceptance testing, periodic surveillance, and operational issues. It also provides excellent guidance for students in understanding the basis of nuclear plant electrical systems, the industry standards that are applicable, and the Nuclear Regulatory Commission's rules for designing and operating nuclear plants. Electrical Systems for Nuclear Power Plants offers in-depth chapters covering: elements of a power system; special regulations and requirements; unique requirements of a Class 1E power system; nuclear plants containment electrical penetration assemTable of ContentsPreface xiii 1 Elements of a Power System 1 1.1 The Alternating Current One-Line Diagram 1 1.2 Basis for One-Line Representation 3 1.3 Main Electrical Components of Power Plants 4 1.4 Transmission Lines, Switchyards, and Substations 5 Questions and Problems 6 References 8 2 Nuclear Power Plants: General Information 9 2.1 Introduction 9 2.2 Environmental Impact 9 2.3 Nuclear Generation Fuel Cycle 10 2.4 Evolution of Nuclear Power Generation 13 2.5 Nuclear Power in the United States 13 2.6 Plans for New ReactorsWorldwide 14 2.7 Increased Capacity 14 2.8 Nuclear Plant Construction 14 2.9 Nuclear Plant Licensing 14 2.10 Current Commercial Nuclear Plants 15 2.11 Evolutionary Commercial Nuclear Plants 18 2.12 Advanced Reactors 20 2.13 Nuclear Accidents: Three Mile Island, Chernobil, and Fukushima Events 22 Questions and Problems 32 References 33 3 Special Regulations and Requirements 35 3.1 Regulations 35 3.2 IEEE Standards 39 3.3 NRC Regulatory Guides 39 Questions and Problems 42 References 43 4 Unique Requirements: Class 1E Power System 45 4.1 Class 1E Electrical Systems: General Description 45 4.2 Specific Requirements for Class 1E ac Power Systems 48 4.3 Specific Requirements for Class 1E DC Power Systems 48 4.4 Specific Requirements for Class 1E Instrumentation and Control Systems 49 4.5 Specific Requirements for Class 1E Containment Electrical Penetrations 50 4.6 Specific Requirements for Emergency On-Site ac Power Sources 50 Questions and Problems 51 References 52 5 Nuclear Plants Containment Electrical Penetration Assemblies 53 5.1 Containment Electrical Penetration Assemblies: General (Information on this chapter is based on the requirements of IEEE 317) 53 5.2 Service Classification 54 5.3 Electrical Design Requirements (extracted from IEEE 317) 56 5.4 Mechanical Design Requirements (Extracted from IEEE 317) 59 5.5 Fire Resistance Requirements (Extracted from IEEE 317) 61 5.6 Qualified Life 62 5.7 Qualification Tests 62 5.8 Design Tests (Extracted from IEEE 317) 62 5.9 Production Tests 67 5.10 Monitoring and Testability 67 Questions and Problems 67 References 68 6 On-Site Emergency Alternating Current Source 71 6.1 General Requirements of the Emergency Alternating Current Source 71 6.2 General Requirements of Diesel Generators Used as Emergency Alternating Current Source (Information in this chapter is based on the requirements of IEEE 387) 72 6.3 Specific Design Requirements for Emergency Diesel Generators 79 6.4 Factory Qualification 82 6.5 Site Acceptance Testing 87 6.6 Site Preoperational Testing 87 6.7 Site Operational Testing 87 6.8 Site Periodic Testing and Surveillance: Preventive Maintenance Program 93 Questions and Problems 96 References 97 7 On-Site Emergency Direct Current Source 101 7.1 Energy Storage Systems for Nuclear Generating Stations 101 7.2 General Requirements of Direct Current Systems 101 7.3 Design Requirements 102 7.4 Battery Loads 103 7.5 Classification of Loads in Terms of Power versus Voltage Characteristics 105 7.6 Battery Chargers 111 Questions and Problems 112 References 114 8 Protective Relaying 115 8.1 General 115 8.2 General Criteria for the Protection System 115 8.3 Specific Criteria for Protection of Alternating Current Systems 116 8.4 Degraded Voltage Protection 124 8.5 Surge Protection 128 8.6 Protection for Instrumentation and Control Power System 128 8.7 Protection Aspects for Auxiliary System Automatic Bus Transfer 129 8.8 Protection for Primary Containment Electrical Penetration Assemblies 137 8.9 Protection of Valve Actuator Motors (Direct Gear Driven) 137 8.10 Protection for DC Systems 144 8.11 Testing and Surveillance of Protective Systems 144 Questions and Problems 145 References 148 9 Interface of the Nuclear Plant with the Grid 151 9.1 Preferred Power Supply Safety Function 151 9.2 Interface between the Nuclear Plant and the Grid 155 9.3 Transmission Line and Switchyard Protective Relaying 156 9.4 Connections of the PPS to the Class 1E Systems 157 9.5 Switchyard Grounding 157 9.6 Switchyard and Transmission Line Surveillance and Testing 158 9.7 Effect of PPS Voltage Degradation on the Class 1E Bus 158 9.8 Multiunit Considerations 159 9.9 Considerations for PPS Reliability in a Deregulated Environment 159 9.10 Alternate AC Source 162 9.11 Study of Recent Events 162 Questions and Problems 163 References 165 10 Station Blackout: Issues and Regulations 167 10.1 Introduction 167 10.2 Regulations Relating to SBO Requirements 168 10.3 Specific SBO Requirements 169 10.4 Alternate Alternating Current Power Sources 170 10.5 Procedures and Training 174 10.6 QA and Specifications for Nonsafety-Related Equipment 176 10.7 Monitoring of the Grid Condition 177 Questions and Problems 177 References 178 11 Review of Electric Power Calculations 181 11.1 Introduction 181 11.2 Load and Voltage Calculations 181 11.3 Motor Starting Calculations 183 Questions and Problems 186 References 188 12 Plant Life: Equipment Aging, Life Extension, and Decommissioning 189 12.1 Nuclear Plant Licensed Life 189 12.2 Importance of Maintenance: The Maintenance Rule (Courtesy of the NRC) 189 12.3 Monitoring Issues Affecting Electrical Equipment, Transformers, Motors, Cable, Control Equipment 193 12.4 Cable-Monitoring Methods and Techniques (Courtesy of NRC) 194 12.5 Further Information on Cable Testing 201 12.6 Switchyard Maintenance Activities 202 12.7 Emergency Diesel Generators 202 12.8 Interpretation of “Standby” 202 12.9 Normally Operating SSCs of Low Safety Significance 203 12.10 Establishing SSC-Specific Performance Criteria 203 12.11 Clarification of MPFFs Related to Design Deficiencies 204 12.12 Scope of the Hazards to be Considered during Power Operations 204 12.13 Scope of Initiators to be Considered for Shutdown Conditions 204 12.14 Fire Scenario Success Path(s) 205 12.15 Establishing Action Thresholds Based on Quantitative Considerations 205 12.16 SSCs Considered under 10 CFR 50.65(a)(1) 205 12.17 Inclusion of Electrical Distribution Equipment 206 12.18 The License Renewal Rule 206 12.19 Interpretation of Aging 207 12.20 Effects of Plant Aging 207 Questions and Problems 208 References 209 13 Electrical and Control Systems Inspections 213 13.1 Purpose of Inspections 213 13.2 Objectives of Inspections 213 13.3 Areas of Review 214 13.4 Typical Approach to the Review 214 13.5 Acceptance Criteria 215 Questions and Problems 216 Reference 217 Appendix 1 Abbreviations 219 Appendix 2 Definitions 231 Index 239

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Book SynopsisSummarizes and surveys current LTE technical specifications and implementation options for engineers and newly qualified support staff Concentrating on three mobile communication technologies, GSM, 3G-WCDMA, and LTEwhile majorly focusing on Radio Access Network (RAN) technologythis book describes principles of mobile radio technologies that are used in mobile phones and service providers' infrastructure supporting their operation. It introduces some basic concepts of mobile network engineering used in design and rollout of the mobile network. It then follows up with principles, design constraints, and more advanced insights into radio interface protocol stack, operation, and dimensioning for three major mobile network technologies: Global System Mobile (GSM) and third (3G) and fourth generation (4G) mobile technologies. The concluding sections of the book are concerned with further developments toward next generation of mobile network (5G). Those include some of the maTable of ContentsForeword xvii Acknowledgements xix Abbreviations xxi 1 Introduction 1 2 Types of Mobile Network by Multiple-Access Scheme 3 3 Cellular System 5 3.1 Historical Background 5 3.2 Cellular Concept 5 3.3 Carrier-to-Interference Ratio 6 3.4 Formation of Clusters 8 3.5 Sectorization 9 3.6 Frequency Allocation 10 3.7 Trunking Effect 11 3.8 Erlang Formulas 13 3.9 Erlang B Formula 13 3.10 Worked Examples 14 3.10.1 Problem 1 14 3.10.2 Problem 2 16 3.10.3 Problem 3 16 4 Radio Propagation 19 4.1 Propagation Mechanisms 19 4.1.1 Free-Space Propagation 19 4.1.2 Propagation Models for Path Loss (Global Mean) Prediction 22 5 Mobile Radio Channel 27 5.1 Channel Characterization 28 5.1.1 Narrowband Flat Channel 31 5.1.2 Wideband Frequency Selective Channel 31 5.1.3 Doppler Shift 34 5.2 Worked Examples 36 5.2.1 Problem 1 36 5.2.2 Problem 2 36 5.3 Fading 36 5.3.1 Shadowing/Slow Fading 37 5.3.2 Fast Fading/Rayleigh Fading 40 5.4 Diversity to Mitigate Multipath Fading 42 5.4.1 Space and Polarization Diversity 42 5.5 Worked Examples 44 5.5.1 Problem 1 44 5.5.2 Problem 2 44 5.5.3 Problem 3 45 5.6 Receiver Noise Factor (Noise Figure) 45 6 Radio Network Planning 49 6.1 Generic Link Budget 49 6.1.1 Receiver Sensitivity Level 50 6.1.2 Design Level 50 6.1.2.1 Rayleigh Fading Margin 51 6.1.2.2 Lognormal Fading Margin 51 6.1.2.3 Body Loss 51 6.1.2.4 Car Penetration Loss 51 6.1.2.5 Design Level 51 6.1.2.6 Building Penetration Loss 52 6.1.2.7 Outdoor-to-Indoor Design Level 52 6.1.3 Power Link Budget 52 6.1.4 Power Balance 53 6.2 Worked Examples 56 6.2.1 Problem 1 56 6.2.2 Problem 2 57 6.2.3 Problem 3 58 7 Global System Mobile, GSM, 2G 59 7.1 General Concept for GSM System Development 59 7.2 GSM System Architecture 59 7.2.1 Location Area Identity (LAI) 62 7.2.2 The SIM Concept 63 7.2.3 User Addressing in the GSM Network 63 7.2.4 International Mobile Station Equipment Identity (IMEI) 63 7.2.5 International Mobile Subscriber Identity (IMSI) 64 7.2.6 Different Roles of MSISDN and IMSI 64 7.2.7 Mobile Station Routing Number 64 7.2.8 Calls to Mobile Terminals 65 7.2.9 Temporary Mobile Subscriber Identity (TMSI) 66 7.2.10 Security-Related Network Functions: Authentication and Encryption 66 7.2.11 Call Security 67 7.2.12 Operation and Maintenance Security 69 7.3 Radio Specifications 69 7.3.1 Spectrum Efficiency 69 7.3.2 Access Technology 71 7.3.3 MAHO and Measurements Performed by Mobile 72 7.3.4 Time Slot and Burst 73 7.3.4.1 Normal Burst 74 7.3.4.2 Frequency Correction Burst (FB) 74 7.3.4.3 Synchronization Burst 75 7.3.4.4 Access Burst 75 7.3.4.5 Dummy Burst 75 7.3.5 GSM Adaptation to a Wideband Propagation Channel 76 7.3.5.1 Training Sequence and Equalization 76 7.3.5.2 The Channel Equalization 77 7.3.5.3 Diversity Against Fast Fading 78 7.3.5.4 Frequency Hopping 79 7.4 Background for the Choice of Radio Parameters 81 7.4.1 Guard Period, Timing Advance 83 7.5 Communication Channels in GSM 84 7.5.1 Traffic Channels (TCHs) 84 7.5.2 Control Channels 85 7.5.2.1 Common Control Channels 85 7.5.2.2 Dedicated Control Channels 86 7.6 Mapping the Logical Channels onto Physical Channels 86 7.6.1 Frame Format 87 7.6.2 Transmission of User Information: Fast Associated Control Channel 88 7.6.2.1 Data Rates 88 7.6.3 Signalling Multiframe, 51-Frame Multiframe 88 7.6.4 Synchronization 89 7.6.4.1 Frequency Synchronization 90 7.6.4.2 Time Synchronization 90 7.6.5 Signalling Procedures over the Air Interface 90 7.6.5.1 Synchronization to the Base Station 90 7.6.5.2 Registering With the Base Station 91 7.6.5.3 Call Setup 91 7.7 Signalling During a Call 93 7.7.1 Measuring the Signal Levels from Adjacent Cells 93 7.7.2 Handover 94 7.7.2.1 Intra-Cell and Inter-Cell Handover 95 7.7.2.2 Intra- and Inter-BSC Handover 95 7.7.2.3 Intra- and Inter-MSC Handover 95 7.7.2.4 Intra- and Inter-PLMN Handover 95 7.7.2.5 Handover Triggering 95 7.7.3 Power Control 96 7.8 Signal Processing Chain 97 7.8.1 Speech and Channel Coding 97 7.8.2 Reordering and Interleaving of the TCH 99 7.9 Estimating Required Signalling Capacity in the Cell 100 7.9.1 SDCCH Configuration 100 7.9.2 Worked Example 101 7.9.2.1 Problem 1 101 References 102 8 EGPRS: GPRS/EDGE 103 8.1 GPRS Support Nodes 103 8.2 GPRS Interfaces 104 8.3 GPRS Procedures in Packet Call Setups 104 8.4 GPRS Mobility Management 105 8.4.1 Mobility Management States 106 8.4.1.1 IDLE State 106 8.4.1.2 READY State 106 8.4.1.3 STANDBY State 106 8.4.2 PDP Context Activation 107 8.4.3 Location Management 108 8.5 Layered Overview of the Radio Interface 108 8.5.1 SNDP 108 8.5.2 Layer Services 109 8.5.3 Radio Link Layer 110 8.5.3.1 RLC Block Structure 110 8.5.4 GPRS Logical Channels 111 8.5.5 Mapping to Physical GPRS Channels 111 8.5.6 Channel Sharing 112 8.5.6.1 Downlink Radio Channel 113 8.5.6.2 Uplink Radio Channel 113 8.5.7 TBF 113 8.5.7.1 TBF Establishment 113 8.5.7.2 DL TBF Establishment 113 8.5.8 EGPRS Channel Coding and Modulation 15 8.6 GPRS/GSM Territory in a Base-Station Transceiver 115 8.6.1 PS Capacity in the Base Station/Cell 116 8.7 Summary 118 References 119 9 Third Generation Network (3G), UMTS 121 9.1 The WCDMA Concept 123 9.1.1 Spreading (Channelization) 124 9.1.2 Scrambling 127 9.1.3 Multiservice Capacity 128 9.1.4 Power Control 129 9.1.4.1 Open-Loop Power Control 130 9.1.4.2 Outer-Loop Power Control 130 9.1.5 Handover 132 9.1.5.1 Softer Handover 132 9.1.5.2 Other Handovers 134 9.1.5.3 Compressed Mode 134 9.1.6 RAKE Reception 135 9.2 Major Parameters of 3G WCDMA Air Interface 136 9.3 Spectrum Allocation for 3G WCDMA 136 9.4 3G Services 138 9.4.1 Bearer Service and QoS 138 9.5 UMTS Reference Network Architecture and Interfaces 140 9.5.1 The NodeB (Base Station) Functions in the 3G Network 141 9.5.2 Role of the RNC in 3G Network 141 9.6 Air-Interface Architecture and Processing 142 9.6.1 Physical Layer (Layer 1) 144 9.6.2 Medium Access Control (MAC) on Layer 2 144 9.6.3 Radio Link Control (RLC) on Layer 2 145 9.6.4 RRC on Layer 3 in the Control Plane 145 9.7 Channels on the Air Interface 146 9.7.1 Logical Channels 146 9.7.2 Transport Channels 146 9.7.2.1 Dedicated Transport Channel (DCH) 147 9.7.2.2 Common Transport Channels 147 9.7.3 Physical Channels and Physical Signals 148 9.7.4 Parameters of the Transport Channel 148 9.8 Physical-Layer Procedures 150 9.8.1 Processing of Transport Blocks 151 9.8.2 Spreading and Modulation 154 9.8.3 Modulation Scheme in UTRAN FDD 155 9.8.4 Composition of the Physical Channels 157 9.8.4.1 Dedicated Physical Channel 157 9.8.4.2 Common Downlink Physical Channels 160 9.9 RRC States 162 9.9.1 Idle Mode 162 9.9.2 RRC Connected Mode 164 9.9.3 RRC Connection Procedures 165 9.9.4 RRC State Transition Cases 166 9.10 RRM Functions 167 9.10.1 Admission Control Principle 167 9.10.2 Load/Congestion Control 168 9.10.3 Code Management 168 9.10.4 Packet Scheduling 168 9.11 Initial Access to the Network 169 9.12 Summary 170 References 171 10 High-Speed Packet Data Access (HSPA) 173 10.1 HSDPA, High-Speed Downlink Packet Data Access 173 10.2 HSPA RRM Functions 175 10.2.1 Channel-Dependent Scheduling for HS-DSCH 175 10.2.2 Rate Control, Dynamic Resource Allocation, Adaptive Modulation and Coding 176 10.2.3 Hybrid-ARQ with Soft Combining, HARQ 176 10.2.4 Retransmission Mechanism in the NodeB 176 10.2.5 Impact to Protocol Architecture 177 10.2.6 HARQ Schemes 178 10.3 MAC-hs and Physical-Layer Processing 181 10.4 HSDPA Channels 182 10.4.1 High-Speed Downlink Shared Channel (HS-DSCH) 182 10.4.2 HSDPA Control Channels 183 10.4.2.1 Fractional Downlink Power Control Channel 184 10.4.3 HS-DSCH Link Adaptation 184 10.5 HSUPA (Enhanced Uplink, E-DCH) 189 10.5.1 Control Signalling 190 10.5.2 Scheduling 190 10.6 Air-Interface Dimensioning 192 10.6.1 Input Parameters and Requirements 192 10.6.2 Traffic Demand Estimation 193 10.6.2.1 PS Data Services (Release 99) 193 10.6.2.2 HSPA Data Services 193 10.6.3 Standard Traffic Model 194 10.6.4 Link Budgets 195 10.6.4.1 Uplink Load Factor 196 10.6.4.2 Downlink Load Factor 197 10.6.4.3 Link Budget for R99 Bearers 198 10.6.4.4 Link Budget for HSPA 199 10.6.4.5 Results of Link Budget: Cell Range Calculation, Balancing UL with DL 199 10.6.4.6 Link Budget for Common Pilot Channel Signal 200 10.6.4.7 Link Budget Calculation for the Shared Release 99 and HSDPA Carriers 200 10.6.5 Uplink Capacity Estimation 201 10.6.5.1 Required Bandwidth and Load for Multiple Bearers with GOS Considerations 202 10.6.5.2 Simplified Estimation of HSDPA Throughput Capacity 202 10.7 Summary 203 References 204 11 4G-Long Term Evolution (LTE) System 205 11.1 Introduction 205 11.2 Architecture of an Evolved Packet System 206 11.3 LTE Integration with Existing 2G/3G Network 207 11.3.1 EPS Reference Points and Interfaces 208 11.4 E-UTRAN Interfaces 209 11.5 User Equipment 210 11.5.1 LTE UE Category 210 11.6 QoS in LTE 211 11.7 LTE Security 212 11.8 LTE Mobility 214 11.8.1 Idle Mode Mobility 214 11.8.2 ECM-CONNECTED Mode Mobility 215 11.8.3 Mobility Anchor 216 11.8.4 Inter-eNB Handover 216 11.8.5 3GPP Inter-RAT Handover 218 11.8.6 Differences in E-UTRAN and UTRAN Mobility 218 11.9 LTE Radio Interface 219 11.10 Principle of OFDM 220 11.11 OFDM Implementation using IFFT/FFT Processing 223 11.12 Cyclic Prefix 223 11.13 Channel Estimation and Reference Symbols 225 11.14 OFDM Subcarrier Spacing 227 11.15 Output RF Spectrum Emissions 227 11.16 LTE Multiple-Access Scheme, OFDMA 228 11.17 Single-Carrier FDMA (SC-FDMA) 229 11.18 OFDMA versus SC-FDMA Operation 230 11.19 SC-FDMA Receiver 231 11.20 User Multiplexing with DFTS-OFDM 231 11.21 MIMO Techniques 232 11.21.1 Precoding 234 11.21.2 Cyclic Delay Diversity (CDD) 236 11.22 Link Adaptation and Frequency Domain Packet Scheduling 237 11.23 Radio Protocol Architecture 238 11.23.1 User Plane 239 11.23.2 Control Plane 239 11.23.3 Scheduler 240 11.23.4 Logical and Transport Channels 240 11.23.5 Physical Layer 242 11.23.6 RRC State Machine 244 11.23.7 Time-Frequency Structure of the LTE FDD Physical Layer 244 11.24 Downlink Physical Layer Processing 248 11.24.1 Multiplexing and Channel Coding for Downlink Transport Channels 248 11.24.2 CRC Computation and Attachment to the Transport Block 248 11.24.3 Code Block Segmentation and Code Block CRC Attachment 249 11.24.4 Channel Coding 249 11.24.5 Rate Matching for Turbo Coded Transport Channels 249 11.24.6 Downlink Control Information Coding 250 11.24.7 Physical Channel Processing 250 11.24.7.1 Bit-Level Scrambling 251 11.24.7.2 Data Modulation 251 11.24.7.3 Layer Mapping 252 11.24.7.4 Precoding 252 11.24.7.5 Mapping to Resource Elements 255 11.24.7.6 Downlink Reference Signals 256 11.25 Downlink Control Channels 258 11.25.1 Structure of the Synchronization Channel 258 11.25.2 Time-Domain Position of Synchronization Signals 259 11.25.3 Frequency Domain Structure of Synchronization Signals 259 11.25.3.1 PSS Structure 259 11.25.3.2 SSS Structure 260 11.25.4 PBCH 260 11.25.5 Physical Control Format Indicator Channel: PCFICH 262 11.25.6 PDCCH 263 11.25.7 PHICH, Physical Hybrid-ARQ Indicator Channel 264 11.26 Mapping the Control Channels to Downlink Transmission Resources 264 11.27 Uplink Control Signalling 264 11.27.1 Processing of the Uplink Shared Transport Channel 266 11.27.2 Channel Coding of Control Information 266 11.27.3 Multiplexing and Channel Interleaving 266 11.27.4 Processing for Physical Uplink Shared Channel 268 11.27.5 Physical Uplink Control Channel, PUCCH 269 11.27.6 Multiplexing of UEs Within a PUCCH 269 11.27.7 Physical Random Access Channel (PRACH) 270 11.28 Uplink Reference Signals 271 11.28.1 Mapping of Reference Signals to the Uplink Frame Structure 272 11.29 Physical-Layer Procedures 273 11.29.1 Cell Search 273 11.29.2 Random Access Procedure 274 11.29.3 Link Adaptation 276 11.29.4 Power Control 277 11.29.5 Paging 278 11.29.6 HARQ 278 11.30 LTE Radio Dimensioning 279 11.30.1 LTE Coverage Dimensioning: Link Budget 280 11.30.1.1 Physical-Layer Overhead Factors 281 11.30.1.2 Multi-Antenna Systems 284 11.30.1.3 Required SINR 285 11.30.1.4 Link Budget Margins 285 11.30.1.5 Interference Margin 285 11.30.1.6 Maximum Allowable Path Loss (MAPL) 287 11.30.1.7 Required SINR 288 11.30.2 Cell Range and Cell Capacity 288 11.31 Summary 289 References 290 12 LTE-A 293 12.1 Carrier Aggregation 296 12.2 Enhanced MIMO 300 12.3 Coordinated Multi-Point Operation (CoMP) 303 12.3.1 CoMP Categories 304 12.3.2 Downlink CoMP 306 12.3.3 Uplink CoMP 307 12.4 Relay Nodes 309 12.4.1 Relay Radio Access 309 12.4.2 Relay Architecture 311 12.4.3 Resource Assignment for DeNB-RN Link in a Type 1 Relay 314 12.5 Enhanced Physical Downlink Control Channel (E-PDCCH) 315 12.6 Downlink Multiuser Superposition, MUST 315 12.7 Summary of LTE-A Features 317 References 317 13 Further Development for the Fifth Generation 319 13.1 Overall Operational Requirements for a 5G Network System 320 13.2 Device Requirements 320 13.3 Capabilities of 5G 321 13.4 Spectrum Consideration 321 13.5 5G Technology Components 322 13.5.1 Technologies to Enhance the Radio Interface 322 13.5.1.1 Advanced Modulation-and-Coding Schemes 323 13.5.1.2 Non-Orthogonal Multiple Access (NOMA) 323 13.5.1.3 Active Antenna System (AAS) 326 13.5.1.4 3D Beamforming and Multiuser MIMO (MU-MIMO) 327 13.5.1.5 Massive MIMO 328 13.5.1.6 Full Duplex Mode 329 13.5.1.7 Self-Backhauling 330 13.5.2 Technologies to Enhance Network Architectures 331 13.5.2.1 Software-Defined Network 332 13.5.2.2 Cloud RAN 332 13.5.2.3 Network Slicing 332 13.5.2.4 Self-Organized Network, SON 334 13.6 5G System Architecture (Release 15) 335 13.6.1 General Concepts 335 13.6.2 Architecture Reference Model 335 13.6.3 Network Slicing Support 338 13.6.3.1 General Framework 338 13.6.3.2 Network Slice Selection Assistance Information (NSSAI) 338 13.6.3.3 Selection of a Serving AMF Supporting the Network Slices 339 13.6.3.4 UE Context Handling 340 13.7 New Radio (NR) 341 13.7.1 NG-RAN Architecture 341 13.7.2 Functional Split 342 13.7.3 Network Interfaces 343 13.7.3.1 NG Interface 343 13.7.4 Xn Interface 345 13.7.5 NG-RAN Distributed Architecture 346 13.7.5.1 F1 Interface Functions 347 13.7.5.2 F1 Protocol Structure 347 13.7.6 Radio Protocol Architecture 348 13.7.6.1 User Plane 348 13.7.7 NR Physical Channels and Modulation 350 13.7.7.1 Physical-Layer Design Requirements 350 13.7.7.2 Frame Structure and Physical Resources 352 13.7.8 Frames and Subframes 353 13.7.9 Physical Resources 354 13.7.9.1 Resource Grid 354 13.7.9.2 Resource Blocks 355 13.7.10 Carrier Aggregation 356 13.7.11 Uplink Physical Channels and Signals 356 13.7.12 Downlink Physical Channels and Signals 357 13.7.13 SS/PBCH Block 358 13.7.14 Coding and Multiplexing 359 13.7.15 NR Dual Connectivity 359 13.7.16 E-UTRA and NR Multi-RAT Dual Connectivity 360 13.7.16.1 Bearer Types for MR-DC Between LTE and NR 362 13.7.16.2 MR-DC User-Plane Connectivity 363 13.8 Summary 364 References 364 14 Annex: Base-Station Site Solutions 367 14.1 The Base-Station OBSAI Architecture 367 14.1.1 Functional Modules 367 14.1.2 Internal Interfaces 369 14.1.3 RP3 Interface 369 14.2 Common Public Radio Interface, CPRI 370 14.3 SDR and Multiradio BTS 371 14.4 Site Solution with OBSAI Type Base Stations 372 14.4.1 C-RAN Site Solutions 374 References 375 Index 377

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Book SynopsisThis volume describes frontiers in social-behavioral modeling for contexts as diverse as national security, health, and on-line social gaming. Recent scientific and technological advances have created exciting opportunities for such improvements. However, the book also identifies crucial scientific, ethical, and cultural challenges to be met if social-behavioral modeling is to achieve its potential. Doing so will require new methods, data sources, and technology. The volume discusses these, including those needed to achieve and maintain high standards of ethics and privacy. The result should be a new generation of modeling that willadvance science and, separately, aid decision-making on major social and security-related subjects despite the myriad uncertainties and complexities of social phenomena. Intended to be relatively comprehensivein scope, the volume balances theory-driven, data-driven, and hybrid approaches. The latter may be rapidly iterative, as when artificial-inteTable of ContentsForeword xxvii List of Contributors xxxi About the Editors xli About the Companion Website xliii Part I Introduction and Agenda 1 1 Understanding and Improving the Human Condition: A Vision of the Future for Social-Behavioral Modeling 3Jonathan Pfautz, Paul K. Davis, and Angela O’Mahony Challenges 5 About This Book 10 References 13 2 Improving Social-Behavioral Modeling 15Paul K. Davis and Angela O’Mahony Aspirations 15 Classes of Challenge 17 Inherent Challenges 17 Selected Specific Issues and the Need for Changed Practices 20 Strategy for Moving Ahead 32 Social-Behavioral Laboratories 39 Conclusions 41 Acknowledgments 42 References 42 3 Ethical and Privacy Issues in Social-Behavioral Research 49Rebecca Balebako, Angela O’Mahony, Paul K. Davis, and Osonde Osoba Improved Notice and Choice 50 Usable and Accurate Access Control 52 Anonymization 53 Avoiding Harms by Validating Algorithms and Auditing Use 55 Challenge and Redress 56 Deterrence of Abuse 57 And Finally Thinking Bigger About What Is Possible 58 References 59 Part II Foundations of Social-Behavioral Science 63 4 Building on Social Science: Theoretic Foundations for Modelers 65Benjamin Nyblade, Angela O’Mahony, and Katharine Sieck Background 65 Atomistic Theories of Individual Behavior 66 Social Theories of Individual Behavior 75 Theories of Interaction 80 From Theory to Data and Data to Models 88 Building Models Based on Social Scientific Theories 92 Acknowledgments 94 References 94 5 How Big and How Certain? A New Approach to Defining Levels of Analysis for Modeling Social Science Topics 101Matthew E. Brashears Introduction 101 Traditional Conceptions of Levels of Analysis 102 Incompleteness of Levels of Analysis 104 Constancy as the Missing Piece 107 Putting It Together 111 Implications for Modeling 113 Conclusions 116 Acknowledgments 116 References 116 6 Toward Generative Narrative Models of the Course and Resolution of Conflict 121Steven R. Corman, Scott W. Ruston, and Hanghang Tong Limitations of Current Conceptualizations of Narrative 122 A Generative Modeling Framework 125 Application to a Simple Narrative 126 Real-World Applications 130 Challenges and Future Research 133 Conclusion 135 Acknowledgment 137 Locations, Events, Actions, Participants, and Things in the Three Little Pigs 137 Edges in the Three Little Pigs Graph 139 References 142 7 A Neural Network Model of Motivated Decision-Making in Everyday Social Behavior 145Stephen J. Read and Lynn C. Miller Introduction 145 Overview 146 Theoretical Background 147 Neural Network Implementation 151 Conclusion 159 References 160 8 Dealing with Culture as Inherited Information 163Luke J. Matthews Galton’s Problem as a Core Feature of Cultural Theory 163 How to Correct for Treelike Inheritance of Traits Across Groups 167 Dealing with Non independence in Less Treelike Network Structures 173 Future Directions for Formal Modeling of Culture 178 Acknowledgments 181 References 181 9 Social Media, Global Connections, and Information Environments: Building Complex Understandings of Multi-Actor Interactions 187Gene Cowherd and Daniel Lende A New Setting of Hyperconnectivity 187 The Information Environment 188 Social Media in the Information Environment 189 Integrative Approaches to Understanding Human Behavior 190 The Ethnographic Examples 192 Conclusion 202 References 204 10 Using Neuroimaging to Predict Behavior: An Overview with a Focus on the Moderating Role of Sociocultural Context 205Steven H. Tompson, Emily B. Falk, Danielle S. Bassett, and Jean M. Vettel Introduction 205 The Brain-as-Predictor Approach 206 Predicting Individual Behaviors 208 Interpreting Associations Between Brain Activation and Behavior 210 Predicting Aggregate Out-of-Sample Group Outcomes 211 Predicting Social Interactions and Peer Influence 214 Sociocultural Context 215 Future Directions 219 Conclusion 221 References 222 11 Social Models from Non-Human Systems 231Theodore P. Pavlic Emergent Patterns in Groups of Behaviorally Flexible Individuals 232 Model Systems for Understanding Group Competition 239 Information Dynamics in Tightly Integrated Groups 246 Conclusions 254 Acknowledgments 255 References 255 12 Moving Social-Behavioral Modeling Forward: Insights from Social Scientists 263Matthew Brashears, Melvin Konner, Christian Madsbjerg, Laura McNamara, and Katharine Sieck Why Do People Do What They Do? 264 Everything Old Is New Again 264 Behavior Is Social, Not Just Complex 267 What is at Stake? 270 Sensemaking 272 Final Thoughts 275 References 276 Part III Informing Models with Theory and Data 279 13 Integrating Computational Modeling and Experiments: Toward a More Unified Theory of Social Influence 281Michael Gabbay Introduction 281 Social Influence Research 283 Opinion Network Modeling 284 Integrated Empirical and Computational Investigation of Group Polarization 286 Integrated Approach 299 Conclusion 305 Acknowledgments 307 References 308 14 Combining Data-Driven and Theory-Driven Models for Causality Analysis in Sociocultural Systems 311Amy Sliva, Scott Neal Reilly, David Blumstein, and Glenn Pierce Introduction 311 Understanding Causality 312 Ensembles of Causal Models 317 Case Studies: Integrating Data-Driven and Theory-Driven Ensembles 321 Conclusions 332 References 333 15 Theory-Interpretable, Data-Driven Agent-Based Modeling 337William Rand The Beauty and Challenge of Big Data 337 A Proposed Unifying Principle for Big Data and Social Science 340 Data-Driven Agent-Based Modeling 342 Conclusion and the Vision 353 Acknowledgments 354 References 355 16 Bringing the Real World into the Experimental Lab: Technology-Enabling Transformative Designs 359Lynn C. Miller, Liyuan Wang, David C. Jeong, and Traci K. Gillig Understanding, Predicting, and Changing Behavior 359 Social Domains of Interest 360 The SOLVE Approach 365 Experimental Designs for Real-World Simulations 368 Creating Representative Designs for Virtual Games 371 Applications in Three Domains of Interest 375 Conclusions 376 References 380 17 Online Games for Studying Human Behavior 387Kiran Lakkaraju, Laura Epifanovskaya, Mallory Stites, Josh Letchford, Jason Reinhardt, and Jon Whetzel Introduction 387 Online Games and Massively Multiplayer Online Games for Research 388 War Games and Data Gathering for Nuclear Deterrence Policy 390 MMOG Data to Test International Relations Theory 393 Analysis and Results 397 Games as Experiments: The Future of Research 403 Final Discussion 405 Acknowledgments 405 References 405 18 Using Sociocultural Data from Online Gaming and Game Communities 407Sean Guarino, Leonard Eusebi, Bethany Bracken, and Michael Jenkins Introduction 407 Characterizing Social Behavior in Gaming 409 Game-Based Data Sources 412 Case Studies of SBE Research in Game Environments 422 Conclusions and Future Recommendations 437 Acknowledgments 438 References 438 19 An Artificial Intelligence/Machine Learning Perspective on Social Simulation: New Data and New Challenges 443Osonde Osoba and Paul K. Davis Objectives and Background 443 Relevant Advances 443 Data and Theory for Behavioral Modeling and Simulation 454 Conclusion and Highlights 470 Acknowledgments 472 References 472 20 Social Media Signal Processing 477Prasanna Giridhar and Tarek Abdelzaher Social Media as a Signal Modality 477 Interdisciplinary Foundations: Sensors, Information, and Optimal Estimation 479 Event Detection and Demultiplexing on the Social Channel 481 Conclusions 492 Acknowledgment 492 References 492 21 Evaluation and Validation Approaches for Simulation of Social Behavior: Challenges and Opportunities 495Emily Saldanha, Leslie M. Blaha, Arun V. Sathanur, Nathan Hodas, Svitlana Volkova, and Mark Greaves Overview 495 Simulation Validation 498 Simulation Evaluation: Current Practices 499 Measurements, Metrics, and Their Limitations 500 Proposed Evaluation Approach 507 Conclusions 515 References 515 Part IV Innovations in Modeling 521 22 The Agent-Based Model Canvas: A Modeling Lingua Franca for Computational Social Science 523Ivan Garibay, Chathika Gunaratne, Niloofar Yousefi, and Steve Scheinert Introduction 523 The Language Gap 527 The Agent-Based Model Canvas 530 Conclusion 540 References 541 23 Representing Socio-Behavioral Understanding with Models 545Andreas Tolk and Christopher G. Glazner Introduction 545 Philosophical Foundations 546 The Way Forward 562 Acknowledgment 563 Disclaimer 563 References 564 24 Toward Self-Aware Models as Cognitive Adaptive Instruments for Social and Behavioral Modeling 569Levent Yilmaz Introduction 569 Perspective and Challenges 571 A Generic Architecture for Models as Cognitive Autonomous Agents 575 The Mediation Process 578 Coherence-Driven Cognitive Model of Mediation 581 Conclusions 584 References 585 25 Causal Modeling with Feedback Fuzzy Cognitive Maps 587Osonde Osoba and Bart Kosko Introduction 587 Overview of Fuzzy Cognitive Maps for Causal Modeling 588 Combining Causal Knowledge: Averaging Edge Matrices 592 Learning FCM Causal Edges 594 FCM Example: Public Support for Insurgency and Terrorism 597 US–China Relations: An FCM of Allison’s Thucydides Trap 603 Conclusion 611 References 612 26 Simulation Analytics for Social and Behavioral Modeling 617Samarth Swarup, Achla Marathe, Madhav V. Marathe, and Christopher L. Barrett Introduction 617 What Are Behaviors? 619 Simulation Analytics for Social and Behavioral Modeling 624 Conclusion 628 Acknowledgments 630 References 630 27 Using Agent-Based Models to Understand Health-Related Social Norms 633Gita Sukthankar and Rahmatollah Beheshti Introduction 633 Related Work 634 Lightweight Normative Architecture (LNA) 634 Cognitive Social Learners (CSL) Architecture 635 Smoking Model 639 Agent-Based Model 641 Data 645 Experiments 646 Conclusion 652 Acknowledgments 652 References 652 28 Lessons from a Project on Agent-Based Modeling 655Mirsad Hadzikadic and Joseph Whitmeyer Introduction 655 ACSES 656 Verification and Validation 661 Self-Organization and Emergence 665 Trust 668 Summary 669 References 670 29 Modeling Social and Spatial Behavior in Built Environments: Current Methods and Future Directions 673Davide Schaumann and Mubbasir Kapadia Introduction 673 Simulating Human Behavior – A Review 675 Modeling Social and Spatial Behavior with MAS 678 Discussion and Future Directions 685 Acknowledgments 687 References 687 30 Multi-Scale Resolution of Human Social Systems: A Synergistic Paradigm for Simulating Minds and Society 697Mark G. Orr Introduction 697 The Reciprocal Constraints Paradigm 699 Discussion 706 Acknowledgments 708 References 708 31 Multi-formalism Modeling of Complex Social-Behavioral Systems 711Marco Gribaudo, Mauro Iacono, and Alexander H. Levis Prologue 711 Introduction 713 On Multi-formalism 718 Issues in Multi-formalism Modeling and Use 719 Issues in Multi-formalism Modeling and Simulation 734 Conclusions 736 Epilogue 736 References 737 32 Social-Behavioral Simulation: Key Challenges 741Kathleen M. Carley Introduction 741 Key Communication Challenges 742 Key Scientific Challenges 743 Toward a New Science of Validation 748 Conclusion 749 References 750 33 Panel Discussion:Moving Social-Behavioral Modeling Forward 753Angela O’Mahony, Paul K. Davis, Scott Appling, Matthew E. Brashears, Erica Briscoe, Kathleen M. Carley, Joshua M. Epstein, Luke J. Matthews, Theodore P. Pavlic, William Rand, Scott Neal Reilly, William B. Rouse, Samarth Swarup, Andreas Tolk, Raffaele Vardavas, and Levent Yilmaz Simulation and Emergence 754 Relating Models Across Levels 765 Going Beyond Rational Actors 776 References 784 Part V Models for Decision-Makers 789 34 Human-Centered Design of Model-Based Decision Support for Policy and Investment Decisions 791William B. Rouse Introduction 791 Modeler as User 792 Modeler as Advisor 792 Modeler as Facilitator 793 Modeler as Integrator 797 Modeler as Explorer 799 Validating Models 800 Modeling Lessons Learned 801 Observations on Problem-Solving 804 Conclusions 806 References 807 35 A Complex Systems Approach for Understanding the Effect of Policy and Management Interventions on Health System Performance 809Jason Thompson, Rod McClure, and Andrea de Silva Introduction 809 Understanding Health System Performance 811 Method 813 Model Narrative 815 Policy Scenario Simulation 817 Results 817 Discussion 824 Conclusions 826 References 827 36 Modeling Information and Gray Zone Operations 833Corey Lofdahl Introduction 833 The Technological Transformation of War: Counterintuitive Consequences 835 Modeling Information Operations: Representing Complexity 838 Modeling Gray Zone Operations: Extending Analytic Capability 842 Conclusion 845 References 847 37 Homo Narratus (The Storytelling Species): The Challenge (and Importance) of Modeling Narrative in Human Understanding 849Christopher Paul The Challenge 849 What Are Narratives? 850 What Is Important About Narratives? 851 What Can Commands Try to Accomplish with Narratives in Support of Operations? 856 Moving Forward in Fighting Against, with, and Through Narrative in Support of Operations 857 Conclusion: Seek Modeling and Simulation Improvements That Will Enable Training and Experience with Narrative 861 References 862 38 Aligning Behavior with Desired Outcomes: Lessons for Government Policy from the Marketing World 865Katharine Sieck Technique 1: Identify the Human Problem 867 Technique 2: Rethinking Quantitative Data 869 Technique 3: Rethinking Qualitative Research 876 Summary 882 References 882 39 Future Social Science That Matters for Statecraft 885Kent C. Myers Perspective 885 Recent Observations 885 Interactions with the Intelligence Community 887 Phronetic Social Science 888 Cognitive Domain 891 Reflexive Processes 893 Conclusion 895 References 896 40 Lessons on Decision Aiding for Social-Behavioral Modeling 899Paul K. Davis Strategic Planning Is Not About Simply Predicting and Acting 899 Characteristics Needed for Good Decision Aiding 901 Implications for Social-Behavioral Modeling 918 Acknowledgments 921 References 923 Index 927

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Book SynopsisA practicing engineer''s inclusive review of communication systems based on shared-bus and shared-memory switch/router architectures This book delves into the inner workings of router and switch design in a comprehensive manner that is accessible to a broad audience. It begins by describing the role of switch/routers in a network, then moves on to the functional composition of a switch/router. A comparison of centralized versus distributed design of the architecture is also presented. The author discusses use of bus versus shared-memory for communication within a design, and also covers Quality of Service (QoS) mechanisms and configuration tools. Written in a simple style and language to allow readers to easily understand and appreciate the material presented, Switch/Router Architectures: Shared-Bus and Shared-Memory Based Systems discusses the design of multilayer switchesstarting with the basic concepts and on to the basic architectures. It describes thTable of ContentsAbout the Author vii Preface ix 1 Introduction to Switch/Router Architectures 1 2 Understanding Shared-Bus and Shared-Memory Switch Fabrics 17 3 Shared-Bus and Shared-Memory-Based Switch/Router Architectures 43 4 Software Requirements for Switch/Routers 61 5 Architectures with Bus-Based Switch Fabrics: Case Study-DECNIS 500/600 Multiprotocol Bridge/Router 87 6 Architectures with Bus-Based Switch Fabrics: Case Study-Fore Systems Powerhub Multilayer Switches 111 7 Architectures with Bus-Based Switch Fabrics: Case Study-Cisco Catalyst 6000 Series Switches 129 8 Architectures with Shared-Memory-Based Switch Fabrics: Case Study-Cisco Catalyst 3550 Series Switches 151 9 Architectures with Bus-Based Switch Fabrics: Case Study-Cisco Catalyst 6500 Series Switches with Supervisor Engine 32 171 10 Architectures with Shared-Memory-Based Switch Fabrics: Case Study-Cisco Catalyst 8500 CSR Series 191 11 Quality of Service Mechanisms in the Switch/Routers 213 12 Quality of Service Configuration Tools in Switch/Routers 227 13 Case Study: Quality of Service Processing in the Cisco Catalyst 6000 and 6500 Series Switches 249 Appendix A: Ethernet Appendix B: IPv4 Packet References Index

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Book SynopsisThe groundbreaking book that details the fundamentals of reliability modeling and evaluation and introduces new and future technologies Electric Power Grid Reliability Evaluation deals with the effective evaluation of the electric power grid and explores the role that this process plays in the planning and designing of the expansion of the power grid. The book is a guide to the theoretical approaches and processes that underpin the electric power grid and reviews the most current and emerging technologies designed to ensure reliability. The authorsnoted experts in the fieldalso present the algorithms that have been developed for analyzing the soundness of the power grid. A comprehensive resource, the book covers probability theory, stochastic processes, and a frequency-based approach in order to provide a theoretical foundation for reliability analysis. Throughout the book, the concepts presented are explained with illustrative examples that connect with Table of ContentsPreface xiii Acknowledgments xv Figures xvii Tables xxi Part I Concepts and Methods in System Reliability 1 1 Introduction to Reliability 3 1.1 Introduction 3 1.2 Quantitative Reliability 4 1.3 Basic Approaches for Considering Reliability in Decision-Making 6 1.4 Objective and Scope of This Book 8 1.5 Organization of This Book 9 2 Review of Probability Theory 11 2.1 Introduction 11 2.2 State Space and Event 11 2.3 Probability Measure and Related Rules 16 2.4 Random Variables 25 2.5 Jointly Distributed Random Variables 31 2.6 Expectation, Variance, Covariance and Correlation 32 2.7 Moment Generating Function 36 2.8 Functions of Random Variables 39 Exercises 51 3 Review of Stochastic Process 53 3.1 Introduction 53 3.2 Discrete-Time Markov Process 57 3.3 Continuous-Time Markov Process 72 Exercises 80 4 Frequency-Based Approach to Stochastic Process 81 4.1 Introduction 81 4.2 Concept of Transition Rate 82 4.3 Concept of Frequency 83 4.4 Concept of Frequency Balance 91 4.5 Equivalent Transition Rate 100 4.6 Coherence 102 4.7 Conditional Frequency 104 4.8 Time-Specific Frequency 109 4.9 Probability to Frequency Conversion Rules 110 Exercises 115 5 Analytical Methods in Reliability Analysis 117 5.1 Introduction 117 5.2 State Space Approach 117 5.3 Network Reduction Method 139 5.4 Conditional Probability Method 147 5.5 Cut-Set and Tie-Set Methods 152 Exercises 164 6 Monte Carlo Simulation 165 6.1 Introduction 165 6.2 Random Number Generation 166 6.3 Classification of Monte Carlo Simulation Methods 167 6.4 Estimation and Convergence in Sampling 174 6.5 Variance Reduction Techniques 178 Exercises 182 Part II Methods of Power System Reliability Modeling and Analysis 185 7 Introduction to Power System Reliability 187 7.1 Introduction 187 7.2 Scope of Power System Reliability Studies 187 7.3 Power System Reliability Indices 188 7.4 Considerations in Power System Reliability Evaluation 190 8 Generation Adequacy Evaluation Using Discrete Convolution 193 8.1 Introduction 193 8.2 Generation Model 193 8.3 Load Model 205 8.4 Generation Reserve Model 208 8.5 Determination of Reliability Indices 210 8.6 Conclusion 212 Exercises 213 9 Reliability Analysis of Multinode Power Systems 215 9.1 Introduction 215 9.2 Scope and Modeling of Multinode Systems 215 9.3 System Modeling 216 9.4 Power Flow Models and Operating Policies 222 10 Reliability Evaluation of Multi-Area Power Systems 227 10.1 Introduction 227 10.2 Overview of Methods for Multi-Area System Studies 227 10.3 The Method of State Space Decomposition 229 10.4 Conclusion 245 Exercises 245 11 Reliability Evaluation of Composite Power Systems 247 11.1 Introduction 247 11.2 Analytical Methods 247 11.3 Monte Carlo Simulation 250 11.4 Sequential Simulation 250 11.5 Nonsequential Simulation 254 11.6 Testing of States 262 11.7 Acceleration of Convergence 263 11.8 State Space Pruning: Concept and Method 263 11.9 Intelligent Search Techniques 268 11.10 Conclusion 272 12 Power System Reliability Considerations in Energy Planning 273 12.1 Introduction 273 12.2 Problem Formulation 275 12.3 Sample Average Approximation (SAA) 279 12.4 Computational Results 282 12.5 Conclusion and Discussion 288 13 Modeling of Variable Energy Resources 291 13.1 Introduction 291 13.2 Characteristics of Variable Energy Resources 292 13.3 Variable Resource Modeling Approaches 293 13.4 Integrating Renewables at the Composite System Level 301 14 Concluding Reflections 305 Bibliography 309 Index 321

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Book SynopsisOffers an integrated presentation for path planning and motion control of cooperative mobile robots using discrete-event system principles Generating feasible paths or routes between a given starting position and a goal or target positionwhile avoiding obstaclesis a common issue for all mobile robots. This book formulates the problem of path planning of cooperative mobile robots by using the paradigm of discrete-event systems. It presents everything readers need to know about discrete event system modelsmainly Finite State Automata (FSA) and Petri Nets (PN)and methods for centralized path planning and control of teams of identical mobile robots. Path Planning of Cooperative Mobile Robots Using Discrete Event Models begins with a brief definition of the Path Planning and Motion Control problems and their state of the art. It then presents different types of discrete models such as FSA and PNs. The RMTool MATLAB toolbox is described thereafter, for readers who will need it to provide Table of ContentsForeword xi Preface xv Acknowledgments xvii Acronyms xix 1 Introduction 1 1.1 Historical perspective of mobile robotics 1 1.2 Path planning. Definition and historical background 4 1.3 Motion control. Definition and historical background 9 1.4 Motivation for expressive tasks 11 1.5 Assumptions of this monograph 14 1.6 Outline of this monograph 14 2 Robot Motion Toolbox 17 2.1 Introduction 17 2.2 General description of the simulator 20 2.3 Path planning algorithms 25 2.4 Robot kinematic models 26 2.5 Motion control algorithms 29 2.5.1 Pure pursuit algorithm 29 2.5.2 PI controller 32 2.6 Illustrative examples 33 2.6.1 Examples about path planning aspects 33 2.6.2 Examples about motion control aspects 35 2.6.3 Examples about multi-robot systems and high-level tasks 37 2.7 Conclusions 40 3 Cell Decomposition Algorithms 41 3.1 Introduction 41 3.2 Cell decomposition algorithms 42 3.2.1 Hypothesis 42 3.2.2 Trapezoidal decomposition 45 3.2.3 Triangular decomposition 46 3.2.4 Polytopal decomposition 49 3.2.5 Rectangular decomposition 52 3.3 Implementation and extensions 53 3.3.1 Extensions 53 3.3.2 Implemented functions 55 3.4 Comparative analysis 58 3.4.1 Qualitative comparison 58 3.4.2 Quantitative comparison 61 3.5 Conclusions 70 4 Discrete Event System Models 71 4.1 Introduction 71 4.2 Environment abstraction 72 4.3 Transition system models 75 4.3.1 Single robot case 75 4.3.2 Multi-robot case 79 4.4 Petri net models 83 4.5 Petri nets in resource allocation systems models 90 4.6 High-level specifications 96 4.7 Linear temporal logic 100 4.8 Conclusions 106 5 Path Planning by Using Transition System Models 109 5.1 Introduction 109 5.2 Two-step planning for a single robot and reachability specification 110 5.3 Quantitative comparison of two-step approaches 115 5.4 Receding horizon approach for a single robot and reachability specification 119 5.5 Simulations and analysis 123 5.6 Path planning with an LTL 5.7 Collision avoidance using initial delay 132 5.7.1 Problem description 132 5.7.2 Solution for Problem 5.1 (decentralized) 135 5.7.3 Solution for Problem 5.2 (centralized) 137 5.8 Conclusions 139 6 Path and Task Planning Using Petri Net Models 141 6.1 Introduction 141 6.2 Boolean-based specifications for cooperative robots 144 6.2.1 Problem definition and notations 144 6.2.2 Linear restrictions for Boolean-based specifications 146 6.2.3 Solution for constraints on the final state 147 6.2.4 Solution for constraints on trajectory and final state 149 6.2.5 Discussion on the above solutions 151 6.2.6 Suboptimal solution 152 6.2.7 Simulation examples 154 6.3 LTL specifications for cooperative robots 157 6.3.1 Problem definition and solution 157 6.3.2 Simulation examples 167 6.4 A sequencing problem 170 6.4.1 Problem statement 170 6.4.2 Solution 175 6.5 Task gathering problem 180 6.5.1 Problem formulation 180 6.5.2 Solution 181 6.6 Deadlock prevention using resource allocation models 185 6.7 Conclusions 192 7 Concluding Remarks 193 Bibliography 195 Index 211

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Book SynopsisA guide to the physics of Dynamic Temperature Sensing (DTS) measurements including practical information about procedures and applications Distributed Fiber Sensing and Dynamic Ratings of Power Cable offers a comprehensive review of the physics of dynamic temperature sensing measurements (DTS), examines its functioning, and explores possible applications. The expert authors describe the available fiber optic cables, their construction, and methods of installation. The book also includes a discussion on the variety of testing methods with information on the advantages and disadvantages of each. The book reviews the application of the DTS systems in a utility environment, and highlights the possible placement of the fiber optic cable. The authors offer a detailed explanation of the cable ampacity (current rating) calculations and examines how the measured fiber temperature is used to obtain the dynamic cable rating information in real time. In addition, the book details the leading RTTable of ContentsPreface xiii Acknowledgments xvi 1 Application of Fiber Optic Sensing 1 1.1 Types of Available FO Sensors 2 1.2 Fiber Optic Applications for Monitoring of Concrete Structures 4 1.3 Application of FO Sensing Systems in Mines 7 1.4 Composite Aircraft Wing Monitoring 8 1.5 Application in the Field of Medicine 9 1.6 Application in the Power Industry 9 1.6.1 Brief Literature Review 10 1.6.2 Monitoring of Strain in the Overhead Conductor of Transmission Lines 15 1.6.3 Temperature Monitoring of Transformers 16 1.6.4 Optical Current Measurements 17 1.7 Application for Oil, Gas, and Transportation Sectors 17 2 Distributed Fiber Optic Sensing 20 2.1 Introduction 20 2.2 Advantages of the Fiber Optic Technology 20 2.3 Disadvantages of the Distributed Sensing Technology 22 2.4 Power Cable Applications 23 3 Distributed Fiber Optic Temperature Sensing 26 3.1 Fundamental Physics of DTS Measurements 26 3.1.1 Rayleigh Scattering 26 3.1.2 Raman Spectroscopy 27 3.1.3 Brillouin Scattering 27 3.1.4 Time and Frequency Domain Reflectometry 30 4 Optical Fibers, Connectors, and Cables 32 4.1 Optical Fibers 32 4.1.1 Construction of the Fiber Optic Cable and Light Propagation Principles 33 4.1.2 Protection and Placement of Optical Fibers in Power Cable Installations 38 4.1.3 Comparison of Multiple and Single‐Mode Fibers 44 4.2 Optical Splicing 45 4.3 Fiber Characterization 47 4.4 Standards for Fiber Testing 55 4.4.1 Fiber Optic Testing 56 4.4.2 Fiber Optic Systems and Subsystems 56 4.5 Optical Connectors 68 4.6 Utility Practice for Testing of Optical Fibers 74 4.7 Aging and Maintenance 75 5 Types of Power Cables and Cable with Integrated Fibers 77 5.1 Methods of Incorporating DTS Sensing Optical Fibers (Cables) into Power Transmission Cable Corridors 77 5.1.1 Integration of Optical Cable into Land Power Cables 77 5.1.2 Integration of Optical Cable into Submarine Power Cables 78 5.1.3 Other Types of Constructions 78 5.1.4 Example of Construction of the Stainless Steel Sheathed Fiber Optic Cable 81 5.1.5 Example of a Retrofit Placement of an Optical Cable into 525 kV Submarine SCFF Power Cable Conductor 82 5.1.5.1 Objectives of the Project 82 5.1.5.2 Installation 84 5.2 Advantages and Disadvantages of Different Placement of Optical Fibers in the Cable 87 5.2.1 An Example with Placement of FO Sensors at Different Locations Within the Cable Installation 89 5.3 What are Some of the Manufacturing Challenges? 92 6 DTS Systems 94 6.1 What Constitutes a DTS System? 94 6.2 Interpretation and Application of the Results Displayed by a DTS System 95 6.2.1 General 95 6.2.2 Comparison of Measured and Calculated Temperatures 97 6.3 DTS System Calibrators 100 6.4 Computers 100 6.5 DTS System General Requirements 101 6.5.1 General Requirements 101 6.5.2 Summary of Performance and Operating Requirements 102 6.5.3 Electromagnetic Compatibility Performance Requirements for the Control PC and the DTS Unit 103 6.5.4 Software Requirements for the DTS Control 104 6.5.5 DTS System Documentation 105 7 DTS System Calibrators 106 7.1 Why is Calibration Needed? 106 7.2 How Should One Undertake the Calibration? 107 7.3 Accuracy and Annual Maintenance and Its Impact on the Measurement Accuracy 109 8 DTS System Factory and Site Acceptance Tests 112 8.1 Factory Acceptance Tests 113 8.1.1 Factory QA Tests on the Fiber Optic Cable 113 8.1.2 FIMT Cable Tests 114 8.1.3 Temperature Accuracy Test 115 8.1.4 Temperature Resolution Test 116 8.1.5 Temperature Reading Stability Test 116 8.1.6 Long‐Term Temperature Stability Test 116 8.1.7 Transient Response Test 117 8.1.8 Initial Functional Test and Final Inspection 117 8.2 DTS Site Acceptance Tests (SAT) 119 8.2.1 Final Visual Inspection and Verification of Software Functionality 120 8.2.2 Functionality Test on the DTS Unit 120 8.2.3 Verification of the Optical Switch 120 8.2.4 System Control Tests 120 8.2.5 System Integration Test with Control Center (if Applicable) 121 8.3 Typical Example of DTS Site Acceptance Tests 121 8.4 Site QA Tests on the Optical Cable System 125 8.5 Site Acceptance Testing of Brillouin‐Based DTS Systems 126 8.6 Testing Standards That Pertain to FO Cables 127 9 How Can Temperature Data Be Used to Forecast Circuit Ratings? 129 9.1 Introduction 129 9.2 Ampacity Limits 129 9.2.1 Steady‐State Summer and Winter Ratings 130 9.2.2 Overload Ratings 130 9.2.3 Dynamic Ratings 130 9.3 Calculation of Cable Ratings – A Review 131 9.3.1 Steady‐State Conditions 132 9.3.2 Transient Conditions 133 9.3.2.1 Response to a Step Function 134 9.4 Application of a DTS for Rating Calculations 138 9.4.1 Introduction 138 9.4.2 A Review of the Existing Approaches 139 9.4.3 Updating the Unknown Parameters 144 9.5 Prediction of Cable Ratings 146 9.5.1 Load Forecasting Methodology 146 9.6 Software Applications and Tools 148 9.6.1 CYME Real‐Time Thermal Rating System 150 9.6.1.1 Verification of the Model 151 9.6.2 EPRI Dynamic Thermal Circuit Rating 154 9.6.3 DRS Software by JPS (Sumitomo Corp) in Japan 156 9.6.4 RTTR Software by LIOS 158 9.7 Implementing an RTTR System 161 9.7.1 Communications with EMS 162 9.7.2 Communications with the Grid Operator 163 9.7.3 IT‐Security, Data Flow, Authentication, and Vulnerability Management 163 9.7.4 Remote Access to the RTTR Equipment 164 9.8 Conclusions 164 10 Examples of Application of a DTS System in a Utility Environment 166 10.1 Sensing Cable Placement in Cable Corridors 166 10.2 Installation of the Fiber Optic Cable 167 10.3 Retrofits and a 230 kV SCFF Transmission Application 172 10.3.1 Early 230 kV Cable Temperature Profiling Results 172 10.3.2 Location, Mitigation, and Continued Monitoring of the 230 kV Hot Spots 175 10.4 Example of a DTS Application on 69 kV Cable System 177 10.5 Verification Steps 178 10.5.1 Analytical Methods 179 10.5.2 Dynamic Thermal Circuit Ratings 180 10.6 Challenges and Experience with Installing Optical Fibers on Existing and New Transmission Cables in a Utility Environment 181 11 Use of Distributed Sensing for Strain Measurement and Acousitc Monitoring in Power Cables 185 11.1 Introduction 185 11.2 Strain Measurement 185 11.3 Example of Strain Measurement of a Submarine Power Cable 186 11.3.1 Introduction 186 11.3.2 The Importance of Tight Buffer Cable 187 11.3.3 Description of the Brillouin Optical Time Domain Reflectometer (BOTDR) System for Strain Measurement 188 11.3.4 Experimental Setup 188 11.3.5 Measurement Results 191 11.3.6 Discussion 195 11.4 Calculation of the Cable Stress from the Strain Values 197 11.5 Conclusions from the DSM Tests 198 11.6 Distributed Acoustic Sensing 199 11.7 Potential DAS Applications in the Power Cable Industry 202 11.8 An Example of a DAS Application in the USA 203 11.9 An Example of a DAS Application in Scotland 207 11.10 Conclusions 208 Bibliography 210 Index 216

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Book SynopsisThe purpose of this book is first to study cloud computing concepts, security concern in clouds and data centers, live migration and its importance for cloud computing, the role of firewalls in domains with particular focus on virtual machine (VM) migration and its security concerns. The book then tackles design, implementation of the frameworks and prepares test-beds for testing and evaluating VM migration procedures as well as firewall rule migration. The book demonstrates how cloud computing can produce an effective way of network management, especially from a security perspective.Table of ContentsList of Figures xii List of Tables xv Preface xvii Acknowledgments xxiii Acronyms xxv Introduction xxvii 1 Live Virtual Concept in Cloud Environment 1 1.1 Live Migration 2 1.1.1 Definition of Live Migration 2 1.1.2 Techniques for Live Migration 2 1.2 Issues with Migration 4 1.2.1 Application Performance Degradation 4 1.2.2 Network Congestion 4 1.2.3 Migration Time 5 1.3 Research on Live Migration 5 1.3.1 Sequencer (CQNCR) 5 1.3.2 The COMMA System 5 1.3.3 Clique Migration 6 1.3.4 Time-Bound Migration 6 1.3.5 Measuring Migration Impact 7 1.4 Total Migration Time 7 1.4.1 VM Traffic Impact 7 1.4.2 Bin Packing 8 1.5 Graph Partitioning 8 1.5.1 Learning Automata Partitioning 9 1.5.2 Advantages of Live Migration over WAN 11 1.6 Conclusion 12 References 12 2 Live Virtual Machine Migration in Cloud 15 2.1 Introduction 16 2.1.1 Virtualization 16 2.1.2 Types of Virtual Machines 18 2.1.3 Virtual Machine Applications 18 2.2 Business Challenge 19 2.2.1 Dynamic Load Balancing 19 2.2.2 No VM Downtime During Maintenance 20 2.3 Virtual Machine Migration 20 2.3.1 Advantages of Virtualization 22 2.3.2 Components of Virtualization 22 2.3.3 Types of Virtualization 23 2.4 Virtualization System 26 2.4.1 Xen Hypervisor 26 2.4.2 KVM Hypervisor 27 2.4.3 OpenStack 30 2.4.4 Storage 31 2.4.5 Server Virtualization 33 2.5 Live Virtual Machine Migration 33 2.5.1 QEMU and KVM 34 2.5.2 Libvirt 35 2.6 Conclusion 36 References 37 3 Attacks and Policies in Cloud Computing and Live Migration 39 3.1 Introduction to Cloud Computing 40 3.2 Common Types of Attacks and Policies 42 3.2.1 Buffer Overflows 42 3.2.2 Heap Overflows 42 3.2.3 Web-Based Attacks 43 3.2.4 DNS Attacks 47 3.2.5 Layer 3 Routing Attacks 48 3.2.6 ManintheMiddle Attack (MITM) 3.3 Conclusion 50 References 50 49 4 Live Migration Security in Cloud 53 4.1 Cloud Security and Security Appliances 54 4.2 VMM in Clouds and Security Concerns 54 4.3 Software-Defined Networking 56 4.3.1 Firewall in Cloud and SDN 57 4.3.2 SDN and Floodlight Controllers 61 4.4 Distributed Messaging System 62 4.4.1 Approach 63 4.4.2 MigApp Design 63 4.5 Customized Testbed for Testing Migration Security in Cloud 63 4.5.1 Preliminaries 65 4.5.2 Testbed Description 66 4.6 A Case Study and Other Use Cases 67 4.6.1 Case Study: Firewall Rule Migration and Verification 68 4.6.2 Existing Security Issues in Cloud Scenarios 68 4.6.3 Authentication in Cloud 69 4.6.4 Hybrid Approaches for Security in Cloud Computing 71 4.6.5 Data Transfer Architecture in Cloud Computing 71 4.7 Conclusion 72 References 72 5 Solution for Secure Live Migration 75 5.1 Detecting and Preventing Data Migrations to the Cloud 76 5.1.1 Internal Data Migrations 76 5.1.2 Movement to the Cloud 76 5.2 Protecting Data Moving to the Cloud 76 5.3 Application Security 77 5.4 Virtualization 78 5.5 Virtual Machine Guest Hardening 79 5.6 Security as a Service 82 5.6.1 Ubiquity of Security as a Service 83 5.6.2 Advantages of Implementing Security as a Service 85 5.6.3 Identity, Entitlement, and Access Management Services 87 5.7 Conclusion 93 References 94 6 Dynamic Load Balancing Based on Live Migration 95 6.1 Introduction 96 6.2 Classification of Load Balancing Techniques 96 6.2.1 Static and Dynamic Scheduling 97 6.2.2 Load Rebalancing 97 6.3 Policy Engine 98 6.4 Load Balancing Algorithm 100 6.5 Resource Load Balancing 101 6.5.1 Server Load Metric 102 6.5.2 System Imbalance Metric 102 6.5.3 Other Key Parameters 102 6.6 Load Balancers in Virtual Infrastructure Management Software 103 6.7 VMware Distributed Resource Scheduler 103 6.7.1 OpenNebula 104 6.7.2 Scheduling Policies 105 6.8 Conclusion 105 References 105 7 Live Migration in Cloud Data Center 107 7.1 Definition of Data Center 108 7.2 Data Center Traffic Characteristics 110 7.3 Traffic Engineering for Data Centers 111 7.4 Energy Efficiency in Cloud Data Centers 113 7.5 Major Cause of Energy Waste 113 7.5.1 Lack of a Standardized Metric of Server Energy Efficiency 7.5.2 Energy Efficient Solutions Are Still Not 113 Widely Adopted 114 7.6 Power Measurement and Modeling in Cloud 114 7.7 Power Measurement Techniques 114 7.7.1 Power Measurement for Servers 114 7.7.2 Power Measurement for VMS 115 7.7.3 Power and Energy Estimation Models 115 7.7.4 Power and Energy Modeling for Servers 115 7.7.5 Power Modeling for VMs 116 7.7.6 Power Modeling for VM Migration 116 7.7.7 Energy Efficiency Metrics 117 7.8 Power Saving Policies in Cloud 117 7.8.1 Dynamic Frequency and Voltage Scaling 118 7.8.2 Powering Down 118 7.8.3 EnergyAware Consolidation 118 7.9 Conclusion 118 References 119 8 Trusted VM-vTPM Live Migration Protocol in Clouds 121 8.1 Trusted Computing 122 8.2 TPM Operations 122 8.3 TPM Applications and Extensions 123 8.4 TPM Use Cases 124 8.5 State of the Art in Public Cloud Computing Security 125 8.5.1 Cloud Management Interface 125 8.5.2 Challenges in Securing the Virtualized Environment 126 8.5.3 The Trust in TPM 127 8.5.4 Challenges 129 8.6 Launch and Migration of Virtual Machines 130 8.6.1 Trusted Virtual Machines and Virtual Machine Managers 130 8.6.2 Seeding Clouds with Trust Anchors 131 8.6.3 Securely Launching Virtual Machines on Trustworthy Platforms in a Public Cloud 131 8.7 Trusted VM Launch and Migration Protocol 132 8.8 Conclusion 134 References 134 9 Lightweight Live Migration 137 9.1 Introduction 138 9.2 VM Checkpointing 138 9.2.1 Checkpointing Virtual Cluster 139 9.2.2 VM Resumption 140 9.2.3 Migration without Hypervisor 140 9.2.4 Adaptive Live Migration to Improve Load Balancing 141 9.2.5 VM Disk Migrations 142 9.3 Enhanced VM Live Migration 143 9.4 VM Checkpointing Mechanisms 144 9.5 Lightweight Live Migration for Solo VM 145 9.5.1 Block Sharing and Hybrid Compression Support 145 9.5.2 Architecture 146 9.5.3 FGBI Execution Flow 147 9.6 Lightweight Checkpointing 148 9.6.1 High-Frequency Checkpointing Mechanism 150 9.6.2 Distributed Checkpoint Algorithm in VPC 150 9.7 StorageAdaptive Live Migration 152 9.8 Conclusion 154 References 154 10 Virtual Machine Mobility with SelfMigration 157 10.1 Checkpoints and Mobility 158 10.2 Manual and Seamless Mobility 158 10.3 Fine-and Coarse-Grained Mobility Models 159 10.3.1 Data and Object Mobility 159 10.3.2 Process Migration 160 10.4 Migration Freeze Time 160 10.5 Device Drivers 161 10.5.1 Design Space 162 10.5.2 In-Kernel Device Drivers 162 10.5.3 Use of VMs for Driver Isolation 164 10.5.4 Context Switching Overhead 164 10.5.5 Restarting Device Drivers 165 10.5.6 External Device State 165 10.5.7 Type Safe Languages 166 10.5.8 Software Fault Isolation 166 10.6 Self-Migration 167 10.6.1 Hosted Migration 167 10.6.2 Self-Migration Prerequisites 169 10.7 Conclusion 170 References 170 11 Different Approaches for Live Migration 173 11.1 Virtualization 174 11.1.1 Hardware-Assisted Virtualization 174 11.1.2 Horizontal Scaling 175 11.1.3 Vertical Scaling 175 11.2 Types of Live Migration 176 11.2.1 Cold Migration 176 11.2.2 Suspend/Resume Migration 176 11.2.3 Live VM Migration 176 11.3 Live VM Migration Types 177 11.3.1 Pre-Copy Live Migration 177 11.3.2 Post-copy Live Migration 178 11.3.3 Hybrid Live Migration 178 11.4 Hybrid Live Migration 179 11.4.1 Hybrid Approach for Live Migration 179 11.4.2 Basic Hybrid Migration Algorithm 180 11.5 Reliable Hybrid Live Migration 180 11.5.1 Push Phase 181 11.5.2 Stop-and-Copy Phase 181 11.5.3 Pull Phase 181 11.5.4 Network Buffering 181 11.6 Conclusion 181 References 182 12 Migrating Security Policies in Cloud 183 12.1 Cloud Computing 184 12.2 Firewalls in Cloud and SDN 187 12.3 Distributed Messaging System 191 12.4 Migration Security in Cloud 192 12.5 Conclusion 194 References 194 13 Case Study 195 13.1 Kernel-Based Virtual Machine 196 13.2 Xen 196 13.3 Secure Data Analysis in GIS 196 13.3.1 Database 197 13.3.2 Data Mining and Techniques 197 13.3.3 Distributed Database 197 13.3.4 Spatial Data Mining 198 13.3.5 Secure Multi-Party Computation 198 13.3.6 Association Rule Mining Problem 198 13.3.7 Distributed Association Ruling 199 13.3.8 Data Analysis in GIS System 13.4 Emergence of Green Computing in Modern Computing Environment 200 13.5 Green Computing 203 13.6 Conclusion 204 References 205

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Book SynopsisDiscusses the fundamental principles of the design and development of microwave satellite switches utilized in military, commercial, space, and terrestrial communication This book deals with important RF/microwave components such as switches and phase shifters, which are relevant to many RF/microwave applications. It provides the reader with fundamental principles of the operation of some basic ferrite control devices and explains their system uses. This in-depth exploration begins by reviewing traditional nonreciprocal components, such as circulators, and then proceeds to discuss the most recent advances. This sequential approach connects theoretical and scientific characteristics of the devices listed in the title with practical understanding and implementation in the real world. Microwave Polarizers, Power Dividers, Phase Shifters, Circulators and Switches covers the full scope of the subject matter and serves as both an educational text and resTable of ContentsPreface xiii Acknowledgments xv List of Contributors xvii 1 Microwave Switching Using Junction Circulators 1 Joseph Helszajn 1.1 Microwave Switching Using Circulators 1 1.2 The Operation of the Switched Junction Circulator 1 1.3 The Turnstile Circulator 4 1.4 Externally and Internally Latched Junction Circulators 7 1.5 Standing Wave Solution of Resonators with Threefold Symmetry 7 1.6 Magnetic Circuit Using Major Hysteresis Loop 8 1.7 Display of Hysteresis Loop 9 1.8 Switching Coefficient of Magnetization 11 1.9 Magnetostatic Problem 13 1.10 Multiwire Magnetostatic Problem 14 1.11 Shape Factor of Cylindrical Resonator 15 Bibliography 16 2 The Operation of Nonreciprocal Microwave Faraday Rotation Devices and Circulators 19 Joseph Helszajn 2.1 Introduction 19 2.2 Faraday Rotation 20 2.3 Magnetic Variables of Faraday Rotation Devices 25 2.4 The Gyrator Network 27 2.5 Faraday Rotation Isolator 29 2.6 Four-port Faraday Rotation Circulator 30 2.7 Nonreciprocal Faraday Rotation-type Phase Shifter 31 2.8 Coupled Wave Theory of Faraday Rotation Section 32 2.9 The Partially Ferrite-filled Circular Waveguide 33 Bibliography 34 3 Circular Polarization in Parallel Plate Waveguides 37 Joseph Helszajn 3.1 Circular Polarization in Rectangular Waveguide 37 3.2 Circular Polarization in Dielectric Loaded Parallel Plate Waveguide with Open Sidewalls 40 Bibliography 47 4 Reciprocal Quarter-wave Plates in Circular Waveguides 49 Joseph Helszajn 4.1 Quarter-wave Plate 50 4.2 Coupled Mode Theory of Quarter-wave Plate 53 4.3 Effective Waveguide Model of Quarter-wave Plate 58 4.4 Phase Constants of Quarter-wave Plate Using the Cavity Method 59 4.5 Variable Rotor Power Divider 62 Bibliography 63 5 Nonreciprocal Ferrite Quarter-wave Plates 65 Joseph Helszajn 5.1 Introduction 65 5.2 Birefringence 65 5.3 Nonreciprocal Quarter-wave Plate Using the Birefringence Effect 67 5.4 Circulator Representation of Nonreciprocal Quarter-wave Plates 71 5.5 Coupled and Normal Modes in Magnetized Ferrite Medium 72 5.6 Variable Phase-shifters Employing Birefringent, Faraday Rotation, and Dielectric Half-wave Plates 73 5.7 Circulators and Switches Using Nonreciprocal Quarter-wave Plates 76 5.8 Nonreciprocal Circular Polarizer Using Elliptical Gyromagnetic Waveguide 77 Bibliography 79 6 Ridge, Coaxial, and Stripline Phase-shifters 81 Joseph Helszajn 6.1 Differential Phase-shift, Phase Deviation, and Figure of Merit of Ferrite Phase-shifter 82 6.2 Coaxial Differential Phase-shifter 82 6.3 Ridge Waveguide Differential Phase-shifter 88 6.4 The Stripline Edge Mode Phase-shifter 90 6.5 Latched Quasi-TEM Phase-shifters 91 Bibliography 92 7 Finite Element Adjustment of the Rectangular Waveguide-latched Differential Phase-shifter 95 Joseph Helszajn and Mark McKay 7.1 Introduction 95 7.2 FE Discretization of Rectangular Waveguide Phase-shifters 97 7.3 LS Modes Limit Waveguide Bandwidths 98 7.4 Cutoff Numbers and Split Phase Constants of a Twin Slab Ferrite Phase-shifter 99 7.5 The Waveguide Toroidal Phase-shifter 102 7.6 Industrial Practice 103 7.7 Magnetic Circuits Using Major and Minor Hysteresis Loops 103 7.8 Construction of Latching Circuits 106 7.9 Temperature Compensation Using Composite Circuits 107 Bibliography 109 8 Edge Mode Phase-shifter 111 Joseph Helszajn and Henry Downs 8.1 Edge Mode Effect 112 8.2 Edge Mode Characteristic Equation 115 8.3 Fields and Power in Edge Mode Devices 115 8.4 Circular Polarization and the Edge Mode Effect 118 8.5 Edge Mode Phase-shifter 120 8.6 Edge Mode Isolators, Phase-shifters, and Circulators 123 Bibliography 124 9 The Two-port On/Off H-plane Waveguide Turnstile Gyromagnetic Switch 127 Joseph Helszajn, Mark McKay, Alicia Casanueva, and Angel Mediavilla Sánchez 9.1 Introduction 127 9.2 Two-port H-plane Turnstile On/Off Switch 127 9.3 Even and Odd Eigenvectors of E-plane Waveguide Tee Junction 129 9.4 Eigenvalue Adjustment of Turnstile Plane Switch 130 9.5 Eigen-networks 132 9.6 Numerical Adjustments of Passbands 133 9.7 An Off/On H-plane Switch 134 Bibliography 136 10 Off/On and On/Off Two-port E-plane Waveguide Switches Using Turnstile Resonators 137 Joseph Helszajn, Mark McKay, and John Sharp 10.1 Introduction 137 10.2 The Shunt E-plane Tee Junction 138 10.3 Operation of Off/On and On/Off E-plane Switches 140 10.4 Even and Odd Eigenvector of H-plane Waveguide Tee Junction 141 10.5 Phenomenological Description of Two-port Off/On and On/Off Switches 142 10.6 Eigenvalue Diagrams of Small- and Large-gap E-plane Waveguide Tee Junction 144 10.7 Eigenvalue Diagrams of E-plane Waveguide Tee Junction 145 10.8 Eigen-networks of E-plane Tee Junction 146 10.9 Eigenvalue Algorithm 147 10.10 Pass and Stop Bands in Demagnetized E-plane Waveguide Tee Junction 148 Bibliography 150 11 Operation of Two-port On/Off and Off/On Planar Switches Using the Mutual Energy–Finite Element Method 153 Joseph Helszajn and David J. Lynch 11.1 Introduction 153 11.2 Impedance and Admittance Matrices from Mutual Energy Consideration 154 11.3 Impedance and Admittance Matrices for Reciprocal Planar Circuits 157 11.4 Immittance Matrices of n-Port Planar Circuits Using Finite Elements 160 11.5 Frequency Response of Two-port Planar Circuits Using the Mutual Energy–Finite Element Method 161 11.6 Stripline Switch Using Puck/Plug Half-spaces 166 Bibliography 169 12 Standing Wave Solutions and Cutoff Numbers of Planar WYE and Equilateral Triangle Resonators 171 Joseph Helszajn 12.1 Introduction 171 12.2 Cutoff Space of WYE Resonator 172 12.3 Standing Wave Circulation Solution of WYE Resonator 174 12.4 Resonant Frequencies of Quasi-wye Magnetized Resonators 175 12.5 The Gyromagnetic Cutoff Space 179 12.6 TM Field Patterns of Triangular Planar Resonator 180 12.7 TM1,0,−1 Field Components of Triangular Planar Resonator 182 12.8 Circulation Solutions 182 Bibliography 184 13 The Turnstile Junction Circulator: First Circulation Condition 185 Joseph Helszajn 13.1 Introduction 185 13.2 The Four-port Turnstile Junction Circulator 186 13.3 The Turnstile Junction Circulator 188 13.4 Scattering Matrix 190 13.5 Frequencies of Cavity Resonators 193 13.6 Effective Dielectric Constant of Open Dielectric Waveguide 193 13.7 The Open Dielectric Cavity Resonator 196 13.8 The In-phase Mode 198 13.9 First Circulation Condition 200 Bibliography 200 14 The Turnstile Junction Circulator: Second Circulation Condition 203 Joseph Helszajn and Mark McKay 14.1 Introduction 203 14.2 Complex Gyrator of Turnstile Circulator 204 14.3 Susceptance Slope Parameter, Gyrator Conductance, and Quality Factor 207 14.4 Propagation in Gyromagnetic Waveguides 208 14.5 Eigen-network of Turnstile Circulator 209 14.6 The Quality Factor of the Turnstile Circulator 211 14.7 Susceptance Slope Parameter of Turnstile Junction 213 Bibliography 213 15 A Finite-Element Algorithm for the Adjustment of the First Circulation Condition of the H-plane Turnstile Waveguide Circulator 217 Joseph Helszajn 15.1 Introduction 217 15.2 Bandpass Frequency of a Turnstile Junction 219 15.3 In-phase and Counterrotating Modes of Turnstile Junction 221 15.4 Reference Plane 222 15.5 FE Algorithm 222 15.6 FE Adjustment 224 15.7 The Reentrant Turnstile Junction in Standard WR75 Waveguide 230 15.8 Susceptance Slope Parameter of Degree-1 Junction 230 15.9 Split Frequencies of Gyromagnetic Resonators 233 References 236 16 The E-plane Waveguide Wye Junction: First Circulation Conditions 239 Joseph Helszajn and Marco Caplin 16.1 Introduction 239 16.2 Scattering Matrix of Reciprocal E-plane Three-port Y-junction 240 16.3 Reflection Eigenvalue Diagrams of Three-port Junction Circulator 242 16.4 Eigen-networks 244 16.5 Pass Band and Stop Band Characteristic Planes 246 16.6 The Dicke Eigenvalue Solution 247 16.7 Stop Band Characteristic Plane 248 16.8 The E-plane Geometry 249 16.9 First Circulation Condition 251 16.10 Calculations of Eigenvalues 253 Bibliography 254 17 Adjustment of Prism Turnstile Resonators Latched by Wire Loops 257 Joseph Helszajn and William D’Orazio 17.1 Introduction 257 17.2 The Prism Resonator 258 17.3 Split Frequency of Cavity Resonator with Up or Down Magnetization 260 17.4 Quality Factor of Gyromagnetic Resonator with Up and Down Magnetization 261 17.5 Shape Factor of Tri-toroidal Resonator 262 17.6 Squareness Ratio 264 17.7 The Complex Gyrator Circuit of the Three-port Junction Circulator 265 17.8 The Alternate Line Transformer 266 17.9 Effective Complex Gyrator Circuit 267 Bibliography 267 18 Numerical Adjustment of Waveguide Ferrite Switches Using Tri-toroidal Resonators 269 Joseph Helszajn and Mark McKay 18.1 Introduction 269 18.2 The Tri-toroidal Resonator 270 18.3 The Wire Carrying Slot Geometry 272 18.4 The Magnetostatic Problem 273 18.5 Quality Factor of Junction Circulators with Up and Down Magnetization 274 18.6 Split Frequencies of Planar and Cavity Gyromagnetic Resonators 275 18.7 The Split Frequencies of Prism Resonator with Up and Down Magnetization 276 18.8 Exact Calculation of Split Frequencies in Tri-toroidal Cavity 277 18.9 Calculation and Experiment 278 18.10 Tri-toroidal Composite Prism Resonator 279 18.11 Tri-toroidal Wye Resonator with Up and Down Magnetization 280 Bibliography 282 19 The Waveguide H-plane Tee Junction Circulator Using a Composite Gyromagnetic Resonator 285 Joseph Helszajn 19.1 Introduction 285 19.2 Eigenvalue Problem of the H-plane Reciprocal Tee Junction 286 19.3 Electrically Symmetric H-plane Junction at the Altman Planes 289 19.4 Characteristic Planes 290 19.5 The Septum-loaded H-plane Waveguide 292 19.6 The Waveguide Tee Junction Using a Dielectric Post Resonator: First Circulation Condition 294 19.7 The Waveguide Tee Junction Circulator Using a Gyromagnetic Post Resonator: Second Circulation Condition 296 19.8 Composite Dielectric Resonator 297 Bibliography 299 20 0 , 90 , and 180 Passive Power Dividers 301 Joseph Helszajn and Mark McKay 20.1 Introduction 301 20.2 Wilkinson Power Divider 302 20.3 Even and Odd Mode Adjustment of the Wilkinson Power Divider 302 20.4 Scattering Matrix of 90 Directional Coupler 305 20.5 Even and Odd Mode Theory of Directional Couplers 309 20.6 Power Divider Using 90 Hybrids 311 20.7 Variable Power Dividers 313 20.8 180 Waveguide Hybrid Network 314 Bibliography 318 Index 321

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Book SynopsisThe mobile market has experienced unprecedented growth over the last few decades. Consumer trends have shifted towards mobile internet services supported by 3G and 4G networks worldwide. Inherent to existing networks are problems such as lack of spectrum, high energy consumption, and inter-cell interference. These limitations have led to the emergence of 5G technology. It is clear that any 5G system will integrate optical communications, which is already a mainstay of wide area networks. Using an optical core to route 5G data raises significant questions of how wireless and optical can coexist in synergy to provide smooth, end-to-end communication pathways. Optical and Wireless Convergence for 5G Networks explores new emerging technologies, concepts, and approaches for seamlessly integrating optical-wireless for 5G and beyond. Considering both fronthaul and backhaul perspectives, this timely book provides insights on managing an ecosystem of mixed and multiple access network communiTable of ContentsAbout the Editors xiii List of Contributors xvii Preface xxxi Acknowledgments xxxiii Introduction xxxv 1 Towards a Converged Optical-Wireless Fronthaul/Backhaul Solution for 5G Networks and Beyond 1Isiaka Ajewale Alimi, Nelson Jesus Muga, Abdelgader M. Abdalla, Cátia Pinho, Jonathan Rodriguez, Paulo Pereira Monteiro, and Antonio Luís Teixeira 1.1 Introduction 1 1.2 Cellular Network Interface and Solution 2 1.2.1 MBH/MFH Architecture 2 1.2.1.1 Mobile Backhaul (MBH) 2 1.2.1.2 Mobile Fronthaul (MFH) 3 1.2.2 Integrated MBH/MFH Transport Network 3 1.3 5G Enabling Technologies 4 1.3.1 Ultra-Densification 4 1.3.2 C-RAN and RAN Virtualization 4 1.3.3 Advanced Radio Coordination 6 1.3.4 Millimeter-Wave Small Cells 7 1.3.5 Massive MIMO 8 1.3.6 New Multicarrier Modulations for 5G 8 1.4 Fiber-Wireless Network Convergence 9 1.5 Radio-Over-Fiber Transmission Scheme 10 1.5.1 Digital Radio-Over-Fiber (D-RoF) Transmission 10 1.5.2 Analog Radio-Over-Fiber (A-RoF) Transmission 10 1.6 Optical MBH/MFH Transport Network Multiplexing Schemes 11 1.6.1 Wavelength-Division Multiplexing (WDM) Based Schemes 11 1.6.2 Spatial-Division Multiplexing (SDM) Based Schemes 12 1.6.2.1 State-of-the-Art of SDM in 5G Infrastructure 12 1.6.2.2 Spatial Division Multiplexing Enabling Tools 13 1.7 Wireless based MFH/MBH 16 1.7.1 FSO Communication Systems 17 1.7.1.1 Log-Normal Distribution (LN) 17 1.7.1.2 Gamma-Gamma (ΓΓ) Distribution 19 1.7.2 Hybrid RF/FSO Technology 20 1.7.3 Relay-Assisted FSO Transmission 20 1.8 Experimental Channel Measurement and Characterization 21 1.9 Results and Discussions 23 1.10 Conclusion 24 Acknowledgments 24 Bibliography 25 2 Hybrid Fiber Wireless (HFW) Extension for GPON Toward 5G 31Rattana Chuenchom, Andreas Steffan, Robert G. Walker, Stephen J. Clements, Yigal Leiba, Andrzej Banach, Mateusz Lech, and Andreas Stöhr 2.1 Introduction 31 2.2 Passive Optical Network 32 2.2.1 GPON and EPON Standards 32 2.3 Transparent Wireless Extension of Optical Links 33 2.3.1 Transparent Wireless Extension of Optical Links Using Coherent RoF (CRoF) 33 2.4 Key Enabling Photonic and Electronic Technologies 36 2.4.1 Coherent Photonic Mixer 36 2.4.2 Single Side Band Mach–Zehnder Modulator 39 2.4.3 High Power Amplifier in the E-band for GPON Extension 42 2.4.4 Integrated Radio Access Units 44 2.5 Field Trial for a 2.5 Gbit s−1 GPON over Wireless 46 2.5.1 RX Throughput and Packet Loss 50 2.5.2 Latency 52 2.5.3 Jitter 53 2.6 Conclusions 53 Bibliography 54 3 Software Defined Networking and Network Function Virtualization for Converged Access-Metro Networks 57Marco Ruffini and Frank Slyne 3.1 Introduction 57 3.2 The 5G Requirements Driving Network Convergence and Virtualization 58 3.3 Access and Metro Convergence 61 3.3.1 Long-Reach Passive Optical Network 62 3.3.2 New Architectures in Support of 5G Networks, Network Virtualization and Mobile Functional Split 63 3.4 Functional Convergence and Virtualization of the COs 66 3.4.1 Infrastructure 67 3.4.1.1 Disaggregated Hardware 67 3.4.1.2 I/O Abstraction and Data Path 68 3.4.1.3 Data Centre Switching Fabric 70 3.4.1.4 Optimized Infrastructure Projects 70 3.4.2 Management and Control 70 3.4.2.1 Network Control 70 3.4.2.2 Cloud and Virtual Management 71 3.4.2.3 Orchestration, Management and Policy 72 3.4.3 Cross-Layer Components 73 3.5 Conclusions 73 Bibliography 74 4 Multicore Fibres for 5G Fronthaul Evolution 79Ivana Gasulla and José Capmany 4.1 Why 5G Communications Demand Optical Space-Division Multiplexing 79 4.2 Multicore Fibre Transmission Review 81 4.2.1 Homogeneous MCFs 82 4.2.2 Heterogeneous MCFs 83 4.3 Radio Access Networks Using Multicore Fibre Links 84 4.3.1 Basic MCF Link Between the Central Office and Base Station 86 4.3.2 MCF Based RoF C-RAN 87 4.3.3 MCF Based DRoF C-RAN 89 4.4 Microwave Signal Processing Enabled by Multicore Fibers 90 4.4.1 Signal Processing Over a Heterogeneous MCF Link 93 4.4.2 RF Signal Processing Over a Homogeneous MCF Multi-Cavity Device 94 4.5 Final Remarks 97 Bibliography 97 5 Enabling VLC and WiFi Network Technologies and Architectures Toward 5G 101Isiaka Ajewale Alimi, Abdelgader M. Abdalla, Jonathan Rodriguez, Paulo Pereira Monteiro, Antonio Luís Teixeira, Stanislav Zvánovec, and Zabih Ghassemlooy 5.1 Introduction 101 5.2 Optical Wireless Systems 103 5.3 Visible Light Communication (VLC) System Fundamentals 105 5.4 VLC Current and Anticipated Future Applications 107 5.4.1 Underwater Wireless Communications 109 5.4.2 Airline and Aviation 112 5.4.3 Hospitals 112 5.4.4 Vehicular Communication Systems 113 5.4.5 Sensitive Areas 114 5.4.6 Manufacturing and Industrial Applications 114 5.4.7 Retail Stores 114 5.4.8 Consumer Electronics 114 5.4.9 Internet of Things 115 5.4.10 Other Application Areas 115 5.5 Hybrid VLC and RF Networks 116 5.6 Challenges and Open-Ended Issues 117 5.6.1 Flicker and Dimming 117 5.6.2 Data Rate Improvement 117 5.7 Conclusions 118 Acknowledgments 118 Bibliography 118 6 5G RAN: Key Radio Technologies and Hardware Implementation Challenges 123Hassan Hamdoun, Mohamed Hamid, Shoaib Amin, and Hind Dafallah 6.1 Introduction 123 6.2 5G NR Enabled Use Cases 124 6.2.1 eMBB and uRLLC 124 6.2.1.1 mMTC 125 6.2.2 Migration to 5G 125 6.3 5G RAN Radio Enabling Technologies 126 6.3.1 Massive MIMO (M-MIMO) 126 6.3.1.1 M-MIMO in mmWave 128 6.3.1.2 M-MIMO in sub 6 GHz 128 6.3.1.3 Distributed MIMO (D-MIMO) 128 6.3.2 Carrier Aggregation and Licensed Assisted Access to an Unlicensed Spectrum 129 6.3.3 Dual Connectivity 130 6.3.4 Device-to-Device (D2D) Communication 130 6.4 Hardware Impairments 131 6.4.1 Hardware Impairments – Transmitters 132 6.4.2 Hardware Impairments – Receivers 133 6.4.3 Hardware Impairments – Transceivers 133 6.5 Technology and Fabrication Challenges 135 6.6 Conclusion 135 Bibliography 136 7 Millimeter Wave Antenna Design for 5G Applications 139Issa Elfergani, Abubakar Sadiq Hussaini, Abdelgader M. Abdalla, Jonathan Rodriguez, and Raed Abd-Alhameed 7.1 Introduction 139 7.2 Antenna Design and Procedure 142 7.3 Antenna Optimization and Analysis 143 7.3.1 The Influence of Ground Plane Length (G L) 143 7.3.2 The Effect of Feeding Strip Position (F P) 144 7.3.3 The Influences of the Substrate Type 145 7.4 Millimeter Wave Antenna Design with Notched Frequency Band 146 7.5 Millimeter Wave Antenna Design with Loaded Capacitor 148 7.6 Conclusion 152 Acknowledgments 153 Bibliography 153 8 Wireless Signal Encapsulation in a Seamless Fiber–Millimeter Wave System 157 Pham Tien Dat, Atsushi Kanno, Naokatsu Yamamoto, and Testuya Kawanishi 8.1 Introduction 157 8.2 Principle of Signal Encapsulation 158 8.2.1 Downlink System 158 8.2.2 Uplink System 161 8.3 Examples of Signal Encapsulation 162 8.3.1 Downlink Transmission 162 8.3.2 Uplink Transmission 166 8.3.3 MmWave Link Distance 170 8.4 Conclusion 174 Bibliography 175 9 5G Optical Sensing Technologies 179Seedahmed S. Mahmoud, Bernhard Koziol, and Jusak Jusak 9.1 Introduction 179 9.2 Optical Fibre Communication Network: Intrusion Methods 182 9.3 Physical Protection of Optical Fiber Communication Cables 183 9.3.1 Location-Based Optical Fibre Sensors 185 9.3.1.1 OTDR Based Sensor 185 9.3.1.2 Mach–Zehnder Interferometry 186 9.3.2 Point-Based OFSs 187 9.3.2.1 FBGs 187 9.3.3 Zone-Based OFSs 188 9.3.3.1 Michelson Interferometer 188 9.4 Design Considerations and Performance Characteristics 189 9.4.1 Performance Parameters 189 9.4.2 The Need for Robust Signal Processing Methods 190 9.4.3 System Installation and Technology Suitability 191 9.5 Conclusions 192 Bibliography 192 10 The Tactile Internet over 5G FiWi Architectures 197Amin Ebrahimzadeh, Mahfuzulhoq Chowdhury, and Martin Maier 10.1 Introduction 197 10.2 The TI: State of the Art and Open Challenges 203 10.3 Related Work 206 10.4 HITL Centric Teleoperation over AI Enhanced FiWi Networks 207 10.5 HART Centric Task Allocation over Multi-Robot FiWi Based TI Infrastructures 213 10.6 Conclusions 219 Bibliography 220 11 Energy Efficiency in the Cloud Radio Access Network (C-RAN) for 5G Mobile Networks: Opportunities and Challenges 225Isiaka Ajewale Alimi, Abdelgader M. Abdalla, Akeem Olapade Mufutau, Fernando Pereira Guiomar, Ifiok Otung, Jonathan Rodriguez, Paulo Pereira Monteiro, and Antonio Luís Teixeira 11.1 Introduction 225 11.1.1 Environmental Effects 226 11.1.2 Economic Benefits 227 11.2 Standardized Energy Efficiency Metric (Green Metric) 229 11.2.1 Power Per Subscriber, Traffic and Distance/Area 230 11.2.2 Energy Consumption Rating (ECR) Measured in W Gbps−1 231 11.2.3 Telecommunications Energy Efficiency Ratio (TEER) 231 11.2.4 Telecommunication Equipment Energy Efficiency Rating (TEEER) 231 11.3 Green Design for Energy Crunch Prevention in 5G Networks 232 11.3.1 Hardware Solutions 233 11.3.2 Network Planning and Deployment 234 11.3.2.1 Dense Networks 234 11.3.2.2 Offloading Techniques 234 11.3.3 Resource Allocation 235 11.3.4 Energy Harvesting (EH) and Transfer 235 11.3.4.1 Dedicated EH 235 11.3.4.2 Ambient EH 235 11.4 Fiber Based Energy Efficient Network 237 11.4.1 Zero Power RAU PoF Network 238 11.4.2 Battery Powered RRH PoF Network 238 11.5 System and Power Consumption Model 238 11.5.1 Remote Unit Power Consumption 240 11.5.2 Centralized Unit Power Consumption 241 11.5.3 Fronthaul Power Consumption 241 11.5.4 Massive MIMO Energy Efficiency 242 11.6 Simulation Results and Discussions 243 11.7 Conclusion 245 Acknowledgments 245 Bibliography 245 12 Fog Computing Enhanced Fiber-Wireless Access Networks in the 5G Era 249Bhaskar Prasad Rimal and Martin Maier 12.1 Background and Motivation 249 12.1.1 Next-Generation PON and Beyond 249 12.1.2 FiWi Broadband Access Networks 251 12.1.3 Role of Fog Computing 253 12.1.4 Computation Offloading 253 12.1.5 Key Issues and Contributions 255 12.2 Fog Computing Enhanced FiWi Networks 257 12.2.1 Network Architecture 257 12.2.2 Protocol Description 259 12.3 Analysis 259 12.3.1 Survivability Analysis 259 12.3.2 End-to-End Delay Analysis 262 12.4 Implementation and Validation 263 12.4.1 Experimental Testbed 264 12.4.2 Results 264 12.5 Conclusions and Outlook 267 12.5.1 Conclusions 267 12.5.2 Outlook 267 Bibliography 268 13 Techno-economic and Business Feasibility Analysis of 5G Transport Networks 273Forough Yaghoubi, Mozhgan Mahloo, Lena Wosinska, Paolo Monti, Fabricio S. Farias, Joao C. W. A. Costa, and Jiajia Chen 13.1 Introduction 273 13.2 Mobile Backhaul Technologies 275 13.3 Techno-economic Framework 278 13.3.1 Architecture Module 279 13.3.2 Topology Module 279 13.3.3 Market Module 280 13.3.4 Network Dimensioning Tool 280 13.3.5 Cost Module 280 13.3.6 Total Cost of Ownership (TCO) Module 280 13.3.6.1 Capital Expenditure (CAPEX) 281 13.3.6.2 Operational Expenditure (OPEX) 281 13.3.7 Business Models and Scenarios 283 13.3.8 Techno-economic Module 283 13.4 Case Study 284 13.4.1 Application of Methodology/Scenarios 284 13.4.2 Techno-economic Evaluation Results 286 13.4.3 Sensitivity Analysis 289 13.5 Conclusion 292 Bibliography 293 Index 297

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Book SynopsisComputer Processing of Remotely-Sensed Images A thorough introduction to computer processing of remotely-sensed images, processing methods, and applications Remote sensing is a crucial form of measurement that allows for the gauging of an object or space without direct physical contact, allowing for the assessment and recording of a target under conditions which would normally render access difficult or impossible. This is done through the analysis and interpretation of electromagnetic radiation (EMR) that is reflected or emitted by an object, surveyed and recorded by an observer or instrument that is not in contact with the target. This methodology is particularly of importance in Earth observation by remote sensing, wherein airborne or satellite-borne instruments of EMR provide data on the planet's land, seas, ice, and atmosphere. This permits scientists to establish relationships between the measurements and the nature and distribution of phenomena on the Earth'Table of ContentsPreface to the First Edition Preface to the Second Edition Preface to the Third Edition Preface to the Fourth Edition Preface to the Fifth Edition List of Examples Chapter 1: Remote Sensing: Basic Principles 1.1 Introduction 1.2 Electromagnetic radiation and its properties 1.2.1 Terminology 1.2.2 Nature of electromagnetic radiation 1.2.3 The electromagnetic spectrum 1.2.4 Sources of electromagnetic radiation 1.2.5 Interactions with the Earth's atmosphere 1.3 Interaction with Earth surface materials 1.3.1 Introduction 1.3.2 Spectral reflectance of Earth surface materials 1.3.2.1 Vegetation 1.3.2.2 Geology 1.3.2.3 Water bodies 1.3.2.4 Soils 1.4 Summary References Chapter 2: Remote Sensing Platforms and Sensors 2.1 Introduction 2.2 Characteristics of imaging remote sensing instruments 2.2.1 Spatial resolution 2.2.2 Spectral resolution 2.2.3 Radiometric resolution 2.3 Optical, near-infrared and thermal imaging sensors 2.3.1 Along-Track Scanning Radiometer (ATSR) 2.3.2 Advanced Very High Resolution Radiometer (AVHRR) and Visible Infrared Imager Radiometer Suite (VIIRS) 2.3.3 MODIS (MODerate Resolution Imaging Spectrometer) 2.3.4 Ocean observing instruments 2.3.5 IRS LISS 2.3.6 Landsat instruments 2.3.6.1 Landsat Multi-Spectral Scanner (MSS) 2.3.6.2 Landsat Thematic Mapper (TM) 2.3.6.3 Enhanced Thematic Mapper Plus (ETM+) 2.3.6.4 Landsat 8 2.3.6.5 Landsat 9 2.3.6.6 Landsat Next 2.3.7 SPOT sensors 2.3.7.1 SPOT High Resolution Visible (HRV) 2.3.7.2 Vegetation (VGT) 2.3.7.3 SPOT Follow-on Programme 2.3.8 Advanced Spaceborne Thermal Emission and Reflection Radiometer (ASTER) 2.3.9ESA Sentinel Programme 2.3.9.1 Sentinel-2 Multi-Spectral Imager (MSI) 2.3.9.2 Sentinel-3 OLCI and SLSTR 2.3.10 High-resolution commercial and small satellite systems 2.4 Microwave imaging sensors 2.4.1. European Space Agency Synthetic Aperture Spaceborne Radars 2.4.2 Radarsat 2.4.3 TerraSAR-X and COSMO-SkyMed 2.4.3 ALOS PALSAR 2.4.4 Sentinel-1 SAR 2.5 Summary References Chapter 3: Pre-Processing of Remotely Sensed Data 3.1 Introduction 3.2 Cosmetic operations 3.2.1 Missing scan lines 3.2.2 De-striping methods 3.2.2.1 Linear method 3.2.2.2 Histogram matching 3.2.2.3 Other de-striping methods 3.3 Geometric correction and registration 3.3.1 Orbital geometry model 3.3.2 Transformation based on ground control points 3.3.3 Resampling procedures 3.3.4 Image registration 3.3.5 Other geometric correction methods 3.4 Atmospheric correction 3.4.1 Background 3.4.2 Image-based methods 3.4.3 Radiative transfer models 3.4.4 Empirical line method 3.5 Illumination and view angle effects 3.6 Sensor calibration 3.7 Terrain effects 3.8 Summary References Chapter 4: Image Enhancement Techniques 4.1 Introduction 4.2 Human visual system 4.3 Contrast enhancement 4.3.1 Linear contrast stretch 4.3.2 Histogram equalisation 4.3.3 Gaussian stretch 4.4 Pseudocolour enhancement 4.4.1 Density slicing 4.4.2 Pseudocolour transform 4.5 Summary References Chapter 5: Image Transforms 5.1 Introduction 5.2 Arithmetic operations 5.2.1 Image addition 5.2.2 Image subtraction 5.2.3 Image multiplication 5.2.4 Image division and vegetation indices 5.3 Empirically based image transforms 5.3.1 Perpendicular Vegetation Index 5.3.2 Tasselled Cap (Kauth-Thomas) transformation 5.4 Principal Components Analysis 5.4.1 Standard Principal Components Analysis 5.4.2 Noise-adjusted Principal Components Analysis 5.4.3 Decorrelation stretch 5.5 Hue, Saturation and Intensity (HSI) transform 5.6 The Discrete Fourier Transform 5.6.1 Introduction 5.6.2 Two-dimensional Fourier transform 5.6.3 Applications of the Fourier transform 5.7 The Discrete Wavelet Transform 5.7.1 Introduction 5.7.2 The one-dimensional Discrete Wavelet Transform 5.7.3 The two-dimensional Discrete Wavelet Transform 5.8 Change Detection 5.8.1 Introduction 5.8.2 NDVI Difference Image 5.8.3 Principal Components Analysis 5.8.4 Canonical Correlation Change Analysis 5.8.5 Time Series Analysis 5.8.6 Summary 5.9 Image fusion 5.9.1 Introduction 5.9.2 Hue, Saturation and Intensity (HSI) algorithm. 5.9.3 Principal Components Analysis 5.9.4 Gram-Schmidt orthogonalisation 5.9.5 Wavelet based methods 5.9.6 Evaluation – Subjective methods 5.9.7 Evaluation – Objective methods 5.10 Summary References Chapter 6: Filtering Techniques 6.1 Introduction 6.2 Spatial domain low-pass (smoothing) filters 6.2.1 Moving average filter 6.2.2 Median filter 6.2.3 Adaptive filters 6.3 Spatial domain high-pass (sharpening) filters 6.3.1 Image subtraction method 6.3.2 Derivative-based methods 6.4 Spatial domain edge detectors 6.5 Frequency domain filters 6.6 Summary References Chapter 7: Classification 7.1 Introduction 7.2 Geometrical basis of classification 7.3 Unsupervised classification 7.3.1 The k-means algorithm 7.3.2 ISODATA 7.3.3 A modified k-means algorithm 7.4 Supervised classification 7.4.1 Training samples 7.4.2 Statistical classifiers 7.4.2.1 Parallelepiped classifier 7.4.2.2 Centroid (k-means) classifier 7.4.2.3 Maximum likelihood method 7.4.3 Neural classifiers 7.5 Sub-pixel classification techniques 7.5.1 The linear mixture model 7.5.2 Spectral Angle Mapping 7.5.3 Independent Components Analysis 7.5.4 Fuzzy classifiers 7.6 More advanced approaches to image classification 7.6.1 Support Vector Machines 7.6.2 Decision tree classifiers 7.6.3 Other approaches to classification 7.6.3.1Rule based methods and the Genetic Algorithm 7.6.3.2Object-oriented methods 7.6.3.3Other methods 7.6.3.3.1Evidential Reasoning 7.6.3.3.2Bagging, boosting and ensembles of classifiers 7.7 Incorporation of non-spectral features 7.7.1 Texture 7.7.2 Use of external data 7.8 Contextual information 7.9 Feature selection 7.10 Classification accuracy 7.11 Summary References Chapter 8 Advanced Topics 8.1 Introduction 8.2 SAR interferometry 8.2.1 Basic principles 8.2.2 Interferometric processing 8.2.3 Problems in SAR interferometry 8.2.4 Applications of SAR interferometry 8.3 Imaging spectroscopy 8.3.1 Introduction 8.3.2 Processing imaging spectrometer data 8.3.2.1 Derivative analysis 8.3.2.2 Smoothing and denoising the reflectance spectrum 8.3.2.2.1 Savitzky-Golay polynomial smoothing 8.3.2.2.2 Denoising using the Discrete Wavelet Transform 8.3.2.3 Determination of ‘red edge’ characteristics of vegetation 8.3.2.4 Continuum removal 8.4 Lidar 8.4.1 Introduction 8.4.2 Lidar details 8.4.3 Lidar applications 8.5 Summary References Appendix A Index

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Book SynopsisThe new edition of the leading single-volume resource on designing, operating, and managing mission critical infrastructure Maintaining Mission Critical Systems in a 24/7 Environment provides in-depth coverage of operating, managing, and maintaining power quality and emergency power systems in mission critical facilities. This extensively revised third edition provides invaluable insight into the mission critical environment, helping professionals and students alike understand how to sustain continuous functionality, minimize the occurrence of costly unexpected downtime, and guard against power disturbances that can damage any organization''s daily operations. Bridging engineering, operations, technology, and training, this comprehensive volume covers each component of specialized systems used in mission critical infrastructures worldwide. Throughout the text, readers are provided the up-to-date information necessary to design and analyze mission criticaTable of ContentsForeword xvii Preface xxi Acknowledgments xxiii 1 An Overview of Reliability and Resiliency in Today’s Mission Critical Environment 1 1.1 Introduction 1 1.2 Risk Assessment 5 1.2.1 Levels of Risk 6 1.3 Capital Costs versus Operation Costs 7 1.4 Critical Environment Workflow and Change Management 9 1.4.1 Change Management 10 1.5 Testing and Commissioning 11 1.6 Documentation and Human Factor 16 1.7 Education and Training 20 1.8 Corporate Knowledge Transfer – the Means to Securing Tomorrow’s Critical Infrastructure 21 1.9 Operation and Maintenance 24 1.10 Employee Certification 25 1.11 Standards and Benchmarking 25 1.12 What is a Mission Critical Engineer 26 1.13 Conclusion 28 1.14 An Overview of Reliability and Resiliency in Today’s Mission Critical Environment - Questions to Consider 28 2 Energy and Cyber Security and its Effect on Business Resiliency 31 2.1 Introduction 31 2.2 Risks Related to Information Security 36 2.3 Electro Magnetic Pulse and Solar Flares 42 2.4 How Risks Are Addressed 47 2.5 Use of Distributed Energy Resources and Generation 52 2.6 Documentation and Its Relation to Information Security 55 2.7 Smart Grid 57 2.8 Conclusion 60 2.9 Energy Security and Its Effect on Business Resiliency – Questions to Consider 60 3 Mission Critical Engineering with an Overview of Green Technologies 63 3.1 Introduction 63 3.2 Companies’ Expectations: Risk Tolerance and Reliability 65 3.3 Identifying the Appropriate Redundancy in a Mission Critical Facility 67 3.4 Improving Reliability, Maintainability, and Proactive Preventative Maintenance 69 3.5 The Mission Critical Facilities Manager and the Importance of the Boardroom 71 3.6 Quantifying Reliability and Availability 71 3.6.1 Review of Reliability Terminology 72 3.7 Design Considerations for the Mission Critical Data Center 73 3.7.1 Data Center Certification 74 3.8 The Evolution of Mission Critical Facility Design 76 3.9 Human Factors and the Commissioning Process 77 3.10 Short Circuit & Coordination Studies 79 3.11 Introduction to Direct Current in the Data Center 84 3.11.1 Advantages of DC Distribution 85 3.11.2 Lighting Updates 87 3.11.3 DC Storage Options 87 3.11.4 Renewable Energy Integration 88 3.11.5 DC and Combined Cooling, Heat & Power 89 3.11.6 Safety Issues 91 3.11.7 Maintenance 91 3.11.8 Education & Training 92 3.11.9 Future Vision 93 3.12 Containerized Systems Overview 93 3.13 Mission Critical Engineering with an Overview of Green Technologies - Questions to Consider 95 4 Mission Critical Electrical System Maintenance & Safety 103 4.1 Introduction 103 4.2 The History of the Maintenance Supervisor and the Evolution of the Mission Critical Facilities Engineer 105 4.3 Internal Building Deficiencies and Analysis 107 4.4 Evaluating Your System 108 4.5 Choosing a Maintenance Approach 110 4.5.1 Annual Preventive Maintenance 111 4.6 Safe Electrical Maintenance 112 4.6.1 Standards and Regulations 112 4.6.2 Electrical Safety: NFPA 70E Arc Flash Mitigation 114 4.6.3 Personal Protective Equipment (PPE) 117 4.6.4 Lockout/Tagout 126 4.7 Maintenance of Typical Electrical Distribution Equipment 127 4.7.1 Thermal Scanning and Thermal Monitoring 127 4.7.2 15 KV Class Equipment 129 4.7.3 480 Volt Switchgear 130 4.7.4 Motor Control Centers and Panel Boards 131 4.7.5 Automatic Transfer Switches 131 4.7.6 Automatic Static Transfer Switches (ASTS) 132 4.7.7 Power Distribution Units 132 4.7.8 277/480 Volt Transformers 133 4.7.9 Uninterruptible Power Systems 133 4.8 Being Proactive in Evaluating the Test Reports 134 4.9 Designing for Safety and Reliability 135 4.10 Conclusion 136 5 Standby Generators 137 5.1 Introduction 137 5.2 The Necessity for Standby Power 138 5.3 Emergency, Legally Required, and Optional Systems 140 5.4 Standby Systems That Are Legally Required 141 5.5 Optional Standby Systems 142 5.6 Understanding Your Power Requirements 142 5.7 Management Commitment and Training 142 5.7.1 Lockout/ Tagout (LOTO) 143 5.7.2 Training 144 5.8 Standby Generator Systems Maintenance Procedures 144 5.8.1 Maintenance Record Keeping and Data Trending 145 5.8.2 Engine 145 5.8.3 Coolant System 145 5.8.4 Electrical / Control System 146 5.8.5 Generator 146 5.8.6 Automatic and Manual Switchgear 147 5.8.7 Load Bank Testing 147 5.9 Documentation Plan 148 5.9.1 Proper Documentation and Forms 148 5.9.2 Record keeping 148 5.10 Emergency Procedures 149 5.11 Cold Start 150 5.12 Non-Linear Load Concerns 151 5.12.1 Line Notches and Harmonic Current 151 5.12.2 Voltage / Frequency Drop 152 5.12.3 Voltage / Frequency Rise 152 5.12.4 Frequency Fluctuation 153 5.12.5 Synchronizing to Parallel 154 5.12.6 Automatic Transfer Switch 154 5.13 Conclusion 155 6 Fuel Systems Design and Maintenance 157 6.1 Introduction 157 6.2 Brief Discussion on Diesel Engines 158 6.3 Bulk Storage Tank Selection 159 6.3.1 Aboveground Tanks 159 6.3.2 Modern Underground Tanks and Piping Systems 160 6.3.3 Fuel Receiving Tanks 161 6.3.4 Generator Sub-Base Tanks 161 6.4 Codes and Standards 162 6.5 Recommended Practices for all Tanks 163 6.6 Fuel Distribution System Configuration 168 6.7 Day Tank Control System 170 6.8 Diesel Fuel and a Fuel Quality Assurance Program 174 6.9 Conclusion 186 7 Power Transfer Switch Technology, Applications, and Maintenance 187 7.1 Introduction 187 7.2 Transfer Switch Technology and Applications 189 7.3 Types of Power Transfer Switches 191 7.3.1 Manual Transfer Switches 191 7.3.2 Automatic Transfer Switches 191 7.4 Control Devices 204 7.4.1 Time Delays 204 7.4.2 In-Phase Monitor 205 7.4.3 Test Switches 206 7.4.4 Exercise Clock 207 7.4.5 Current, Voltage and Frequency Sensing 207 7.5 Design Features 207 7.5.1 Close Against High In-Rush Currents 208 7.5.2 Withstand and Closing Rating (WCR) 208 7.5.3 Carry Full Rated Current Continuously 208 7.5.4 Interrupt Current 209 7.6 Additional Characteristics and Ratings of ATS 209 7.6.1 NEMA Classification 209 7.6.2 System Voltage Ratings 209 7.6.3 ATS Sizing 209 7.6.4 Seismic Requirement 210 7.7 Installation & Commissioning, Maintenance, and Safety 210 7.7.1 Installation & Commissioning 210 7.7.2 Maintenance & Safety 212 7.7.3 Maintenance Tasks 214 7.7.4 Drawings and Manuals 215 7.7.5 Testing & Training 215 7.8 General Recommendations 218 7.9 Conclusion 219 8 The Static Transfer Switch 221 8.1 Introduction 221 8.2 Overview 222 8.2.1 Major Components 222 8.3 Typical Static Switch One Line 223 8.3.1 Normal Operation 223 8.3.2 Bypass Operation 224 8.3.3 STS and STS/transformer Configurations 225 8.4 STS Technology and Application 225 8.4.1 General Parameters 225 8.4.2 STS Location and Type 226 8.4.3 Advantages and Disadvantages of the Primary and Secondary STS/Transformer Systems 226 8.4.4 Monitoring, Data Logging, and Data Management 227 8.4.5 Downstream Device Monitoring 227 8.4.6 STS Remote Communication 228 8.4.7 Security 228 8.4.8 Human Engineering and Eliminating Human Errors 229 8.4.9 Reliability and Availability 230 8.4.10 Repairability and Maintainability 231 8.4.11 Fault Tolerance and Abnormal Operation 232 8.5 Testing 232 8.6 Conclusion 233 9 The Fundamentals of Power Quality 235 9.1 Introduction 235 9.2 Electricity Basics 237 9.2.1 Basic Circuit 238 9.2.2 Power Factor 238 9.3 Transmission of Power 241 9.3.1 Life Cycle of Electricity 241 9.3.2 Single-Phase and Three-Phase Power Basics 243 9.3.3 Unreliable Power versus Reliable Power 245 9.4 Understanding Power Problems 245 9.4.1 Power Quality Standards 246 9.4.2 Power Quality Transients 249 9.4.3 RMS Variations 250 9.4.4 Causes of Power Line Disturbances 255 9.4.5 Power Line Disturbance Levels 261 9.5 Tolerances of Critical Loads 261 9.5.1 CBEMA Curve 263 9.5.2 ITIC Curve 263 9.5.3 Purpose of Curves 265 9.6 Power Monitoring 265 9.7 The Impact of Alternative Energy Generation 268 9.8 Conclusion 269 10 UPS Systems: Applications and Maintenance with an Overview of Green Technologies 273 10.1 Introduction 273 10.1.1 Green and Reliability Overview 273 10.2 Purpose of UPS Systems 275 10.3 General Description of UPS Systems 279 10.3.1 What is a UPS system? 279 10.3.2 How does a UPS system work? 279 10.3.3 Static UPS Systems 280 10.3.4 Online 281 10.3.5 Double Conversion 282 10.3.6 Double Conversion UPS Power Path 282 10.4 Components of a Static UPS System 284 10.4.1 Power Control Devices 284 10.5 Online - Line Interactive UPS Systems 291 10.6 Offline (Standby) 292 10.7 The Evolution of Static UPS Technology 293 10.7.1 Emergence of the IGBT 293 10.7.2 Two and Three-Level Rectifier/Inverter Topology 294 10.7.3 Silicon Carbide Replaces Silicon as UPS Semiconductor of Electricity 295 10.8 Rotary UPS Systems 299 10.8.1 UPSs Using Diesel 300 10.8.2 Hybrid UPS Systems 301 10.9 Redundancy, Configurations, and Topology 301 10.9.1 N 302 10.9.2 N+1 302 10.9.3 Isolated Redundant 303 10.9.4 N+2 303 10.9.5 2N 304 10.9.6 2(N+1) 305 10.9.7 Distributed Redundant / Catcher UPS 305 10.9.8 “Eco-Mode” for Static UPS 306 10.9.9 Availability Calculations 307 10.10 Energy Storage Devices 308 10.10.1 Battery 308 10.10.2 Flywheel Energy 314 10.11 UPS Maintenance & Testing 316 10.11.1 Physical Preventive Maintenance (PM) 318 10.11.2 Protection Settings, Calibration, and Guidelines 318 10.11.3 Functional Load Testing 319 10.11.4 Steady State Load Test 319 10.11.5 Steady State Load Test at 0%, 50% and 100% load: 320 10.11.6 Harmonic Analysis and Testing 320 10.11.7 Filter Integrity and Testing 321 10.11.8 Transient Response Load Test 322 10.11.9 Module Fault Test 322 10.11.10 Battery Run Down Test 322 10.12 Static UPS and Maintenance 323 10.12.1 Examples of Semi-Annual Checks and Services for UPS Systems 324 10.13 UPS Management 324 10.14 Conclusion 325 11 Data Center Cooling Systems 327 11.1 Introduction 327 11.2 Background Information 330 11.3 Cooling within Datacom Rooms 331 11.4 Cooling Process 332 11.4.1 Cooling Process in Datacom Space 332 11.4.2 Direct Expansion (DX) Systems 333 11.4.3 Chilled Water Systems 334 11.5 Cooling Final Dissipation 334 11.5.1 Air Cooled System 335 11.5.2 Water Side 335 11.6 The Refrigeration Process 337 11.6.1 Refrigeration Equipment – Compressors 337 11.6.2 Refrigeration Equipment – Chillers 338 11.6.3 Heat Rejection Equipment 342 11.6.4 Energy Recovery Equipment 353 11.6.5 Heat Exchangers 360 11.7 Components Inside Datacom Room 363 11.7.1 Computer Room Cooling Units 363 11.8 Conclusion 373 12 Data Center Cooling Efficiency, Concepts, & Technologies 375 12.1 Introduction 375 12.2 Heat Transfer Inside Data Centers 379 12.2.1 Heat Generation 379 12.2.2 Heat Return 380 12.2.3 Cooling Air 380 12.3 Cooling and Other Airflow Topics 381 12.3.1 Leakage 381 12.3.2 Mixing and its Relationship to Efficiency 382 12.3.3 Re-circulation 382 12.3.4 Venturi Effect 382 12.3.5 Vortex Effect 383 12.3.6 CRAC/CRAH Types 383 12.3.7 Potential CRAC Operation Issues 383 12.3.8 Sensible vs. Latent Cooling 384 12.3.9 Humidity Control 386 12.3.10 CRAC Fighting / Too Many CRACs 387 12.4 Design Approaches for Data Center Cooling 388 12.4.1 Hot Aisle/Cold Aisle 388 12.4.2 Cold Aisle Containment 388 12.4.3 In-Row Cooling with Hot Aisle Containment 388 12.4.4 Overhead Supplemental Cooling 389 12.4.5 Chimney or Ducted Returns 389 12.4.6 Advanced Active Airflow Management for Server Cabinets 390 12.5 Additional Considerations 390 12.5.1 Active Air Movement 390 12.5.2 Adaptive Capacity 390 12.5.3 Liquid Cooling 391 12.5.4 Cold Storage 392 12.6 Hardware & Associated Efficiencies 392 12.6.1 Server Efficiency 392 12.6.2 Server Virtualization 392 12.6.3 Multi-Core Processors 393 12.6.4 Blade Servers 393 12.6.5 Energy Efficient Servers 393 12.6.6 Power Managed Servers 393 12.6.7 Effect of Dynamic Server Loads on Cooling 393 12.7 Best Practices 394 12.8 Efficiency Problem Solving 394 12.9 Conclusion 396 12.10 Conversions, Formulas, Guidelines 396 13 Raised Access Floors 397 13.1 Introduction 397 13.1.1 What is an Access Floor? 397 13.1.2 What are the Typical Applications for Access Floors? 399 13.1.3 Why use an Access Floor? 399 13.2 Design Considerations 400 13.2.1 Determine the Structural Performance Required 400 13.2.2 Determine the Required Finished Floor Height 403 13.2.3 Determine the Understructure Support Design Type Required 404 13.2.4 Determine the Appropriate Floor Finish 405 13.2.5 Air Flow Requirements 406 13.3 Safety Concerns 409 13.3.1 Removal & Reinstallation of Panels 409 13.3.2 Removing Panels 409 13.3.3 Stringer Systems 411 13.3.4 Protection of the Floor from Heavy Loads 412 13.3.5 Grounding the Access Floor 417 13.3.6 Fire Protection 418 13.3.7 Zinc Whiskers 419 13.4 Panel Cutting (For all Steel Panels or Cement Filled Panels that do not Contain an Aggregate) 419 13.4.1 Safety Requirements for Cutting Panels 419 13.4.2 Guidelines for Cutting Panels 420 13.4.3 Cutout Locations in Panels; Supplemental Support for Cut Panels 420 13.4.4 Saws and Blades for Panel Cutting 420 13.4.5 Interior Cutout Procedure: 421 13.4.6 Round Cutout Procedure 421 13.4.7 Installing Protective Trim Around Cut Edges 421 13.4.8 Cutting and Installing the Trim 422 13.5 Access Floor Maintenance 423 13.5.1 Best Practices for Standard High Pressure Laminate Floor Tile (HPL) and for Vinyl Conductive & Static Dissipative Tile 423 13.5.2 Damp Mopping Procedure for HPL and Conductive & Static Dissipative Vinyl Tile 423 13.5.3 Cleaning the Floor Cavity 424 13.6 Troubleshooting 424 13.6.1 Making Pedestal Height Adjustments 425 13.6.2 Rocking Panel Condition 425 13.6.3 Panel Lipping Condition (Panel Sitting High) 425 13.6.4 Out-of-Square Stringer Grid (Twisted Grid) 426 13.6.5 Tipping at Perimeter Panels 427 13.6.6 Tight Floor or Loose Floor: Floor Systems Laminated with HPL Tile 427 13.7 Additional Design Considerations 428 13.7.1 LEED Certification 428 13.7.2 Energy Efficiency - Hot and Cold Air Containment 428 13.7.3 Airflow Distribution and CFD Analysis 429 13.8 Conclusion 437 14 Fire Protection in Mission Critical Infrastructures 439 14.1 Introduction 439 14.2 Hazard Analysis 441 14.3 Alarm and Notification 441 14.4 Early Warning Detection 444 14.4.1 Wireless Detection 445 14.5 Fire Suppression 445 14.5.1 Hybrid Fire Suppression Systems 448 14.5.2 Protecting Lithium Ion Batteries 449 14.6 Systems Design 450 14.6.1 Stages of a Fire 450 14.6.2 Fire and Building Codes 451 14.7 Fire Detection 452 14.8 Fire Suppression Systems 461 14.8.1 Water Mist Systems 467 14.8.2 Carbon Dioxide Systems 470 14.8.3 Clean Agent Systems 472 14.8.4 Inert Gas Agents 472 14.8.5 IG-541 473 14.8.6 IG-55 474 14.8.7 Chemical Clean Agents 474 14.8.8 Portable Fire Extinguishers 479 14.8.9 Clean Agents and the Environment 479 14.9 Conclusion 480 15 Managing Through Pandemics 481 15.1 Executive Summary: COVID-19’s Impact on Critical Infrastructure Globally 481 15.2 Architectural Solutions and Air Purification Systems 482 15.2.1 HVAC Systems 482 15.2.2 UV Technology 482 15.2.3 Bipolar Ionization 485 15.2.4 Copper Doorknobs 485 15.2.5 Architectural Improvements to be Considered 486 15.3 Building Equipment Solutions and Technology 487 15.3.1 Cleaning vs. Disinfecting vs. Sanitizing 487 15.3.2 Intensify Cleaning Frequency and Measures 487 15.3.3 IR Scans 488 15.3.4 Rethinking the flush, the sink, and the hand dryer 488 15.3.5 Technology 489 15.4 Operations, Maintenance and Training 491 15.4.1 Personal Protection 491 15.4.2 Change in Operation 491 15.4.3 Data Center Betterment Opportunities 492 15.5 Site Protection: Safeguarding the Staff and Visitors 493 15.6 The Workforce of Tomorrow 494 15.7 Assessment Tasks - HVAC and Air Handling Units Filter Upgrades 495 15.8 Managing Through Pandemics -Questions to Consider 496 15.9 Conclusion 497 Appendix A Policies and Regulations 499 A.1 Introduction 499 A.2 Industry Policies & Regulations 501 A.2.1 USA PATRIOT Act 503 A.2.2 Sarbanes-Oxley Act (SOX) 505 A.2.3 Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (also known as the Superfund Act) 506 A.2.4 Executive Order 13423: Strengthening Federal Environmental, Energy and Transportation Management 507 A.2.5 ISO27000 Information Security Management System (ISMS) 508 A.2.6 The National Strategy for the Physical Protection of Critical Infrastructures and Key Assets 513 A.2.7 2009 National Infrastructure Protection Plan 514 A.2.8 North American Electric Reliability Corporation (NERC) Critical Infrastructure Protection Program 514 A.2.9 U.S. Security & Exchange Commission (SEC) 516 A.2.10 Sound Practices to Strengthen the Resilience of the U.S. Financial System 516 A.2.11 C4I Command, Control, Communications, Computers, and Intelligence 517 A.2.12 Basel II Accord 519 A.2.13 National Institute of Standards and Technology (NIST) 519 A.2.14 Business Continuity Management Agencies and Regulating Organizations 521 A.2.15 FFIEC - Federal Financial Institutions Examination Council 523 A.2.16 National Fire Prevention Association 1600 – Standards on Disaster/Emergency Management and Business Continuity Programs 524 A.2.17 Private Sector Preparedness Act 525 A.3 Data Protection 526 A.4 Encryption 528 A.4.1 Protecting Critical Data through Security and Vaulting 529 A.5 Business Continuity Plan (BCP) 529 A.6 Conclusion 531 Appendix B Consolidated List of Key Questions 535 Appendix C Airflow Management (A System Approach) 553 C.1 Introduction 553 C.2 Control is the Key 555 C.3 Obtaining Control 558 C.4 Air Management Technologies 565 C.5 Conclusion 570 Glossary 573 References 595 Index 609

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Book SynopsisProvides a semi-quantitative approach to recent developments in the study of optical properties of condensed matter systems Featuring contributions by noted experts in the field of electronic and optoelectronic materials and photonics, this book looks at the optical properties of materials as well as their physical processes and various classes. Taking a semi-quantitative approach to the subject, it presents a summary of the basic concepts, reviews recent developments in the study of optical properties of materials and offers many examples and applications. Optical Properties of Materials and Their Applications, 2nd Edition starts by identifying the processes that should be described in detail and follows with the relevant classes of materials. In addition to featuring four new chapters on optoelectronic properties of organic semiconductors, recent advances in electroluminescence, perovskites, and ellipsometry, the book covers: optical properties of disorTable of ContentsList of Contributors xv Series Preface xvii Preface xix 1 Fundamental Optical Properties of Materials I 1S.O. Kasap, W.C. Tan, Jai Singh, and Asim K. Ray 1.1 Introduction 1 1.2 Optical Constants n and K 2 1.2.1 Refractive Index and Extinction Coefficient 2 1.2.2 n and K, and Kramers–Kronig Relations 5 1.3 Refractive Index and Dispersion 7 1.3.1 Cauchy Dispersion Relation 7 1.3.2 Sellmeier Equation 8 1.3.3 Refractive Index of Semiconductors 10 1.3.3.1 Refractive Index of Crystalline Semiconductors 10 1.3.3.2 Bandgap and Temperature Dependence 11 1.3.4 Refractive Index of Glasses 11 1.3.5 Wemple–DiDomenico Dispersion Relation 14 1.3.6 Group Index 15 1.4 The Swanepoel Technique: Measurement of n and 𝛼 for Thin Films on Substrates 16 1.4.1 Uniform Thickness Films 16 1.4.2 Thin Films with Non-uniform Thickness 22 1.5 Transmittance and Reflectance of a Partially Transparent Plate 25 1.6 Optical Properties and Diffuse Reflection: Schuster–Kubelka–Munk Theory 27 1.7 Conclusions 31 Acknowledgments 31 References 32 2 Fundamental Optical Properties of Materials II 37S.O. Kasap, K. Koughia, Jai Singh, Harry E. Ruda, and Asim K. Ray 2.1 Introduction 37 2.2 Lattice or Reststrahlen Absorption and Infrared Reflection 40 2.3 Free Carrier Absorption (FCA) 42 2.4 Band-to-Band or Fundamental Absorption (Crystalline Solids) 45 2.5 Impurity Absorption and Rare-Earth Ions 48 2.6 Effect of External Fields 54 2.6.1 Electro-Optic Effects 54 2.6.2 Electro-Absorption and Franz–Keldysh Effect 55 2.6.3 Faraday Effect 56 2.7 Effective Medium Approximations 58 2.8 Conclusions 61 Acknowledgments 61 References 62 3 Optical Properties of Disordered Condensed Matter 67Koichi Shimakawa, Jai Singh, and S.K. O’Leary 3.1 Introduction 67 3.2 Fundamental Optical Absorption (Experimental) 69 3.2.1 Amorphous Chalcogenides 69 3.2.2 Hydrogenated Nano-Crystalline Silicon (nc-Si:H) 72 3.3 Absorption Coefficient (Theory) 74 3.4 Compositional Variation of the Optical Bandgap 79 3.4.1 In Amorphous Chalcogenides 79 3.5 Conclusions 80 References 80 4 Optical Properties of Glasses 83Andrew Edgar 4.1 Introduction 83 4.2 The Refractive Index 84 4.3 Glass Interfaces 86 4.4 Dispersion 88 4.5 Sensitivity of the Refractive Index 90 4.5.1 Temperature Dependence 90 4.5.2 Stress Dependence 91 4.5.3 Magnetic Field Dependence—The Faraday Effect 92 4.5.4 Chemical Perturbations—Molar Refractivity 94 4.6 Glass Color 95 4.6.1 Coloration by Colloidal Metals and Semiconductors 95 4.6.2 Optical Absorption in Rare-Earth-Doped Glass 96 4.6.3 Absorption by 3d Metal Ions 99 4.7 Fluorescence in Rare-Earth-Doped Glass 102 4.8 Glasses for Fiber Optics 104 4.9 Refractive Index Engineering 106 4.10 Glass and Glass–Fiber Lasers and Amplifiers 109 4.11 Valence Change Glasses 111 4.12 Transparent Glass Ceramics 114 4.12.1 Introduction 114 4.12.2 Theoretical Basis for Transparency 116 4.12.3 Rare-Earth-Doped Transparent Glass Ceramics for Active Photonics 120 4.12.4 Ferroelectric Transparent Glass Ceramics 121 4.12.5 Transparent Glass Ceramics for X-ray Storage Phosphors 121 4.13 Conclusions 124 References 124 5 Concept of Excitons 129Jai Singh, Harry E. Ruda, M.R. Narayan, and D. Ompong 5.1 Introduction 129 5.2 Excitons in Crystalline Solids 130 5.2.1 Excitonic Absorption in Crystalline Solids 133 5.3 Excitons in Amorphous Semiconductors 135 5.3.1 Excitonic Absorption in Amorphous Solids 137 5.4 Excitons in Organic Semiconductors 139 5.4.1 Photoexcitation and Formation of Excitons 140 5.4.1.1 Photoexcitation of Singlet Excitons Due to Exciton–Photon Interaction 141 5.4.1.2 Excitation of Triplet Excitons 142 5.4.2 Exciton Up-Conversion 147 5.4.3 Exciton Dissociation 148 5.4.3.1 Conversion from Frenkel to CT Excitons 151 5.4.3.2 Dissociation of CT Excitons 152 5.5 Conclusions 153 References 154 6 Photoluminescence 157Takeshi Aoki 6.1 Introduction 157 6.2 Fundamental Aspects of Photoluminescence (PL) in Materials 158 6.2.1 Intrinsic Photoluminescence 159 6.2.2 Extrinsic Photoluminescence 160 6.2.3 Up-Conversion Photoluminescence (UCPL) 162 6.2.4 Other Related Optical Transitions 163 6.3 Experimental Aspects 164 6.3.1 Static PL Spectroscopy 164 6.3.2 Photoluminescence Excitation Spectroscopy (PLE) and Photoluminescence Absorption Spectroscopy (PLAS) 167 6.3.3 Time Resolved Spectroscopy (TRS) 168 6.3.4 Time-Correlated Single Photon Counting (TCSPC) 171 6.3.5 Frequency-Resolved Spectroscopy (FRS) 172 6.3.6 Quadrature Frequency Resolved Spectroscopy (QFRS) 173 6.4 Photoluminescence Lifetime Spectroscopy of Amorphous Semiconductors by QFRS Technique 175 6.4.1 Overview 175 6.4.2 Dual-Phase Double Lock-in (DPDL) QFRS Technique 176 6.4.3 Exploring Broad PL Lifetime Distribution in a-Si:H by Wideband QFRS 178 6.4.3.1 Effects of Excitation Intensity, Excitation, and Emission Energies 179 6.4.3.2 Temperature Dependence 184 6.4.3.3 Effect of Electric and Magnetic Fields 185 6.4.4 Residual PL Decay of a-Si:H 189 6.5 QFRS on Up-Conversion Photoluminescence (UCPL) of RE-Doped Materials 192 6.6 Conclusions 197 Acknowledgments 198 References 198 7 Photoluminescence, Photoinduced Changes, and Electroluminescence in Noncrystalline Semiconductors 203Jai Singh 7.1 Introduction 203 7.2 Photoluminescence 205 7.2.1 Radiative Recombination Operator and Transition Matrix Element 206 7.2.2 Rates of Spontaneous Emission 211 7.2.2.1 At Nonthermal Equilibrium 212 7.2.2.2 At Thermal Equilibrium 214 7.2.2.3 Determining E0 215 7.2.3 Results of Spontaneous Emission and Radiative Lifetime 216 7.2.4 Temperature Dependence of PL 222 7.2.5 Excitonic Concept 223 7.3 Photoinduced Changes in Amorphous Chalcogenides 225 7.3.1 Effect of Photo-Excitation and Phonon Interaction 226 7.3.2 Excitation of a Single Electron–Hole Pair 228 7.3.3 Pairing of Like Excited Charge Carriers 229 7.4 Radiative Recombination of Excitons in Organic Semiconductors 232 7.4.1 Rate of Fluorescence 233 7.4.2 Rate of Phosphorescence 233 7.4.3 Organic Light Emitting Diodes (OLEDs) 234 7.4.3.1 Second- and Third-Generation OLEDs: TADF 235 7.5 Conclusions 236 Acknowledgments 236 References 237 8 Photoinduced Bond Breaking and Volume Change in Chalcogenide Glasses 241Sandor Kugler, Rozália Lukács, and Koichi Shimakawa 8.1 Introduction 241 8.2 Atomic-Scale Computer Simulations of Photoinduced Volume Changes 243 8.3 Effect of Illumination 244 8.4 Kinetics of Volume Change 245 8.4.1 a-Se 245 8.4.2 a-As2Se3 246 8.5 Additional Remarks 248 8.6 Conclusions 249 References 249 9 Properties and Applications of Photonic Crystals 251Harry E. Ruda and Naomi Matsuura 9.1 Introduction 251 9.2 PC Overview 252 9.2.1 Introduction to PCs 252 9.2.2 Nanoengineering of PC Architectures 253 9.2.3 Materials Selection for PCs 255 9.3 Tunable PCs 255 9.3.1 Tuning PC Response by Changing the Refractive Index of Constituent Materials 256 9.3.1.1 PC Refractive Index Tuning Using Light 256 9.3.1.2 PC Refractive Index Tuning Using an Applied Electric Field 256 9.3.1.3 Refractive Index Tuning of Infiltrated PCs 257 9.3.1.4 PC Refractive Index Tuning by Altering the Concentration of Free Carriers (Using Electric Field or Temperature) in Semiconductor-Based PCs 257 9.3.2 Tuning PC Response by Altering the Physical Structure of the PC 258 9.3.2.1 Tuning PC Response Using Temperature 258 9.3.2.2 Tuning PC Response Using Magnetism 258 9.3.2.3 Tuning PC Response Using Strain 258 9.3.2.4 Tuning PC Response Using Piezoelectric Effects 259 9.3.2.5 Tuning PC Response Using MEMS Actuation 260 9.4 Selected Applications of PC 260 9.4.1 Waveguide Devices 261 9.4.2 Dispersive Devices 262 9.4.3 Add/Drop Multiplexing Devices 262 9.4.4 Applications of PCs for Light-Emitting Diodes (LEDs) and Lasers 263 9.5 Conclusions 265 Acknowledgments 265 References 265 10 Nonlinear Optical Properties of Photonic Glasses 269Keiji Tanaka 10.1 Introduction 269 10.2 Photonic Glass 271 10.3 Nonlinear Absorption and Refractivity 272 10.3.1 Fundamentals 272 10.3.2 Two-Photon Absorption 275 10.3.3 Nonlinear Refractivity 278 10.4 Nonlinear Excitation-Induced Structural Changes 280 10.4.1 Fundamentals 280 10.4.2 Oxides 281 10.4.3 Chalcogenides 283 10.5 Conclusions 285 10.A Addendum: Perspectives on Optical Devices 286 References 288 11 Optical Properties of Organic Semiconductors 295Takashi Kobayashi and Hiroyoshi Naito 11.1 Introduction 295 11.2 Molecular Structure of π-Conjugated Polymers 296 11.3 Theoretical Models 298 11.4 Absorption Spectrum 300 11.5 Photoluminescence 304 11.6 Non-Emissive Excited States 306 11.7 Electron–Electron Interaction 309 11.8 Interchain Interaction 314 11.9 Conclusions 320 References 321 12 Organic Semiconductors and Applications 323Furong Zhu 12.1 Introduction 323 12.1.1 Device Architecture and Operation Principle 324 12.1.2 Technical Challenges and Process Integration 325 12.2 Anode Modification for Enhanced OLED Performance 327 12.2.1 Low-Temperature High-Performance ITO 327 12.2.1.1 Experimental Methods 328 12.2.1.2 Morphological Properties 329 12.2.1.3 Electrical Properties 331 12.2.1.4 Optical Properties 333 12.2.1.5 Compositional Analysis 336 12.2.2 Anode Modification 339 12.2.3 Electroluminescence Performance of OLEDs 340 12.3 Flexible OLEDs 345 12.3.1 Flexible OLEDs on Ultrathin Glass Substrate 346 12.3.2 Flexible Top-Emitting OLEDs on Plastic Foils 347 12.3.2.1 Top-Emitting OLEDs 348 12.3.2.2 Flexible TOLEDs on Plastic Foils 350 12.4 Solution-Processable High-Performing OLEDs 353 12.4.1 Performance of OLEDs with a Hybrid MoO3-PEDOT:PSS Hole Injection Layer (HIL) 353 12.4.2 Morphological Properties of the MoO3-PEDOT:PSS HIL 361 12.4.3 Surface Electronic Properties of MoO3-PEDOT:PSS HIL 363 12.5 Conclusions 368 References 369 13 Transparent White OLEDs 373Choi Wing Hong and Furong Zhu 13.1 Introduction—Progress in Transparent WOLEDs 373 13.2 Performance of WOLEDs 374 13.2.1 Optimization of Dichromatic WOLEDs 374 13.2.2 J-L-V Characteristics of WOLEDs 377 13.2.3 Electron-Hole Current Balance in Transparent WOLEDs 384 13.3 Emission Behavior of Transparent WOLEDs 386 13.3.1 Visible-Light Transparency of WOLEDs 386 13.3.2 L-J Characteristics of Transparent WOLEDs 390 13.3.3 Angular-Dependent Color Stability of Transparent WOLEDs 395 13.4 Conclusions 400 References 400 14 Optical Properties of Thin Films 403V.-V. Truong, S. Tanemura, A. Haché, and L. Miao 14.1 Introduction 403 14.2 Optics of Thin Films 404 14.2.1 An Isotropic Film on a Substrate 404 14.2.2 Matrix Methods for Multi-Layered Structures 406 14.2.3 Anisotropic Films 407 14.3 Reflection-Transmission Photoellipsometry for Determination of Optical Constants 408 14.3.1 Photoellipsometry of a Thick or a Thin Film 408 14.3.2 Photoellipsometry for a Stack of Thick and Thin Films 410 14.3.3 Remarks on the Reflection-Transmission Photoellipsometry Method 412 14.4 Application of Thin Films to Energy Management and Renewable-Energy Technologies 412 14.4.1 Electrochromic Thin Films 413 14.4.2 Pure and Metal-Doped VO2 Thermochromic Thin Films 414 14.4.3 Temperature-Stabilized V1-xWxO2 Sky Radiator Films 417 14.4.4 Optical Functional TiO2 Thin Film for Environmentally Friendly Technologies 420 14.5 Application of Tunable Thin Films to Phase and Polarization Modulation 424 14.6 Conclusions 430 References 430 15 Optical Characterization of Materials by Spectroscopic Ellipsometry 435J. Mistrík 15.1 Introduction 435 15.2 Notions of Light Polarization 436 15.3 Measureable Quantities 438 15.4 Instrumentation 441 15.5 Single Interface 442 15.6 Single Layer 448 15.7 Multilayer 454 15.8 Linear Grating 458 15.9 Conclusions 462 Acknowledgments 463 References 463 16 Excitonic Processes in Quantum Wells 465Jai Singh and I.-K. Oh 16.1 Introduction 465 16.2 Exciton–Phonon Interaction 466 16.3 Exciton Formation in QWs Assisted by Phonons 467 16.4 Nonradiative Relaxation of Free Excitons 474 16.4.1 Intraband Processes 475 16.4.2 Interband Processes 479 16.5 Quasi-2D Free-Exciton Linewidth 485 16.6 Localization of Free Excitons 491 16.7 Conclusions 499 References 500 17 Optoelectronic Properties and Applications of Quantum Dots 503Jørn M. Hvam 17.1 Introduction 503 17.2 Epitaxial Growth and Structure of Quantum Dots 504 17.2.1 Self-Assembled Quantum Dots 504 17.2.2 Site-Controlled Growth on Patterned Substrates 505 17.2.3 Natural or Interface Quantum Dots 506 17.2.4 Quantum Dots in Nanowires 507 17.3 Excitons in Quantum Dots 508 17.3.1 Quantum-Dot Bandgap 509 17.3.2 Optical Transitions 510 17.4 Optical Properties 513 17.4.1 Radiative Lifetime, Oscillator Strength, and Internal Quantum Efficiency 514 17.4.2 Linewidth, Coherence, and Dephasing 516 17.4.3 Transient Four-Wave Mixing 517 17.5 Quantum Dot Applications 520 17.5.1 Quantum Dot Lasers and Optical Amplifiers 520 17.5.1.1 Gain Dynamics 522 17.5.1.2 Homogeneous Broadening and Dephasing 524 17.5.1.3 Long-Wavelength Lasers 526 17.5.1.4 Nano Lasers 527 17.5.2 Single-Photon Emitters 527 17.5.2.1 Micropillars and Nanowires 530 17.5.2.2 Photonic Crystal Waveguide 531 17.6 Conclusions 533 Acknowledgments 534 References 534 18 Perovskites – Revisiting the Venerable ABX3 Family with Organic Flexibility and New Applications 537Junwei Xu, D.L. Carroll, K. Biswas, F. Moretti, S. Gridin, and R.T.Williams 18.1 Introduction 537 18.1.1 Review 537 18.1.2 The Structures 538 18.1.2.1 Simple Cubic Frameworks 538 18.1.2.2 The Multiplicity of Hybrids 539 18.1.2.3 Structural Variation 540 18.2 Hybrid Perovskites in Photovoltaics 544 18.2.1 Review 544 18.2.2 The Phenomena Characterized as “Defect Tolerance” 548 18.3 Light-Emitting Diodes Using Solution-Processed Lead Halide Perovskites 549 18.3.1 Review 549 18.3.2 Construction and Characterization of LEDs Utilizing CsPbBr3 Nano-Inclusions in Cs4PbBr6 as the Electroluminescent Medium 553 18.4 Ionizing Radiation Detectors Using Lead Halide Perovskite Materials: Basics, Progress, and Prospects 562 18.5 Conclusions 582 Acknowledgments 583 References 583 19 Optical Properties and Spin Dynamics of Diluted Magnetic Semiconductor Nanostructures 589Akihiro Murayama and Yasuo Oka 19.1 Introduction 589 19.2 Quantum Wells 591 19.2.1 Spin Injection 591 19.2.2 Study of Spin Dynamics by Pump-Probe Spectroscopy 594 19.3 Fabrication of Nanostructures by Electron-Beam Lithography 596 19.4 Self-Assembled Quantum Dots 599 19.5 Hybrid Nanostructures with Ferromagnetic Materials 604 19.6 Conclusions 607 Acknowledgments 608 References 609 20 Kinetics of the Persistent Photoconductivity in Crystalline III-V Semiconductors 611Ruben Jeronimo Freitas and Koichi Shimakawa 20.1 Introduction 611 20.2 A Review of PPC in III-V Semiconductors 613 20.3 Key Physical Terms Related to PPC 615 20.3.1 Dispersive Reaction 615 20.3.2 SEF and Power Law 616 20.3.3 Waiting Time Distribution 617 20.4 Kinetics of PPC in III-V Semiconductors 617 20.5 Conclusions 623 Acknowledgments 623 20.A On the Reaction Rate Under the Uniform Distribution 623 References 625 Index 627

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Book SynopsisExplains current co-design and co-optimization methodologies for building hardware neural networks and algorithms for machine learning applications This book focuses on how to build energy-efficient hardware for neural networks with learning capabilitiesand provides co-design and co-optimization methodologies for building hardware neural networks that can learn. Presenting a complete picture from high-level algorithm to low-level implementation details, Learning in Energy-Efficient Neuromorphic Computing: Algorithm and Architecture Co-Design also covers many fundamentals and essentials in neural networks (e.g., deep learning), as well as hardware implementation of neural networks. The book begins with an overview of neural networks. It then discusses algorithms for utilizing and training rate-based artificial neural networks. Next comes an introduction to various options for executing neural networks, ranging from general-purpose processors to specializedTable of ContentsPreface xi Acknowledgment xix 1 Overview 1 1.1 History of Neural Networks 1 1.2 Neural Networks in Software 2 1.2.1 Artificial Neural Network 2 1.2.2 Spiking Neural Network 3 1.3 Need for Neuromorphic Hardware 3 1.4 Objectives and Outlines of the Book 5 References 8 2 Fundamentals and Learning of Artificial Neural Networks 11 2.1 Operational Principles of Artificial Neural Networks 11 2.1.1 Inference 11 2.1.2 Learning 13 2.2 Neural Network Based Machine Learning 16 2.2.1 Supervised Learning 17 2.2.2 Reinforcement Learning 20 2.2.3 Unsupervised Learning 22 2.2.4 Case Study: Action-Dependent Heuristic Dynamic Programming 23 2.2.4.1 Actor-Critic Networks 24 2.2.4.2 On-Line Learning Algorithm 25 2.2.4.3 Virtual Update Technique 27 2.3 Network Topologies 31 2.3.1 Fully Connected Neural Networks 31 2.3.2 Convolutional Neural Networks 32 2.3.3 Recurrent Neural Networks 35 2.4 Dataset and Benchmarks 38 2.5 Deep Learning 41 2.5.1 Pre-Deep-Learning Era 41 2.5.2 The Rise of Deep Learning 41 2.5.3 Deep Learning Techniques 42 2.5.3.1 Performance-Improving Techniques 42 2.5.3.2 Energy-Efficiency-Improving Techniques 46 2.5.4 Deep Neural Network Examples 50 References 53 3 Artificial Neural Networks in Hardware 61 3.1 Overview 61 3.2 General-Purpose Processors 62 3.3 Digital Accelerators 63 3.3.1 A Digital ASIC Approach 63 3.3.1.1 Optimization on Data Movement and Memory Access 63 3.3.1.2 Scaling Precision 71 3.3.1.3 Leveraging Sparsity 76 3.3.2 FPGA-Based Accelerators 80 3.4 Analog/Mixed-Signal Accelerators 82 3.4.1 Neural Networks in Conventional Integrated Technology 82 3.4.1.1 In/Near-Memory Computing 82 3.4.1.2 Near-Sensor Computing 85 3.4.2 Neural Network Based on Emerging Non-volatile Memory 88 3.4.2.1 Crossbar as a Massively Parallel Engine 89 3.4.2.2 Learning in a Crossbar 91 3.4.3 Optical Accelerator 93 3.5 Case Study: An Energy-Efficient Accelerator for Adaptive Dynamic Programming 94 3.5.1 Hardware Architecture 95 3.5.1.1 On-Chip Memory 95 3.5.1.2 Datapath 97 3.5.1.3 Controller 99 3.5.2 Design Examples 101 References 108 4 Operational Principles and Learning in Spiking Neural Networks 119 4.1 Spiking Neural Networks 119 4.1.1 Popular Spiking Neuron Models 120 4.1.1.1 Hodgkin-Huxley Model 120 4.1.1.2 Leaky Integrate-and-Fire Model 121 4.1.1.3 Izhikevich Model 121 4.1.2 Information Encoding 122 4.1.3 Spiking Neuron versus Non-Spiking Neuron 123 4.2 Learning in Shallow SNNs 124 4.2.1 ReSuMe 124 4.2.2 Tempotron 125 4.2.3 Spike-Timing-Dependent Plasticity 127 4.2.4 Learning Through Modulating Weight-Dependent STDP in Two-Layer Neural Networks 131 4.2.4.1 Motivations 131 4.2.4.2 Estimating Gradients with Spike Timings 131 4.2.4.3 Reinforcement Learning Example 135 4.3 Learning in Deep SNNs 146 4.3.1 SpikeProp 146 4.3.2 Stack of Shallow Networks 147 4.3.3 Conversion from ANNs 148 4.3.4 Recent Advances in Backpropagation for Deep SNNs 150 4.3.5 Learning Through Modulating Weight-Dependent STDP in Multilayer Neural Networks 151 4.3.5.1 Motivations 151 4.3.5.2 Learning Through Modulating Weight-Dependent STDP 151 4.3.5.3 Simulation Results 158 References 167 5 Hardware Implementations of Spiking Neural Networks 173 5.1 The Need for Specialized Hardware 173 5.1.1 Address-Event Representation 173 5.1.2 Event-Driven Computation 174 5.1.3 Inference with a Progressive Precision 175 5.1.4 Hardware Considerations for Implementing the Weight-Dependent STDP Learning Rule 181 5.1.4.1 Centralized Memory Architecture 182 5.1.4.2 Distributed Memory Architecture 183 5.2 Digital SNNs 186 5.2.1 Large-Scale SNN ASICs 186 5.2.1.1 SpiNNaker 186 5.2.1.2 TrueNorth 187 5.2.1.3 Loihi 191 5.2.2 Small/Moderate-Scale Digital SNNs 192 5.2.2.1 Bottom-Up Approach 192 5.2.2.2 Top-Down Approach 193 5.2.3 Hardware-Friendly Reinforcement Learning in SNNs 194 5.2.4 Hardware-Friendly Supervised Learning in Multilayer SNNs 199 5.2.4.1 Hardware Architecture 199 5.2.4.2 CMOS Implementation Results 205 5.3 Analog/Mixed-Signal SNNs 210 5.3.1 Basic Building Blocks 210 5.3.2 Large-Scale Analog/Mixed-Signal CMOS SNNs 211 5.3.2.1 CAVIAR 211 5.3.2.2 BrainScaleS 214 5.3.2.3 Neurogrid 215 5.3.3 Other Analog/Mixed-Signal CMOS SNN ASICs 216 5.3.4 SNNs Based on Emerging Nanotechnologies 216 5.3.4.1 Energy-Efficient Solutions 217 5.3.4.2 Synaptic Plasticity 218 5.3.5 Case Study: Memristor Crossbar Based Learning in SNNs 220 5.3.5.1 Motivations 220 5.3.5.2 Algorithm Adaptations 222 5.3.5.3 Non-idealities 231 5.3.5.4 Benchmarks 238 References 238 6 Conclusions 247 6.1 Outlooks 247 6.1.1 Brain-Inspired Computing 247 6.1.2 Emerging Nanotechnologies 249 6.1.3 Reliable Computing with Neuromorphic Systems 250 6.1.4 Blending of ANNs and SNNs 251 6.2 Conclusions 252 References 253 A Appendix 257 A.1 Hopfield Network 257 A.2 Memory Self-Repair with Hopfield Network 258 References 266 Index 269

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Book SynopsisOffers timely and comprehensive coverage of dynamic system reliability theory This book focuses on hot issues of dynamic system reliability, systematically introducing the reliability modeling and analysis methods for systems with imperfect fault coverage, systems with function dependence, systems subject to deterministic or probabilistic common-cause failures, systems subject to deterministic or probabilistic competing failures, and dynamic standby sparing systems. It presents recent developments of such extensions involving reliability modelling theory, reliability evaluation methods, and features numerous case studies based on real-world examples. The presented dynamic reliability theory can enable a more accurate representation of actual complex system behavior, thus more effectively guiding the reliable design of real-world critical systems. Dynamic System Reliability: Modelling and Analysis of Dynamic and Dependent Behaviors begins by describing theTable of ContentsForeword ix Preface xi Nomenclature xv 1 Introduction 1 References 4 2 Fundamental Reliability Theory 7 2.1 Basic Probability Concepts 7 2.1.1 Axioms of Probability 7 2.1.2 Conditional Probability 7 2.1.3 Total Probability Law 8 2.1.4 Bayes’ Theorem 9 2.1.5 Random Variables 9 2.2 Reliability Measures 10 2.2.1 Time to Failure 11 2.2.2 Failure Function 11 2.2.3 Reliability Function 11 2.2.4 Failure Rate 11 2.2.5 Mean Time to Failure 11 2.2.6 Mean Residual Life 12 2.3 Fault Tree Modeling 12 2.3.1 Static Fault Tree 13 2.3.2 Dynamic Fault Tree 13 2.3.3 Phased-Mission Fault Tree 14 2.3.4 Multi-State Fault Tree 15 2.4 Binary Decision Diagram 16 2.4.1 Basic Concept 17 2.4.2 ROBDD Generation 17 2.4.3 ROBDD Evaluation 18 2.4.4 Illustrative Example 19 2.5 Markov Process 20 2.6 Reliability Software 22 References 22 3 Imperfect Fault Coverage 27 3.1 Different Types of IPC 27 3.2 ELC Modeling 28 3.3 Binary-State System 29 3.3.1 BDD Expansion Method 29 3.3.2 Simple and Efficient Algorithm 32 3.4 Multi-State System 34 3.4.1 MMDD-Based Method for MSS Analysis 35 3.4.2 Illustrative Example 36 3.5 Phased-Mission System 37 3.5.1 Mini-Component Concept 37 3.5.2 PMS SEA 38 3.5.3 PMS BDD Method 40 3.5.4 Summary of PMS SEA 42 3.5.5 Illustrative Example 42 3.6 Summary 43 References 45 4 Modular Imperfect Coverage 49 4.1 Modular Imperfect Coverage Model 49 4.2 Non repairable Hierarchical System 51 4.3 Repairable Hierarchical System 55 4.4 Summary 58 References 58 5 Functional Dependence 61 5.1 Logic OR Replacement Method 61 5.2 Combinatorial Algorithm 63 5.2.1 Task 1: Addressing UFs of Independent Trigger Components 63 5.2.2 Task 2: Generating Reduced Problems Without FDEP 63 5.2.3 Task 3: Solving Reduced Reliability Problems 64 5.2.3.1 Expansion Process 64 5.2.3.2 Reduced FT Generation Procedure 65 5.2.3.3 Dual Trigger-Basic Event Handling 65 5.2.3.4 Evaluation of P(system fails|ITEi) 65 5.2.4 Task 4: Integrating to Obtain Final System Unreliability 66 5.2.5 Algorithm Summary 66 5.2.6 Algorithm Complexity 66 5.3 Case Study 1: Combined Trigger Event 67 5.4 Case Study 2: Shared Dependent Event 70 5.5 Case Study 3: Cascading FDEP 73 5.5.1 Evaluation of P(system fails|ITE1) 74 5.5.2 Evaluation of P(system fails|ITE2) 75 5.5.3 Evaluation of URsystem 76 5.6 Case Study 4: Dual Event and Cascading FDEP 76 5.6.1 Evaluation of P(system fails|ITE1) 78 5.6.2 Evaluation of URsystem 79 5.7 Summary 79 References 80 6 Deterministic Common-Cause Failure 83 6.1 Explicit Method 84 6.1.1 Two-Step Method 84 6.1.2 Illustrative Example 84 6.2 Efficient Decomposition and Aggregation Approach 85 6.2.1 Three-Step Method 86 6.2.2 Illustrative Example 87 6.3 Decision Diagram–Based Aggregation Method 89 6.3.1 Three-Step Method 89 6.3.2 Illustrative Example 91 6.4 Universal Generating Function–Based Method 94 6.4.1 System Model 94 6.4.2 u-Function Method for Series-Parallel Systems 95 6.4.3 u-Function Method for CCFs 97 6.4.4 Illustrative Example 99 6.5 Summary 104 References 104 7 Probabilistic Common-Cause Failure 107 7.1 Single-Phase System 107 7.1.1 Explicit Method 108 7.1.2 Implicit Method 110 7.1.3 Comparisons and Discussions 115 7.2 Multi-Phase System 115 7.2.1 Explicit Method 115 7.2.2 Implicit Method 119 7.2.3 Comparisons and Discussions 123 7.3 Impact of PCCF 124 7.4 Summary 125 References 125 8 Deterministic Competing Failure 127 8.1 Overview 127 8.2 PFGE Method 128 8.2.1 s-Independent LF and PFGE 128 8.2.2 s-Dependent LF and PFGE 128 8.2.3 Disjoint LF and PFGE 129 8.3 Single-Phase System with Single FDEP Group 129 8.3.1 Combinatorial Method 129 8.3.2 Case Study 131 8.4 Single-Phase System with Multiple FDEP Groups 135 8.4.1 Combinatorial Method 135 8.4.2 Case Study 137 8.5 Single-Phase System with PFs Having Global and Selective Effects 141 8.5.1 Combinatorial Method 141 8.5.2 Case Study 144 8.6 Multi-Phase System with Single FDEP Group 150 8.6.1 Combinatorial Method 150 8.6.2 Case Study 153 8.7 Multi-Phase System with Multiple FDEP Groups 158 8.7.1 CTMC-Based Method 158 8.7.2 Case Study 159 8.8 Summary 166 References 167 9 Probabilistic Competing Failure 169 9.1 Overview 169 9.2 System with Single Type of Component Local Failures 170 9.2.1 Combinatorial Method 170 9.2.2 Case Study 172 9.3 System with Multiple Types of Component Local Failures 181 9.3.1 Combinatorial Method 181 9.3.2 Case Study 182 9.4 System with Random Failure Propagation Time 190 9.4.1 Combinatorial Method 190 9.4.2 Case Study: WSN System 192 9.5 Summary 198 References 199 10 Dynamic Standby Sparing 201 10.1 Types of Standby Systems 201 10.2 CTMC-Based Method 202 10.2.1 Cold Standby System 203 10.2.2 Warm Standby System 204 10.3 Decision Diagram−Based Method 205 10.3.1 Cold Standby System 205 10.3.2 Warm Standby System 208 10.4 Approximation Method 211 10.4.1 Homogeneous Cold Standby System 212 10.4.2 Heterogeneous Cold Standby System 214 10.5 Event Transition Method 216 10.5.1 State-Space Representation of System Behavior 217 10.5.2 Basic Steps 218 10.5.3 Warm Standby System 218 10.6 Overview of Optimization Problems 220 10.7 Summary 222 References 222 Index 229

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Book SynopsisA guide to a multi-disciplinary approach that includes perspectives from noted experts in the energy and utilities fields Advances in Energy Systems offers a stellar collection of articles selected from the acclaimed journal Wiley Interdisciplinary Review: Energy and Environment. The journalcovers all aspects of energy policy, science and technology, environmental and climate change. The book covers a wide range of relevant issues related to the systemic changes for large-scale integration of renewable energy as part of the on-going energy transition. The book addresses smart energy systems technologies, flexibility measures, recent changes in the marketplace and current policies. With contributions from a list of internationally renowned experts, the book deals with the hot topic of systems integration for future energy systems and energy transition. This important resource: Contains contributions from noted experts in the field Table of ContentsList of Contributors ix Preface xi Part I: Energy System Challenges 1 1 Handling Renewable Energy Variability and Uncertainty in Power System Operation 3Ricardo Bessa, Carlos Moreira, Bernardo Silva and Manuel Matos 2 Short-Term Frequency Response of Power Systems with High Nonsynchronous Penetration Levels 27Lisa Ruttledge and Damian Flynn 3 Technical Impacts of High Penetration Levels of Wind Power on Power System Stability 47Damian Flynn, Zakir Rather, Atle Rygg Årdal, Salvatore D'Arco, Anca D. Hansen, Nicolaos A. Cutululis, Poul Sorensen, Ana Estanqueiro, Emilio Gómez-Lázaro, Nickie Menemenlis, Charles Smith and Ye Wang 4 Understanding Constraints to the Transformation Rate of Global Energy Infrastructure 67Joe L. Lane, Simon Smart, Diego Schmeda-Lopez, Ove Hoegh-Guldberg, Andrew Garnett, Chris Greig and Eric McFarland 5 Physical and Cybersecurity in a Smart Grid Environment 85Jing Xie, Alexandru Stefanov and Chen]Ching Liu 6 Energy Security: Challenges and Needs 111Benjamin K. Sovacool 7 Nuclear and Renewables: Compatible or Contradicting? 119Lutz Mez Part II: Perspectives on Grids 127 8 Smart-Grid Policies: An International Review 129Marilyn A. Brown and Shan Zhou 9 A View of Microgrids 149Joao A. P. Lopes, Andre G. Madureira and Carlos Moreira 10 New Electricity Distribution Network Planning Approaches for Integrating Renewables 167Fabrizio Pilo, Gianni Celli, Emilio Ghiani and Gian G. Soma 11 Transmission Planning for Wind Energy in the United States and Europe: Status and Prospects 187Charles Smith, Dale Osborn, Robert Zavadil, Warren Lasher, Emilio Gómez-Lázaro, Ana Estanqueiro, Thomas Trotscher, John Tande, Magnus Korpas, Frans Van Hulle, Hannele Holttinen, Antje Orths, Daniel Burke, Mark O’Malley, Jan Dobschinski, Barry Rawn, Madeline Gibescu and Lewis Dale 12 Opportunities and Barriers of High-Voltage Direct Current Grids: A State-of-the-Art Analysis 201Debora Coil]Mayor and Jürgen Schmid 13 Wireless Power Transmission: Inductive Coupling, Radio Wave, and Resonance Coupling 211Naoki Shinohara Part III: Flexibility Measures 221 14 The Role of Large]Scale Energy Storage Under High Shares of Renewable Energy 223Shin]ichi Inage 15 The Role of Electric Vehicles in Smart Grids 245Matthias D. Galus, Marina González Vayá, Thilo Krause and Göran Andersson 16 Use of Electric Vehicles or Hydrogen in the Danish Transport Sector in 2050? 265Klaus Skytte, Amalia Pizarro and Kenneth B. Karlsson 17 Comparison of Synthetic Natural Gas Production Pathways for the Storage of Renewable Energy 279Sebastian Fendt, Alexander Buttler, Matthias Gaderer and Hartmut Spliethoff 18 Storage and Demand]Side Options for Integrating Wind Power 303Aidan Tuohy, Ben Kaun and Robert Entriken 19 On the Long-Term Prospects of Power-to-Gas Technologies 321Amela Ajanovic and Reinhard Haas 20 Wind Integration: Experience, Issues, and Challenges 341Hannele Holttinen 21 Quantifying the Variability of Wind Energy 355Simon Watson 22 Capacity Value Assessments of Wind Power 369Michael Milligan, Bethany Frew, Eduardo Ibanez, Juha Kiviluoma, Hannele Holttinen and Lennart Söder 23 Hydropower Flexibility for Power Systems with Variable Renewable Energy Sources: An IEA Task 25 Collaboration 385Daniel Huertas]Hernando, Hossein Farahmand, Hannele Holttinen, Juha Kiviluoma, Erkka Rinne, Lennart Söder, Michael Milligan, Eduardo Ibanez, Sergio M. Martinez, Emilio Gómez-Lázaro, Ana Estanqueiro, Luis Rodrigues, Luis Carr, Serafin van Roon, Antje Orths, Peter B. Eriksen, Alain Forcione and Nickie Menemenlis 24 Contribution of Bulk Energy Storage to Integrating Variable Renewable Energies in Future European Electricity Systems 407Karl A. Zach and Hans Auer 25 Characterization of Demand Response in the Commercial, Industrial, and Residential Sectors in the United States 425Sila Kiliccote, Daniel Olsen, Michael D. Sohn and Mary A. Piette 26 Simplified Analysis of Balancing Challenges in Sustainable and Smart Energy Systems with 100% Renewable Power Supply 445Lennart Söder Part IV: Changing Electricity Markets 459 27 Who Gains from Hourly Time-of-Use Retail Prices on Electricity? An Analysis of Consumption Profiles for Categories of Danish Electricity Customers 461F. M. Andersen, H. V. Larsen, Lena Kitzing and P. E. Morthorst 28 Designing Electricity Markets for a High Penetration of Variable Renewables 479Jenny Riesz and Michael Milligan 29 Multivariate Analysis of Solar City Economics: Impact of Energy Prices, Policy, Finance, and Cost on Urban Photovoltaic Power Plant Implementation 491John Byrne, Job Taminiau, Kyung N. Kim, Joohee Lee and Jeongseok Seo 30 The Influence of Interconnection Capacity on the Market Value of Wind Power 507Carlo Obersteiner 31 Research with Disaggregated Electricity End-Use Data in Households: Review and Recommendations 517Ian H. Rowlands, Tobi Reid and Paul Parker 32 Household Electricity Consumers' Incentive to Choose Dynamic Pricing Under Different Taxation Schemes 531Jonas Katz, Lena Kitzing, Sascha T. Schröder, F. M. Andersen, P. E. Morthorst and Morten Stryg Index 545

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Book SynopsisA comprehensive review of the theory and practice for designing, operating, and optimizing electric distribution systems, revised and updated Now in its second edition, Electric Distribution Systems has been revised and updated and continues to provide a two-tiered approach for designing, installing, and managing effective and efficient electric distribution systems. With an emphasis on both the practical and theoretical approaches, the text is a guide to the underlying theory and concepts and provides a resource for applying that knowledge to problem solving. The authorsnoted experts in the fieldexplain the analytical tools and techniques essential for designing and operating electric distribution systems. In addition, the authors reinforce the theories and practical information presented with real-world examples as well as hundreds of clear illustrations and photos. This essential resource contains the information needed to design electric distribution Table of ContentsPreface xi Acknowledgments xiii Part I Fundamental Concepts Chapter 1 Introduction 3 1.1 Introduction and Background 3 1.2 Power System Structure 3 1.3 Distribution Level 5 1.4 General 7 Chapter 2 Distribution System Structure 9 2.1 Distribution Voltage Levels 9 2.2 Distribution System Configuration 9 2.3 General Comments 22 Chapter 3 Distribution System Planning 23 3.1 Duties of Distribution System Planners 23 3.2 Factors Affecting the Planning Process 25 3.3 Planning Objectives 31 3.4 Solutions for Meeting Load Forecasts 37 Chapter 4 Load Forecasting 41 4.1 Introduction 41 4.2 Important Factors for Forecasts 42 4.3 Forecasting Methodology 43 4.4 Spatial Load Forecasting (SLF) 56 4.5 End-Use Modeling 64 4.6 Spatial Load Forecast Methods 65 Part II Protection And Switchgear Chapter 5 Earthing Of Electric Distribution Systems 75 5.1 Basic Objectives 75 5.2 Earthing Electrical Equipment 76 5.3 System Earthing 93 5.4 MV Earthing Systems 99 5.5 Earthing Systems in LV Distribution Networks 104 Chapter 6 Short-Circuit Studies 111 6.1 Introduction 111 6.2 Short-Circuit Analysis 113 Chapter 7 Protection: Current-Based Schemes 163 7.1 Introduction 163 7.2 Types of Relay Construction 166 7.3 Overcurrent Protection 171 7.4 Directional Protection 187 7.5 Differential Protection 193 Chapter 8 Protection: Other Schemes 207 8.1 Overvoltage Protection 207 8.2 Thermal Protection 220 8.3 Reclosers, Sectionalizers, Fuses 223 Chapter 9 Switchgear Devices 235 9.1 Need for Switchgear 235 9.2 MV Switchgear Devices 237 9.3 LV Switchgear Devices 244 9.4 Protection Classes 250 9.5 Specifications and Implementation of Earthing 251 9.6 Assessment of Switchgear 253 9.7 Safety and Security of Installations 255 9.8 Application Trends in MV Switchgear 256 Chapter 10 Switchgear Installation 261 10.1 Steps for Installing Switchgear 261 10.2 Switchgear Layout 262 10.3 Dimensioning of Switchgear Installations 264 10.4 Civil Construction Requirements 275 10.5 ARC-Flash Hazards 282 Part III Power Quality Chapter 11 Electric Power Quality 297 11.1 Overview 297 11.2 Power Quality Problems 298 11.3 Cost of Power Quality 304 11.4 Solutions of Power Quality Problems 310 11.5 Solution Cycle for Power Quality Problems 317 Chapter 12 Voltage Variations 321 12.1 Voltage Quality 321 12.2 Methods of Voltage Drop Reduction 329 12.3 Voltage Sag Calculations 345 12.4 Estimation of Distribution Losses 356 Chapter 13 Power Factor Improvement 361 13.1 Background 361 13.2 Shunt Compensation 365 13.3 Need for Shunt Compensation 366 13.4 An Example 368 13.5 How to Determine Compensation 370 Chapter 14 Harmonics in Electric Distribution Systems 379 14.1 What Are Harmonics? 379 14.2 Sources of Harmonics 384 14.3 Disturbances Caused by Harmonics 391 14.4 Principles of Harmonic Distortion Indications and Measurement 396 14.5 Frequency Spectrum and Harmonic Content 398 14.6 Standards and Recommendations 400 Chapter 15 Harmonics Effect Mitigation 403 15.1 Introduction 403 15.2 First Class of Solutions 403 15.3 Second Class of Solutions 404 15.4 Third Class of Solutions 406 15.5 Selection Criteria 409 15.6 Case Studies 409 Part IV Management And Automation Chapter 16 Demand-Side Management And Energy Efficiency 431 16.1 Overview 431 16.2 DSM 432 16.3 Needs to Apply DSM 433 16.4 Means of DSM Programs 434 16.5 International Experience with DSM 437 16.6 Potential for DSM Application 438 16.7 The DSM Planning Process 439 16.8 Expected Benefits of Managing Demand 444 16.9 Energy Efficiency 444 16.10 Scenarios Used for Energy-Efficiency Application 445 16.11 Economic Benefits of Energy Efficiency 445 16.12 Application of Efficient Technology 445 Chapter 17 SCADA Systems 465 17.1 Introduction 465 17.2 Definitions 469 17.3 SCADA Components 470 17.4 SCADA Systems Architectures 473 17.5 SCADA Applications 480 17.6 SCADA and Grid Modernization 484 Part V Distributed Energy Resources And Microgrids Chapter 18 Distributed Generation 489 18.1 Power Systems and Distributed Generation 489 18.2 Performance of Distributed Generators 493 18.3 Case Study 518 Chapter 19 Electrical Energy Storage 535 19.1 Introduction 535 19.2 Electrical Energy Storage 535 19.3 Role of Electrical Energy Storage 538 19.4 Types of EES Systems 540 19.5 Energy Storage Application 550 Chapter 20 Microgrids And Smart Grids 553 20.1 Background 553 20.2 MG Benefits 555 20.3 MG Operation 556 20.4 Challenges 556 20.5 Handling the Challenges 557 20.6 Control Methodology 558 20.7 Case Study 560 20.8 Protection for MGs 570 20.9 Concluding Remarks on MGs 572 20.10 Smart Grids 572 Appendix A Data Of Microgrid Components 581 Appendix B Matlab Simulink Models 583 References 589 Index 601

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Book SynopsisCoal accounts for approximately one quarter of world energy consumption and of the coal produced worldwide approximately 65% is shipped to electricity producers and 33% to industrial consumers, with most of the remainder going to consumers in the residential and commercial sectors. The total share of total world energy consumption by coal is expected to increase to almost 30% in 2035. This book describes the challenges and steps by which electricity is produced form coal and deals with the challenges for removing the environmental objections to the use of coal in future power plants. New technologies are described that could virtually eliminate the sulfur, nitrogen, and mercury pollutants that are released when coal is burned for electricity generation. In addition, technologies for the capture greenhouse gases emitted from coal-fired power plants are described and the means of preventing such emissions from contributing to global warming concerns. Written by one of thTable of ContentsPreface xvii Part I: Origin and Properties 1 1 History, Occurrence, and Resources 3 1.1 Introduction 3 1.2 Origin of Coal 8 1.3 Occurrence 12 1.4 Coal Utilization and Coal Types 14 1.5 Resources 22 1.6 Reserves 26 1.7 Energy Independence 31 References 33 2 Classification 37 2.1 Introduction 37 2.2 Nomenclature of Coal 39 2.3 Classification Systems 43 2.4 Coal Petrography 59 2.5 Correlation of the Various Systems 62 References 65 3 Recovery, Preparation, and Transportation 67 3.1 Introduction 67 3.2 Coal Recovery 69 3.3 Coal Preparation 78 3.4 Size Reduction 87 3.5 Coal Cleaning 92 3.6 Coal Drying 98 3.7 Desulfurization 104 3.8 Transportation 105 References 109 4 Storage 113 4.1 Introduction 113 4.2 Stockpiling 115 4.4 Spontaneous Ignition 124 4.5 Mechanism of Spontaneous Ignition 134 4.6 Preventing Spontaneous Ignition 137 References 138 5 General Properties 143 5.1 Introduction 143 5.2 Sampling 149 5.3 Proximate Analysis 154 5.4 Ultimate Analysis 167 5.5 Calorific Value 174 5.6 Reporting Coal Analyses 176 References 180 6 Physical, Mechanical, Thermal, and Electrical Properties 187 6.1 Introduction 187 6.2 Physical Properties 190 6.3 Mechanical Properties 200 6.4 Thermal Properties 207 6.5 Electrical Properties 214 6.6 Epilog 217 References 217 Part II: Power Generation 223 7 Combustion 225 7.1 Introduction 225 7.2 General Aspects 230 7.3 Chemistry and Physics 232 7.4 Catalytic Combustion 249 7.5 Fuels 249 References 269 8 Combustion Systems 275 8.1 Introduction 275 8.2 Combustion Systems 278 8.3 Fuel Feeders 303 References 304 9 Gasification 307 9.1 Introduction 307 9.2 General Aspects 309 9.3 Chemistry and Physics 325 9.4 Catalytic Gasification 334 9.5 Plasma Gasification 335 9.6 Gaseous Products 336 9.7 Underground Gasification 341 References 344 10 Gasification Systems 349 10.1 Introduction 349 10.2 Gasifier Types 352 10.3 Fixed-Bed Processes 358 10.4 Fluidized-Bed Processes 367 10.5 Entrained-Bed Processes 381 10.6 Molten Salt Processes 386 10.7 Other Designs 390 10.8 Gasifier-Feedstock Compatibility 396 10.8.7 Propensity for Char Formation 400 10.8.8 Mineral Matter Content 400 10.8.9 Ash Yield 400 10.9 Energy Balance and Other Design Options 401 10.10 Underground Gasification 402 References 406 11 Electric Power Generation 409 11.1 Introduction 409 11.2 Electricity From Coal 412 11.3 Steam Generation 415 11.4 Control of Emissions 425 11.5 Power Plant Efficiency 428 11.6 Combined Cycle Generation 432 References 435 12 Gas Cleaning 437 12.1 Introduction 437 12.2 General Aspects 437 12.3 Air Pollution Control Devices 445 12.4 Particulate Matter Removal 449 12.5 Acid Gas Removal 458 12.6 Removal of Sulfur-Containing Gases 462 12.7 Removal of Nitrogen-Containing Gases 465 12.8 Environmental Legislation 467 References 469 13 Clean Coal Technologies for Power Generation 473 13.1 Introduction 473 13.2 Historical Perspectives 480 13.3 Modern Perspectives 481 13.4 Clean Coal Technology 483 13.5 Managing Wastes from Coal Use 504 13.6 Carbon Dioxide Capture and Sequestration 506 References 514 14 Environmental Issues 519 14.1 Introduction 519 14.2 Coal Preparation 521 14.3 Transportation and Storage 523 14.4 Combustion 525 14.5 Gasification 532 14.6 Power Plant Waste 536 14.7 The Future 553 References 556 Part III: Alternative Feedstocks and Energy Security 559 15 Alternate Feedstocks 561 15.1 Introduction 561 15.2 Viscous Feedstocks 562 15.3 Biomass 575 15.4 Waste 605 References 610 16 Combustion of Alternate Feedstocks 613 16.1 Introduction 613 16.2 Viscous Feedstocks 615 16.3 Biomass 619 16.4 Solid Waste 632 References 638 17 Gasification of Alternate Feedstocks 641 17.1 Introduction 641 17.2 Viscous Feedstocks 643 17.3 Biomass 651 17.4 Solid Waste 656 17.5 Process Products 667 References 673 18 Coal and Energy Security 679 18.1 Introduction 679 18.2 Energy Security 683 18.3 The Future of Coal 687 18.4 Sustainable Development 694 References 701 Conversion Factors 705 Glossary 709 Index 753 About the Author 759

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Book SynopsisProvides clear analysis on the development potentials and practical realization of solar, wind, wave, and geothermal renewable energy technologies Presented as a clear introduction to the topics of climate protection and renewable energy, this book demonstrates the correlations between use of energy, energy prices, and climate change. It evaluates and analyzes the current world situation (drawing on examples given from countries across the globe), whilst also giving essential and practical guidance on personal' climate protection. Each major type of renewable energy system is covered in detail and with an easy-to-read approach, making it an ideal manual for planning and realizing climate protection and renewable energy systems, while also being an informative textbook for those studying renewable energy and environment and sustainability courses. Renewable Energy and Climate Change, 2nd Edition starts by examining our hunger for energyhow much we need, how much we use, and how much Table of ContentsPreface to First Edition xi Preface to the Second Edition xiii 1 Our Hunger for Energy 1 1.1 Energy Supply – Yesterday and Today 2 1.1.1 From the French Revolution to the Early Twentieth Century 2 1.1.2 The Era of Black Gold 4 1.1.3 Natural Gas – The Newest Fossil Energy Source 7 1.1.4 Nuclear Power – Split Energy 8 1.1.5 The Century of Fossil Energy 12 1.1.6 The Renewables Century 13 1.2 Energy Needs – Who Needs What, Where, and How Much? 14 1.3 ‘Anyway’ Energy 17 1.4 Energy Reserves –Wealth for a Time 20 1.4.1 Non-Conventional Reserves – Prolongation of the Oil Age 21 1.4.2 An End in Sight 22 1.4.3 The End of Fission 24 1.5 High Energy Prices – the Key to Climate Protection 24 2 The Climate Before the Collapse 27 2.1 It Is Getting Warm – Climate Changes Today 27 2.1.1 Accelerated Ice Melt 27 2.1.2 More Frequent Natural Catastrophes 30 2.2 The Guilty Parties – Causes of Climate Change 33 2.2.1 The Greenhouse Effect 33 2.2.2 The Prime Suspect: Carbon Dioxide 34 2.2.3 Other Culprits 38 2.3 Outlook and Recommendations –What Lies Ahead? 40 2.3.1 Will it Be Bitterly Cold in Europe? 43 2.3.2 Recommendations for Effective Climate Protection 45 2.4 A Difficult Birth – Politics and Climate Change 48 2.4.1 German Climate Policy 48 2.4.2 International Climate Policy 49 2.5 Self-Help Climate Protection 51 3 From Wasting Energy to Saving Energy and Reducing Carbon Dioxide 53 3.1 Inefficiency 53 3.2 Personal Energy Needs – Savings at Home 56 3.2.1 Domestic Electricity – Money Wasted 56 3.2.2 Heat – Surviving the Winter with Almost No Heating 60 3.2.3 Transport – Getting Somewhere Using Less Energy 64 3.3 Industry and Commerce – Everyone Else is to Blame 66 3.4 Your Personal Carbon Dioxide Balance 67 3.4.1 Emissions Caused Directly by One’s Own Activities 67 3.4.2 Indirect Emissions 68 3.4.3 Total Emissions 71 3.5 The Sale of Ecological Indulgences 71 4 ‘Energiewende’ (Energy Transition) – The Way to a Better Future? 75 4.1 Coal and Nuclear Power Plants – Crutch Instead of Bridge 75 4.1.1 Energy and Automotive Companies Have Bet on the Wrong Horse 76 4.1.2 Lignite – A Climate Killer Made in Germany 78 4.1.3 Carbon Dioxide Sequestration – Out of Sight, Out of Mind 81 4.1.4 Nuclear Power Comeback Was Not a Radiant Success 83 4.2 Efficiency and CHP – A Good Double for Starters 84 4.2.1 Combined Heat and Power – Using Fuel Twice 84 4.2.2 Saving Energy – Achieving More with Less 85 4.3 Renewables – Energy Without End 87 4.4 Germany Is Becoming Renewable 88 4.4.1 All Sectors Are Important 89 4.4.2 Energy Transition in the Heat Sector 90 4.4.3 Energy Transition in the Transport Sector 93 4.4.4 Energy Transition in the Electricity Sector 94 4.4.5 Reliable Supply Using Renewables 97 4.4.6 Decentralized Instead of Centralized – Fewer Power Lines 100 4.5 Not So Expensive – The Myth of Unaffordability 101 4.6 Energy Revolution Instead of Half-Hearted Energy Transition 103 4.6.1 German Energy Policy – In the Shadow of Corporations 103 4.6.2 Energy Transition in the Hands of the Citizens – A Revolution Is Imminent 104 5 Photovoltaics – Energy from Sand 107 5.1 Structure and Function 107 5.1.1 Electrons, Holes, and Space-Charge Regions 107 5.1.2 Efficiency, Characteristics, and MPP 109 5.2 Production of Solar Cells – From Sand to Cell 111 5.2.1 Silicon Solar Cells – Power from Sand 111 5.2.2 From Cell to Module 113 5.2.3 Thin-Film Solar Cells 114 5.3 PV Systems – Grids and Islands 115 5.3.1 Sun Islands 115 5.3.2 Sun in the Grid 118 5.3.3 More Solar Independence 121 5.4 Planning and Design 124 5.4.1 Designing Stand-Alone Systems 124 5.4.2 Designing Grid-Connected Systems 126 5.4.3 Planned Autonomy 130 5.5 Economics 131 5.5.1 What Does It Cost? 131 5.5.2 Funding Programmes 132 5.5.3 Avoiding VAT 134 5.6 Ecology 135 5.7 PV Markets 136 5.8 Outlook and Development Potential 137 6 Solar Thermal Systems – Year-Round Heating from the Sun 141 6.1 Structure and Functionality 142 6.2 Solar Collectors – Collecting the Sun 145 6.2.1 Swimming Pool Absorbers 145 6.2.2 Flat-Plate Collectors 145 6.2.3 Air-Based Collectors 146 6.2.4 Vacuum-Tube Collectors 147 6.3 Solar Thermal Systems 149 6.3.1 Hot Water from the Sun 149 6.3.2 Heating with the Sun 152 6.3.3 Solar Communities 154 6.3.4 Cooling with the Sun 155 6.3.5 Swimming with the Sun 156 6.3.6 Cooking with the Sun 157 6.4 Planning and Design 158 6.4.1 Solar Thermal Heating of Domestic HotWater 158 6.4.2 Solar Thermal Auxiliary Heating 161 6.5 Economics 163 6.5.1 When Does It Pay off? 163 6.5.2 Funding Programmes 163 6.6 Ecology 164 6.7 Solar Thermal Markets 165 6.8 Outlook and Development Potential 167 7 Solar Power Plants – Even More Power from the Sun 169 7.1 Focusing on the Sun 169 7.2 Solar Power Plants 171 7.2.1 Parabolic Trough Power Plants 171 7.2.2 Solar Tower Power Plants 175 7.2.3 Dish-Stirling Power Plants 177 7.2.4 Solar Chimney Power Plants 178 7.2.5 Concentrating Photovoltaic Power Plants 179 7.2.6 Solar Chemistry 179 7.3 Planning and Design 180 7.3.1 Concentrating Solar Thermal Power Plants 181 7.3.2 Solar Chimney Power Plants 182 7.3.3 Concentrating Photovoltaic Power Plants 182 7.4 Economics 182 7.5 Ecology 183 7.6 Solar Power Plant Markets 184 7.7 Outlook and Development Potential 185 8 Wind Power Systems – Electricity from Thin Air 189 8.1 Gone with the Wind –Where the Wind Comes From 190 8.2 Utilizing Wind 192 8.3 Wind Turbines and Windfarms 196 8.3.1 Wind Chargers 196 8.3.2 Large, Grid-Connected Wind Turbines 197 8.3.3 Small Wind Turbines 201 8.3.4 Windfarms 202 8.3.5 Offshore Windfarms 203 8.4 Planning and Design 206 8.5 Economics 208 8.6 Ecology 210 8.7 Wind Power Markets 212 8.8 Outlook and Development Potential 213 9 Hydropower Plants –Wet Electricity 215 9.1 Tapping into the Water Cycle 215 9.2 Water Turbines 217 9.3 Hydropower Plants 220 9.3.1 Run-of-River Hydropower Plants 220 9.3.2 Storage Power Plants 222 9.3.3 Pumped-storage Hydropower Plants 222 9.3.4 Tidal Power Plants 224 9.3.5 Wave Power Plants 225 9.3.6 Ocean Current Power Plants 226 9.4 Planning and Design 227 9.5 Economics 228 9.6 Ecology 228 9.7 Hydropower Markets 230 9.8 Outlook and Development Potential 231 10 Geothermal Energy – Power from the Deep 233 10.1 Tapping into the Earth’s Heat 233 10.2 Geothermal Heat and Power Plants 237 10.2.1 Geothermal Heat Plants 237 10.2.2 Geothermal Power Plants 238 10.2.3 Geothermal HDR Power Plants 240 10.3 Planning and Design 241 10.4 Economics 242 10.5 Ecology 242 10.6 Geothermal Markets 243 10.7 Outlook and Development Potential 244 11 Heat Pumps – From Cold to Hot 245 11.1 Heat Sources for Low-Temperature Heat 245 11.2 Operating Principle of Heat Pumps 247 11.2.1 Compression Heat Pumps 248 11.2.2 Absorption Heat Pumps and Adsorption Heat Pumps 249 11.3 Planning and Design 250 11.4 Economics 253 11.5 Ecology 254 11.6 Heat Pump Markets 257 11.7 Outlook and Development Potential 257 12 Biomass – Energy from Nature 259 12.1 Origins and Use of Biomass 260 12.2 Biomass Heating 263 12.2.1 Wood as a Fuel 263 12.2.2 Open Fires and Woodburning Stoves 266 12.2.3 Log Boilers 266 12.2.4 Wood Pellet Heating 268 12.3 Biomass Heat and Power Plants 269 12.4 Biofuels 271 12.4.1 Bio-oil 271 12.4.2 Biodiesel 272 12.4.3 Bioethanol 273 12.4.4 BtL Fuels 274 12.4.5 Biogas 275 12.5 Planning and Design 276 12.5.1 Log Boilers 276 12.5.2 Wood Pellet Heating 277 12.6 Economics 279 12.7 Ecology 280 12.7.1 Solid Fuels 281 12.7.2 Biofuels 282 12.8 Biomass Markets 282 12.9 Outlook and Development Potential 284 13 Renewable Gas and Fuel Cells 285 13.1 Hydrogen as an Energy Source 287 13.2 Methanation 289 13.3 Transport and Storage of Renewable Gas 290 13.3.1 Transport and Storage of Hydrogen 290 13.3.2 Transport and Storage of Renewable Methane 291 13.4 Fuel Cells: Bearers of Hope 293 13.5 Economics 296 13.6 Ecology 297 13.7 Markets, Outlook, and Development Potential 298 14 Sunny Prospects – Examples of Sustainable Energy Supply 301 14.1 Climate-Compatible Living 301 14.1.1 Carbon-Neutral Standard Prefabricated Houses 301 14.1.2 Plus-Energy Solar House 302 14.1.3 Plus-Energy Housing Estate 303 14.1.4 Heating Only with the Sun 304 14.1.5 Zero Heating Costs After Redevelopment 305 14.2 Working and Producing in a Climate-friendly Manner 306 14.2.1 Offices and Shops in the ‘Sonnenschiff’ 306 14.2.2 Zero-Emissions Factory 306 14.2.3 Carbon-free Heavy Equipment Factory 307 14.2.4 Plus-Energy Head Office 307 14.3 Climate-Compatible Driving 309 14.3.1 Travelling Around the World in a Solar Car 309 14.3.2 Across Australia in 33 hours 310 14.3.3 Emission-free Deliveries 311 14.3.4 Electric Cars for All 312 14.4 Climate-Compatible Travel by Water or Air 313 14.4.1 Advanced Sailing 313 14.4.2 Solar Ferry on Lake Constance 314 14.4.3 World Altitude Record with a Solar Aeroplane 314 14.4.4 Flying Around the World in a Solar Plane 315 14.4.5 Flying for Solar Kitchens 316 14.5 Everything Becomes Renewable 317 14.5.1 A Village Becomes Independent 317 14.5.2 Hybrid Power Plant for Secure Renewable Supply 318 14.6 Everything will Turn Out Fine 319 A Appendix 321 A.1 Energy Units and Prefixes 321 A.2 Geographic Coordinates of Power Plants 322 A.3 Further Reading 325 References 327 Index 331

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Book SynopsisHow 5G technology can support the demands of multiple vertical industries Recent advances in technologyhave created new vertical industries that are highly dependent on the availability and reliability of data between multiple locations. The 5G system, unlike previous generations, will be entirely data drivenaddressing latency, resilience, connection density, coverage area, and other vertical industry criteria.Enabling 5G Communication Systems to Support Vertical Industriesdemonstrates how 5G communication systems can meet the needs unique to vertical industries for efficient, cost-effective delivery of service. Covering both theory and practice, this book explores solutions to problems in specific industrial sectors including smart transportation, smart agriculture, smart grid, environmental monitoring, and disaster management. The 5G communication system will have to provide customized solutions to accommodate each vertical industry's specific requirements. Whether an industry practiTable of ContentsAbout the Editors xi List of Contributors xiii Preface xvii 1 Enabling the Verticals of 5G: Network Architecture, Design and Service Optimization 1Andy Sutton 1.1 Introduction 1 1.2 Use Cases 3 1.3 5G Network Architecture 4 1.4 RAN Functional Decomposition 7 1.5 Designing a 5G Network 9 1.6 Network Latency 11 1.7 5G Network Architecture Design 13 1.8 Summary 20 Acknowledgements 21 References 21 2 Industrial Wireless Sensor Networks and 5G Connected Industries 23Mohsin Raza, Sajjad Hussain, Nauman Aslam, Hoa Le-Minh and Huan X. Nguyen 2.1 Overview 23 2.2 Industrial Wireless Sensor Networks 24 2.2.1 Wired and Wireless Networks in Industrial Environment 24 2.2.2 Transformation of WSNs for Industrial Applications 24 2.2.3 IWSN Architecture 25 2.3 Industrial Traffic Types and its Critical Nature 28 2.3.1 Safety/Emergency Traffic 28 2.3.2 Critical Control Traffic 28 2.3.3 Low-Risk Control Traffic 28 2.3.4 Periodic Monitoring Traffic 28 2.3.5 Critical Nature and Time Deadlines 29 2.4 Existing Works and Standards 30 2.4.1 Wireless Technologies 30 2.4.2 Industry-Related IEEE Standards 31 2.4.2.1 IEEE 802.15.4 31 2.4.2.2 IEEE 802.15.4e 32 2.5 Ultra-Reliable Low-Latency Communications (URLLC) in IWSNS 33 2.6 Summary 37 References 37 3 Haptic Networking Supporting Vertical Industries 41Luis Sequeira, Konstantinos Antona koglou, Maliheh Mahlouji and Toktam Mahmoodi 3.1 Tactile Internet Use Cases and Requirements 41 3.1.1 Quality of Service 42 3.1.2 Use Cases and Requirements 43 3.2 Teleoperation Systems 45 3.2.1 Classification of Teleoperation Systems 45 3.2.2 Haptic Control and Data Reduction 46 3.2.2.1 Performance of Teleoperation Control Schemes 48 3.2.2.2 Haptic Data Reduction 59 3.2.2.3 Kinesthetic Data Reduction 59 3.2.2.4 Tactile Data Reduction 62 3.2.3 Combining Control Schemes and Data Reduction 63 Acknowledgment 64 References 64 4 5G-Enhanced Smart Grid Services 75Muhammad Ismail, Islam Safak Bayram, Khalid Qaraqe and Erchin Serpedin 4.1 Introduction 75 4.2 Smart Grid Services and Communication Requirements 78 4.2.1 Smart Grid Fundamentals 78 4.2.1.1 Data Collection and Management Services 78 4.2.1.2 Control and Operation Services 81 4.2.2 Communication Requirements for Smart Grid Services 87 4.3 Smart Grid Services Supported by 5G Networks 90 4.3.1 Data Collection and Management Services 90 4.3.1.1 Data Collection Services 91 4.3.1.2 Data Management Services 95 4.3.2 Operation Decision-Making Services 96 4.3.2.1 Demand Side Management Services 96 4.3.2.2 Electric Vehicle Charging and Discharging Services 98 4.4 Summary and Future Research 99 Acknowledgment 100 References 100 5 Evolution of Vehicular Communications within the Context of 5G Systems 103Kostas Katsaros and Mehrdad Dianati 5.1 Introduction 103 5.2 Vehicular Connectivity 104 5.2.1 Cellular V2X 105 5.2.1.1 Release 14 – First C-V2X Services 105 5.2.1.2 Release 15 – First Taste of 5G 108 5.2.1.3 Release 16 – Fully-Fledged 5G 108 5.2.2 Dedicated Short Range Communication (DSRC) 110 5.2.2.1 Co-Existence 110 5.2.3 Advanced Technologies 111 5.2.3.1 Multi-Access Edge Computing 111 5.2.3.2 Network Slicing 113 5.3 Data Dissemination 114 5.3.1 Context-Aware Middleware 114 5.3.2 Heterogeneity and Interoperability 116 5.3.3 Higher Layer Communication Protocols 118 5.4 Towards Connected Autonomous Driving 121 5.4.1 Phase 1 – Awareness Driving Applications 122 5.4.2 Phase 2 – Collective Perception 122 5.4.3 Phase 3/4 – Trajectory/Manoeuvre Sharing 123 5.4.4 Phase 5 – Full Autonomy 123 5.5 Conclusions 123 References 124 6 State-of-the-Art of Sparse Code Multiple Access for Connected Autonomous Vehicle Application 127Yi Lu, Chong Han, Carsten Maple, Mehrdad Dianati and Alex Mouzakitis 6.1 Introduction 127 6.2 Sparse Code Multiple Access 130 6.3 State-of-the-Art 134 6.3.1 Codebook Design 134 6.3.2 Decoding/Detecting Techniques for SCMA 137 6.3.3 Other Research on Performance Evaluation of SCMA 138 6.4 Conclusion and Future Work 140 References 145 7 5G Communication Systems and Connected Healthcare 149David Soldani and Matteo Innocenti 7.1 Introduction 149 7.2 Use Cases and Technical Requirements 151 7.2.1 Wireless Tele Surgery 151 7.2.2 Wireless Service Robots 151 7.3 5G communication System 154 7.3.1 3GPP Technology Roadmap 154 7.3.2 5G Spectrum 155 7.3.3 5G Reference Architecture 155 7.3.4 5G Security Aspects 161 7.3.5 5G Enabling Technologies 161 7.3.5.1 5G design for Low-Latency Transmission 162 7.3.5.2 5G design for Higher-Reliability Transmission 166 7.3.6 5G Deployment Scenarios 168 7.4 Value Chain, Business Model and Business Case Calculation 170 7.4.1 Market Uptake for Robotic Platforms 171 7.4.2 Business Model and Value Chain 171 7.4.3 Business case for Service Providers 171 7.4.3.1 Assumptions 172 7.4.3.2 Business Cases Calculation 172 7.5 Conclusions 174 References 175 8 5G: Disruption in Media and Entertainment 179Stamos Katsigiannis, Wasim Ahmad and Naeem Ramzan 8.1 Multi-Channel Wireless Audio Systems for Live Production 179 8.2 Video 181 8.2.1 Video Compression Algorithms 181 8.2.1.1 HEVC: High Efficiency Video Coding 181 8.2.1.2 VP9 182 8.2.1.3 AV1: AO Media Video 1 183 8.2.2 Streaming Protocols 183 8.2.2.1 Apple HTTP Live Streaming (HLS) 183 8.2.2.2 Dynamic Adaptive Streaming over HTTP (DASH) 184 8.2.3 Video Streaming Over Mobile Networks 184 8.3 Immersive Media 185 8.3.1 Virtual Reality (VR) 186 8.3.2 Augmented Reality (AR) 186 8.3.3 360-Degree Video 187 8.3.4 Immersive Media Streaming 188 References 189 9 Towards Realistic Modelling of Drone-based Cellular Network Coverage 191Haneya Naeem Qureshi and Ali Imran 9.1 Overview of Existing Models for Drone-Based Cellular Network Coverage 192 9.2 Key Objectives and Organization of this Chapter 193 9.3 Motivation 194 9.4 System Model 194 9.5 UAV Coverage Model Development 196 9.5.1 Coverage Probability 196 9.5.2 Received Signal Strength 198 9.6 Trade-Offs between Coverage Radius, Beamwidth and Height 199 9.6.1 Coverage Radius Versus Beamwidth 199 9.6.2 Coverage Radius Versus Height 200 9.6.3 Height Versus Beamwidth 201 9.7 Impact of Altitude, Beamwidth and Radius on RSS 201 9.8 Analysis for Different Frequencies and Environments 203 9.9 Comparison of Altitude and Beamwidth to Control Coverage 204 9.10 Coverage Probability with Varying Tilt Angles and Asymmetric Beamwidths 206 9.11 Coverage Analysis with Multiple UAVs 207 9.12 Conclusion 211 Acknowledgment 211 References 211 Appendix A 213 10 Intelligent Positioning of UAVs for Future Cellular Networks 217João Pedro Battistella Nadas, Paulo Valente Klaine, Rafaela de Paula Parisotto and Richard D. Souza 10.1 Introduction 217 10.2 Applications of UAVs in Cellular Networks 218 10.2.1 Coverage in Rural Areas 218 10.2.2 Communication for Internet of Things 218 10.2.3 Flying Fronthaul /Backhaul 219 10.2.4 Aerial Edge Caching 219 10.2.5 Pop-Up Networks 219 10.2.6 Emergency Communication Networks 220 10.3 Strategies for Positioning UAVs in Cellular Network 221 10.4 Reinforcement Learning 222 10.4.1 Q-Learning 222 10.5 Simulations 223 10.5.1 Urban Model 223 10.5.2 The UAVs 224 10.5.3 Path loss 225 10.5.4 Simulation Scenario 225 10.5.5 Proposed RL Implementation 226 10.5.5.1 Simulation Results 228 10.6 Conclusion 229 References 230 11 Integrating Public Safety Networks to 5G: Applications and Standards 233Usman Raza, Muhammad Usman, Muhammad Rizwan Asghar, Imran Shafique Ansari and Fabrizio Granelli 11.1 Introduction 233 11.2 Public Safety Scenarios 235 11.2.1 In-Coverage Scenario 235 11.2.2 Out-of-Coverage Scenario 236 11.2.3 Partial-Coverage Scenario 236 11.3 Standardization Efforts 236 11.3.1 3rd Generation Partnership Project 237 11.3.1.1 Release 8 237 11.3.1.2 Release 9 237 11.3.1.3 Release 10 238 11.3.1.4 Release 11 238 11.3.1.5 Release 12 238 11.3.1.6 Release 13 240 11.3.1.7 Release 14 241 11.3.1.8 Release 15 241 11.3.2 Open Mobile Alliance 242 11.3.2.1 PTT over Cellular 242 11.3.2.2 Push to Communicate for Public Safety (PCPS) 242 11.3.3 Alliance for Telecommunication Industry Solutions 242 11.3.3.1 Energy and Utility Sector 243 11.3.3.2 Building Alarm Systems 243 11.3.3.3 PS Communications with Emergency Centers 243 11.3.3.4 Smart City Solutions 243 11.3.4 APCO Global Alliance 244 11.3.5 Groupe Speciale Mobile Association (GSMA) 244 11.4 Future Challenges and Enabling Technologies 245 11.4.1 Future challenges 246 11.4.1.1 Connectivity 246 11.4.1.2 Interoperability 246 11.4.1.3 Resource Scarceness 247 11.4.1.4 Security 247 11.4.1.5 Big Data 247 11.4.2 Enabling Technologies 248 11.4.2.1 Software-Defined Networking 248 11.4.2.2 Cognitive Radio Networks 248 11.4.2.3 Non-orthogonal Multiple Access 248 11.5 Conclusion 248 References 249 12 Future Perspectives 253Muhammad Ali Imran, Yusuf Abdulrahman Sambo and Qammer H. Abbasi 12.1 Enabling Rural Connectivity 253 12.2 Key Technologies for the Design of beyond 5G Networks 254 12.2.1 Blockchain 254 12.2.2 Terahertz Communication 255 12.2.3 LiFi 255 12.2.4 Wireless Power Transfer and Energy Harvesting 256 Index 257

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Book SynopsisThe comprehensive and authoritative guide to power electronics in renewable energy systems Power electronics plays a significant role in modern industrial automation and high- efficiency energy systems. With contributions from an international group of noted experts,Power Electronics in Renewable Energy Systems and Smart Grid: Technology and Applicationsoffers a comprehensive review of the technology and applications of power electronics in renewable energy systems and smart grids. The authors cover information on a variety of energy systems including wind, solar, ocean, and geothermal energy systems as well as fuel cell systems and bulk energy storage systems. They also examine smart grid elements, modeling, simulation, control, and AI applications. The book''s twelve chapters offer an application-oriented and tutorial viewpoint and also contain technology status review. In addition, the book contains illustrative examples of applications and discussionsTable of ContentsPreface xiii About the editor xix About the contributors xxi List of abbreviations xxxiii Chapter 1 Energy, Environment, Power Electronics, Renewable Energy Systems, and Smart Grid 1Bimal K. Bose and Fei (Fred) Wang 1.1 Introduction 1 1.2 Energy 1 1.3 Environment 4 1.3.1 Environmental Pollution by Fossil Fuels 4 1.3.2 Climate Change or Global Warming Problems 7 1.3.3 Several Beneficial Effects of Climate Change 11 1.3.4 The Kyoto Protocol and Carbon Emission Control 12 1.3.5 How Can We Solve or Mitigate Climate Change Problems? 13 1.4 Power Electronics 14 1.4.1 The Role of Power Electronics in Renewable Energy Systems and Grids 14 1.4.2 Fundamentals of Power Electronics 16 1.4.3 Power Electronics Applications 35 1.5 Renewable Energy Systems 48 1.5.1 Wind Energy Systems 50 1.5.2 PV Systems 52 1.5.3 Grid Energy Storage 53 1.6 Smart Grid 54 1.6.1 FACTS Technologies 54 1.6.2 HVDC Technologies 60 1.6.3 DC Grid and Supergrid 66 1.6.4 Power Electronics for Distribution Grids 73 1.7 Summary and Future Trends 76 Acknowledgments 78 References 78 Chapter 2 Power Semiconductor Devices for Smart Grid and Renewable Energy Systems 85Alex Q. Huang 2.1 Introduction 85 2.2 Power Semiconductor Device Operation in Power Converters 87 2.2.1 Commercially Available Power Semiconductor Devices 87 2.2.2 Modern Power Semiconductor Device Characteristics 90 2.3 State‐of‐the‐Art Power Semiconductors: A Comparison 101 2.3.1 Voltage Rating 102 2.3.2 Current Rating 103 2.3.3 Switching Frequency 108 2.3.4 Maximum Junction Temperature 114 2.4 Recent Innovations in SI Power Devices 117 2.4.1 Silicon Superjunction (SJ) MOSFET 117 2.4.2 Thin Wafer Field Stop IGBT (FS‐IGBT) 119 2.4.3 Reverse Conducting IGBT (RC‐IGBT) 123 2.4.4 Reverse Blocking IGBT 124 2.4.5 Integrated‐Gate‐Commutated Thyristor (IGCT) 124 2.5 Recent Innovations in WBG Power Devices 127 2.5.1 SiC and GaN Diodes 128 2.5.2 SiC MOSFET 131 2.5.3 Ultra High‐Voltage SiC Power Devices 135 2.5.4 GaN Heterojunction Field Effect Transistor 137 2.6 Smart Grid and Renewable Energy System Applications 138 2.7 Conclusions 144 References 144 Chapter 3 Multilevel Converters – Configuration of Circuits and Systems 153Hirofumi Akagi 3.1 Introduction 153 3.1.1 Historical Review of Multilevel Converters 153 3.1.2 Overview of Chapter 3 155 3.2 Multilevel NPC and NPP Inverters 155 3.2.1 Circuits of Three‐Level NPC and NPP Inverters 155 3.2.2 Principles of the Three‐Level NPC and NPP Inverters 156 3.2.3 Comparisons Between the Three‐Level NPC and NPP Inverters 158 3.2.4 Five‐Level NPC Inverters 160 3.3 Multilevel FLC Inverters and Hybrid FLC Inverters 161 3.3.1 Circuits of the Three‐Level and Four‐Level FLC Inverters 161 3.3.2 Principles of the Three‐Level FLC Inverter 162 3.3.3 Hybrid Four‐Level and Five‐Level FLC Inverters 162 3.4 Modular Multilevel Cascade Converters 164 3.4.1 Terminological Issue and Solution 164 3.4.2 Circuits and Individualities of Six Family Members 167 3.4.3 Topological Discussion on the DSBC and DSCC Converters 168 3.4.4 Comparisons among the Six MMCC Family Members 169 3.4.5 Circulating Current 170 3.5 Practical Applications of SSBC Inverters to Medium‐Voltage Motor Drives 171 3.6 Hierarchical Control of an SSBC‐Based STATCOM 173 3.6.1 Background and Motivation 173 3.6.2 Hierarchical Control 174 3.7 A Downscaled SSBC‐Based STATCOM With Phase‐Shifted‐Carrier PWM 176 3.7.1 System Configuration 177 3.7.2 Control Technique 179 3.7.3 Experimental Waveforms 181 3.8 Circulating Currents in DSCC Converters 183 3.8.1 Circulating Current in a Cycloconverter 184 3.8.2 Circulating Current in a Single‐Leg DSCC Inverter 185 3.8.3 Similarity and Difference in Circulating Current 186 3.9 A Downscaled DSCC‐Based BTB System 187 3.9.1 Circuit Configuration 187 3.9.2 Operating Performance under Transient States 189 3.10 Practical Applications of DSCC Converters to Grid Connections 192 3.11 Applications of DSCC and TSBC Converters to Motor Drives 193 3.11.1 DSCC‐based Motor Drive Systems 193 3.11.2 Experimental Motor Drives Using a DSCC Inverter and a TSBC Converter 195 3.11.3 Comparisons in Start‐up Performance when the 50 Hz Induction Motor was Driven 198 3.11.4 Operation of the DSCC‐Driven 50 Hz Motor and the TSBC‐Driven 38 Hz Motor at the Rated Frequency and Torque 202 3.11.5 Four‐Quadrant Operation of the TSBC‐driven 38 Hz Motor at No Load Torque 204 3.11.6 Discussion of the Two Motor Drives 204 3.12 Distributed Dynamic Braking of a DSCC‐FED Induction Motor Drive 204 3.12.1 Background and Motivation 206 3.12.2 Circuit and System Configurations 206 3.12.3 Experimental Verification 210 3.13 Practical Applications of DSCC Inverters to Medium‐Voltage Motor Drives 212 3.14 Future Scenarios and Conclusion 213 References 214 Chapter 4 Multilevel Converters – Control and Operation in Industrial Systems 219Jose I. Leon, Sergio Vazquez and Leopoldo G. Franquelo 4.1 Introduction 219 4.2 Summary of Multilevel Converter Topologies 221 4.3 Control Structure of Multilevel Power Converters 223 4.3.1 The Outer Control Loop (Stage 1) 225 4.3.2 The Inner Control Loop (Stage 2) 225 4.3.3 The Zero‐Sequence Injection (Stage 3) 226 4.3.4 The In‐phase Balancing Strategy (Stage 3) 227 4.4 Modulation Methods for Multilevel Power Converters (Stage 4) 227 4.4.1 Carrier‐Based Modulation Techniques 228 4.4.2 Space‐vector Based Modulation Methods 242 4.4.3 Pseudo‐Modulation Techniques and Control Methods with Implicit Modulator 243 4.5 Applications of Multilevel Power Converters 245 4.5.1 Grid‐connected Multilevel Converters for the Integration of Renewable Energy Sources 245 4.5.2 Power Quality Applications 248 4.5.3 Motor Drive Applications 250 4.5.4 HVDC Transmission Systems 251 4.6 Additional Practical Challenges of Multilevel Converters 257 4.7 Future Perspective of Multilevel Converters and Conclusions 258 References 259 Chapter 5 Flexible Transmission and Resilient Distribution Systems Enabled by Power Electronics 271Fang Z. Peng and Jin Wang 5.1 Introduction 271 5.2 FACTS Configurations in the Smart Grid 279 5.2.1 Shunt Compensation 281 5.2.2 Series Compensation 284 5.2.3 Shunt‐Series Configuration 285 5.2.4 Back‐to‐Back Configuration 286 5.3 RACDS Configurations in the Smart Grid 287 5.3.1 RACDS: Microgrids 287 5.3.2 RACDS: Controllable Distribution Network 289 5.3.3 RACDS: Meshed Distribution Systems 290 5.4 Evolution of FACTS and RACDS 291 5.4.1 Traditional FACTS and RACDS 291 5.4.2 Modern FACTS and RACDS 293 5.5 FACTS and RACDS Installations 298 5.5.1 Traditional FACTS Installations 298 5.5.2 Modern FACTS Installations 299 5.5.3 RACDS Installations 301 5.6 Future Perspectives 301 5.6.1 Transformerless Unified Power Flow Controller 301 5.6.2 Compact Dynamic Phase‐Angle Regulator 303 5.6.3 Distributed FACTS 303 5.6.4 Power Regulator for Parallel Feeders 305 5.6.5 High Power Density CMIs 307 5.7 Conclusion 309 Acknowledgments 310 References 310 Chapter 6 Renewable Energy Systems with Wind Power 315Frede Blaabjerg and Ke Ma 6.1 Overview of Wind Power Generation and Power Electronics 315 6.2 Technology Challenges and Driving Forces in this Field 318 6.2.1 Low Levelized Cost of Energy (LCOE) 318 6.2.2 Complex Mission Profiles 320 6.2.3 Strict Grid Codes 322 6.2.4 Increasing Reliability Requirements 325 6.3 Wind Turbine Concepts and Power Electronics Converters 326 6.3.1 Wind Turbine Concepts 326 6.3.2 Power Electronics Converters in Wind Power Applications 328 6.4 Control of Wind Turbine Systems 333 6.5 Power Electronics for Multiple Wind Turbines and Wind Farms 336 6.6 Conclusion 340 References 341 Chapter 7 Photovoltaic Energy Systems 347Mariusz Malinowski, Jose I. Leon and Haitham Abu‐Rub 7.1 Introduction 347 7.2 Thermal and PV Solar Energy Systems 351 7.3 The Solar Cell 354 7.4 Solar PV System Costs 357 7.4.1 Incentives for More Investments in PV Systems 361 7.5 General Scheme for a Solar PV System 362 7.6 Grid‐Connected PV Systems 363 7.6.1 Utility‐scale PV Power Plants 364 7.6.2 Residential and Industrial PV Applications 366 7.6.3 Low‐power PV Systems 371 7.7 Control of Grid‐Connected PV Systems 372 7.8 Stand‐Alone PV Systems 374 7.9 Energy Storage Systems for PV Applications 379 7.10 Operational Issues for PV Systems 381 7.11 Conclusions 385 References 386 Chapter 8 Ocean and Geothermal Renewable Energy Systems 391Annette von Jouanne and Ted K.A. Brekken 8.1 Introduction 391 8.2 Wave Energy 392 8.2.1 Resource Characteristics 392 8.2.2 Wave Energy Conversion Technologies and Resource Characterization 394 8.2.3 Power Electronics and Control 397 8.2.4 Autonomous Applications 401 8.2.5 Cost 403 8.2.6 Rotating Machines in Marine Energy Converters 405 8.2.7 Unique Testing Opportunity for Wave Energy Converters 406 8.3 Ocean Thermal Energy Conversion 411 8.3.1 Resource Characteristics 412 8.3.2 OTEC Technologies 413 8.3.3 Open‐cycle OTEC 414 8.3.4 Closed‐cycle OTEC 415 8.3.5 OTEC Generator Grid Interface 415 8.3.6 Cost 416 8.4 Tidal and Ocean Currents 417 8.4.1 Resource Characteristics 418 8.4.2 Tidal Barrage, Tidal Current, and Ocean Current Technologies 420 8.4.3 Power Electronics and Grid Interface 422 8.4.4 Cost 425 8.5 Geothermal Energy Systems 426 8.5.1 Resource Characteristics 428 8.5.2 Geothermal Power Plant Technologies 429 8.5.3 Dry Steam 431 8.5.4 Flash Steam 431 8.5.5 Binary Cycle 432 8.5.6 Geothermal Generator Grid Interface 432 8.5.7 Cost 433 8.6 Conclusion 434 Acknowledgment 435 References 435 Chapter 9 Fuel Cells and Their Applications in Energy Systems 443Jih‐Sheng (Jason) Lai and Michael W. Ellis 9.1 Introduction 443 9.2 Different Fuel Cell Technologies 446 9.2.1 Low‐temperature Fuel Cells 447 9.2.2 High‐temperature Fuel Cells 453 9.3 Fuel Cell Applications 457 9.3.1 Transportation Applications 457 9.3.2 Stationary Power Generation Applications 460 9.4 Electrical Characteristics 462 9.4.1 Steady‐state Operation 462 9.4.2 Dynamic Operation 465 9.4.3 Dynamic Operation with a Paralleled Ultracapacitor 468 9.5 Fuel Cell Power System Architecture 468 9.5.1 Balance‐of‐Plant 468 9.5.2 Fuel Cell DC Power Systems 469 9.5.3 Grounding Requirement for Fuel Cell AC Power Systems 471 9.6 Power Electronics for Fuel Cell Applications 472 9.6.1 DC‐DC Converters 472 9.6.2 DC‐AC Inverter 479 9.6.3 Double‐Line Frequency Issues 484 9.7 Summary 485 References 486 Chapter 10 Grid Energy Storage Systems 495Marcelo G. Molina 10.1 Introduction 495 10.2 Smart Grid Applications of Energy Storage 500 10.3 Energy Storage Technologies 506 10.3.1 Mechanical Energy Storage 507 10.3.2 Electrical Energy Storage 518 10.3.3 Electrochemical Energy Storage 529 10.3.4 Chemical Energy Storage 547 10.3.5 Thermal Energy Storage 552 10.4 Assessment of Energy Storage Technologies 555 10.5 Power Conditioning System for Interfacing Energy Storage Technologies with the Smart Grid 565 10.6 Conclusion 572 References 574 Chapter 11 Smart Grid Simulations and Control 585Aranya Chakrabortty and Anjan Bose 11.1 Introduction 585 11.2 Simulation Models 586 11.2.1 Synchronous Generators 588 11.2.2 Models of Renewable Energy Sources 589 11.2.3 Transmission Line Models 591 11.2.4 Load Models 591 11.3 Current Approach for Smart Grid Simulation 592 11.3.1 Power Flow Analysis 592 11.3.2 Dynamic Simulations 593 11.3.3 Economic Dispatch and OPF 593 11.3.4 Fault Analysis 594 11.3.5 Load Frequency Control 594 11.3.6 Operator Training Simulator 594 11.3.7 Reliability Modeling and Simulation 594 11.3.8 Simulation of Power Markets 595 11.4 Challenges for Grid Simulation 595 11.4.1 Structural Properties 596 11.4.2 Scalability 596 11.4.3 Model Validation 596 11.4.4 Model Aggregation 597 11.4.5 Role of Power Electronics 597 11.4.6 Co‐simulation of T&D Models 598 11.4.7 Co‐Simulation of Infrastructures 599 11.4.8 Cyber‐Physical Modeling and Simulations 601 11.5 Next‐Generation Grid Control Systems 605 11.5.1 Wide‐area Control 605 11.5.2 Cyber‐Physical Challenges for Wide‐area Control 608 11.5.3 Scheduling Protocols 612 11.5.4 Co‐designing Wide‐area Control in Tandem with Communication Protocols 613 11.5.5 Plug‐and‐play Control of DERs 615 11.5.6 Distributed Load Frequency Control 616 11.5.7 Inner‐loop + Outer‐loop Hierarchical Control 617 11.6 Experimental Testbeds for Simulations and Control 618 11.7 Conclusions 619 References 620 Chapter 12 Artificial Intelligence Applications in Renewable Energy Systems and Smart Grid – Some Novel Applications 625Bimal K. Bose 12.1 Introduction 625 12.2 Expert Systems 627 12.2.1 Expert System Principles 627 12.2.2 Expert System‐Based Control of Smart Grid 631 12.3 Fuzzy Logic 636 12.3.1 Fuzzy Inference System Principles 637 12.3.2 Fuzzy Logic Control of a Modern Wind Generation System 644 12.4 Neural Networks 650 12.4.1 Neural Network Principles 650 12.4.2 Neural Network Applications 662 12.5 Conclusion 672 Acknowledgment 673 References 673 Index 677

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Book SynopsisThe definitive leadership guide on safe practices The release of chemicals and other hazardous materials pose significant, potentially catastrophic threats worldwide. An alarming number of such events, all of which are preventable, occur too often. Reducing the frequency of serious incidents is a fundamental responsibility of leadership at all levels, from frontline managers and supervisors to C-suite executives and the board of directors as well.Process Safety Leadership from the Boardroom to the Frontlineis a practical, authoritative guide that clearly demonstrates how to create a viable culture of safety within an organization, implement and maintain disciplined management systems, and address the risks of process safety deficiencies. The most important factor in any management system is leadership. For chemical process safety management, effective and informed leadership provides direction, reinforces commitment, and drives responsibility. Written by experts from the Center for Table of ContentsAcronyms and Abbreviations xi Acknowledgements xiii Nomenclature and Style xv Preface xvii Executive Summary xix How to Use this Book xxv 1 The Business Case for Process Safety 1 1.1 Corporate Social Responsibility 2 1.2 Business Flexibility 4 1.3 Loss Prevention 5 1.4 Sustainable Growth 7 1.5 Leadership Excellence 9 1.6 Summary 9 1.7 References 10 1.8 Incidents Represented in Figure 1.2 12 2 Leading and Managing Process Safety 13 2.1 Process Safety Definition 13 2.2 How Process Safety Works: Risk Reduction and Risk Management to Eliminate Accidents 22 2.3 Learning from Incidents 25 2.4 Personal Leadership Accountability 30 2.5 Downturns and Boom Times: Special Process Safety Leadership Challenges 34 2.6 Compliance: Required but not Enough 39 2.7 Management Systems: Helpful but not Sufficient 43 2.8 References 44 3 Leadership Attributes 47 3.1 Creating a Shared Vision 48 3.1.1 Establish the Imperative for Process Safety 48 3.1.2 Reflect the Imperative in Your Words and Actions 51 3.1.3 Drive the Imperative Throughout the Organization 54 3.1.4 Earn the Social License to Operate 57 3.2 Develop and Maintain Knowledge and Competence 60 3.2.1 Personal Knowledge and Competence 60 3.2.2 Develop and Empower Others 64 3.3 Show Integrity and Commitment 71 3.3.1 Courage and Conviction 71 3.3.2 Accountability 73 3.3.3 Responsiveness 76 3.3.4 Consistency 78 3.4 Communicate with Inspiration 80 3.4.1 Stay Connected and Visible 80 3.4.2 Influence and Drive Process Safety Culture 83 3.5 References 91 4 Leadership of the Process Safety Management System 93 4.1 Identify Required Barriers 94 4.1.1 Start with Risk Criteria and a Risk Matrix 95 4.1.2 Analyze Hazards and Risks 98 4.1.3 Identify Required Barriers 101 4.2 Manage Barriers 102 4.2.1 Conduct of Operations and Operational Discipline 102 4.2.2 Standards 110 4.2.3 Asset Integrity and Mechanical Integrity 113 4.2.4 Operating Procedures and Safe Work Practices 116 4.2.5 Management of Change 118 4.2.6 Emergency Management – Preparation and Response 123 4.3 Manage Competency (Organizational Capability) 127 4.3.1 Competency 128 4.3.2 Effective Training 130 4.3.3 Process Knowledge Management 133 4.3.4 Contractor Management 135 4.4 Verify Performance and Improve 139 4.4.1 Audits 139 4.4.2 Metrics 141 4.4.3 Incident Investigation and Resulting Actions 143 4.4.4 Management Review and Continual Improvement 146 4.5 Build and Strengthen Culture 151 4.5.1 Introduction to Culture 151 4.5.2 Workforce Involvement 152 4.5.3 Stakeholder Outreach 155 4.6 Summary 158 4.7 References 159 5 Leadership Roles and Accountabilities 161 Table 5.1 Executive Leadership Role 164 Table 5.2 Operations Leadership Role 166 Table 5.3 Engineering Leadership Role 168 Table 5.4 EH & S Leadership Role 170 Table 5.5 Research and Development (R & D) Leadership Role 172 Table 5.6 Purchasing Leadership Role 174 Table 5.7 Human Resources Leadership Role 176 Table 5.8 Plant Superintendent Role 178 Table 5.9 Maintenance Leadership Role 180 Table 5.10 Plant Engineer Role 182 Table 5.11 Plant Operator Role 184 Table 5.12 Maintenance Technician Role 187 Table 5.13 Process Safety Specialist Role 189 6 Deploying Process Safety Leadership Accountability and Responsibility 191 Table 6.1 Corporate Process Safety Leadership Team RACI Matrix 193 Table 6.2 Operations Leadership Team RACI Matrix 197 7 Make it Happen 201 7.1 References 207 Index 209

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Book SynopsisBuild your knowledge of SAR/ISAR imaging with this comprehensive and insightful resource The newly revised Second Edition of Inverse Synthetic Aperture Radar Imaging with MATLAB Algorithms covers in greater detail the fundamental and advanced topics necessary for a complete understanding of inverse synthetic aperture radar (ISAR) imaging and its concepts. Distinguished author and academician, Caner Özdemir, describes the practical aspects of ISAR imaging and presents illustrative examples of the radar signal processing algorithms used for ISAR imaging. The topics in each chapter are supplemented with MATLAB codes to assist readers in better understanding each of the principles discussed within the book. This new edition incudes discussions of the most up-to-date topics to arise in the field of ISAR imaging and ISAR hardware design. The book provides a comprehensive analysis of advanced techniques like Fourier-based radar imaging algorithms, and motion comTable of ContentsPreface to the Second Edition xvi Acknowledgments xix Acronyms xx 1 Basics of Fourier Analysis 1 1.1 Forward and Inverse Fourier Transform 1 1.1.1 Brief History of FT 1 1.1.2 Forward FT Operation 2 1.1.3 IFT 3 1.2 FT Rules and Pairs 3 1.2.1 Linearity 3 1.2.2 Time Shifting 3 1.2.3 Frequency Shifting 4 1.2.4 Scaling 4 1.2.5 Duality 4 1.2.6 Time Reversal 4 1.2.7 Conjugation 4 1.2.8 Multiplication 4 1.2.9 Convolution 5 1.2.10 Modulation 5 1.2.11 Derivation and Integration 5 1.2.12 Parseval’s Relationship 5 1.3 Time-Frequency Representation of a Signal 5 1.3.1 Signal in the Time Domain 6 1.3.2 Signal in the Frequency Domain 6 1.3.3 Signal in the Joint Time-Frequency (JTF) Plane 7 1.4 Convolution and Multiplication Using FT 11 1.5 Filtering/Windowing 12 1.6 Data Sampling 14 1.7 DFT and FFT 16 1.7.1 DFT 16 1.7.2 FFT 17 1.7.3 Bandwidth and Resolutions 17 1.8 Aliasing 19 1.9 Importance of FT in Radar Imaging 19 1.10 Effect of Aliasing in Radar Imaging 23 1.11 Matlab Codes 26 References 33 2 Radar Fundamentals 35 2.1 Electromagnetic Scattering 35 2.2 Scattering from PECs 38 2.3 Radar Cross Section 39 2.3.1 Definition of RCS 40 2.3.2 RCS of Simple-Shaped Objects 43 2.3.3 RCS of Complex-Shaped Objects 44 2.4 Radar Range Equation 44 2.4.1 Bistatic Case 46 2.4.2 Monostatic Case 49 2.5 Range of Radar Detection 50 2.5.1 Signal-to-Noise Ratio 51 2.6 Radar Waveforms 53 2.6.1 Continuous Wave 53 2.6.2 Frequency-Modulated Continuous Wave 56 2.6.3 Stepped-Frequency Continuous Wave 59 2.6.4 Short Pulse 61 2.6.5 Chirp (LFM) Pulse 62 2.7 Pulsed Radar 69 2.7.1 Pulse Repetition Frequency 69 2.7.2 Maximum Range and Range Ambiguity 69 2.7.3 Doppler Frequency 70 2.8 Matlab Codes 74 References 82 3 Synthetic Aperture Radar 85 3.1 SAR Modes 86 3.2 SAR System Design 87 3.3 Resolutions in SAR 88 3.4 SAR Image Formation 91 3.5 Range Compression 92 3.5.1 Matched Filter 92 3.5.1.1 Computing Matched Filter Output via Fourier Processing 95 3.5.1.2 Example for Matched Filtering 96 3.5.2 Ambiguity Function 99 3.5.2.1 Relation to Matched Filter 100 3.5.2.2 Ideal Ambiguity Function 101 3.5.2.3 Rectangular-Pulse Ambiguity Function 102 3.5.2.4 LFM-Pulse Ambiguity Function 102 3.5.3 Pulse Compression 105 3.5.3.1 Detailed Processing of Pulse Compression 105 3.5.3.2 Bandwidth, Resolution, and Compression Issues for LFM Signal 109 3.5.3.3 Pulse Compression Example 110 3.6 Azimuth Compression 110 3.6.1 Processing in Azimuth 110 3.6.2 Azimuth Resolution 116 3.6.3 Relation to ISAR 117 3.7 SAR Imaging 118 3.8 SAR Focusing Algorithms 118 3.8.1 RDA 119 3.8.1.1 Range Compression in RDA 120 3.8.1.2 Azimuth Fourier Transform 126 3.8.1.3 Range Cell Migration Correction 128 3.8.1.4 Azimuth Compression 129 3.8.1.5 Simulated SAR Imaging Example 130 3.8.1.6 Drawbacks of RDA 133 3.8.2 Chirp Scaling Algorithm 133 3.8.3 The ω-kA 133 3.8.4 Back-Projection Algorithm 134 3.9 Example of a Real SAR Imagery 135 3.10 Problems in SAR Imaging 136 3.10.1 Range Migration and Range Walk 136 3.10.2 Motion Errors 137 3.10.3 Speckle Noise 140 3.11 Advanced Topics in SAR 140 3.11.1 SAR Interferometry 140 3.11.2 SAR Polarimetry 142 3.12 Matlab Codes 143 References 158 4 Inverse Synthetic Aperture Radar Imaging and Its Basic Concepts 162 4.1 SAR versus ISAR 162 4.2 The Relation of Scattered Field to the Image Function in ISAR 166 4.3 One-Dimensional (1D) Range Profile 167 4.4 1D Cross-Range Profile 172 4.5 Two-Dimensional (2D) ISAR Image Formation (Small Bandwidth, Small Angle) 176 4.5.1 Resolutions in ISAR 180 4.5.1.1 Range Resolution 181 4.5.1.2 Cross-Range Resolution: 181 4.5.2 Range and Cross-Range Extends 181 4.5.3 Imaging Multibounces in ISAR 182 4.5.4 Sample Design Procedure for ISAR 185 4.5.4.1 ISAR Design Example #1: “Aircraft Target” 189 4.5.4.2 ISAR Design Example #2: “Military Tank Target” 193 4.6 2D ISAR Image Formation (Wide Bandwidth, Large Angles) 197 4.6.1 Direct Integration 198 4.6.2 Polar Reformatting 201 4.7 3D ISAR Image Formation 205 4.7.1 Range and Cross-Range resolutions 209 4.7.2 A Design Example for 3D ISAR 210 4.8 Matlab Codes 217 References 243 5 Imaging Issues in Inverse Synthetic Aperture Radar 246 5.1 Fourier-Related Issues 246 5.1.1 DFT Revisited 246 5.1.2 Positive and Negative Frequencies in DFT 250 5.2 Image Aliasing 252 5.3 Polar Reformatting Revisited 255 5.3.1 Nearest Neighbor Interpolation 255 5.3.2 Bilinear Interpolation 258 5.4 Zero Padding 260 5.5 Point Spread Function 264 5.6 Windowing 269 5.6.1 Common Windowing Functions 269 5.6.1.1 Rectangular Window 269 5.6.1.2 Triangular Window 269 5.6.1.3 Hanning Window 272 5.6.1.4 Hamming Window 272 5.6.1.5 Kaiser Window 272 5.6.1.6 Blackman Window 276 5.6.1.7 Chebyshev Window 277 5.6.2 ISAR Image Smoothing via Windowing 277 5.7 Matlab Codes 280 References 304 6 Range-Doppler Inverse Synthetic Aperture Radar Processing 306 6.1 Scenarios for ISAR 306 6.1.1 Imaging Aerial Targets via Ground-Based Radar 307 6.1.2 Imaging Ground/Sea Targets via Aerial Radar 309 6.2 ISAR Waveforms for Range-Doppler Processing 312 6.2.1 Chirp Pulse Train 312 6.2.2 Stepped Frequency Pulse Train 314 6.3 Doppler Shift’s Relation to Cross-Range 316 6.3.1 Doppler Frequency Shift Resolution 317 6.3.2 Resolving Doppler Shift and Cross-Range 318 6.4 Forming the Range-Doppler Image 319 6.5 ISAR Receiver 320 6.5.1 ISAR Receiver for Chirp Pulse Radar 320 6.5.2 ISAR Receiver for SFCW Radar 321 6.6 Quadrature Detection 323 6.6.1 I-Channel Processing 324 6.6.2 Q-Channel Processing 324 6.7 Range Alignment 326 6.8 Defining the Range-Doppler ISAR Imaging Parameters 327 6.8.1 Image Frame Dimension (Image Extends) 327 6.8.2 Range and Cross-Range Resolution 328 6.8.3 Frequency Bandwidth and the Center Frequency 328 6.8.4 Doppler Frequency Bandwidth 328 6.8.5 Pulse Repetition Frequency 329 6.8.6 Coherent Integration (Dwell) Time 329 6.8.7 Pulse Width 330 6.9 Example of Chirp Pulse-Based Range-Doppler ISAR Imaging 331 6.10 Example of SFCW-Based Range-Doppler ISAR Imaging 336 6.11 Matlab Codes 339 References 347 7 Scattering Center Representation of Inverse Synthetic Aperture Radar 349 7.1 Scattering/Radiation Center Model 350 7.2 Extraction of Scattering Centers 352 7.2.1 Image Domain Formulation 352 7.2.1.1 Extraction in the Image Domain: The “CLEAN” Algorithm 352 7.2.1.2 Reconstruction in the Image Domain 355 7.2.2 Fourier Domain Formulation 362 7.2.2.1 Extraction in the Fourier Domain 362 7.2.2.2 Reconstruction in the Fourier Domain 364 7.3 Matlab Codes 368 References 382 8 Motion Compensation for Inverse Synthetic Aperture Radar 385 8.1 Doppler Effect Due to Target Motion 386 8.2 Standard MOCOMP Procedures 388 8.2.1 Translational MOCOMP 389 8.2.1.1 Range Tracking 389 8.2.1.2 Doppler Tracking 390 8.2.2 Rotational MOCOMP 390 8.3 Popular ISAR MOCOMP Techniques 392 8.3.1 Cross-Correlation Method 392 8.3.1.1 Example for the Cross-Correlation Method 394 8.3.2 Minimum Entropy Method 398 8.3.2.1 Definition of Entropy in ISAR Images 398 8.3.2.2 Example for the Minimum Entropy Method 399 8.3.3 JTF-Based MOCOMP 402 8.3.3.1 Received Signal from a Moving Target 403 8.3.3.2 An Algorithm for JTF-Based Rotational MOCOMP 404 8.3.3.3 Example for JTF-Based Rotational MOCOMP 406 8.3.4 Algorithm for JTF-Based Translational and RotationalMOCOMP 408 8.3.4.1 A Numerical Example 410 8.4 Matlab Codes 415 References 436 9 Bistatic ISAR Imaging 440 9.1 Why Bi-ISAR Imaging? 440 9.2 Geometry for Bi-Isar Imaging and the Algorithm 444 9.2.1 Bi-ISAR Imaging Algorithm for a Point Scatterer 444 9.2.2 Bistatic ISAR Imaging Algorithm for a Target 448 9.3 Resolutions in Bistatic ISAR 449 9.3.1 Range Resolution 449 9.3.2 Cross-Range Resolution 450 9.3.3 Range and Cross-Range Extends 451 9.4 Design Procedure for Bi-ISAR Imaging 452 9.5 Bi-Isar Imaging Examples 455 9.5.1 Bi-ISAR Design Example #1 455 9.5.2 Bi-ISAR Design Example #2 457 9.6 Mu-ISAR Imaging 465 9.6.1 Challenges in Mu-ISAR Imaging 467 9.6.2 Mu-ISAR Imaging Example 468 9.7 Matlab Codes 472 References 483 10 Polarimetric ISAR Imaging 484 10.1 Polarization of an Electromagnetic Wave 484 10.1.1 Polarization Type 485 10.1.2 Polarization Sensitivity 486 10.1.3 Polarization in Radar Systems 487 10.2 Polarization Scattering Matrix 488 10.2.1 Relation to RCS 490 10.2.2 Polarization Characteristics of the Scattered Wave 491 10.2.3 Polarimetric Decompositions of EM Wave Scattering 493 10.2.4 The Pauli Decomposition 494 10.2.4.1 Description of Pauli Decomposition 494 10.2.4.2 Interpretation of Pauli Decomposition 495 10.2.4.3 Polarimetric Image Representation Using Pauli Decomposition 496 10.3 Why Polarimetric ISAR Imaging? 497 10.4 ISAR Imaging with Full Polarization 497 10.4.1 ISAR Data in LP Basis 497 10.4.2 ISAR Data in CP Basis 498 10.5 Polarimetric ISAR Images 499 10.5.1 Pol-ISAR Image of a Benchmark Target 499 10.5.1.1 The “SLICY” Target 499 10.5.1.2 Fully Polarimetric EM Simulation of SLICY 499 10.5.1.3 LP Pol-ISAR Images of SLICY 500 10.5.1.4 CP Pol-ISAR Images of SLICY 502 10.5.1.5 Pauli Decomposition Image of SLICY 503 10.5.2 Pol-ISAR Image of a Complex Target 507 10.5.2.1 The “Military Tank” Target 507 10.5.2.2 Fully Polarimetric EM Simulation of “Tank” Target 508 10.5.2.3 LP Pol-ISAR Images of “Tank” Target 508 10.5.2.4 CP Pol-ISAR Images of “Tank” Target 510 10.5.2.5 Pauli Decomposition Image of “Tank” Target 512 10.6 Feature Extraction from Polarimetric Images 515 10.7 Matlab Codes 515 References 529 11 Near-Field ISAR Imaging 533 11.1 Definitions of Far and Near-Field Regions 534 11.1.1 The Far-Field Region 534 11.1.1.1 The Far-Field Definition Based on Target’s Cross-Range Extend 534 11.1.1.2 The Far-Field Definition Based on Target’s Range Extend 535 11.1.2 The Near-Field Region 537 11.2 Near-Field Signal Model for the Back-Scattered Field 537 11.3 Near-Field ISAR Imaging Algorithms 540 11.3.1 “Focusing Operator” Algorithm 540 11.3.2 Back-Projection Algorithm 541 11.3.2.1 Fourier Slice Theorem 542 11.3.2.2 BPA Formulation (3D Case) 543 11.3.2.3 BPA Formulation (2D Case) 544 11.4 Data Sampling Criteria and the Resolutions 546 11.5 Near-Field ISAR Imaging Examples 547 11.5.1 Point Scatterers in the Near-Field: Comparison of Far- and Near-Field Imaging Algorithms 547 11.5.2 Near-Field ISAR Imaging of a Large Object 552 11.5.3 Near-Field ISAR Imaging of a Small Object 555 11.6 Matlab Codes 560 References 569 12 Some Imaging Applications Based on SAR/ISAR 571 12.1 Imaging Subsurface Objects: GPR-SAR 572 12.1.1 The GPR Problem 572 12.1.2 B-Scan GPR in Comparison to Strip-Map SAR 577 12.1.3 Focused GPR Images Using SAR 577 12.1.3.1 GPR Focusing with ω-k Algorithm (ω-kA) 579 12.1.3.2 GPR Focusing with BPA 582 12.1.3.3 Other Popular GPR Focusing Techniques 589 12.2 Thru-the-Wall Imaging Radar Using SAR 590 12.2.1 Challenges in TWIR 591 12.2.2 Techniques to Improve Cross-Range Resolution in TWIR 591 12.2.3 The Use of SAR in TWIR 592 12.2.4 Example of SAR-Based TWIR 594 12.3 Imaging Antenna-Platform Scattering: ASAR 596 12.3.1 The ASAR Imaging Algorithm 597 12.3.2 Numerical Example for ASAR Imagery 603 12.4 Imaging Platform Coupling Between Antennas: ACSAR 605 12.4.1 The ACSAR Imaging Algorithm 606 12.4.2 Numerical Example for ACSAR 609 12.4.3 Applying ACSAR Concept to the GPR Problem 611 References 615 Appendix 619 Index 628

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Book SynopsisExplore Modern Communications and Understand Principles of Operations, Appropriate Technologies, and Elements of Design of Communication Systems Modern society requires a different set of communication systems than has any previous generation. To maintain and improve the contemporary communication systems that meet ever-changing requirements, engineers need to know how to recognize and solve cardinal problems. InEssentials of Modern Communications, readers will learn how modern communication has expanded and will discover where it is likely to go in the future. By discussing the fundamental principles, methods, and techniques used in various communication systems, this book helps engineers assess, troubleshoot, and fix problems that are likely to occur. In this reference, readers will learn about topics like: How communication systems respond in time and frequency domainsPrinciples of analog and digital modulationsApplication of spectral analysis to modern communication systems baseTable of ContentsAbout the Authors xxi Preface xxiii Acknowledgments xxvii 1 Modern Communications: What It Is? 1 Objectives and Outcomes of Chapter 1 1 1.1 What and Why of Modern Communications 4 Objectives and Outcomes of Section 1.1 4 1.1.1 What is Modern Communications? 5 1.1.2 General Block Diagram of a Communication System 6 1.1.3 Operation of a Communication System 7 1.1.4 Why DoWe Need Modern Communications? 8 1.1.5 From Today to Tomorrow – Two Examples 9 1.1.5.1 The Internet of Things (IoT) 10 1.1.5.2 Data Centers 12 Questions and Problems for Section 1.1 13 1.2 Communication Technology on a Fast Track 16 Objectives and Outcomes of Section 1.2 16 Sidebar 1.2.S.1 Brief Notes on History of Telegraph, Telephone, Radio, and Television 22 1.2.1 The Internet 28 1.2.1.1 Basics of Networks 28 1.2.1.2 The Internet: From a Point-to-Point Link to a Network of Networks 37 1.2.2 Optical Communications 42 1.2.2.1 Introduction to Optical Communications 43 1.2.2.2 Developments in Optical Communications: From First Inventions to Modern Advances 46 1.2.3 Wireless Communications 49 1.2.3.1 Introduction to Wireless Communications 49 1.2.3.2 Contemporary Wireless Communications Technologies 54 1.2.3.3 Mobile Cellular Communications 57 1.2.4 Satellite Communications 59 1.2.4.1 Historical Notes 59 1.2.4.2 Principle of Operation of Satellite Communication Systems 60 1.2.4.3 Satellite Orbits 62 Questions and Problems for Section 1.2 67 1.3 Fundamental Laws and Principles of Modern Communications 75 1.3.1 Fundamental Laws of Modern Communications 75 1.3.1.1 Hartley’s Information Law 75 1.3.1.2 Signal Bandwidth and Transmission Bandwidth from the Transmission Standpoint 76 1.3.1.3 Bandwidth and Bit Rate, Nyquist’s Formula, and Hartley’s Capacity Law 77 1.3.1.4 Shannon’s Law (Limit) 79 1.3.1.5 More Clarifications of the Shannon Law 82 1.3.1.6 The Shannon Law for Digital Communications 83 1.3.2 Fundamental Principles of Modern Communications 86 1.3.2.1 Channel Capacity, Bandwidth, and Carrier Frequency 86 1.3.2.2 Bandwidth-Length Product 90 1.3.2.3 Power-Bandwidth Trade-Off 91 1.3.2.4 Spectral Efficiency and Transmission Technology 92 1.3.2.5 Bit Rate vs. Bandwidth in Digital Transmission 93 1.3.3 Laws, Principles, and Models – Importance, Limitations, and Applications 94 1.3.3.1 Limitations and Applications of the Laws and Principles 94 1.3.3.2 Models 96 1.3.3.3 Modeling and Simulation 98 Questions and Problems for Section 1.3 99 2 Analog Signals and Analog Transmission 103 Objectives and Outcomes of Chapter 2 103 2.1 Analog Signals – Basics 104 Objectives and Outcomes of Section 2.1 104 2.1.1 Definitions 104 2.1.1.1 Waveforms 104 2.1.1.2 Analog and Digital Signals 108 2.1.2 Sinusoidal Signal 110 2.1.2.1 The Waveform of a Sinusoidal Signal 110 2.1.2.2 Period and Frequency 111 2.1.2.3 Frequency, Radian (Angular) Frequency and Angle 115 2.1.2.4 Phase Shift (Initial Phase) 117 2.1.2.5 Amplitude 121 Questions and Problems for Section 2.1 125 2.2 Analog Signals – Introduction 129 Objectives and Outcomes of Section 2.2 129 2.2.1 More About a Sinusoidal Signal 130 2.2.1.1 Considering All Three Parameters – the Formula for a Sinusoidal Signal 130 2.2.1.2 The Phase of a Sinusoidal Signal: a Detailed Look 132 2.2.1.3 Cosine and Sine Signals 138 Sidebar 2.2.S.1 Phasor and Sinusoidal Signal 139 Sidebar 2.2.S.2 Signal and Function 146 2.2.2 Frequency Domain and Bandwidth 151 2.2.2.1 Frequency Domain 151 2.2.2.2 Cosine and Sine Signals in Frequency Domain 151 2.2.2.3 Bandwidth 156 2.2.2.4 Bandwidth: a Sophisticated Entity 159 Questions and Problems for Section 2.2 162 2.3 Analog Signals – Advanced Study 167 Objectives and Outcomes of Section 2.3 167 2.3.1 Revisiting the Waveforms 168 2.3.1.1 More about Waveforms 168 2.3.1.2 Waveform and Signal’s Power 174 2.3.2 Waveforms and Phasors 178 2.3.2.1 Practically Realizable Waveforms 178 2.3.2.2 Phasors and Phasor Diagrams 178 2.3.2.3 Waveforms and Phasors for a Resistor, an Inductor, and a Capacitor 181 2.3.2.4 Impedances and Phasors 185 Questions and Problems for Section 2.3 189 2.3.A Mathematical Foundation of Phasor Presentation 191 2.3.A.1 Phasors and Complex Numbers 191 2.3.A.2 Applications of Phasor Presentation to the Analysis of Electronic Communications Circuitry 195 2.3.A.2.1 Summation of Signals 195 Optional: Questions and Problems for Appendix 2.3.A 200 3 Digital Signals and Digital Transmission 203 Objectives and Outcomes of Chapter 3 203 3.1 Digital Communications – Basics 203 Objectives and Outcomes of Section 3.1 203 3.1.1 Why Go to Digital Communications 204 3.1.1.1 Main Advantage of Digital Transmission over the Analog 204 3.1.1.2 Case Study 1: The Advantages of Using Digital Signals in Transmission 207 3.1.1.3 Case Study 2 of Digital Communications: Transmission with Integrated-Circuit Digital Logic Families 210 3.1.1.4 Why Go to Digital Communications: A Summary 214 3.1.2 How to Go to Digital Communications 215 3.1.2.1 From Characters to Bits 215 3.1.2.2 From Bits to Electrical Pulses 222 3.1.2.3 How to Go Digital Communications: A Summary 224 Questions and Problems for Section 3.1 225 3.1.A Brief History of Character Codes 229 3.1.A.1 International Morse Code 229 3.1.A.2 Baudot Code 230 3.2 Digital Signals and Digital Transmission – Introduction 232 Objectives and Outcomes of Section 3.2 232 3.2.1 Ideal Digital Signal and Characteristics of Digital Transmission 233 3.2.1.1 The Waveform of an Ideal Digital Signal 233 3.2.1.2 Pulse Interval and Transmission Rate; Bit Time and Bit Rate 235 3.2.1.3 Important Note: The Definition of Bit Time 237 3.2.1.4 Bit Rate and Channel (Shannon’s) Capacity 237 3.2.2 Parameters of a Real Digital Signal and the Characteristics of Digital Transmission 239 3.2.2.1 Waveform of an Actual Digital Signal 239 3.2.2.2 Amplitude and Pulse Width 240 3.2.2.3 Rise Time and Fall Time 241 3.2.2.4 Rise/Fall Time and Bit Rate 244 3.2.2.5 More on Timing Parameters of a Digital Signal: Bit Time Revisited 247 3.2.2.6 Duty Cycle 250 Questions and Problems for Section 3.2 253 4 Analog-to-Digital Conversion (ADC) and Digital-to-Analog Conversion (DAC) 259 Objectives and Outcomes of Chapter 4 259 4.1 Analog-to-Digital Conversion, ADC 259 Objectives and Outcomes of Section 4.1 259 4.1.1 The Need for ADC and DAC 261 4.1.2 Three Major Steps of ADC 263 4.1.3 Sample-and-Hold (S&H) Operation 263 4.1.3.1 Sampling (S&H) Technique and the Nyquist Theorem 263 4.1.3.2 Aliasing 267 4.1.4 Quantization in ADC 272 4.1.4.1 Quantization Process 272 4.1.4.2 Quantization Errors and Quantization Noise 284 4.1.5 Encoding 285 Questions and Problems for Section 4.1 291 4.1.A Decimal and Binary Numbering Systems 299 4.1.A.1 Decimal Numbering System 299 4.1.A.2 Binary Numbering System 300 4.1.A.3 Conversion from the Decimal Number System to the Binary 301 4.2 Digital-to-Analog Conversion, DAC, Pulse-Amplitude Modulation, PAM, and Pulse-Code Modulation, PCM 303 Objectives and Outcomes of Section 4.2 303 4.2.1 Digital-to-Analog Conversion, DAC 304 4.2.2 Pulse Amplitude Modulation, PAM 304 4.2.3 Pulse Code Modulation, PCM 306 4.2.3.1 PCM: Principle of Operation 306 4.2.3.2 PCM: Advantages and Drawbacks 308 4.2.3.3 PCM Applications 309 Questions and Problems for Section 4.2 309 4.2.A Modes of Digital Transmission 311 4.2.A.1 Simplex, Half Duplex and Full Duplex Transmission 311 4.2.A.2 Serial and Parallel Transmissions 312 4.2.A.3 The General Formula for Bit Rate 314 4.2.A.4 The Need for Synchronization in Digital Transmission 315 4.2.A.4.1 Digital Signals and Timing 315 4.2.A.4.2 Timing in Digital Transmission 316 4.2.A.4.3 Time Discrepancy Between Transmitter and Receiver Clocks 317 4.2.A.4.4 How Time Discrepancy Between Transmitter and Receiver Clocks Deteriorates the Quality of Digital Transmission 319 4.2.A.4.5 A Short Summary on Synchronization Issues 320 4.2.A.5 Asynchronous and Synchronous Transmission 320 4.2.A.5.1 Asynchronous Transmission 321 4.2.A.5.2 Synchronous Transmission 323 5 Filters 325 Objectives and Outcomes of Chapter 5 325 5.1 Filtering – Basics 326 Objectives and Outcomes of Section 5.1 326 5.1.1 Filtering: What and Why 327 5.1.2 RC Low-Pass Filter (LPF) 330 5.1.2.1 Frequency Responses of a Resistor, R, and a Capacitor, C 330 5.1.2.2 RC Low-Pass Filter: Principle of Operation 333 5.1.2.3 Output Waveforms of an RC LPF 334 5.1.2.4 An RC LPF: Formulas for Attenuation and Phase Shift 335 5.1.2.5 Frequency Response of an RC LPF 339 5.1.2.6 Cutoff (Critical) Frequency of an RC LPF 342 Sidebar 5.1.S Filter’s Characteristics in Absolute Values and in dB 345 5.1.3 Filter Operation in Time Domain and Frequency Domain 347 5.1.3.1 Waveform Change and Frequency Response 347 5.1.3.2 Bandwidth of an RC LPF 349 5.1.3.3 Characterization of an RC LPF 349 5.1.3.4 The Role of R and C Parameters in Characterization of an RC LPF 352 5.1.4 General Filter Specifications 354 5.1.4.1 Amplitude Specifications 354 5.1.4.2 Phase Specifications 359 Questions and Problems for Section 5.1 360 5.2 Filtering – Introduction 365 Objectives and Outcomes of Section 5.2 365 5.2.1 High-Pass Filter (HPF), Band-Pass Filter (BPF), and Band-Stop Filter (BSF) 366 5.2.1.1 High-Pass Filter (HPF) 367 5.2.1.2 Band-Pass Filter (BPF) 371 5.2.1.3 Band-Stop Filter (BSF) 378 5.2.1.4 Applications of RC Filters 380 5.2.1.5 Final Notes on RC Filters 380 5.2.2 Transfer Function of a Filter 381 5.2.2.1 Input and Output of a Filter 381 5.2.2.2 Transfer Function of an RC LPF 384 5.2.2.3 Graphical Presentation of a Transfer Function: Bode Plots 387 Questions and Problems for Section 5.2 394 5.2.A RL Filter and Resonance Circuits as Filters 400 5.2.A.1 RL Filter 400 5.2.A.2 Resonance Circuits as Filters 402 5.2.A.2.1 Resonance Circuits: A Review 402 5.2.A.2.2 Quality Factor 405 5.2.A.2.3 Resonance Circuit as a Band-Pass Filter 406 5.2.A.2.4 Resonance Circuit as a Band-Stop Filter 407 5.3 Active and Switched-Capacitor Filters 409 Objectives and Outcomes of Section 5.3 409 5.3.1 Active Filters 410 5.3.1.1 Drawbacks of Passive Filters 410 5.3.1.2 Operational Amplifier 413 5.3.1.3 Active Filters: Concept and Circuits 418 5.3.1.4 Transfer Functions of an Active Filter: General View 419 5.3.1.5 Specific Types of Active Filters 420 5.3.1.6 Concluding Remarks on Active Filters 424 5.3.2 Switched-Capacitor Filters 424 5.3.2.1 Switched-Capacitor Filters: Concept and Circuits 424 5.3.2.2 Applications of Switched-Capacitor Filters 428 Questions and Problems for Section 5.3 431 5.3.A Active BPF and BSF 436 5.3.A.1 Active BPF 436 5.3.A.2 Active BSF 439 5.4 Filter Prototypes and Filter Design 441 Objectives and Outcomes of Section 5.4 441 5.4.1 Filter Prototypes 444 5.4.1.1 The Problem in the Filter Design – The Need for the Filter Prototypes 444 5.4.1.2 Another Problem for Filter’s Designer: Relationship Between Amplitude and Phase Responses 445 5.4.1.3 Main Filter Prototypes – What and Why 446 5.4.1.4 Transfer Function of the Butterworth Filter 450 5.4.1.5 Amplitude Response of the Butterworth Filter 451 5.4.1.6 Amplitude Response of the Butterworth Filter in Logarithmic Scale 453 5.4.1.7 Phase Response (Shift) and Time Group Delay of the Butterworth Filter 456 5.4.1.8 Poles of the Butterworth Filter’s Transfer Function 457 5.4.2 Introduction to Filter Design 459 5.4.2.1 Two Main Steps in Filter Design 459 5.4.2.2 Automated Design Options 460 5.4.2.3 Design of a Second-order Butterworth Filter 462 5.4.2.4 Using the Poles of a Transfer Function 468 5.4.3 The Design Process: Key Questions, Answers, and Salient Points 469 5.4.3.1 Questions and Answers 469 5.4.3.2 Salient Points 470 5.4.3.3 Choosing Filter Technology 471 Questions and Problems for Section 5.4 472 5.4.A Tables of the Butterworth Polynomials 478 5.5 Digital Filters 479 Objectives and Outcomes of Section 5.5 479 5.5.1 What are Digital Filters? 479 5.5.1.1 Digital Filters – Principle of Operation 479 5.5.1.2 ADC and DAC Operations Revisited 481 5.5.1.3 Digital Filters – Difference Equation, Order, and Coefficients 484 5.5.1.4 Recursive (IIR) and Nonrecursive (FIR) Digital Filters and Their Difference Equations 486 5.5.1.5 Impulse Response of Digital Filters 487 5.5.1.6 Transfer Function of a Digital Filter 488 5.5.2 Conclusive Remarks on Digital and Analog Filters 491 5.5.2.1 Some Final Comments on Digital Filters 491 5.5.2.2 Adaptive Filters 491 5.5.2.3 Comparison of Analog and Digital Filters 492 5.5.2.4 Summary of Applications of Various Filter Technologies 492 Questions and Problems for Section 5.5 494 What are Digital Filters? 494 6 Spectral Analysis 1 – The Fourier Series in Modern Communications 497 Objectives and Outcomes of Chapter 6 497 6.1 Basics of Spectral Analysis 498 Objective and Outcomes of Section 6.1 498 6.1.1 Time Domain and Frequency Domain 498 6.1.1.1 Periodic and Nonperiodic Signals 498 6.1.1.2 Time Domain and Frequency Domain Revisited 500 6.1.1.3 Signal Spectrum 509 6.1.2 The Fourier Series 511 6.1.2.1 The Fourier Theorem 511 Sidebar 6.1.S.1 Calculating the Coefficients of a Fourier Series 515 6.1.2.2 Spectral Analysis – From the Whole to the Parts 519 6.1.3 Spectral Synthesis 520 6.1.3.1 Spectral Synthesis – From Parts to the Whole 520 Questions and Problems for Section 6.1 528 6.2 Introduction to Spectral Analysis 534 Objectives and Outcomes of Section 6.2 534 6.2.1 More About the Fourier Series 534 6.2.1.1 Coefficients of the Fourier Series 534 6.2.1.2 Amplitude and Phase Spectra 537 Sidebar 6.2.S.1 Using the Signal’s Symmetry for Finding the Fourier Series Coefficients 542 6.2.1.3 Finding the Fourier Series of Various Signals 544 6.2.2 Effect of Filtering on Signals 546 6.2.2.1 Statement of the Problem 546 6.2.2.2 Filtering a Single Harmonic 552 6.2.2.3 Filtering a Periodic Signal – Time and Frequency Domains 554 6.2.2.4 Filtering a Signal – The Entire Picture 560 6.2.2.5 A Final Note on Effect of Filtering on Signals 566 6.2.3 Harmonic Distortion 566 Questions and Problems for Section 6.2 572 6.3 Spectral Analysis of Periodic Signals: Advanced Study 578 Objectives and Outcomes of Section 6.3 578 6.3.1 Mathematical Foundation of the Fourier Series 579 6.3.1.1 The Fourier Series in Exponential and Phasor Forms 579 Sidebar 6.3.S.1 The Other Forms of an Exponential Fourier Series 587 6.3.1.2 Two-Sided and One-Sided Spectra and Three Equivalent Forms of the Fourier Series 588 6.3.2 Conditions for Application of the Fourier Series 591 Sidebar 6.3.S.2 Convergence of the Fourier Series 591 6.3.2.1 Gibbs Phenomenon 593 6.3.3 Power Spectrum of a Periodic Signal 594 6.3.3.1 Power and Energy Signals 594 6.3.3.2 Parseval’s Theorem 595 6.3.3.3 A Signal’s Bandwidth and Transmission Issues Associated with a Power Spectrum 598 Questions and Problems for Section 6.3 609 6.3.A Fourier Coefficients of a Two-sided and a One-sided Spectrum of the Periodic Pulse Train for Example 6.3.2. 613 7 Spectral Analysis 2 – The Fourier Transform in Modern Communications 615 Objectives and Outcomes of Chapter 7 615 7.1 Basics of the Fourier Transform 616 Objectives and Outcomes of Section 7.1 616 7.1.1 The Fourier Transform in Spectral Analysis 617 7.1.1.1 From a Periodic to a Nonperiodic Signal 617 7.1.1.2 From the Fourier Series to the Fourier Transform 628 7.1.1.3 The Fourier Transform Briefly Explained 629 7.1.2 First Examples of the Fourier Transform Applications 632 7.1.2.1 A Rectangular Pulse 632 7.1.2.2 Basics of the Spectral Analysis of a Nonperiodic Signal 635 7.1.2.3 Rayleigh Energy Theorem 639 Summary of Section 7.1 642 Questions and Problems for Section 7.1 643 7.2 Continuous-Time Fourier Transform: A Deeper Look 644 Objectives and Outcomes of Section 7.2 644 7.2.1 Definition and Existence of the Fourier Transform 645 7.2.2 The Concept of Function and the Transform 646 Sidebar 7.2.S.1 Dirac Delta Function 649 7.2.3 Table of the Fourier Transform 654 7.2.4 Properties of the Fourier Transform 656 7.2.4.1 Units 656 7.2.4.2 Linearity 657 7.2.4.3 Duality 657 7.2.4.4 Modulation 657 7.2.4.5 Convolution in Time and in Frequency and a Transfer Function 658 7.2.4.6 Time Differentiation 659 7.2.4.7 Other Properties of the Fourier Transform 659 7.2.5 Example of Using the Fourier Transform 659 Sidebar 7.2.S.2 The Impulse Response of an RC LPF 662 Sidebar 7.2.S.3 Alternative Methods of Finding a Transfer Function 667 7.3 The Fourier Transforms and Digital Signal Processing 670 Objectives and Outcomes of Section 7.3 670 7.3.1 Signals and the Fourier Transformations 671 Sidebar 7.3.S.1 A Word About DSP 677 7.3.2 Determining the Fourier Transform Required for DSP 681 7.3.3 Digital Signal Processing (DSP) and Discrete Fourier Transform (DFT) 681 7.3.3.1 The Problem: Choosing the Best Type of FT for DSP 681 7.3.3.2 How Discrete Fourier Transform (DFT)Works 682 7.3.3.3 Can DFT Work with Any Signal? 690 7.3.4 Relationship Among All Fourier Transforms 697 7.3.5 Fast Fourier Transform (FFT) 699 8 Analog Transmission with Analog Modulation 707 Objectives and Outcomes of Chapter 8 707 8.1 Basics of Analog Modulation 708 Objectives and Outcomes of Section 8.1 708 8.1.1 Why We Need Modulation: Baseband and Broadband Transmission 710 8.1.1.1 Baseband Transmission and Its Major Problems 710 8.1.1.2 Solution to the Problems of Baseband Transmission – Broadband Transmission 712 8.1.2 Basics of Amplitude Modulation 715 8.1.2.1 What Type of Analog Modulation Can We Have? 715 8.1.2.2 What is Amplitude Modulation (AM) 715 8.1.2.3 Modulation Index 719 8.1.2.4 Relationship Between Frequencies of Information and Carrier Signals 722 8.1.2.5 The Formula for an AM Signal and It Instantaneous Value 723 8.1.2.6 The Spectrum of an AM Signal 725 8.1.2.7 Power Distribution in an AM Signal 728 8.1.2.8 AM Modulation and Demodulation 730 8.1.2.9 The Main Drawback of Amplitude Modulation 732 8.1.3 Basics of Frequency Modulation (FM) 733 8.1.3.1 Frequency Modulation: Why and What 733 8.1.3.2 The Frequency of an FM Signal 734 8.1.3.3 Modulation Index of an FM Signal 738 8.1.3.4 The Spectrum and Bandwidth of an FM Signal 740 8.1.3.5 Relationship Between Parameters of Message and Carrier Signals in FM Transmission 746 8.1.3.6 FM Modulation and Demodulation 746 8.1.4 Basics of Phase Modulation (PM) 750 8.1.4.1 How to Generate a Phase-Modulated Signal 750 8.1.4.2 Instantaneous Value of a Sinusoidal PM Signal 754 Questions and Problems for Section 8.1 754 8.1.A Drawbacks of Baseband Transmission 759 8.2 Analog Modulation for Analog Transmission – An Advanced Study 762 Objectives and Outcomes of Section 8.2 762 8.2.1 Classification of Modulation Revisited 763 8.2.2 Advanced Consideration of Amplitude Modulation, AM, and Its Application in Analog Transmission 766 8.2.2.1 Full (Double-Sideband Transmitted Carrier, DSB-TC) Amplitude Modulation 766 8.2.2.2 Problems of Full AM Transmission 774 8.2.2.3 Double-Sideband Suppressed Carrier (DSB-SC) AM 774 8.2.2.4 Single-Sideband Suppressed Carrier (SSB-SC) AM 779 8.2.2.5 Full AM, DSB, or SSB – Which Type to Choose? 782 8.2.2.6 Applications of AM Transmission 784 8.2.3 Advanced Consideration of Angular (Phase and Frequency) Modulation and Its Application in Analog Transmission 784 8.2.3.1 Angular Modulation 784 8.2.3.2 Sinusoidal (Single-Tone) Frequency Modulation (FM) 788 8.2.3.3 The Spectrum of a Single-Tone FM Signal, the Main Properties of the Bessel Functions, and Narrowband and Wideband FM 790 8.2.3.4 The Bandwidth of a Single-Tone FM Signal 793 8.2.3.5 General Case of an FM Signal (An Arbitrary Message Signal) 799 8.2.3.6 Effect of Noise on an FM Signal 807 Questions and Problems for Section 8.2 810 8.2.A Finding the Spectrum of an FM Signal with MATLAB 814 9 Digital Transmission with Binary Modulation 823 Objectives and Outcomes of Chapter 9 823 9.1 Digital Transmission – Basics 824 Objectives and Outcomes of Section 9.1 824 9.1.1 Essentials of Digital Transmission Revisited 827 9.1.1.1 Block Diagram of a Communication System 827 9.1.1.2 Characteristics of a Transmitter, Tx 828 9.1.1.3 Characteristics of a Receiver, Rx 829 9.1.1.4 Characteristics of a Transmission Channel (Link) 830 9.1.1.5 The Model of Noise in Shannon’s Law 835 9.1.1.6 An Amplifier in a Transmission Channel: Internal Noise, SNR, and Noise Figure 839 9.1.2 Assessing the Quality of Digital Transmission: The Gaussian (Bell) Curve and the Probability Value 843 9.1.2.1 Gaussian (Bell) Normal Probability Distribution 843 9.1.2.2 Finding the Probability Value with the Bell Curve 844 9.1.2.3 Standard Normal Probability Distribution 847 9.1.2.4 The Gaussian Curve and Q-Function 850 9.1.3 Assessing the Quality of Digital Transmission: Bit Error Rate and More 852 9.1.3.1 Decision-Making Procedure in the Presence of Noise 852 9.1.3.2 The Probability of Error in Detecting the Received Signal: Bit Error Rate (Ratio) 855 9.1.3.3 BER: A Discussion 858 9.1.4 Eye Diagram 860 9.1.4.1 Eye Diagram: The Concept 860 9.1.4.2 Estimating Transmission Quality with an Eye Diagram 865 Questions and Problems for Section 9.1 869 9.2 Introduction to Digital Transmission – Binary Shift-Keying Modulation 878 Objectives and Outcomes of Section 9.2 878 9.2.1 Digital Signal over a Sinusoidal Carrier – Binary Shift-Keying Modulation 881 9.2.2 Binary Amplitude-Shift Keying (ASK) 881 9.2.2.1 ASK Concept and Waveform 881 9.2.2.2 Mathematical Description of ASK 883 9.2.2.3 ASK Spectrum 884 9.2.2.4 ASK Bandwidth 888 9.2.2.5 Bandwidth and Bit Rate of ASK 893 9.2.2.6 Bit Error Ratio, BER, of ASK System 895 9.2.2.7 ASK Advantages, Drawbacks, and Applications 898 9.2.2.8 Detection (Demodulation) of an ASK Signal 900 9.2.3 Binary Frequency-Shift Keying (FSK) 901 9.2.3.1 FSK Concept and Waveform 901 9.2.3.2 Mathematical Description of FSK 903 9.2.3.3 FSK Spectrum and Bandwidth with Square Wave Message 904 9.2.3.4 FSK Spectrum and Bandwidth with a Rectangular Pulse-Train Message 906 9.2.3.5 Bit Error Ratio, BER, and Remarks on our BFSK Discussion 908 9.2.3.6 Discontinuous-Phase FSK (DPFSK) and Continuous-Phase FSK (CPFSK) 910 9.2.3.7 Mathematical Description of a CPFSK Signal 911 9.2.3.8 Detection (Demodulation) of an FSK Signal 916 9.2.3.9 BFSK: Advantages, Drawbacks, and Applications 921 9.2.4 Binary Phase-Shift Keying (PSK) 922 9.2.4.1 PSK Concept and Waveform 922 9.2.4.2 PSK Mathematical Description; PSK Spectrum and Bandwidth with a Square Wave Message 925 9.2.4.3 Demodulation of a Binary PSK Signal 926 9.2.4.4 Bit Error Ratio, BER, of a BPSK Transmission 929 9.2.4.5 BPSK Advantages and Applications 932 9.2.4.6 Comparison of Binary ASK, FSK, and PSK 932 Questions and Problems for Section 9.2 932 9.2.A Jitter 940 10 Digital Transmission with Multilevel Modulation 943 Objectives and Outcomes of Chapter 10 943 10.1 Quadrature Modulation Systems 943 Objectives and Outcomes of Section 10.1 943 10.1.1 Multilevel (M-ary) Modulation Formats – What and Why 945 10.1.1.1 The Concept of Multilevel Modulation 945 10.1.1.2 Symbols and Bits 948 10.1.2 Quadrature Phase-Shift Keying, QPSK 951 10.1.2.1 Introduction to Quadrature Phase-Shift Keying, QPSK 951 10.1.2.2 QPSK Signal:Waveform and Constellation Diagram 953 10.1.2.3 Generating (Modulating) a QPSK Signal 957 10.1.3 Working with QPSK Signaling 964 10.1.3.1 Properties of a QPSK Signal 964 10.1.3.2 QPSK Demodulation 965 10.1.3.3 Assessing the Quality of QPSK Transmission 967 10.1.3.4 Offset QPSK, Differential QPSK, and Minimum SK 968 Questions and Problems for Section 10.1 970 10.2 Multilevel PSK and QAM Modulation 974 Objectives and Outcomes of Section 10.2 974 10.2.1 Multilevel (M-ary) PSK 975 10.2.1.1 Introduction to M-ary PSK 975 10.2.1.2 BER of M-ary PSK 977 10.2.2 Multilevel Quadrature Amplitude Modulation, M-QAM 981 10.2.2.1 The Concept of Multilevel Quadrature Amplitude Modulation, M-QAM 981 10.2.2.2 BER of M-QAM 984 10.2.3 Final Thoughts 991 10.2.3.1 Spectral Efficiency, Signal-to-Noise Ratio, and Multilevel Modulation 991 10.2.3.2 Bandwidth-Power Trade-off 994 10.2.3.3 Applications of Multilevel Signaling 995 Questions and Problems for Section 10.2 995 10.A Multiplexing 999 10.A.1 Multiplexing: Definition and Advantages 999 10.A.2 Time-Based Multiplexing Principles 1000 10.A.2.1 Synchronous Time-Division Multiplexing, sync-TDM 1000 Sidebar 10.A.2.S Two sync-TDM Systems: T and Synchronous Optical Network (SONET) 1002 10.A.2.2 Statistical (Asynchronous) Time-Division Multiplexing, stat-TDM 1008 10.A.3 Frequency-Based Multiplexing Techniques 1010 10.A.3.1 Frequency-Division Multiplexing, FDM 1010 10.A.3.2 Orthogonal Frequency Division Multiplexing, OFDM 1011 10.A.3.3 Wavelength-Division Multiplexing, WDM 1016 10.A.3.3.1 Why We Need WDM and How WDM Works 1016 10.A.3.3.2 WDM Technology 1018 10.A.3.4 CWDM and Other Types of Multiplexing in Optical Communications 1020 10.A.4 Code-Division Multiplexing, CDM 1023 10.A.4.1 CDM: The Principle of Operation 1023 10.A.4.2 Spread-Spectrum Technique 1024 10.A.4.3 CDM: Benefits and Applications 1026 Bibliography 1029 Specialized Bibliographies 1037 Index 1043

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Book SynopsisINTRODUCTION TO THE PHYSICS AND TECHNIQUES OF REMOTE SENSING DISCOVER CUTTING EDGE THEORY AND APPLICATIONS OF MODERN REMOTE SENSING IN GEOLOGY, OCEANOGRAPHY, ATMOSPHERIC SCIENCE, IONOSPHERIC STUDIES, AND MORE The thoroughly revised third edition of the Introduction to the Physics and Techniques of Remote Sensing delivers a comprehensive update to the authoritative textbook, offering readers new sections on radar interferometry, radar stereo, and planetary radar. It explores new techniques in imaging spectroscopy and large optics used in Earth orbiting, planetary, and astrophysics missions. It also describes remote sensing instruments on, as well as data acquired with, the most recent Earth and space missions. Readers will benefit from the brand new and up-to-date concept examples and full-color photography, 50% of which is new to the series. You'll learn about the basic physics of wave/matter interactions, techniques of remote sensing across the elTable of ContentsPreface xv 1 Introduction 1 1.1 Types and Classes of Remote Sensing Data 1 1.2 Brief History of Remote Sensing 6 1.3 Remote Sensing Space Platforms 13 1.4 Transmission Through the Earth and Planetary Atmospheres 15 References and Further Reading 18 2 Nature and Properties of Electromagnetic Waves 19 2.1 Fundamental Properties of Electromagnetic Waves 19 2.1.1 Electromagnetic Spectrum 19 2.1.2 Maxwell’s Equations 20 2.1.3 Wave Equation and Solution 21 2.1.4 Quantum Properties of Electromagnetic Radiation 21 2.1.5 Polarization 22 2.1.6 Coherency 25 2.1.7 Group and Phase Velocity 26 2.1.8 Doppler Effect 27 2.2 Nomenclature and Definition of Radiation Quantities 30 2.2.1 Radiation Quantities 30 2.2.2 Spectral Quantities 31 2.2.3 Luminous Quantities 32 2.3 Generation of Electromagnetic Radiation 32 2.4 Detection of Electromagnetic Radiation 34 2.5 Interaction of Electromagnetic Waves with Matter: Quick Overview 35 2.6 Interaction Mechanisms Throughout the Electromagnetic Spectrum 38 Exercises 42 References and Further Reading 43 3 Solid Surfaces Sensing in the Visible and Near Infrared 44 3.1 Source Spectral Characteristics 44 3.2 Wave–Surface Interaction Mechanisms 47 3.2.1 Reflection, Transmission, and Scattering 48 3.2.2 Vibrational Processes 51 3.2.3 Electronic Processes 54 3.2.4 Fluorescence 59 3.3 Signature of Solid Surface Materials 61 3.3.1 Signature of Geologic Materials 61 3.3.2 Signature of Biologic Materials 62 3.3.3 Depth of Penetration 67 3.4 Passive Imaging Sensors 70 3.4.1 Imaging Basics 70 3.4.2 Sensor Elements 71 3.4.3 Detectors 76 3.5 Types of Imaging Systems 81 3.6 Description of Some Visible/Infrared Imaging Sensors 84 3.6.1 Landsat Enhanced Thematic Mapper Plus (ETM+) 84 3.6.2 Advanced Spaceborne Thermal Emission and Reflection Radiometer (ASTER) 87 3.6.3 Mars Orbiter Camera (MOC) 89 3.6.4 Mars Exploration Rover Panchromatic Camera (Pancam) 90 3.6.5 Cassini Imaging Instrument 91 3.6.6 Juno Imaging System 93 3.6.7 Europa Imaging System 93 3.6.8 Cassini Visual and Infrared Mapping Spectrometer (VIMS) 94 3.6.9 Chandrayaan Imaging Spectrometer M3 95 3.6.10 Sentinel Multispectral Imager 95 3.6.11 Airborne Visible-Infrared Imaging Spectrometer (AVIRIS) 95 3.7 Active Sensors 96 3.8 Surface Sensing at Very Short Wavelengths 97 3.8.1 Radiation Sources 98 3.8.2 Detection 98 3.9 Image Data Analysis 99 3.9.1 Detection and Delineation 100 3.9.2 Classification 107 3.9.3 Identification 110 Exercises 113 References and Further Reading 117 4 Solid-Surface Sensing: Thermal Infrared 121 4.1 Thermal Radiation Laws 121 4.1.1 Emissivity of Natural Terrain 123 4.1.2 Emissivity from the Sun and Planetary Surfaces 124 4.2 Heat Conduction Theory 126 4.3 Effect of Periodic Heating 128 4.4 Use of Thermal Emission in Surface Remote Sensing 131 4.4.1 Surface Heating by the Sun 131 4.4.2 Effect of Surface Cover 133 4.4.3 Separation of Surface Units Based on Their Thermal Signature 135 4.4.4 Example of Application in Geology 135 4.4.5 Effects of Clouds on Thermal Infrared Sensing 135 4.5 Use of Thermal Infrared Spectral Signature in Sensing 137 4.6 Thermal Infrared Sensors 141 4.6.1 Heat Capacity Mapping Radiometer 143 4.6.2 Thermal Infrared Multispectral Scanner 145 4.6.3 ASTER Thermal Infrared Imager 145 4.6.4 Spitzer Space Telescope 149 4.6.5 2001 Mars Odyssey Thermal Emission Imaging System (THEMIS) 150 4.6.6 Advanced Very High Resolution Radiometer (AVHRR) 151 Exercises 154 References and Further Reading 156 5 Solid-Surface Sensing: Microwave Emission 159 5.1 Power-Temperature Correspondence 160 5.2 Simple Microwave Radiometry Models 161 5.2.1 Effects of Polarization 163 5.2.2 Effects of the Observation Angle 163 5.2.3 Effects of the Atmosphere 164 5.2.4 Effects of Surface Roughness 164 5.3 Applications and Use in Surface Sensing 165 5.3.1 Application in Polar Ice Mapping 165 5.3.2 Application in Soil Moisture Mapping 166 5.3.3 Measurement Ambiguity 170 5.4 Description of Microwave Radiometers 170 5.4.1 Antenna and Scanning Configuration for Real-Aperture Radiometers 171 5.4.2 Synthetic Aperture Radiometers 172 5.4.3 Receiver Subsystems 177 5.4.4 Data Processing 179 5.5 Examples of Developed Radiometers 180 5.5.1 Scanning Multichannel Microwave Radiometer (SMMR) 180 5.5.2 Special Sensor Microwave Imager (SSM/I) 181 5.5.3 Tropical Rainfall Mapping Mission Microwave Imager (TMI) 183 5.5.4 AMSR-E 184 5.5.5 SMAP Radiometer 185 Exercises 185 References and Further Reading 187 6 Solid-Surface Sensing: Microwave and Radio Frequencies 190 6.1 Surface Interaction Mechanism 190 6.1.1 Surface Scattering Models 192 6.1.2 Absorption Losses and Volume Scattering 197 6.1.3 Effects of Polarization 200 6.1.4 Effects of the Frequency 202 6.1.5 Effects of the Incidence Angle 205 6.1.6 Scattering from Natural Terrain 206 6.2 Basic Principles of Radar Sensors 209 6.2.1 Antenna Beam Characteristics 209 6.2.2 Signal Properties: Spectrum 213 6.2.3 Signal Properties: Modulation 216 6.2.4 Range Measurements and Discrimination 218 6.2.5 Doppler (Velocity) Measurement and Discrimination 221 6.2.6 High-Frequency Signal Generation 222 6.3 Imaging Sensors: Real Aperture Radars 224 6.3.1 Imaging Geometry 224 6.3.2 Range Resolution 225 6.3.3 Azimuth Resolution 225 6.3.4 Radar Equation 226 6.3.5 Signal Fading 227 6.3.6 Fading Statistics 229 6.3.7 Geometric Distortion 232 6.4 Imaging Sensors: Synthetic Aperture Radars 234 6.4.1 Synthetic Array Approach 234 6.4.2 Focused vs. Unfocused SAR 235 6.4.3 Doppler Synthesis Approach 237 6.4.4 SAR Imaging Coordinate System 239 6.4.5 Ambiguities and Artifacts 240 6.4.6 Point Target Response 243 6.4.7 Correlation with Point Target Response 246 6.4.8 Advanced SAR Techniques 248 6.4.9 Description of SAR Sensors and Missions 265 6.4.10 Applications of Imaging Radars 278 6.5 Nonimaging Radar Sensors: Scatterometers 295 6.5.1 Examples of Scatterometer Instruments 295 6.5.2 Examples of Scatterometer Data 303 6.6 Nonimaging Radar Sensors: Altimeters 304 6.6.1 Examples of Altimeter Instruments 307 6.6.2 Altimeter Applications 310 6.6.3 Imaging Altimetry 312 6.6.4 Wide Swath Ocean Altimeter 314 6.7 Nonconventional Radar Sensors 317 6.8 Subsurface Sounding 317 Exercises 320 References and Further Reading 323 7 Ocean Surface Sensing 334 7.1 Physical Properties of the Ocean Surface 334 7.1.1 Tides and Currents 335 7.1.2 Surface Waves 336 7.2 Mapping of the Ocean Topography 339 7.2.1 Geoid Measurement 339 7.2.2 Surface Wave Effects 343 7.2.3 Surface Wind Effects 345 7.2.4 Dynamic Ocean Topography 345 7.2.5 Ancillary Measurements 349 7.3 Surface Wind Mapping 351 7.3.1 Observations Required 352 7.3.2 Nadir Observations 355 7.4 Ocean Surface Imaging 356 7.4.1 Radar Imaging Mechanisms 356 7.4.2 Examples of Ocean Features on Radar Images 359 7.4.3 Imaging of Sea Ice 361 7.4.4 Ocean Color Mapping 363 7.4.5 Ocean Surface Temperature Mapping 365 7.4.6 Ocean Salinity Mapping 370 Exercises 371 References and Further Reading 372 8 Basic Principles of Atmospheric Sensing and Radiative Transfer 377 8.1 Physical Properties of the Atmosphere 377 8.2 Atmospheric Composition 380 8.3 Particulates and Clouds 381 8.4 Wave Interaction Mechanisms in Planetary Atmospheres 383 8.4.1 Resonant Interactions 383 8.4.2 Spectral Line Shape 387 8.4.3 Nonresonant Absorption 389 8.4.4 Nonresonant Emission 391 8.4.5 Wave Particle Interaction, Scattering 391 8.4.6 Wave Refraction 392 8.5 Optical Thickness 392 8.6 Radiative Transfer Equation 393 8.7 Case of a Nonscattering Plane Parallel Atmosphere 395 8.8 Basic Concepts of Atmospheric Remote Sounding 396 8.8.1 Basic Concept of Temperature Sounding 397 8.8.2 Basic Concept for Composition Sounding 399 8.8.3 Basic Concept for Pressure Sounding 399 8.8.4 Basic Concept of Density Measurement 399 8.8.5 Basic Concept of Wind Measurement 399 Exercises 400 References and Further Reading 401 9 Atmospheric Remote Sensing in the Microwave Region 403 9.1 Microwave Interactions with Atmospheric Gases 403 9.2 Basic Concept of Downlooking Sensors 404 9.2.1 Temperature Sounding 406 9.2.2 Constituent Density Profile: Case of Water Vapor 408 9.3 Basic Concept for Uplooking Sensors 411 9.4 Basic Concept for Limblooking Sensors 412 9.5 Inversion Concepts 415 9.6 Basic Elements of Passive Microwave Sensors 418 9.7 Surface Pressure Sensing 420 9.8 Atmospheric Sounding by Occultation 420 9.9 Microwave Scattering by Atmospheric Particles 424 9.10 Radar Sounding of Rain 424 9.11 Radar Equation for Precipitation Measurement 427 9.12 The Tropical Rainfall Measuring Mission (TRMM) 428 9.13 Rain Cube 429 9.14 CloudSat 429 9.15 Cassini Microwave Radiometer 433 9.16 Juno Microwave Radiometer (MWR) 433 Exercises 433 References and Further Reading 434 10 Millimeter and Submillimeter Sensing of Atmospheres 440 10.1 Interaction with Atmospheric Constituents 440 10.2 Downlooking Sounding 442 10.3 Limb Sounding 444 10.4 Elements of a Millimeter Sounder 447 10.5 Submillimeter Atmospheric Sounder 453 Exercises 455 References and Further Reading 456 11 Atmospheric Remote Sensing in the Visible and Infrared 458 11.1 Interaction of Visible and Infrared Radiation with the Atmosphere 458 11.1.1 Visible and Near-Infrared Radiation 458 11.1.2 Thermal Infrared Radiation 461 11.1.3 Resonant Interactions 463 11.1.4 Effects of Scattering by Particulates 463 11.2 Downlooking Sounding 466 11.2.1 General Formulation for Emitted Radiation 466 11.2.2 Temperature Profile Sounding 467 11.2.3 Simple Case Weighting Functions 469 11.2.4 Weighting Functions for Off-Nadir Observations 470 11.2.5 Composition Profile Sounding 471 11.3 Limb Sounding 472 11.3.1 Limb Sounding by Emission 472 11.3.2 Limb Sounding by Absorption 474 11.3.3 Illustrative Example: Pressure Modulator Radiometer 474 11.3.4 Illustrative Example: Fourier Transform Spectroscopy 476 11.4 Sounding of Atmospheric Motion 479 11.4.1 Passive Techniques 479 11.4.2 Passive Imaging of Velocity Field: Helioseismology 482 11.4.3 Multi-Angle Imaging SpectroRadiometer (MISR) 484 11.4.4 Multi-Angle Imager for Aerosols (MAIA) 488 11.4.5 Active Techniques 489 11.5 Laser Measurement of Wind 489 11.6 Atmospheric Sensing at Very Short Wavelengths 490 Exercises 491 References and Further Reading 492 12 Ionospheric Sensing 497 12.1 Properties of Planetary Ionospheres 497 12.2 Wave Propagation in Ionized Media 498 12.3 Ionospheric Profile Sensing by Topside Sounding 501 12.4 Ionospheric Profile by Radio Occultation 503 Exercises 505 References and Further Reading 506 Appendix A: Use of Multiple Sensors for Surface Observations 507 Appendix B: Summary of Orbital Mechanics Relevant to Remote Sensing 511 Appendix C: Simplified Weighting Functions 521 Appendix D: Compression of a Linear FM Chirp Signal 524 Index 528

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Book SynopsisBOW-TIE INDUSTRIAL RISK MANAGEMENT ACROSS SECTORS Explore an approachable but rigorous treatment of systematic barrier-based approaches to risk management and failure analysisIn Bow-Tie Industrial Risk Management Across Sectors: A Barrier-Based Approach, accomplished researcher and author Luca Fiorentini delivers a practical guide to risk management tools, with a particular emphasis on a systematic barrier-based approach called bow-tie. The book includes discussions of two barrier-based methods, Bow-Tie and Layers of Protection Analysis (LOPA), for risk assessment, and one barrier-based method for incident analysis, Barrier Failure Analysis (BFA). The author also describes a traditional methodRoot Cause Analysisand three quantitative methodsFMEA/FMECA, Fault Tree (FTA), and Event Tree (ETA) with a discussion about their link with barriers.Written from the ground up to be in full compliance with recent ISO 31000 standards on enterprise risk management, and Table of ContentsList of Figures List of Tables List of Acronyms Preface 1 Riccardo Ghini Preface 2 Bernardino Chiaia Preface 3 Luca Marmo Preface 4 Giuseppe Conti Preface 5 Claudio De Angelis Preface 6 Damiano Tranquilli Preface 7 Enzo Matticoli Preface 8 Salvatore Bagnato Author Preface Acknowledgements Chapter 1 Introduction to Risk and Risk Management 1.1 Risk Is Everywhere, and Risk Management Became a Critical Issue in Several Sectors 1.2 ISO 31000 Standard 1.3 ISO 31000 Risk Management Workflow 1.4 Uncertainty and the Human Factor 1.5 Enterprise Complexity and (Advanced) Risk Management (ERM) 1.6 Proactive and Reactive Culture of Organizations Dealing with Risk Management 1.7 A Systems Approach to Risk Management Chapter 2 Bow-Tie Method 2.1 Hazards and Risks 2.2 Methods of Risk Management 2.3 The Bow-Tie Method 2.4 The Bow-Tie Method and the Risk Management Workflow from ISO 31000 2.5 Application of Bow-Ties 2.6 Level of Abstraction 2.7 Building a Bow-Tie 2.8 Hazards 2.9 Top Events 2.10 Threats 2.11 Consequences 2.12 Barriers 2.13 Escalation Factors and Associated Barriers 2.14 Layer of Protection Analysis (LOPA): A Quantified Bow-Tie to Measure Risks 2.15 Bow-Tie as a Quantitative Method to Measure Risks and Develop a Dynamic Quantified Risk Register 2.16 Advanced Bow-Ties: Chaining and Combination Chapter 3 Barrier Failure Analysis 3.1 Accidents, Near-Misses, and Non-Conformities in Risk Management 3.2 The Importance of Operational Experience 3.3 Principles of Accident Investigation 3.4 The Barrier Failure Analysis (BFA) 3.5 From Root Cause Analysis (RCA) to BFA 3.6 BFA from Bow-Ties Chapter 4 Workflows and Case Studies 4.1 Bow-Tie Construction Workflow with a Step-by-Step Guide 4.2 LOPA Construction Workflow with a Step-by-Step Guide 4.3 BFA Construction Workflow with a Step-by-Step Guide 4.4 Worked Examples Conclusions Appendix 1 Bow-Tie Easy Guide Appendix 2 BFA Easy Guide Appendix 3 Human Error and Reliability Assessment (HRA) References and Further Reading Index

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Book SynopsisA comprehensive guide to Fog and Edge applications, architectures, and technologies Recent years have seen the explosive growth of the Internet of Things (IoT): the internet-connected network of devices that includes everything from personal electronics and home appliances to automobiles and industrial machinery. Responding to the ever-increasing bandwidth demands of the IoT, Fog and Edge computing concepts have developed to collect, analyze, and process data more efficiently than traditional cloud architecture. Fog and Edge Computing: Principles and Paradigms provides a comprehensive overview of the state-of-the-art applications and architectures driving this dynamic field of computing while highlighting potential research directions and emerging technologies. Exploring topics such as developing scalable architectures, moving from closed systems to open systems, and ethical issues rising from data sensing, this timely book addresses both the challTable of ContentsList of Contributors xix Preface xxiii Acknowledgments xxvii Part I Foundations 1 1 Internet of Things (IoT) and New Computing Paradigms 3 Chii Chang, Satish Narayana Srirama, and Rajkumar Buyya 1.1 Introduction 3 1.2 Relevant Technologies 6 1.3 Fog and Edge Computing Completing the Cloud 8 1.3.1 Advantages of FEC: SCALE 8 1.3.2 How FEC AchievesThese Advantages: SCANC 9 1.4 Hierarchy of Fog and Edge Computing 13 1.5 Business Models 16 1.6 Opportunities and Challenges 17 1.7 Conclusions 20 References 21 2 Addressing the Challenges in Federating Edge Resources 25 Ahmet Cihat Baktir, Cagatay Sonmez, CemErsoy, Atay Ozgovde, and Blesson Varghese 2.1 Introduction 25 2.2 The Networking Challenge 27 2.3 The Management Challenge 34 2.4 Miscellaneous Challenges 40 2.5 Conclusions 45 References 45 3 Integrating IoT + Fog + Cloud Infrastructures: System Modeling and Research Challenges 51 Guto Leoni Santos,Matheus Ferreira, Leylane Ferreira, Judith Kelner, Djamel Sadok, Edison Albuquerque, Theo Lynn, and Patricia Takako Endo 3.1 Introduction 51 3.2 Methodology 52 3.3 Integrated C2F2T Literature by Modeling Technique 55 3.4 Integrated C2F2T Literature by Use-Case Scenarios 65 3.5 Integrated C2F2T Literature by Metrics 68 3.6 Future Research Directions 72 3.7 Conclusions 73 Acknowledgments 74 References 75 4 Management and Orchestration of Network Slices in 5G, Fog, Edge, and Clouds 79 Adel Nadjaran Toosi, RedowanMahmud, Qinghua Chi, and Rajkumar Buyya 4.1 Introduction 79 4.2 Background 80 4.3 Network Slicing in 5G 83 4.4 Network Slicing in Software-Defined Clouds 87 4.5 Network Slicing Management in Edge and Fog 91 4.6 Future Research Directions 93 4.7 Conclusions 96 Acknowledgments 96 References 96 5 Optimization Problems in Fog and Edge Computing 103 Zoltán Ádám Mann 5.1 Introduction 103 5.2 Background / RelatedWork 104 5.3 Preliminaries 105 5.4 The Case for Optimization in Fog Computing 107 5.5 Formal Modeling Framework for Fog Computing 108 5.6 Metrics 109 5.6.5 Further Quality Attributes 112 5.7 Optimization Opportunities along the Fog Architecture 113 5.8 Optimization Opportunities along the Service Life Cycle 114 5.9 Toward a Taxonomy of Optimization Problems in Fog Computing 115 5.10 Optimization Techniques 117 5.11 Future Research Directions 118 5.12 Conclusions 119 Acknowledgments 119 References 119 Part II Middlewares 123 6 Middleware for Fog and Edge Computing: Design Issues 125 Madhurima Pore, Vinaya Chakati, Ayan Banerjee, and Sandeep K. S. Gupta 6.1 Introduction 125 6.2 Need for Fog and Edge Computing Middleware 126 6.3 Design Goals 126 6.4 State-of-the-Art Middleware Infrastructures 128 6.5 System Model 129 6.6 Proposed Architecture 131 6.7 Case Study Example 136 6.8 Future Research Directions 137 6.9 Conclusions 139 References 139 7 A Lightweight Container Middleware for Edge Cloud Architectures 145 David von Leon, LorenzoMiori, Julian Sanin, Nabil El Ioini, Sven Helmer, and Claus Pahl 7.1 Introduction 145 7.2 Background/RelatedWork 146 7.3 Clusters for Lightweight Edge Clouds 149 7.4 Architecture Management – Storage and Orchestration 152 7.5 IoT Integration 159 7.6 Security Management for Edge Cloud Architectures 159 7.7 Future Research Directions 165 7.8 Conclusions 166 References 167 8 Data Management in Fog Computing 171 Tina Samizadeh Nikoui, Amir Masoud Rahmani, and Hooman Tabarsaied 8.1 Introduction 171 8.2 Background 172 8.3 Fog Data Management 174 8.4 Future Research and Direction 186 8.5 Conclusions 186 References 188 9 Predictive Analysis to Support Fog Application Deployment 191 Antonio Brogi, Stefano Forti, and Ahmad Ibrahim 9.1 Introduction 191 9.2 Motivating Example: Smart Building 193 9.3 Predictive Analysis with FogTorch 197 9.4 Motivating Example (continued) 206 9.5 Related Work 207 9.6 Future Research Directions 214 9.7 Conclusions 216 References 217 10 Using Machine Learning for Protecting the Security and Privacy of Internet of Things (IoT) Systems 223 Melody Moh and Robinson Raju 10.1 Introduction 223 10.2 Background 234 10.3 Survey of ML Techniques for Defending IoT Devices 242 10.4 Machine Learning in Fog Computing 248 10.4.1 Introduction 248 10.5 Future Research Directions 252 10.6 Conclusions 252 References 253 Part III Applications and Issues 259 11 Fog Computing Realization for Big Data Analytics 261 Farhad Mehdipour, Bahman Javadi, AniketMahanti, and Guillermo Ramirez-Prado 11.1 Introduction 261 11.2 Big Data Analytics 262 11.3 Data Analytics in the Fog 267 11.4 Prototypes and Evaluation 272 11.4.1 Architecture 272 11.4.2 Configurations 274 11.5 Case Studies 277 11.6 Related Work 282 11.7 Future Research Directions 287 11.8 Conclusions 287 References 288 12 Exploiting Fog Computing in Health Monitoring 291 Tuan Nguyen Gia and Mingzhe Jiang 12.1 Introduction 291 12.2 An Architecture of a Health Monitoring IoT-Based System with Fog Computing 293 12.3 Fog Computing Services in Smart E-Health Gateways 297 12.4 System Implementation 304 12.5 Case Studies, Experimental Results, and Evaluation 308 12.6 Discussion of Connected Components 313 12.7 Related Applications in Fog Computing 313 12.8 Future Research Directions 314 12.9 Conclusions 314 References 315 13 Smart Surveillance Video Stream Processing at the Edge for Real-Time Human Objects Tracking 319 Seyed Yahya Nikouei, Ronghua Xu, and Yu Chen 13.1 Introduction 319 13.2 Human Object Detection 320 13.3 Object Tracking 327 13.4 Lightweight Human Detection 335 13.5 Case Study 337 13.6 Future Research Directions 342 13.7 Conclusions 343 References 343 14 Fog Computing Model for Evolving Smart Transportation Applications 347 M. Muzakkir Hussain,Mohammad Saad Alam, and M.M. Sufyan Beg 14.1 Introduction 347 14.2 Data-Driven Intelligent Transportation Systems 348 14.3 Mission-Critical Computing Requirements of Smart Transportation Applications 351 14.4 Fog Computing for Smart Transportation Applications 354 14.5 Case Study: Intelligent Traffic Lights Management (ITLM) System 359 14.6 Fog Orchestration Challenges and Future Directions 362 14.7 Future Research Directions 364 14.8 Conclusions 369 References 370 15 Testing Perspectives of Fog-Based IoT Applications 373 Priyanka Chawla and Rohit Chawla 15.1 Introduction 373 15.2 Background 374 15.3 Testing Perspectives 376 15.4 Future Research Directions 393 15.5 Conclusions 405 References 406 16 Legal Aspects of Operating IoT Applications in the Fog 411 G. Gultekin Varkonyi, Sz. Varadi, and Attila Kertesz 16.1 Introduction 411 16.2 RelatedWork 412 16.3 Classification of Fog/Edge/IoT Applications 413 16.4 Restrictions of the GDPR Affecting Cloud, Fog, and IoT Applications 414 16.5 Data Protection by Design Principles 425 16.6 Future Research Directions 430 16.7 Conclusions 430 Acknowledgment 431 References 431 17 Modeling and Simulation of Fog and Edge Computing Environments Using iFogSim Toolkit 433 Redowan Mahmud and Rajkumar Buyya 17.1 Introduction 433 17.2 iFogSim Simulator and Its Components 435 17.3 Installation of iFogSim 436 17.4 Building Simulation with iFogSim 437 17.5 Example Scenarios 438 17.6 Simulation of a Placement Policy 450 17.7 A Case Study in Smart Healthcare 461 17.8 Conclusions 463 References 464 Index 467

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Book Synopsis5G Physical Layer Technologies Written in a clear and concise manner, this book presents readers with an in-depth discussion of the 5G technologies that will help move society beyond its current capabilities. It perfectly illustrates how the technology itself will benefit both individual consumers and industry as the world heads towards a more connected state of being. Every technological application presented is modeled in a schematic diagram and is considered in depth through mathematical analysis and performance assessment. Furthermore, published simulation data and measurements are checked. Each chapter of 5G Physical Layer Technologies contains texts, mathematical analysis, and applications supported by figures, graphs, data tables, appendices, and a list of up to date references, along with an executive summary of the key issues. Topics covered include: the evolution of wireless communications; full duplex communications and full dimension MIMO technologies; network virtualizaTable of ContentsPreface xvii Acknowledgements xix List of Mathematical Notation xxi List of Wireless Network Symbols xxiii List of Abbreviations xxv Structure of the Book xxix 1 Introduction 1 1.1 Motivations 1 1.2 Overview of Contemporary Cellular Wireless Networks 4 1.3 Evolution of Wireless Communications in 3GPP Releases 7 1.3.1 3GPP Release 8 7 1.3.2 3GPP Release 9 8 1.3.3 3GPP Release 10 8 1.3.4 3GPP Release 11 8 1.3.5 3GPP Release 12 9 1.3.6 3GPP Release 13 9 1.3.7 3GPP Release 14 9 1.3.8 3GPP Release 15 (5G phase 1) 10 1.3.9 3GPP Release 16 (5G phase 2) 10 1.4 Multiuser Wireless Network Capacity Regions 10 1.4.1 The Capacity Region for Multiuser Channel 12 1.4.2 Analysis of Degraded BC with Superposition Coding 12 1.4.3 The Capacity Region for Multiuser MIMO Channel 14 1.4.4 The MIMO MAC Capacity Region 14 1.4.5 The MIMO BC Capacity Region 17 1.5 Fading Wireless Channels 19 1.6 Multicell MIMO Channels 20 1.7 Green Wireless Communications for the Twenty-First Century 20 1.7.1 Network Power Consumption Model 22 1.7.2 Antenna Interface Losses 22 1.7.3 Power Amplifier (PA) 22 1.8 BS Power Model 25 1.8.1 Small-Signal RF Transceiver 25 1.8.2 Baseband (BB) Unit 25 1.8.3 Power Supply and Cooling 25 1.8.4 BS Power Consumption at Variable Load 26 1.9 Green Cellular Networks 28 1.10 Green Heterogeneous Networks 30 1.11 Summary 31 1.A Tutorials on Theory and Techniques of Optimization Mathematics: Basics 33 1.A.1 Optimization of Unconstrained Function with a Single Variable 33 1.A.2 Optimization of Unconstrained Function with Multiple Variables 34 1.A.3 The Hessian Matrix 35 1.B Theory of Optimization Mathematics 36 1.B.1 Constrained Optimization 37 1.B.2 Bordered Hessian Matrix HB 37 1.C Karush–Kuhn–Tucker (KKT) Conditions 39 References 41 2 5G Enabling Technologies: Small Cells, Full-Duplex Communications, and Full-Dimension MIMO Technologies 43 2.1 Introduction 43 2.2 The Rationale for 5G Enabling Technologies 45 2.3 Network Densification 46 2.4 Cloud-Based Radio Access Network (C-RAN) 49 2.4.1 Resource Management Between Macrocells and Small Cells 51 2.4.2 BBU-RRH Switching Schemes 53 2.4.3 Mobile Small Cells 54 2.4.4 Automatic Self-Organising Network (SON) 56 2.5 Cache-Enabled Small-Cell Networks (CE-SCNs) 57 2.5.1 File Delivery Performance Analysis of CE-SCN 58 2.5.2 Outage Probability and Average File Delivery Rate in CE-SC System 59 2.6 Full-Duplex (FD) Communications 61 2.6.1 Analysis of FD Communication 63 2.6.2 FD Transmission Between Two Nodes 64 2.6.3 Principles of Self-Interference 65 2.6.4 Theoretical Example Analysis of Antenna Cancellation 67 2.6.5 Infrastructure for FD Transmission 68 2.6.6 Full-Duplex MAC (FD-MAC) Protocol 71 2.7 Review of Reference Signals, Antenna Ports, and Channels 74 2.7.1 DL and UL Physical Channels 75 2.7.2 DL Reference Signals and Antenna Ports 75 2.7.3 UL Reference Signals 76 2.7.3.1 UL Reference Signal Sequence Generation 76 2.7.3.2 Demodulation Reference Signal for PUSCH 77 2.7.3.3 Demodulation Reference Signal for PUCCH 78 2.7.3.4 Sounding Reference Signal SRS 78 2.7.3.5 Random-Access Channel Preambles 78 2.8 Full-Dimension MIMO Technology 79 2.8.1 Full-Dimension MIMO (FD-MIMO) Analysis 81 2.8.2 FD-MIMO System Design Issues 82 2.8.3 3GPP Development of 3D Model for FD-MIMO System 82 2.8.3.1 Antenna Array Elements Radiation Patterns 82 2.8.3.2 Antenna Configurations 83 2.8.3.3 FD-MIMO Development 84 2.8.4 Beamformed CSI-RS Transmission 85 2.8.5 CSI Feedback for FD-MIMO Systems 86 2.9 Summary 88 2.A Notes on Machine Learning Algorithms 89 2.A.1 The Algorithm 89 2.B Outage Probability in CE-SC Networks 91 2.B.1.1 Analysis of Term i: 91 2.C Signal Power at the Receive Antenna after Antenna Cancellation of Self-Interference 94 References 95 Further Reading 98 3 5G Enabling Technologies: Network Virtualization and Wireless Energy Harvesting 99 3.1 Introduction 99 3.2 Network Sharing and Virtualization of Wireless Resources 100 3.2.1 Earlier Network Sharing 100 3.2.2 Functional Description of Network Sharing Nodes 102 3.2.2.1 User Equipment (UE) Functions 102 3.2.2.2 Radio Network Controller (RNC) Functions 103 3.2.2.3 Evolved Node B (eNB) Functions 103 3.2.2.4 Base Station Controller (BSC) Functions 103 3.2.2.5 Mobile Switching Centre (MSC) Functions 103 3.2.2.6 Mobility Management Entity (MME) Functions 104 3.2.3 Single BS Shared by a Set of Operators 104 3.3 Evolved Resource Sharing 107 3.3.1 Principle of Cellular Network Evolved Resource Sharing 109 3.3.2 Single-Level Resource Allocation Among Operators 109 3.3.3 Opportunistic Sharing-Based Resource Allocation 112 3.4 Network Functions Virtualization (NFV) 113 3.4.1 Virtualized Network Functions 116 3.4.2 Principles of the Network Functions Virtualization Infrastructure (NFVI) 116 3.5 vRAN Supporting Fronthaul 117 3.5.1 Splitting the Architecture 118 3.5.1.1 Downlink (DL) 118 3.5.1.2 Uplink (UL) 118 3.6 Virtual Evolved Packet Core (vEPC) 119 3.7 Virtualized Switches 121 3.8 Auction in Resource Provision 121 3.9 Hierarchical Combinatorial Auction Models 122 3.10 Energy-Harvesting Techniques 125 3.10.1 Fundamentals of Wireless Energy Harvesting 126 3.10.2 Wireless Powered Communications 129 3.10.3 Full-Duplex Wireless-Powered Communication Network 131 3.10.4 Wireless Power Transfer in Cellular Networks 133 3.10.4.1 The Outage Constraint at BSs 134 3.10.4.2 The Power Outage Constraint at PBs 135 3.10.4.3 Hybrid Network Mobiles with Large Energy Storage 135 3.10.4.4 Hybrid Network Mobiles with Small Energy Storage 135 3.10.5 Harvested Energy Calculation 136 3.10.5.1 Energy Harvested from a FD BS (configuration 1) 136 3.10.5.2 Energy Harvested from PBs (configuration 2) 137 3.11 Integrated Energy and Spectrum Harvesting for 5G Communications 138 3.12 Energy and Spectrum Harvesting Cooperative Sensing Multiple Access Control (MAC) Protocol 140 3.13 Millimetre Wave (mmWave) Energy Harvesting 141 3.13.1 mmWave Network Model 141 3.13.2 mmWave Channel Model 142 3.13.3 Antenna Model 143 3.14 Analysis of mmWave Energy-Harvesting Technique 144 3.14.1 Connected User Case 145 3.15 Summary 145 References 146 Further Reading 148 4 5G Enabling Technologies: Narrowband Internet of Things and Smart Cities 151 4.1 Introduction to the Internet of Things (IoT) 151 4.2 IoT Architecture 152 4.2.1 Provisioning and Authentication 153 4.2.2 Configuration and Control 153 4.2.3 Monitoring and Diagnostics 153 4.2.4 Software Updates and Maintenance 154 4.3 Layered IoT Architecture 154 4.4 IoT Security Issues 155 4.5 Narrowband IoT 155 4.5.1 NB-IoT Modes of Operation 155 4.5.2 NB-IoT Transmission Options 156 4.5.2.1 DL Transmission Method 156 4.5.2.2 UL Transmission Method 156 4.6 DL Narrowband Physical Channels and Reference Signals 156 4.6.1 DL Physical Broadcast Channel (DPBCH) 156 4.6.2 Repetition Code SNR Gain Analysis 158 4.6.3 Narrowband Physical DL Shared Channel (NPDSCH) and Control Channel (NPDCCH) 159 4.6.4 Narrowband Reference Signal (NRS) 160 4.6.5 NB-IoT Primary Synchronization Signal (NPSS) 160 4.6.6 NB-IoT Secondary Synchronization Signal (NSSS) 163 4.6.7 Narrowband Positioning Reference Signal (NPRS) 165 4.7 UL Narrowband Physical Channels and Reference Signals 169 4.7.1 Narrowband Physical UL Shared Channel (NPUSCH) 169 4.7.2 Narrowband Physical Random-Access Channel (NPRACH) 170 4.7.3 Demodulation Reference Signals 172 4.7.3.1 DMRS Sequence for NPUSCH Format1 172 4.7.3.2 DMRS Sequence for NPUSCH Format2 173 4.8 NB-IoT System Design 174 4.8.1 LTE System Specifications 174 4.8.2 Bandwidth Perspective-Effective BW 175 4.8.2.1 Capacity Extension Consideration 175 4.8.2.2 Coverage Extension Consideration 176 4.8.3 Battery Usage Efficiency 177 4.9 Smart Cities 179 4.10 EU Smart City Model 180 4.10.1 Smart Economy 180 4.10.2 Smart Mobility 180 4.10.3 Smart Environment 181 4.10.4 Smart People 181 4.10.5 Smart Living 182 4.10.6 Smart Governance 183 4.11 Summary 184 4.A Minimum Time Required to Transmit Message M When B→∞ 185 References 186 Further Reading 188 5 Millimetre Wave Massive MIMO Technology 189 5.1 Introduction 189 5.2 Capacity of Point-to-Point MIMO Systems 190 5.2.1 Capacity of SIMO/MISO Links 190 5.2.2 Capacity of MIMO Links 190 5.3 Outage of Point-to-Point MIMO Links 193 5.4 Diversity-Multiplexing Tradeoffs 194 5.5 Multi-User-MIMO (MU-MIMO) Single-Cell Systems 195 5.5.1 UL Channel Capacity 196 5.5.2 DL Channel Capacity 196 5.6 Multi-User MIMO Multi-Cell System Representation 197 5.7 Sum Capacity of Broadcast Channels 198 5.7.1 Degraded BC 198 5.7.2 Nondegraded Gaussian Vector BC 200 5.7.3 MIMO BC Sum Capacity Using DPC 201 5.7.4 DPC Scheme Research Development for Application in the MIMO BC 205 5.7.5 Review of the DPC Scheme for Massive MIMO Systems 206 5.8 mmWave Massive MIMO Systems 206 5.8.1 Introduction 206 5.8.2 Reciprocity Model for Point-to-Point Links 208 5.8.3 Reciprocity Analysis 208 5.8.4 Reciprocity Analysis Extension to Multiple Users 209 5.8.5 Reciprocity and Pilot Contamination 210 5.9 MIMO Beamforming Schemes 210 5.9.1 Introduction to Beamforming 210 5.9.2 Analysis of Beamforming 210 5.10 BF Schemes 212 5.10.1 The Delay and Sum BF 212 5.10.2 Null Steering Beamformers 213 5.10.3 Beamformer Using a Reference Signal 214 5.11 mmWave BF Systems 215 5.11.1 Introduction 215 5.11.2 Hybrid Digital and Analogue BF for mmWave Antenna Arrays 216 5.12 Massive MIMO Hardware 221 5.13 mmWave Market and Choice of Technologies 226 5.14 Summary 227 5.A Derivation of Eq. (5.14) for M = 3, N = 2 229 5.B MUSIC Algorithm Used in Estimating the Direction of Signal Arrival 230 5.B.1 Introduction 230 5.B.2 MUSIC Algorithm for Estimating 1D Array AOAs 230 5.B.3 MUSIC Algorithm for Estimating 1D Linear Hybrid Array AOAs 233 5.B.4 MUSIC Algorithm for Estimating 2D Array AOAs. 234 References 236 6 mmWave Propagation Modelling: Atmospheric Gaseous and Rain Losses 241 6.1 Introduction 241 6.2 Contemporary Radio Wave Propagation Models 242 6.2.1 AT&T Propagation Model 243 6.2.2 Stanford University Interim (SUI) Propagation Model 244 6.2.3 Modified SUI Model for mmWave Propagation 245 6.3 Atmospheric Gaseous Losses 249 6.3.1 Introduction 249 6.3.2 Attenuation by Atmospheric Gases 250 6.3.3 ITU Recommendations for Modelling Atmospheric Gaseous Attenuation 252 6.3.4 Temperature and Pressure 254 6.3.5 Water-Vapour Pressure 254 6.4 Dry Atmosphere for Attenuation Calculations 256 6.5 Calculation of Atmospheric Gaseous Attenuation Using ITU-R Recommendations 256 6.6 Rain Attenuation at mmWave Frequency Bands 257 6.6.1 Introduction 257 6.6.2 Research Development 258 6.7 The Physical Rain (EXCELL) Capsoni Model 259 6.7.1 Model Cells 260 6.7.2 Monoaxial Cell and Biaxial Cell Models 261 6.7.3 Fitting the Model to the Local Meteorological Data 261 6.7.4 Development of the Capsoni EXCELL Model 263 6.8 ITU Recommendations on Rainfall Rate Conversion 265 6.8.1 Introduction 265 6.8.2 Recommendations ITU–R P.530-17 and ITU-R P.838-3 266 6.8.2.1 Linear and Circular Polarization 266 6.8.3 Recommendations ITU-R P.1144-6 and ITU-R P.837-7 269 6.8.4 Recommendation ITU R P.1510-1 271 6.9 Attenuation from Snow and Hail 272 6.9.1 EM Propagation Properties Through Snow 272 6.9.2 Transmission Model for Ice Slab 277 6.9.3 Empirical Model for Snow Attenuation 278 6.9.4 Strong Fluctuation Theory 281 6.10 Snow Dielectric Constant Formulation Using Strong Fluctuation Theory 281 6.11 Summary 282 6.A Bilinear Interpolation 283 References 285 7 mmWave Propagation Modelling –Weather, Vegetation, and Building Material Losses 289 7.1 Introduction 289 7.2 Attenuation Due to Clouds and Fog 290 7.3 The Microphysical Modelling 290 7.4 Modified Gamma Droplets Size Distribution 292 7.4.1 Analysis of the Size Distribution 292 7.4.2 Skewness and Kurtosis of Modified Gamma Distribution 294 7.5 Rayleigh and Mie Scattering Distributions 297 7.6 ITU Empirical Model for Clouds and Fog Attenuation Calculation 298 7.7 Building Material Attenuation 300 7.7.1 Penetration Losses for Various Building Materials 300 7.7.2 Penetration Losses for Indoor Obstructions in an Office Environment at 28 GHz 301 7.7.3 The Penetration Loss for the Exterior of the House 301 7.8 Modelling the Penetration Loss for Building Materials 302 7.9 Modelling the Penetration Loss for Indoor Environments 302 7.10 Attenuation of Propagated Radio Waves in Vegetation 303 7.10.1 Foliage Propagation Path Models 303 7.10.2 Review of Horizontal Empirical Models 304 7.10.3 Weissberger MED Vegetation Loss Model 304 7.10.4 Recommendation ITU Vegetation Loss Model 305 7.10.5 The Maximum Attenuation (MA) Vegetation Loss Model 305 7.10.6 The Modified and Fitted ITU-R (MITU-R) and (FITU-R) Vegetation Loss Models 307 7.10.7 The COST235 Model 308 7.10.8 The Nonzero Gradient (NZG) Vegetation Loss Model 308 7.10.9 The Dual-Gradient (DG) Vegetation Loss Model 310 7.10.10 Indoor Vegetation Attenuation Measurement 312 7.11 Review of Vegetation Loss Using Empirical Models for Slant Propagation Path 312 7.12 Microphysical Modelling of Vegetation Attenuation 315 7.13 Attenuation in Vegetation Due to Diffraction 321 7.14 Recommendation ITU-R 526-7 321 7.15 Propagation Modes Connected with the Vegetation Foliage 322 7.15.1 Calculation of the Attenuation of the Top Diffracted Component 323 7.15.2 Attenuation Components Due to Side Diffraction 324 7.15.3 Attenuation of the Ground Reflection Component 325 7.15.4 Attenuation of the ‘Through’ or Scattered Component 326 7.15.5 Combination of the Individual Attenuation Components 326 7.16 Radiative Energy Transfer (RET)Theory 327 7.16.1 Introduction 327 7.16.2 RET Attenuation Prediction Model 329 7.16.2.1 Scattering Loss for Slant Radiation 331 7.16.2.2 Scattering Loss for Normal Radiation 332 7.16.3 Determination of the Medium-Dependent Parameters from Measurement Data 333 7.17 Summary 336 7.A Lognormal Distributed Random Numbers 336 7.B Derivation of Cloud Water Droplets Mode Radius 338 7.C The Complex Relative Permittivity and the Complex Relative Refractive Index Relationship 339 7.D Step-by-Step Tutorial to Calculate the Excess Through (Scatter) Loss in Vegetation 340 References 342 8 Wireless Channel Modelling and Array Mutual Coupling 347 8.1 Key Parameters in Wireless Channel Modelling 347 8.1.1 Doppler Spread 347 8.1.2 Coherence Time 348 8.1.3 Delay Spread 349 8.1.4 Coherence Bandwidth 350 8.2 Signal Fading 351 8.2.1 Small-Scale Fading Channels 351 8.2.1.1 Slow Fading 351 8.2.1.2 Fast Fading 351 8.2.1.3 Frequency Selective Fading 352 8.2.2 Large-Scale Fading Channels 352 8.2.3 Statistics of Wireless Channel 352 8.3 MIMO Channel Models 353 8.3.1 MIMO Channel Model Based on Perfect CSIT or CSIR 353 8.3.2 MIMO Channel Model Based on Perfect CSIR and CDIT 353 8.3.3 MIMO Channel Model Based on Perfect CDIT and CDIR 354 8.4 Massive MIMO Channel Models 355 8.4.1 i.i.d. Rayleigh Channel Model 355 8.5 Correlation Inspired Channel Models 356 8.5.1 Introduction 356 8.5.2 Formation of Kronecker Channel Model 359 8.6 Weichselberger Channel Model 360 8.6.1 Introduction 360 8.6.2 Formulation of Weichselberger Channel Model 362 8.7 Virtual Channel Representation 365 8.8 Mutual Coupling in Wireless Antenna Systems 367 8.8.1 Array Mutual Coupling 367 8.8.2 Mutual Coupling of Antenna Arrays Operating in Transmit and Receive Modes 368 8.8.3 BS Antennas Mutual Coupling in MIMO Systems 369 8.8.4 Total Power Collected by the Receiving Array 370 8.9 Mutual Coupling Constrained on Transmit Radiated Power 372 8.10 Analysis Voltage Induced at the Receive Antenna Port 372 8.11 MIMO Channel Capacity of Mutually Coupled Wireless Systems 374 8.11.1 Interference Consideration 374 8.11.2 Users Receiver Noise Consideration 375 8.11.3 Formulation of MIMO Channel Capacity 376 8.12 Summary 378 8.A S-Parameters 380 8.B Power Collected by the Receive Array is Maximum When S11 = SHRR 382 References 384 Further Reading 386 9 Massive Array Configurations and 3D Channel Modelling 387 9.1 Massive Antenna Array Configurations at BS 387 9.2 Uniform Linear Arrays 387 9.3 Rectangular Planar Arrays 388 9.4 Circular Arrays 388 9.5 Cylindrical Arrays 390 9.6 Spherical Antenna Arrays 391 9.7 Microstrip Patch Antennas 394 9.8 EU WINNER Projects 398 9.9 Spatial MIMO Channel Model in 3GPP Release 6 399 9.9.1 BS and MS Antenna Patterns 400 9.9.2 Per-Path BS and MS Angle Spread (AS) 400 9.9.3 Per-Path BS and MS Power Azimuth Spectrum 400 9.9.4 Definitions of BS and MS Angle Parameters for a Scattering Environment 402 9.10 The Scattering Environments 403 9.11 Large-Scale Parameters (LSPs) 403 9.11.1 Correlation Between Channel Parameters in 3GPP Release 6 405 9.11.2 Generation of Values of DS, AS, SF 405 9.12 2D Spatial Channel Models (SCMs) 407 9.12.1 Spatial Channel Models with No Antennas Polarization 407 9.12.2 Path Loss (PL) 407 9.12.3 2D Channel Coefficients 408 9.12.4 Generating Channel Parameters for Urban, Suburban Macrocell, and Urban Microcell Environments 408 9.13 2D Spatial Channel Models (SCMs) with Antenna Polarization 411 9.13.1 2D Spatial Channel Model (SCMs) with Polarized Antennas 412 9.14 3D Channel Models in 3GPP Release 14 413 9.14.1 Coordinate Systems 413 9.14.2 Local and Global Coordinate Systems 413 9.14.3 Scenarios Descriptions 416 9.14.4 Antenna Modelling 417 9.14.5 Probability of LOS 418 9.14.6 Estimate of the LOS Probability Using Ray Tracing 419 9.14.7 LOS Probability in 3GPP Release 14 420 9.14.8 Path Loss 422 9.14.8.1 UMacell Path Loss 422 9.14.8.2 LOS Channel Environment 422 9.14.8.3 Non-Line-of-Sight (NLOS) 422 9.14.9 Fast-Fading Model for 3D Channels 422 9.14.10 Large-Scale Parameters 424 9.14.11 Small-Scale Parameters 428 9.14.11.1 Channel Coefficients for NLOS Channel Environment 431 9.14.11.2 Channel Coefficients for LOS Channel Environment 432 9.14.11.3 Oxygen Absorption 433 9.14.11.4 Blockage Loss 433 9.15 Blockage Modelling 434 9.15.1 Blockages Modelling Using Random Shape Theory 434 9.15.2 Analysis Using Random Shape Theory to Model Buildings 436 9.15.3 Distance to Closest BS with Building Blockage 436 9.16 Summary 437 9.A Laplace Random Variables Distribution 438 9.B Spherical Coordinates 439 9.C Wrapped Gaussian Distribution 440 References 440 10 Massive MIMO Channel Estimation Schemes 443 10.1 Introduction 443 10.1.1 Cellular MIMO Channels 443 10.2 Massive MIMO Channels Definition 445 10.2.1 Massive MIMO UL Definition 445 10.3 Time-Division Duplexing (TDD) Transmission Protocol 447 10.4 Massive MIMO Channel Estimation in Noncooperative TDD Networks 447 10.4.1 Uplink Pilots’ Transmission Using the Aligned Pilot Scheme 448 10.4.2 SINR for Uplink Data Transmission 449 10.4.3 SINR for Downlink Data Transmission 450 10.4.4 Massive MIMO Channels Estimation Using Time-Shifted Pilot Scheme (TSPS) 451 10.5 Channel Estimation Using Coordinated Cells in MIMO System 454 10.5.1 Bayesian Estimation of Uplink for All Users 455 10.5.2 Bayesian Desired Channel Estimation with Full Pilot Reuse 458 10.6 Bayesian Estimation of UL in a Massive MIMO System 460 10.6.1 Rule of Coordinated Pilot Allocation 461 10.6.2 Evaluation of the Coordinated Pilot Assignment Protocol 461 10.7 Arbitrary Correlated Rician Fading Channel 465 10.7.1 Estimation of Correlated Rician Channels Using MMSE Approach 465 10.7.2 Pilot Sequence Optimization for Channel Matrix Estimation 467 10.7.3 Optimal Length of Pilot Sequences 468 10.8 Massive MIMO Antennas Calibration 469 10.8.1 Argos Method 470 10.8.2 Mutual Coupling Calibration Antennas Method 473 10.9 Pre-precoding/Post-precoding Channel Calibration 479 10.10 Summary 481 10.A Noncooperative TDD Networks: Derivation of the Asymptotic Normalization Factor Equation 482 10.B Beamforming Vectors for Time-Shifted Pilot Scheme 483 10.C Derivation of equations (10.48b) and (10.49b) 484 References 486 11 Linear Precoding Strategies for Multi-User Massive MIMO Systems 489 11.1 Introduction 489 11.2 Group-Level and Symbol-Level Precoding 490 11.3 Linear Precoding Schemes 491 11.4 SU-MIMO Model 492 11.5 Multi-User MIMO Precoding System Model 493 11.5.1 Broadcast Channel (BC) System Model 493 11.5.2 Multiple Access Channels (MAC) System Model with Non-Equal Antennas at Each User 494 11.5.3 Linear Precoding for Massive MIMO MAC with Equal Antennas at Each User 495 11.6 Linear Multi-User Transmit Channel Inversion Precoding for BC 496 11.7 Zero-Forcing Precoding using the Wiesel et al. Method 497 11.7.1 Multi-User Linear Zero-Forcing (ZF) Precoding for BC 497 11.7.2 ZF Precoder Design with Total Transmit Power Constraint 498 11.7.3 Optimal ZF Precoding with per-Antenna Power Constraint 499 11.8 The Outage Probability 500 11.9 Precoding for MIMO Channels with Johan et al. Method 502 11.9.1 Introduction 502 11.9.2 ZF Transmit Filter F Matrix 503 11.9.3 ZF Receive Filter E Matrix 504 11.9.4 ZF Outage Probability for Minimum Transmit Power 505 11.9.5 ZF Precoder Design to Allocate Unequal Power 505 11.9.6 ZF Outage Probability for Unequal Power Allocation across Transmit Antennas 506 11.10 Matched Filter (MF) Precoding 507 11.10.1 Transmit MF F Matrix 507 11.10.2 Receive MF E Matrix 507 11.11 Wiener Filter (WF) Precoding 509 11.11.1 Transmit WF F Matrix 509 11.11.2 Receive WF Matrix 510 11.12 Regularized Zero-Forcing (RZF) Precoding 511 11.13 Block Diagonalization (BD) 514 11.13.1 Multi-User BD Precoding 514 11.13.2 BD Transmit Filter and Receive Filter Matrices 515 11.14 Transmit MF Precoding Filters and MMSE Receive Filters in MIMO Broadcast Channel 519 11.15 Linear Precoding Based on Truncated Polynomial Expansion 520 11.15.1 Introduction 520 11.15.2 Modelling the TPE Precoding for BC 521 11.16 Summary 525 11.A Derivation of the Scaling Factor 𝛽ZF 527 11.B ZF Precoder Design Optimum User Power in Unequal Power Allocation 527 11.C Transmit Matched Filter (MF) Precoding 529 11.D Wiener Filter (WF) Precoding 530 11.E MMSE Matrix 532 11.F SINR for MMSE Receiver for MF the Transmit Precoding 534 References 535 Index 539

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Book SynopsisAVERAGE CURRENT-MODE CONTROL OF DC-DC POWER CONVERTERS An authoritative one-stop guide to the analysis, design, development, and control of a variety of power converter systems Average Current-Mode Control of DC-DC Power Converters provides comprehensive and up-to-date information about average current-mode control (ACMC) of pulse-width modulated (PWM) dc-dc converters. This invaluable one-stop resource covers both fundamental and state-of-the-art techniques in average current-mode control of power electronic converters???featuring novel small-signal models of non-isolated and isolated converter topologies with joint and disjoint switching elements and coverage of frequency and time domain analysis of controlled circuits. The authors employ a systematic theoretical framework supported by step-by-step derivations, design procedures for measuring transfer functions, challenging end-of-chapter problems, easy-to-follow diagrams and illustrations, numerous exaTable of ContentsList of Symbols xiii About the Authors xvii Preface xix Acknowledgments xxi 1 Introduction 1 1.1 Principle of Operation of Conventional Average Current-Mode Control Technique 3 1.2 Principle of Operation of Modified Average Current-Mode Control Technique 6 1.3 Steady-State Operation 7 2 Average Current-Mode Control of Buck DC–DC Converter 9 2.1 Circuit Description, DC Characteristics, and Design 10 2.1.1 Circuit Description 10 2.1.2 DC Model 10 2.1.3 Design Example 12 2.2 Large-Signal and Small-Signal Models of PWM Buck Converter in CCM 13 2.3 Power Stage Transfer Functions 15 2.3.1 Duty Cycle-to-Output Voltage Transfer Function Tp 16 2.3.2 Duty Cycle-to-Inductor Current Transfer Function Tpi 18 2.3.3 Input Voltage-to-Output Voltage Transfer Function M 𝑣 20 2.3.4 Input Voltage-to-Inductor Current Transfer Function M 𝑣 i 21 2.3.5 Reverse Current Gain A i 22 2.3.6 Open-Loop Input Impedance Z i 24 2.3.7 Open-Loop Output Impedance Zo 26 2.4 Inner-Current Loop 27 2.4.1 Transfer Function of Filter and Non-inverting Amplifier Tf 29 2.4.2 Transfer Function of Pulse-Width Modulator Tm 30 2.4.3 Uncompensated Loop Gain Tki 30 2.4.4 Transfer Function of Control Circuit for Inner-Current Loop Tci 31 2.4.5 Compensated Loop Gain of Inner-Current Loop Ti 33 2.5 Closed-Loop Transfer Functions for Inner-Current Loop 34 2.5.1 Reference Voltage-to-Inductor Current Transfer Function Ticl 35 2.5.2 Reference Voltage-to-Output Voltage Transfer Function Tpicl 35 2.5.3 Input Voltage-to-Inductor Current Transfer Function Micl 36 2.5.4 Input Voltage-to-Output Voltage Transfer Function M𝑣icl 37 2.5.5 Input Impedance Ziicl 39 2.5.6 Output Impedance Zoicl 40 2.6 Outer-Voltage Loop 42 2.6.1 Transfer Function of Feedback Network 𝛽 42 2.6.2 Uncompensated Loop Gain for Outer-Voltage Loop Tk𝑣 42 2.6.3 Transfer Function of Control Circuit for Outer-Voltage Loop Tc𝑣 43 2.6.4 Compensated Loop Gain of Outer-Voltage Loop T𝑣 46 2.7 Closed-Loop Transfer Functions for Outer-Voltage Loop 46 2.7.1 Reference Voltage-to-Output Voltage Transfer Function Tpcl 46 2.7.2 Input Voltage to Duty-Cycle Transfer Function Md𝑣 47 2.7.3 Input Voltage-to-Output Voltage Transfer Function M𝑣cl 49 2.7.4 Input Impedance Zi𝑣cl 50 2.7.5 Output Impedance Zo𝑣cl 52 2.8 Comparison of Closed-Loop and Open-Loop Step Responses 55 2.8.1 Response of Output Voltage to Step Change in Input Voltage 55 2.8.2 Response of Output Voltage to Step Change in Duty Cycle, Current-Loop reference Voltage, and Voltage-Loop Reference Voltage 55 2.8.3 Response of Input Current to Step Change in Input Voltage 56 2.8.4 Response of Output Voltage to Step Change in Load Current 57 2.9 Summary 58 3 Average Current-Mode Control of Boost DC–DC Converter 61 3.1 Circuit Description, DC Characteristics, and Design 62 3.1.1 Circuit Description 62 3.1.2 DC Model 62 3.1.3 Design Example 65 3.2 Large-Signal and Small-Signal Models of PWM Boost Converter for CCM 66 3.3 Power-Stage Transfer Functions 67 3.3.1 Duty Cycle-to-Output Voltage Transfer Function Tp 68 3.3.2 Duty Cycle-to-Inductor Current Transfer Function Tpi 74 3.3.3 Input Voltage-to-Output Voltage Transfer Function M𝑣 80 3.3.4 Input Voltage-to-Inductor Current Transfer Function M𝑣i 81 3.3.5 Reverse Current Gain Ai 82 3.3.6 Open-Loop Input Impedance Zi 84 3.3.7 Open-Loop Output Impedance Zo 85 3.4 Inner-Current Loop 88 3.4.1 Transfer Function of Filter and Non-inverting Amplifier Tf 89 3.4.2 Transfer Function of Pulse-Width Modulator Tm 90 3.4.3 Uncompensated Loop Gain Tki 90 3.4.4 Transfer Function of Control Circuit Tci 91 3.4.5 Loop Gain of Inner-Current Loop Ti 93 3.5 Closed-Loop Transfer Functions for Inner-Current Loop 94 3.5.1 Reference Voltage-to-Inductor Current Transfer Function Ticl 94 3.5.2 Reference Voltage-to-Output Voltage Transfer Function Tpicl 95 3.5.3 Input Voltage-to-Inductor Current Transfer Function Micl 96 3.5.4 Input Voltage-to-Output Voltage Transfer Function M𝑣icl 98 3.5.5 Input Voltage-to-Duty Cycle Transfer Function Mdi 99 3.5.6 Input Impedance Ziicl 100 3.5.7 Output Impedance Zoicl 102 3.6 Outer-Voltage Loop 103 3.6.1 Transfer Function of Feedback Network 𝛽 104 3.6.2 Uncompensated Loop Gain for Outer-Voltage Loop Tk𝑣 105 3.6.3 Transfer Function of Control Circuit for Outer-Voltage Loop Tc𝑣 105 3.6.4 Compensated Loop Gain of Outer-Voltage Loop T𝑣 107 3.7 Closed-Loop Transfer Functions for Outer-Voltage Loop 107 3.7.1 Reference Voltage-to-Output Voltage Transfer Function Tpcl 108 3.7.2 Input Voltage-to-Duty Cycle Transfer Function Md𝑣 109 3.7.3 Input Voltage-to-Output Voltage Transfer Function M𝑣cl 110 3.7.4 Input Impedance Zi𝑣cl 112 3.7.5 Output Impedance Zo𝑣cl 114 3.8 Comparison of Closed-Loop and Open-Loop Step Responses 116 3.8.1 Response of Output Voltage to Step Change in Input Voltage 116 3.8.2 Response of Output Voltage to Step Change in Duty Cycle, Current-Loop Reference Voltage, and Voltage-Loop Reference Voltage 117 3.8.3 Response of Input Current to Step Change in Input Voltage 118 3.8.4 Response of Output Voltage to Step Change in Load Current 119 3.9 Summary 120 4 Average Current-Mode Control of Buck-Boost DC–DC Converter 121 4.1 Circuit Description, DC Model, and Design 122 4.1.1 Circuit Description 122 4.1.2 DC Model 122 4.1.3 Design Example 125 4.2 Large-Signal and Small-Signal Models of PWM Buck-Boost Converter in CCM 125 4.3 Power-Stage Transfer Functions 128 4.3.1 Duty Cycle-to-Output Voltage Transfer Function Tp 129 4.3.2 Duty Cycle-to-Inductor Current Transfer Function Tpi 134 4.3.3 Input Voltage-to-Output Voltage Transfer Function M𝑣 139 4.3.4 Input Voltage-to-Inductor Current Transfer Function M𝑣i 142 4.3.5 Reverse Current Gain Ai 143 4.3.6 Open-Loop Input Impedance Zi 145 4.3.7 Open-Loop Output Impedance Zo 147 4.4 Inner-Current Loop 150 4.4.1 Transfer Function of Filter Tf 152 4.4.2 Transfer Function of Pulse-Width Modulator Tm 153 4.4.3 Uncompensated Loop Gain Tki 154 4.4.4 Transfer Function of Compensation Circuit Tci 155 4.4.5 Compensated Loop Gain Ti 156 4.5 Closed-Inner Loop Transfer Functions 158 4.5.1 Reference Voltage-to-Inductor Current Transfer Function Ticl 160 4.5.2 Reference Voltage-to-Output Voltage Transfer Function Tpicl 161 4.5.3 Input Voltage-to-Inductor Current Transfer Function Micl 162 4.5.4 Input Voltage-to-Output Voltage Transfer Function M𝑣icl 163 4.5.5 Input Voltage-to-Duty Cycle Transfer Function Mdi 166 4.5.6 Input Impedance Ziicl 166 4.5.7 Output Impedance Zoicl 168 4.6 Outer-Voltage Loop 170 4.6.1 Transfer Function of Feedback Network 𝛽 172 4.6.2 Uncompensated Loop Gain Tk𝑣 173 4.6.3 Transfer Function of Control Circuit for Outer-Voltage Loop Tc𝑣 174 4.6.4 Compensated Loop Gain T𝑣 176 4.7 Closed-Loop Transfer Functions for Outer-Voltage Loop 176 4.7.1 Reference Voltage-to-Output Voltage Transfer Function Tpcl 177 4.7.2 Input Voltage-to-Duty Cycle Transfer Function Md𝑣 177 4.7.3 Input Voltage-to-Output Voltage Transfer Function M𝑣cl 179 4.7.4 Input Impedance Zi𝑣cl 181 4.7.5 Output Impedance Zo𝑣cl 183 4.8 Comparison of Closed-Loop and Open-Loop Step Responses 186 4.8.1 Response of Output Voltage to Step Change in Input Voltage 186 4.8.2 Response of Output Voltage to Step Change in Duty Cycle, Current-Loop reference Voltage, and Voltage-Loop Reference Voltage 187 4.8.3 Response of Input Current to Step Change in Input Voltage 188 4.8.4 Response of Output Voltage to Step Change in Load Current 188 4.9 Summary 189 5 Average Current-Mode Control of Flyback DC–DC Converter 191 5.1 Circuit Description, DC Model, and Design 192 5.1.1 Circuit Description 192 5.1.2 DC Model 193 5.1.3 Derivation of Equivalent Averaged Resistance 197 5.1.4 Design Example 200 5.2 Large-Signal and Small-Signal Models of PWM Flyback Converter in CCM 200 5.3 Power-Stage Transfer Functions 204 5.3.1 Duty Cycle-to-Output Voltage Transfer Function Tp 206 5.3.2 Duty Cycle-to-Inductor Current Transfer Function Tpi 214 5.3.3 Input Voltage-to-Output Voltage Transfer Function M𝑣 220 5.3.4 Input Voltage-to-Inductor Current Transfer Function M𝑣i 221 5.3.5 Reverse Current Gain Ai 223 5.3.6 Open-Loop Input Impedance Zi 226 5.3.7 Open-Loop Output Impedance Zo 228 5.4 Inner-Current Loop 229 5.4.1 Transfer Function of Filter and Non-inverting Amplifier Tf 231 5.4.2 Transfer Function of Pulse-Width Modulator Tm 233 5.4.3 Uncompensated Loop Gain Tki 233 5.4.4 Transfer Function of Compensation Circuit Tci 234 5.4.5 Compensated Loop Gain Ti 236 5.5 Closed-Loop Transfer Functions for Inner-Current Loop 238 5.5.1 Reference Voltage-to-Inductor Current Transfer Function Ticl 239 5.5.2 Reference Voltage-to-Output Voltage Transfer Function Tpicl 240 5.5.3 Input Voltage-to-Inductor Current Transfer Function Micl 241 5.5.4 Input Voltage-to-Output Voltage Transfer Function M𝑣icl 243 5.5.5 Input Voltage-to-Duty Cycle Transfer Function Mdi 244 5.5.6 Input Impedance Ziicl 245 5.5.7 Output Impedance Zoicl 246 5.6 Outer-Voltage Loop 248 5.6.1 Transfer Function of Feedback Network 𝛽 250 5.6.2 Uncompensated Loop Gain Tk𝑣 250 5.6.3 Transfer Function of Compensation Circuit Tc𝑣 251 5.6.4 Compensated Loop Gain T𝑣 253 5.7 Closed-Loop Transfer Functions for Outer-Voltage Loop 253 5.7.1 Reference Voltage-to-Output Voltage Transfer Function Tpcl 254 5.7.2 Input Voltage-to-Duty Cycle Transfer Function Md𝑣 254 5.7.3 Input Voltage-to-Output Voltage Transfer Function M𝑣cl 257 5.7.4 Input Impedance Zi𝑣cl 259 5.7.5 Output Impedance Zo𝑣cl 261 5.8 Comparison of Closed-Loop and Open-Loop Step Responses 262 5.8.1 Response of Output Voltage to Step Change in Input Voltage 262 5.8.2 Response of Output Voltage to Step Change in Duty Cycle, Current-Loop Reference Voltage, and Voltage-Loop Reference Voltage 264 5.8.3 Response of Input Current to Step Change in Input Voltage 265 5.8.4 Response of Output Voltage to Step Change in Load Current 266 5.9 Summary 266 References 269 Appendix A Design Equations for Continuous-Conduction Mode 275 A.1 Common Equations Needed for the Design of Converters 275 A.1.1 DC Output Power 275 A.1.2 DC Voltage Transfer Function 275 A.2 Specific Expressions for the Design of Converters in CCM 275 Appendix B MOSFET Parameters 277 Appendix C Diode Parameters 279 Appendix D Selected MOSFETs’ Spice Models 281 D.1 IRF430 281 D.2 IRF520 281 D.3 IRF150 281 D.4 IRF142 281 D.5 IRF840 282 D.6 IRF740 282 Appendix E Selected Diodes’ Spice Models 283 E.1 MUR1560 283 E.2 MBR10100 283 E.3 MBR1060 283 E.4 MUR2510 283 E.5 MBR2540 283 E.6 MBR4040 284 Appendix F Simulation Tools 285 F.1 SPICE Model of Power MOSFETs 285 F.1.1 SPICE NMOS Syntax 286 F.1.2 SPICE NMOS Model Syntax 286 F.1.3 SPICE PMOS Model Syntax 287 F.1.4 SPICE Subcircuit Model Syntax 287 F.2 Introduction to SPICE 288 F.2.1 Passive Components: Resistors, Capacitors, and Inductors 288 F.2.2 Transformer 288 F.2.3 Temperature 288 F.2.4 Independent DC Sources 288 F.2.5 DC Sweep Analysis 289 F.2.6 Independent Pulse Source for Transient Analysis 289 F.2.7 Transient Analysis 289 F.2.8 Independent AC Sources for Frequency Response 289 F.2.9 Independent Sinusoidal AC Sources for Transient Analysis 289 F.2.10 AC Frequency Analysis 290 F.2.11 Operating Point 290 F.2.12 Starting the SPICE Program 290 F.2.13 Example Program: Diode I–V Characteristics 290 F.3 Introduction to MATLAB® 290 F.3.1 Getting Started 291 F.3.2 Generating an x-Axis Data 291 F.3.3 Semi-logarithmic Scale 291 F.3.4 Log–Log Scale 291 F.3.5 Generate an y-Axis Data 292 F.3.6 Multiplication and Division 292 F.3.7 Symbols and Units 292 F.3.8 x-Axis and y-Axis Labels 292 F.3.9 x-Axis and y-Axis Limits 292 F.3.10 Greek Symbols 292 F.3.11 Plot Commands 293 F.3.12 3D Plot Commands 293 F.3.13 Bode Plots 293 F.3.14 Step Response 293 F.3.15 To Save Figure 293 F.3.16 Example Program 294 F.3.17 Polynomial Curve Fitting 294 F.3.18 Bessel Functions 294 F.3.19 Modified Bessel Functions 294 F.3.20 Example MATLAB Code 294 F.4 Introduction to SABER Circuit Simulator 301 F.4.1 Setting Up a Circuit on SABER 301 F.4.2 Performing TRANSIENT Analysis on the Designed Circuit 302 F.4.3 Plotting 303 F.4.4 Printing 303 Index 305

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Book SynopsisAn authoritative guide to the most up-to-date information on power system dynamics The revised third edition ofPower System Dynamics and Stabilitycontains a comprehensive, state-of-the-art review of information on the topic. The third edition continues the successful approach of the first and second editions by progressing from simplicity to complexity. It places the emphasis first on understanding the underlying physical principles before proceeding to more complex models and algorithms. The book is illustrated by a large number of diagrams and examples. The third edition ofPower System Dynamics and Stabilityexplores the influence of wind farms and virtual power plants, power plants inertia and control strategy on power system stability. The authorsnoted experts on the topiccover a range of new and expanded topics including: Wide-area monitoring and control systems. Improvement of power system stability by optimizationTable of ContentsAbout the Authors xix List of Symbols & Abbreviations xxi Part I Introduction to Power Systems 1 1 Introduction 3 1.1 Stability and Control of a Dynamic System 3 1.2 Classification of Power System Dynamics 5 1.3 Two Pairs of Important Quantities 7 1.4 Stability of a Power System 8 1.5 Security of a Power System 9 2 Power System Components 13 2.1 Introduction 13 2.2 Structure of the Electric Power System 14 2.3 Generating Units 17 2.4 Substations 33 2.5 Transmission and Distribution Network 34 2.6 Protection 49 2.7 Wide Area Measurement Systems 53 3 The Power System in the Steady State 57 3.1 Transmission Lines 57 3.2 Transformers 64 3.3 Synchronous Generators 68 3.4 Power System Loads 101 3.5 Network Equations 110 3.6 Power Flows in Transmission Networks 114 Part II Introduction to Power System Dynamics 123 4 Electromagnetic Phenomena 125 4.1 Fundamentals 125 4.2 Three-phase Short Circuit on a Synchronous Generator 130 4.3 Phase-to-phase Short Circuit 153 4.4 Switching Operations 164 4.5 Subsynchronous Resonance 191 5 Electromechanical Dynamics – Small Disturbances 195 5.1 Swing Equation 195 5.2 Damping Power 195 5.3 Equilibrium Points 199 5.4 Steady-state Stability of Unregulated System 200 5.5 Steady-state Stability of the Regulated System 219 6 Electromechanical Dynamics – Large Disturbances 229 6.1 Transient Stability 229 6.2 Swings in Multi-machine Systems 243 6.3 Direct Method for Stability Assessment 246 6.4 Synchronization 262 6.5 Asynchronous Operation and Resynchronization 264 6.6 Out-of-step Protection System 269 7 Wind Power 283 7.1 Wind Turbines 283 7.2 Generator Systems 287 7.3 Induction Machine Equivalent Circuit 291 7.4 Induction Generator Coupled to the Grid 294 7.5 Induction Generators with Slightly Increased Speed Range via External Rotor Resistance 297 7.6 Induction Generators with Significantly Increased Speed Range 299 7.7 Fully Rated Converter Systems (Wide Speed Control) 307 7.8 Peak Power Tracking of Variable Speed Wind Turbines 309 7.9 Connections of Wind Farms 309 7.10 Fault Behavior of Induction Generators 310 7.11 Influence of Wind Generators on Power System Stability 312 8 Voltage Stability 315 8.1 Network Feasibility 315 8.2 Stability Criteria 320 8.3 Critical Load Demand and Voltage Collapse 325 8.4 Static Analyses 332 8.5 Dynamic Analysis 342 8.6 Prevention of Voltage Collapse 348 8.7 Self-excitation of a Generator Operating on a Capacitive Load 349 9 Frequency Stability and Control 355 9.1 Automatic Generation Control 355 9.2 Stage I – Rotor Swings in the Generators 368 9.3 Stage II – Frequency Drop 371 9.4 Stage III – Primary Control 373 9.5 Stage IV – Secondary Control 378 9.6 Simplified Simulation Models 387 9.7 Series FACTS Devices in Tie-lines 392 9.8 Static Analysis by Snapshots of Power Flow 404 10 Stability Enhancement 407 10.1 Excitation Control System 408 10.2 Turbine Control System 415 10.3 Braking Resistors 419 10.4 Generator Tripping 421 10.5 Shunt FACTS Devices 423 10.6 Series Compensators 442 10.7 Unified Power Flow Controller 449 10.8 HVDC Links in Transmission Network 455 Part III Advanced Topics in Power System Dynamics 467 11 Advanced Power System Modeling 469 11.1 Synchronous Generator 469 11.2 Excitation Systems 496 11.3 Turbines and Turbine Governors 505 11.4 Wind Turbine Generator Systems and Wind Farms 522 11.5 Photovoltaic Power Plants 544 11.6 HVDC Links 548 11.7 Facts Devices 557 11.8 Dynamic Load Models 559 12 Steady-state Stability of Multi-machine Systems 561 12.1 Mathematical Background 561 12.2 Steady-state Stability of Unregulated System 580 12.3 Steady-state Stability of the Regulated System 589 13 Power System Dynamic Simulation 601 13.1 Numerical Integration Methods 602 13.2 The Partitioned Solution 606 13.3 The Simultaneous Solution Methods 618 13.4 Comparison Between the Methods 619 13.5 Modeling of Unbalanced Faults 620 13.6 Evaluation of Power System Dynamic Response 622 14 Stability Studies in Power System Planning 625 14.1 Purposes and Kinds of Analyses 625 14.2 Planning Criteria 629 14.3 Automation of Analyses and Reporting 641 15 Optimization of Control System Parameters 643 15.1 Grid Code Requirements 643 15.2 Optimization Methods 644 15.3 Linear Regulators 647 15.4 Optimal Regulators LQG, LQR, and LQI 681 15.5 Robust Regulators H2, h∞ 685 15.6 Nonlinear Regulators 693 15.7 Adaptive Regulators 694 15.8 Real Regulators and Field Tests 700 16 Wide-Area Monitoring and Control 709 16.1 Wide Area Measurement Systems 709 16.2 Examples of WAMS Applications 718 17 Impact of Renewable Energy Sources on Power System Dynamics 735 17.1 Renewable Energy Sources 735 17.2 Inertia in the Electric Power System 742 17.3 Virtual Inertia 758 18 Power System Model Reduction – Equivalents 775 18.1 Types of Equivalents 775 18.2 Network Transformation 776 18.3 Aggregation of Generating Units 784 18.4 Equivalent Model of External Subsystem 785 18.5 Coherency Recognition 786 18.6 Properties of Coherency Based Equivalents 790 Appendix 809 A.1 Per-unit System 809 A.1.1 Stator Base Quantities 809 A.1.2 Power Invariance 811 A.1.3 Rotor Base Quantities 811 A.1.4 Power System Base Quantities 814 A.1.5 Transformers 815 A.2 Partial Inversion 816 A.3 Linear Ordinary Differential Equations 817 A.3.1 Fundamental System of Solutions 817 A.3.2 Real and Distinct Roots 819 A.3.3 Repeated Real Roots 820 A.3.4 Complex and Distinct Roots 821 A.3.5 Repeated Complex Roots 825 A.3.6 First-order Complex Differential Eq. 825 A.4 Prony Analysis 826 A.5 Limiters and Symbols in Block Diagrams 832 A.5.1 Addition, Multiplication, and Division 832 A.5.2 Simple Integrator 833 A.5.3 Simple Time Constant 833 A.5.4 Lead–lag Block 834 References 835 Index 847

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