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2

APPLICATIONS OF PATTERN RECOGNITION
IN ACOUSTICS
C. Asensio
Instrumentation and Applied Acoustics Research Group (I2A2)
Universidad Politécnica de Madrid - info@i2a2.upm.es

Abstract
Acoustic signals are present almost in every process, every machine, every action. In many cases, we can only consider noise as an
unwanted result, an unwanted sound that we would like to remove from a product or a process. But, we shouldn’t forget that, as result of a
process, noise and vibration are acoustic signals that contain information about it. Is it possible to extract that information from the
acoustic signals? Signal processing and pattern recognition can be applied to classify sounds, inferring the information they provide. This is
a research line that the I2A2 research group initiated in 2008, and that has achieved quite a good number publications in scientific journals,
an three patents. Pattern recognition has been applied to the detection and classification of environmental noise sources, the detection of
threats in a security system, the monitoring of water boiling stages, and the road estate detection in a vehicle.

Applications of sounds
classification
WATER BOILING STAGES – The aim in this project was to use sound and
vibration signals for monitoring the stages of boiling. An almost perfect
classification was achieved on the pilot case, using a Mixture of Gaussians
classifier. The following step towards an acoustic cooking assistant is under
research.
A SOUND BASED SECURITY SYSTEM - The system is able to detect in real
time individual sound events, and classify them of the basis of a previously
defined threats (glass break, steps, door slam, shot …). Impulsiveness of
sounds (instead of their intensity) is used to capture the events, then, a
GMM classifier is used for the classification stage.
ROAD STATE – A pilot case was implemented to detect wet asphalt using
the sound that tyre-road interaction generates. The final goal in this project
is to extract further information to infer information from road
maintenance status, grip of the vehicle, type of asphalts… This approach
can be also applied to railway.

Anomalous
sounds detection
ONE-CLASS CLASSIFIERS are trained when only one of the classes can
be described properly. For instance, we have used this approach to
detect aircraft sounds in an environmental noise monitoring system.
One of the classes is aircraft sound, but the other class is composed
by all the rest of sounds, and therefore we will always find sounds for
which the system has not been previously trained. In this case, the
detection model fits the “target class”, and the system classifies as
outliers those sounds that are not close enough to the target.
This is an approach that can be also applied for the identification of
alerts, or ouliers in a system (failures in a machine or anomalous
conditions).

TSL
signal

PAPERS IN JOURNALS
§ Tarabini, M.; Moschini, G.; Asensio, C.; Unattended acoustic events classification at the vicinity of airports. Applied Acoustics (2014)
§ ▪Alonso, J.; López, J.M.; Pavón, I.; Recuero, M.; Asensio, C.; Arcas, G.; Bravo, A. On-board wet road surface identification using tyre/road
noise and Support Vector Machines. Applied Acoustics (2014)
§ ▪Asensio, C.; Moschioni, G.; Ruiz, M.; Tarabini, M.; Recuero, M.Implementation of a thrust reverse noise detection system for airports.
Transportation research Part D (2013).
§ ▪Tabacchi, M.; Asensio, C.; Pavón, I.; Recuero, M.; Mir, J.; Artal, M.C. A statistical pattern recognition approach for the classification of
cooking stages. The boiling water case. Applied Acoustics (2013).
§ Asensio, C; Ruiz, M; Recuero, M. Real-time aircraft noise likeness detector. Applied Acoustics (2010)

3

4

ROOM FLANKING SOUND TRANSMISSION
ASSESSMENT USING A VIBRATION PROBE
a San

Millán-Castillo, Roberto; b Pavón, Ignacio.

a, b Instrumentation

and Applied Acoustics Research Group (I2A2), Technical University of Madrid (UPM)
Roberto.sanmillan@alumnos.upm.es
a E.T.S.I. Telecomunicación – Universidad Rey Juan Carlos, Camino del Molino, s/n - 28943 Fuenlabrada
(Madrid, España). roberto.sanmillan@urjc.es

Abstract
Most of airborne sound insulation test are performed according to certification standards, and only deal with
sound pressure as a variable to estimate insulation. Besides, standards are aimed to provide direct path
insulation, so one gets no idea regarding flanking paths. Without data from every path involved in sound
transmission, a proper insulation designing stage can became mistaken and unfinished.

Goals
• Room surfaces vibration signal acquisiton method
set-up and detailed description.
• Simplified airborne sound insulation model
development.

sound transmission sketch.
Figure
gure 2. Concept
Co

Figure 1. Tests layout: Airborne Emission, vibration recepetion

Firstt tasks goi
going
oing on…
Focus is on vibration
bratio measurement on room surfaces to
informatio
ion about flanking sound transmission
get information
transmission.
Working
ing with
th accelerometers
ac
is usual, its mounting
niques are
ar less obvious. The suggested method
techniques
ists of performing
pe
vibration velocity leve
level
consists
measurements,
uremen
ents, with
wi a FFT analyzer, at the same time as
a regular
gular airborne
airbor sound insulation test is carried out
out.
Then a surface
surfac
ace weighted
we
contribution model would let us
know about
abou
out th
the key room parts on sound proofing
proofing.
Different room materials and probes are analyzed. It is
prioritized a solution that lets one a fast, comfortable,
and barely intrusive data acquisition.
# $%

Figure 3. Measurements with different vibration probes

…First conclusions coming out
• OPERATIONAL USE: Ease of use and time saving
with probes; Better Intrusion and acces to difficult
points.
• SIGNAL QUALITY: Velocity underestimation and
SNR decrease; Reasonable standard deviations on
tests.

!"

Figure 4. Different probes averaged standard deviation (σ (f)) .

5

6

EXPLOITATION OF ICTS FOR COMMUNITY
NOISE MANAGEMENT
C. Asensio; L. Gascó; G. de Arcas
Instrumentation and Applied Acoustics Research Group (I2A2)
Universidad Politécnica de Madrid - info@i2a2.upm.es

Abstract
Noise is one of the most complex problems to manage in our society, as the environmental policies must be put in common with other
important factors, such as mobility, employment and economic growth. The irruption of information and communication technologies
(ICTS) an social networks has enabled novel opportunities to decision and policy making processes.
ICTS give voice to wider audiences, allowing to extend the debates from local to international scales. In this research we are investigating
the basis for a future implementation of a noise management model based in Policy Making 3.0. This is a participatory and evidence based
model that tries to involve authorities and the rest of stakeholders to define policies, on the basis of scientific evidence and collective
aspirations of citizens.

Policy Making 3.0 applied to community noise
management

Noise management in smart
societies
Unlike other pollutants, most of the noise effects have
an important subjective component, beyond the
physiological effects that the physical phenomenon
produces. The community response against noise affects
the degree of acceptance of transport infrastructures
and city activities.
It is not so evident the effect of non-acoustic factors that
increase the societal rejection, like: lack of sensitivity and
empathy from the authorities and noise managers, the
lack of trust in them, the lack of information and
transparency, the perception of being excluded from the
decision making… Much of these non-acoustic factors
can be modified through a correct use of information
and communication technologies (ICTS), being this issue
addressed in our research.
I2A2 proposes a parallel strategy, complementary to the
traditional ones (based on the decrease of decibels),
which aims to minimize the impact that noise has on the
rejection of transport and other city activities. Through
th
the exploitation of ICTS in the noise monitoring systems,
we will face the following issues:

Transport acceptance, noise and ICTS

§

Provide transparent information, easy to understand,
close to people and reliable, through the use of the
noise indicators and reporting mechanisms better
aligned to citizens’ expectations.

§ Implement engagement tools that allow citizens to
express their feelings about noise, and to establish a
bi-directional communication with the noise
managers.
This research will directly improve the efficacy of present
Th
co
communication tools, and will start a roadmap to the
im
implantation of a participatory noise management
mo
model that, based in Policy Making 3.0, will urge the
in
interaction between community and other stakeholders,
ha
having in mind either their interests and aspirations,
be
besides the scientific evidence.
The research in this novel approach is focused in two
different paths: transport noise, and noise in smart
cities.

7

IMPROVEMENT OF SOUND QUALITY IN
SPACES AND PRODUCTS
C. Asensio, I. Pavón
Instrumentation and Applied Acoustics Research Group (I2A2)
Universidad Politécnica de Madrid - info@i2a2.upm.es

Abstract
The perceived quality of any electrical appliance, vehicle, or either interior or exterior spaces is influenced by the quality of its sound, and
this includes the reduction of noise, but also a fine tuning of its sound features. Sound quality is growing field of study that transversally
influences the design of products and spaces, combining objective measures with subjective perception of people. Closed to mechanical
and acoustics engineering, sound quality and soundscapes bring people views into the scene, trying to translate their subjective response
into objective parameters that can be implemented in a product or a space. I2A2 has been involved in several research projects closely
related to the optimization of sound emissions of products, such electrical appliances or vehicle components, and spaces, such as vehicle
cabins, building components or rooms in an industry.

Sound quality in electrical appliances
THE REFRIGERATOR CASE - The aim in this Project was to reduce sound emissions in a
refrigerator, in order to improve the product acceptance and its commercial outcomes.
The first objective was to determine if it was the compressor or the fan the responsible for
the noise levels. We made sound intensity, sound pressure and vibration measurements, to
finally come to the conclusion that it was necessary to prioritize the mitigation measures in
the fan. Cold air flow directed from the electric fan to upper compartment of the
refrigerator produces turbulences that generate noise. This is a tonal sound with a main
frequency closely related to the RPM and the number of blades in the fan. A FEM analysis
was performed, in order to analyse the frequency response of mass of air that is enclosed
by the duct and the upper compartment. We observed that the tonal noise was tuned with
the resonances of the compartment, and this amplified the sound produced. Therefore it
was suggested to adjust smoothly the RPM to break this coupling.
THE WASHING MACHINE CASE – A similar approach was
followed, but vibrations were the main source of noise in this
case. The aim of the project was to fin a model to find the
propagation paths and the influence of damping, when inserted
in different parts of the structure.

Indoor an outdoors spaces
The acoustics of a theatre, a cinema, or a conference room have been widely studied in the past,
as room acoustics are important to improve the speech intelligibility, or the quality of a musical
program. But, its basis can be also applied to the design of either interior or exterior spaces.
Acoustic in the cabin of an aircraft can be crucial, in order to improve communications between
the pilots and the air traffic control. And it can be also critical to improve the performance of an
operator in machinery, or to reduce the accidents’ risk. But the acoustic performance can be also
important for the perceived overall quality of a product, like in the cabin of a car or a train.
Our most recent research in sound quality and soundscapes is closely related to model subjective
response from users and citizens, in order to customize the acoustic environment.

PAPERS IN JOURNALS
§ Asensio,C.; Recuero, M.; Pavón, I.; Citizens' perception of the efficacy of airport noise insulation programmes in Spain. Applied Acoustics
(2014)
§ Tabacchi, M.; Pavón, I.; Ausejo, M.; Asensio, C. Assessment of noise exposure during commuting in the Madrid Subway. Journal of
Occupational & Environmental Hygiene (2011)
§ Ausejo, M.; Tabacchi, M.; Recuero, M.; Asensio, C.; Pagán, R.; Pavón, I. Design of a noise action plan based on a road traffic noise map.
Acta Acustica united with Acustica (2011)
§ Asensio, C; Pagán, R; Trujillo, J; Recuero, M. Intelligibility of Speech in the Spanish Congress of Deputies. Journal of Acoustical
Engineering society (2010)

8

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NOISE MITIGATION STRATEGIES IN SMART
CITIES
C. Asensio; I. Pavón; G. de Arcas; J. Alonso; J.M. López; P. Méndez
Instrumentation and Applied Acoustics Research Group (I2A2)
Universidad Politécnica de Madrid - info@i2a2.upm.es

Abstract
The irruption of information and communication technologies (ICTS) and social networks has enabled novel opportunities to manage noise
in Smart Cities. For instance, noise assessment using networks of low-cost sensors and dynamic noise maps provides a certain opportunity
to apply the polluter pays principle to road traffic management in a city, using noise quotas that can be dynamically adjusted to individual
vehicles, depending on factors such as the acoustic pollution conditions in an area, the people living in that area, the state of maintenance
of a vehicle, the driver’s behavior… Additionally, it is necessary to establish the minimum requirements that noise sensors must comply so
that noise assessment can be accurate and precise applying a cost-benefit criteria.

Driver’s behabiour
Vehicle type / maintenance
Wheels type / maintenance

ON-BOARD
OBSERVATIONS

EMISSIONS MODEL

SINGLE VEHICLE’S
NOISE EMISSIONS

GPS
Coordinates
dB
Km/h
m/s2

Low acoustic emissions zones
Road traffic restrictions and vehicles’ speed reduction are typical measures that can
be implemented to manage noise in a city. But these are quite rough measures that
could be customized attending to more complex criteria: number of residents
affected, overall noise levels… But, even these criteria can be specifically fit for
purpose on the vehicle emissions basis, in order to implement a polluter pays policy,
distributing noise costs among the separate vehicles, through the use of noise quotas
that can be dynamically adjusted depending on the acoustic conditions of the area or
the vehicle.

LOW NOISE
EMISSION ZONES

NOISE PROPAGATION
MODEL

VEHICLE BASED
PEOPLE’S EXPOSURE

CITY SENSORS

Awareness
Drivers information
Traffic flow
Traffic speed
Traffic conditions
Noise pollution

LOW NOISE EMISSIONS ZONE
APP
Awareness

SINGLE VEHICLE
DYNAMIC
NOISE QUOTAS

POLLUTER PAYS
PRINCIPLE

NOISE MAPPING

ROAD TRAFFIC
NOISE COSTS

ROAD TRAFFIC
DYNAMIC NOISE
MAPS

Drivers
information
Routes definition
Rates application
Payment method

Integration into
Smart City

Communication to
the public

Road traffic
management

NOISE PROPAGATION
MODEL

Requirements for a low-cost noise monitoring network
Monitoring acoustic pollution in a city is necessary because of the following reasons:
§ To assess noise environment, having objective indicators describing the
acoustic situation
§ To inform the residents about their noise exposure, using measures that
improve trust among the general public
§ To rate the situation in comparison to regulations
§ To compare different locations and areas, in order to establish priorities
for action plans
§ To determine the reduction required in each area

§ To determine which are the stages of noise at each location, along a
working day, during weekends…
§ To raise noise awareness at all society levels (bar, pub and restaurant
owners and users, residents, and even authorities).
§ To give support to any mitigation action, which could have effect for
owners, users or residents.
§ To evaluate the efficacy of any mitigation measure

There is an international standard describing the requirements of sound level meters, and traditional noise monitoring units must conform to these
requirements. But these type certified monitors are quite expensive, and their implementation cannot be as extended as Smart Cities applications would
require. This Project aims to identify the requirements that can be relaxed on view of the specific characteristics of urban noise, so that cost-benefit can be
optimized in the low-cost Acoustic sensors.

10

NOISY ENVIRONMENTS: THE INFLUENCE
ON BASIC COGNITIVE PROCESSES
E. Tristán-Hernández, I. Pavón, J. M. López.
Instrumentation and Applied Acoustics Research Group (I2A2)
Universidad Politécnica de Madrid - info@i2a2.upm.es

Abstract
The attention processes in people is affected by background noise produced by many different sources. Beta (13-30 Hz) and Theta (4-7 Hz) waves are
directly related to attention and memory processes. Volunteers were asked to perform an attention test with and without background noise and their
cerebral activity was recorded through electroencephalography (EEG). Results shows significant decreases in both beta and theta frequency bands (beta
13-30 Hz and theta 4-7 Hz) under background noise exposure. The attentional improvement is related to increases of the beta and theta waves, and we
have observed that those decreases are directly related to a lack of attention caused by the exposure to background noise.

2. Psychological
characterization

Methods (I)

Objective
The main objective of this research
is to prove the negative influence
of background noise on the brain
waves related to basic cognitive
processes as attention and
memory.

1. Acoustic characterization

3. Electrophysiological
assesment

2.1 Attention tests
2.2 Memory tests

1.1 Survey
1.2 Noise exposure
1.3 Noise annoyance

33
3.1 Electroencephalogram + Noise exposure

2. Psychological evaluation
2.1 Attention tests Background
noise
2.2 Memory tests +

Background
noise

3. Electrophysiological
assesment

Cognitive
processes

Attention tests
- Toulouse Pieròn
- Own proposal

Memory test
Own proposal

Electroencephalogram
+
Noise exposure

Methods (II)
1. Acoustic characterization

Results

1.1 SURVEY: perception about noise
Mode
Educational level
# Questions* Participants
FaceOnline
Bachelor Master PhD
to-face
8

454

50%

50%

85%

10%

Noise exposure

Noise Annoyance

Psychological evaluation

5%

1. Acoustic characterization
1.2 Noise annoyancee
Obj.
Obj

Subjective

Noise
annoyance

Electrophysiological
assesment

29.19μV

ICBEN

Numeric scale range
Loudness
Roughness
Sharpness
Fluctuation Strenght

21.67 μV
p=0.015

66.97μV
54.22 μV
p=0.010

Numeric scale range
a) 0 – 3.60 b) 3.61 – 23.55 c) 23.56 – 58.62,
d) 58.63 – 89.77, e) 89.78 – 100

1. Acoustic characterization
1.3 Noise Exposure
Measurement
strategy design

Measurement
campaign

UNE-EN ISO
9612:2000

Dataloggers

Conclusions
- Survey: Sound environments studied are aggressive.
- Levels of noise: Excessives and not appropriate for concentration
activities and the environmentes are considerated very annoying.
- Psychometric evaluation: Unreliable data.
- EEG: β y Θ decrease with influence of backround noise. We can relate it
with attention and memory reductions.

Analysis of the results
LAeq, T
LEX8h
ANSI S12.60-2010
40 dBA interior
60 dBA exterior

Papers at Journals & Conferences

- Tristán E., Pavón G., López, J.M (2015). “Characterization of sound environments of university students”. Int. J. Occupational Safety and
Ergonomics (JOSE).
- Tristán E., Pavón G., López, J.M. (2016) “Evaluation of psychoacoustic annoyance and perception of noise annoyance inside university
facilities”. International Journal of Acoustics and Vibration (IJAV).

11

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14

ARDUINO-BASED LIGHTWEIGHT APU FOR DRONE
HYBRIDIZATION
Juan Bautista Ruiz-Yherla García
Jb.ruiz-yherla@alumnos.upm.es / juanbaruiz@gmail.com

ABSTRACT
Drones have become very popular in our society because of the low cost, high performance and the multitude of activities that they can be used for. From
single copter to octacopter relies on high energy density Lithium Polymer (LiPo) batteries to provide enough power to lift high weigh but with limited flight
time. To increase the batteries lifespan, increase flight time, charge onboard batteries when landed, increase the available payload, reduce batteries
capacity and lighten the drone itself, an hybridization system must be added. It means that apart from an high grade LiPo battery, an “Auxiliary Power
Unit” must be applied as an upgrade.

THE IDEA
The APU is based on a small lightweight hobby “two stroke nitro engine”, a paired hobby brushless motor with voltage boost-regulator and a small
“Arduino Nano” board with an Atmega328 microcontroller to manage the engine throttle (to adequate the power delivery on demand), check battery and
APU voltage, current demand, engine speed and also to add telemetry. The parallel hybridation system is suggested.

POWERPLANT

ELECTRIC GENERATOR

RC glow engine

RC DC Brushless motor

Small, light and powerful. These engines are
based on a two stroke cycle with HCCI
combustion process. The combustion starts
with a red hot platinum coated glowplug as
catalyzer. The fuel consist of a mixture
between methanol, nitromethane (for
increase power output), synthetic oil and
castor oil.

Without energy loss by brushes friction, ball
bearings, three phase coil, smooth running,
high power density, extremely light, can work
as high frequency AC generators and low cost.
High grade brushless motors have an efficency
up to 95%. A great variety of models and
especifications.

CURRENT RECTIFICATION
Six diode rectifier
The easiest way to rectify the three phase AC
current consist of using a six high current
diode bridge rectifier. The system can feed a
boost converter or a voltage forced output
system such as a LiPo battery.

A performance curve example:

The output power vary from 30W to more
than 1000W, up to 30000 rpm and a weight
lower than 600g.
The shape of the performance curve is
similar to:

LOAD REGULATION
Arduino based power output control
Brushless
Generator

Load control
and system
check (Arduino)

Boostrectifier

Engine
speed

Throttle %

Glow
Engine

LiPo
Battery

Drone speed
controllers

To manage the engine power output, an Arduino
board with a microcontroller is used to check
battery voltage status, current feeding and
control the throttle %, as well as engine rpm. The
throttle is controlled by a RC servo.

Voltage and
current feedback

RESULTS AND CONCLUSIONS
The status of the research it’s in progress.
The early tests go as expected .
Need to try the APU in a drone to check vibration damping .

REFERENCES
[1]Intelligent Energy fuel cells significantly boost drone flight time. Fuel Cells Bulletin Volume 2016, Issue 1, January 2016, Pages 4
[2]Snorri Gudmundsson, Chapter 7 – Selecting the Power Plant. General Aviation Aircraft Design, Applied Methods and Procedures 2014, Pages 181–234

15

Autonomous Visually-Guided Navigation of
Unmanned Aerial Systems
aJose

www.vision4uav.com

Luis Sanchez-Lopez, aPascual Campoy (Advisor)

aComputer

Vision Group, Centre for Automation and Robotics, CSIC-UPM
(jl.Sanchez@upm.es)

www.aerostack.org

Abstract
To simplify the usage of the Unmanned Aerial Systems (UAS), extending their use to a great number of applications, their fully autonomous operation is
needed. There are many open-source architecture frameworks for UAS that claim the autonomous operation of UAS, but they still have two main open
issues: (1) limited level of autonomy and (2) versatility, being most of them designed specifically for some applications or aerial platforms.
As a response to these needs and issues, we developed Aerostack (http://www.aerostack.org/ ), a system architecture and open-source multipurpose
software framework for autonomous multi-UAS operation. To provide higher degrees of autonomy, Aerostack's system architecture integrates state of the
art concepts of intelligent, cognitive and social robotics, based on five layers: reactive, executive, deliberative, reflective, and social. To be a high versatile
practical solution, Aerostack's open-source software framework includes the main components to execute the architecture for fully autonomous missions
of swarms of UAS; a collection of ready-to-use and flight proven modular components that can be reused by the users and developers; and compatibility
with five well known aerial platforms, as well as a high number of sensors. Aerostack has been validated during three years by its successful use on many
research projects, international competitions and exhibitions.

Person following by a UAS [4].

Aerostack Architecture

IMAV 2013 Indoors Autonomy Competition [3].
CVG won the first Prize.

IARC 2014 Mission 7 [5]. CVG won
the two special prizes.
Research on multi-UAS [1] and [2]
References:
[1] J.L. Sanchez-Lopez, J. Pestana, P. de la Puente, R. Suarez-Fernandez, and P. Campoy. A system for the design and development of vision-based multirobot quadrotor swarms. In Unmanned Aircraft Systems (ICUAS), 2014 International Conference on, pages 640–648, May 2014.
[2] J.L. Sanchez-Lopez, J. Pestana, P. de la Puente, and P. Campoy. A reliable open-source system architecture for the fast designing and prototyping of
autonomous multi-uav systems: Simulation and experimentation. Journal of Intelligent & Robotic Systems, pages 1–19, 2015.
[3] J. Pestana, J. L. Sanchez-Lopez, P. de la Puente, A. Carrio, and P. Campoy. A vision-based quadrotor multi-robot solution for the indoor autonomy
challenge of the 2013 international micro air vehicle competition. Journal of Intelligent & Robotic Systems, pages 1–20, 2015.
[4] J. Pestana, J.L. Sanchez-Lopez, S. Saripalli, and P. Campoy. Computer vision based general object following for GPS-denied multirotor unmanned
vehicles. In American Control Conference (ACC), 2014, pages 1886–1891, June 2014.
[5] J.L. Sanchez-Lopez, J. Pestana, J.-F. Collumeau, R. Suarez-Fernandez, P. Campoy, and M. Molina. A vision based aerial robot solution for the mission 7
16 (ICUAS), 2015 International Conference on, pages 1391–1400, June 2015.
of the international aerial robotics competition. In Unmanned Aircraft Systems

COMPUTER VISION FOR SENSE & AVOID
ONBOARD UNMANNED AERIAL VEHICLES
Adrian Carrio and Pascual Campoy
Computer Vision Group, Center for Automation and Robotics (UPM-CSIC),
Calle José Gutiérrez Abascal 2, Madrid, Spain (adrian.carrio@upm.es)

Abstract
Unmanned Aerial Vehicles (UAVs) have recently become a versatile platform for many civilian applications including inspection, surveillance and mapping.
Current regulations require these vehicles to be capable of maintaining self separation for conflict avoidance, providing an Equivalent Level of Safety
(ELOS) to that of human pilots. Sense & Avoid (SAA) systems provide solutions to this problem with the final objective of safely integrating UAVs in our
airspace, which is currently one of the main technological challenges for using these platforms in civil applications. Electro-optical systems, in particular
RGB and thermal cameras, are suitable for onboard obstacle detection, given their low cost, reduced size and light weight. In our research, we propose
solutions for obstacle detection and tracking onboard UAVs using Computer Vision.

Synthetic image generation
Obtaining real flight imagery of potential collision scenarios is hard and dangerous, which
complicates the development of Vision-based detection and tracking algorithms. We have
developed software for synthetic imagery generation, allowing to blend user defined flight
imagery of a simulated aircraft with real flight scenario images to produce realistic images with
ground truth annotations. These are extremely useful for the development and benchmarking of
Vision-based detection and tracking algorithms at a much lower cost and risk.

Related publications
• Carrio, A.; Changhong Fu; Pestana, J.; Campoy, P., "A ground-truth video dataset for the
development and evaluation of vision-based Sense-and-Avoid systems," in International
Conference on Unmanned Aircraft Systems (ICUAS), 2014, pp.441-446, 27-30 May 2014
• Carrio, A.; Changhong Fu; Collumeau, J.F.; Campoy, P., “SIGS: Synthetic Imagery Generating
Software for the Development and Evaluation of Vision-based Sense-And-Avoid Systems," in
Journal of Intelligent & Robotic Systems, 2015, pp.1-16, Springer Netherlands

Fig 1. Real (above) and simulated (below)
aircraft intruders in real footage captured
onboard a UAV

Sky segmentation and horizon line detection
Vision-based sky segmentation can be extremely useful to perform important
tasks onboard Unmanned Aerial Vehicles (UAVs), such as pose estimation and
collision avoidance. We investigate how to perform sky segmentation in RGB
images using a supervised Machine Learning approach by first splitting the image
into fixed-size patches, extracting and classifying color descriptors for each patch
and performing a final post-processing stage to improve the quality of the
segmentation. A method for automatic horizon line detection is also proposed.
The performance of our approach was evaluated on flight images captured
onboard UAVs, achieving performance accuracies above 93% at real-time frame
rates.
Fig 2. Sky segmentation (left) and horizon line detection (right)

Related publications
• Carrio, A.; Sampedro, C.; Changhong Fu; Collumeau, J.F.; Campoy, P., "A Realtime Supervised Learning Approach for Sky Segmentation Onboard Unmanned
Aerial Vehicles," in International Conference on Unmanned Aircraft Systems
(ICUAS), 2016, under revision

Aircraft detection and tracking
We present a lightweight obstacle detection system for small Unmanned Aerial Vehicles (UAVs) combining a Thermal Infrared (TIR) camera and an
Automatic Dependent Surveillance-Broadcast (ADS-B) receiver. Additionally, synchronized visible spectrum (VIS) images have been captured in order to
compare the capabilities of TIR and VIS imaging technologies for aircraft detection in Sense-and-Avoid (SAA) under different lighting conditions. TIR
imaging is proved to be an effective technology for vision-based SAA systems, allowing for operations under extreme illumination conditions such as direct
sun exposure or during the night, outperfoming current vision-based SAA systems.

Related publications
• Carrio, A.; Saripalli, S.; Campoy, P., "Obstacle Detection System for Small UAVs using ADS-B and Thermal Imaging," in 2016 IEEE International Conference
on Intelligent Robots and Systems (IROS), under revision

Fig 3. Aircraft detection in a RGB image (left), thermal image (center) and UAV equipped with our obstacle detection system (right)

17

Multi-UAV Coordination and Control Interface
Juan Jesús Roldán, Jaime del Cerro and Antonio Barrientos.
Centre for Automation and Robotics (CAR, UPM-CSIC), jj.roldan@upm.es

Abstract
The interest in missions with multiple Unmanned Aerial Vehicles (UAVs) has increased significantly in last years. These missions take advantage of the use
of fleets instead of single UAVs to ensure the success, reduce the duration or increase the goals of the mission. In addition, they allow performing tasks
that require multiple agents and certain coordination (e.g. surveillance of large areas or transport of heavy loads). Nevertheless, these missions suppose a
challenge in terms of control and monitoring. In fact, the workload of the operators rises with the utilization of multiple UAVs and payloads, since they
have to analyze more information, make more decisions and generate more commands during the mission.
This work addresses the operator workload problem in multi-UAV missions by reducing and selecting the information. Two approaches are considered: a
first one that selects the information according to the mission state, and a second one that selects it according to the operator preferences. The result is an
interface that is able to control the amount of information and show what is relevant for mission and operator at the time.
Currently…

Multi-UAV mission

Future…

Figure 1: Current and future schemes for control and monitoring of multi-UAV missions.

Multi-UAV mission
A multi-UAV mission consists of a set of resources (both UAVs and payloads) that are allocated to some tasks (e.g. surveillance, capture and release,
maintenance…) in order to achieve a series of objectives (fire surveillance, fire extinguishing…).
These missions generate a huge amount of data about the UAVs, payloads and scenario. Each UAV may generate a telemetry of around 10-100 messages
and 100-1,000 variables depending on its size. Meanwhile, each payload may provide its own data: e.g. the images of cameras or the measures of sensors.
Finally, the scenario may also generate data related to the tasks, their objectives, their status, etc.

Mission modeling

Operator behavior

A mission model is required for monitoring the mission state and its possible evolution. This
model allows selecting the information that is relevant according to the mission state.

On the other hand, this work is focused on the
operator. Therefore, the selection of the
information must be performed not only
according to the mission but also according to
the operator.

In this work, the models are generated automatically from the experience of previous missions.
The discovery algorithms of process mining are used to obtain Petri nets that represent the
missions.

In this way, the information should be adapted
to the physical and psychological state of
operator. For instance, when the operator is
stressed, tired or bored, the system should
reduce the amount of data, in order to prevent
saturation and errors.

Figure 2: Monitoring of fire surveillance mission by using Petri net.

In addition, the information should be adapted
to the preferences of operator. For example, if
the operator usually asks for a specific
information in a certain state of the mission, the
interface should anticipate the operator request
and provide this information.

Interface
The expected outcome from this work is an Intelligent Adaptive Interface (IAI), which is able to change dynamically according to the context of the
mission. This interface will have two parts: a static one with the information that must be shown permanently (e.g. mission map, current targets, available
UAVs…) and a dynamic one with the information that is adapted to the context (e.g. system alarms, critical UAV data, important payload measurements…).

18

Isolated Single-Stage Three-Phase Full-Bridge
with Current Injection Path PFC Rectifier for
Aircraft Application
Sisi Zhao, Marcelo Silva, Pedro Alou, Jesús A. Oliver
Centro de Electrónica Industrial ( sisi.zhao@upm.es )

Abstract
Nowadays there has been an important increase of electric equipment in modern aircraft which leads to a rising demand of electrical power. This
highlights the necessity of efficient, reliable and high energy density power converters which rectify three-phase 115Vac to 270Vdc for power distribution.
This work presents an isolated single-stage PWM rectifier with the integration of a current injection path and a full-bridge topology (IS2FBCIP PFC
Rectifier). The operating principle and modulation method are presented. Simulation results are shown to validate the functionality of the topology. The
advantages of the proposed rectifier are the relatively low number of switching components, low implementation effort and its ZVS feature which leads to
a high overall efficiency.

Proposed Topology

Design Specifications

Buck-Type
Rectifier

Operating Principle & Modulation Method

• !" =

#
%&
$

' () ' *+,

" #
- $&

(1 2() #
'%
(1 2(/ $
&

' () 3 ' *+,

" #
- $&

(1 2() #
'%
(1 2(/ $
&

' () 3 ' *+,

! - = . % ' (/ 0

! 4 = . % ' (/ 5

• !6 = *+, 5 !" 5 !- 5 !4

Modulation Index:
#=

- &" (7(!
'
'
%&
4 &- $

Modulation Principles:
• Transformer volt-second balance
• Ohmic behavior for each phase

3D CAD Model

Conclusions

Future work

• Isolated three-phase single-stage PFC Rectifier: Compact,

• Demonstrator prototype construction
• Experimental verification
• Comparison with other single-stage or two-stage topologies in
terms of efficiency and power density

without bulky DC link capacitor
• Relatively low number of semiconductors, ZVS in all switches
• Modulation method verified in simulation

• Detailed design guidelines

19

Isolated Swiss-Forward Rectifier
for Aircraft Applications
Marcelo Silva
Centro de electrónica Industrial (marcelo.silva@upm.es)

Abstract
This work presents a new isolated single-stage PWM rectifier system based on the recently presented Swiss rectifier topology providing the isolation by
replacing a buck with a forward converter. The principle of operation and a new modulation technique which compensates the reactive power generated
by the input filter at light load maximizing the power factor are discussed. Furthermore, analytical equations for stresses in semiconductor useful for the
system optimization are derived. The proposed topology

Principle of operation

Control scheme

Demonstrator Design

Experimental Result

Conclusions
This work presents an isolated single-stage three phase rectifier based on the Swiss Rectifier suitable in application with a tight input/output voltage range.
Besides the benefit of the isolation itself, the transformer allows scaling up or down the output voltage of the rectifier maximizing the applicability of the
concept. This work presents a new isolated single-stage PWM rectifier system based on the recently presented Swiss

20

POWER DISTRIBUTION SYSTEM FOR
AEROSPACE APPLICATION (I)
G. Salinas, B. Stevanovic, P. Alou, J.A. Oliver, M. Vasic
Centro de Electrónica Industrial (guillermo.salinas@alumnos.upm.es)

Abstract
Main features to be optimized in aerospace applications are weigth, size and cost. According to
this, Forward with Active Clamp topology could be a good candidate for DC/DC converters in this
low power applications.

Topology

Operation principle

Forward with active clamp
Qaux

Clamp network

Main features

f

Up

• Active clamp technique allows the
core demagnetization during t’:

t'

ic

Vin · D · T = Vclamp · (1 – D) · T

Transformer
• Vds is independent of input
voltage and does not have spikes.

Main switch

Ue + Uc

Uds

Design process

Ue

ON

1. Analytical modelling of the converter.

OFF

• ZVS can be achieved with the
leakage inductance or an external
inductor.
ON

OFF

Peak Current Mode Control

Specifications

2. Semiconductor selection, according to losses.

50W

5. Selection of the optimum design (losses/volume)

Magnitude (dB)

Power

4. Output capacitor selection.

Vin
range 1

Vin
range 2

Vo

[18,60]V

[18,38]V

28V

Results

-225

3.5
3

40
Vin (V)

50

60

20

30

40
Vin (V)

50

100 kHz

Forward with active clamp (range 1, 100kHz)
Forward with active clamp (range 2, 100kHz)
Forward with active clamp (range 1, 200kHz)
Forward with active clamp (range 2, 200kHz)

20

< 1%
6%

RANGE 2 (28V)

RANGE 1 (50V)

RANGE 2 (28V)

2.169

1.114

4.339

2.228

Mosfet Conduction (W)

0.327

0.605

0.327

0.605

Diode Switching (W)

0.205

0

0.410

0

30

0.658

0.902

5%

< 1 / 756

<1 /756

<1 / 756

<1 / 756

SEMICONDUCTORS + Cout(W)

3.603

2.377

5.978

3.488

Transformer (W) / (mm3)

0.670 / 2419
(RM8)

0.670 / 2419
(RM8)

0.667 / 1323
(RM7)

0.667 / 1323
(RM7)

Output Inductor (W) / (mm3)

1.44 / 2587
(PT23/18)

0.76 / 1744
(P26/16)

1.06 / 1323
(RM7/I)

0.81 / 1744
(PT23/11)

MAGNETICS (W) / (mm3)

2.11 / 5006

1.43 / 4163

1.727 / 2646

1.477 / 3067

TOTAL LOSSES (W) / (mm3)

5.713 / 5762

3.807 / 4919

7.705 / 3402

4.965 / 3823

21

60

FwAC losses at Vin = 28V - 100kHz
15%
24%
22%

0.658

Output capacitor (mW) /
(mm3)

50

9%

Pcond mosfet
Pswitch mosfet
Pcond diode
P Cout
Pswitch diode

60%

0.902

40
Vin (V)

25%

FwAC losses at Vin = 50V - 200kHz

Diode Conduction (W)

6

10

85

60

200 kHz

RANGE 1 (50V)

Mosfet Switching (W)

4

10

90

FwAC losses at Vin = 50V - 100kHz

FORWARD WITH ACTIVE
CLAMP

2

10

Frequency (Hz)

95

80

2
30

0

10

100

FWAC
FWAC-ZVS

2.5
20

-180

EFFICIENCY

Efficiency (%)

4
Ptot (W)

Ptot (W)

4.5

4
3.5
10

-90
-135

-270
-2
10

FORWARD LOSSES

4.5

0
-100

TOTAL LOSSES - 100kHz

MOSFET 1
MOSFET 2
MOSFET 3
MOSFET 4
MOSFET 5
MOSFET 6
MOSFET 7

5

100

-200
-45

Phase (deg)

3. Magnetic design.

5.5

Loop gain

200

7%< 1%

40%

FwAC losses at Vin = 28V - 200kHz

15%

11%
Pcond mosfet
Pswitch mosfet
Pcond diode
P Cout
Pswitch diode

73%

Pcond mosfet
Pswitch mosfet
Pcond diode
P Cout

17%

15%
Pcond mosfet
Pswitch mosfet
Pcond diode
P Cout
57%

Conclusions
• Forward with active clamp has a good relationship
between overall losses and its required volume.
• PCMC allows operation at no load conditions.

Power Distribution System for Aerospace
Application II
B. Stevanoviđ, G. Salinas, P. Alou, J. A. Oliver, M. Vasiđ
Centro de Electrónica Industrial (stevanovic.1992@gmail.com)

ABSTRACT The design difficulty of DC/DC converters is increased in aerospace applications due to the severe requirements and specifications that must be
attended. The launch cost is very high and there is a permanent interest in efficiency improvement and in the reduction of the mass and volume of the satellites
equipment. High efficiency is important since the primary power source of a satellite is a solar array and batteries, which contribute significantly to the total
mass, volume and cost of the satellite. High reliability is also very important requirement and therefore, a simple power stage with very high efficiency would be
the best choice for this kind of applications. Among others, the Flyback with Active Clamp is chosen as the most suitable topology to be analized in detail.
Detailed theoretical analysis predicts suitable solutions which can reach 91.81 % efficiency. PRINCIPLE OF OPERATION
DC/DC CONVERTER FOR AEROSPACE2.0A

IMAG

APPLICATION
¾ Output power: 50W

IDIODE/n

0A

IL1

¾ Input voltage (two ranges):
Range 1: 28V (18V ʹ 38V)

SEL>>
-2.0A

Range 2: 50V (45V ʹ 55V)

I(Lleak)

¾ Output voltage: 28V ± 5%

FLYBACK WITH ACTIVE CLAMP

VC

-I(Lmag1)

DESIGN PROCESS

༃ Choice of appropriate
semiconductors in order to
get minimal losses.

¾ Minimum load: 10mA

L1

I(D20)/4

n:1

of
magnetics
obtaining
༄ Design
appropriate losses /volume ratio.

L2/n2

LMAG

VOUT

༆ Proper selection of the output capacitor is essential to
obtain low losses and volume.

༇ Simulation and verification of the obtained
design.

࢏࢒ࢋࢇ࢑ࢇࢍࢋ

࢏ࢊ࢏࢕ࢊࢋ

࢜ࡳࡿ࢓ࢇ࢏࢔

࢏࢓ࢇ࢏࢔

࢜ࡳࡿࢇ࢛࢞

࢜ࡰࡿ࢓ࢇ࢏࢔

༈ Calculation of the losses contribution per
component to the total losses of the converter
and looking for the posible improvement of
the efficiency/volume ratio.

Flyback with
Active Clamp

100 kHz

༅ Obtain
enough
leakage inductance
necessary for ZVS.
༉ High efficiency is
obtained for both
input voltage
ranges.

200 kHz

RANGE 1
(28V)

RANGE 2
(50V)

RANGE 1
(28V)

RANGE 2
(50V)

SEMICONDUCTORS
LOSSES [W]

2.53

3

3.51

4.58

MAGNETICS
LOSSES [W]

1.78

0.93

0.81

0.68

MAGNETICS
VOLUME [mm3]

2419

2419

2419

2419

OUTPUT
CAPACITOR
LOSSES [W]

0.17

0.16

0.17

0.16

OUTPUT
CAPACITOR
VOLUME [mm3]

4058

2706

4058

2706

TOTAL LOSSES [W]

4.48

4.09

4.49

5.42

TOTAL VOLUME
[mm3]

6477

5125

6477

5125

EFFICIENCY [%]

91.05

91.81

91.03

89.16

CONCLUSIONS The Flyback with Active Clamp represents a trade off between simple, but low
performance, Standard Flyback topology and good performance, but complex, Flyback with Synchronous
Rectification. This topology has a lot of advantages for this kind of application:
9 Keeps wide regulation capability with medium complexity. Active clamp circuit allows magnetizing
current to be negative, hence DCM is avoided and the output voltage is regulated even under no load
conditions.
9 ZVS can be achieved with a proper design.
9 Achieved ZVS reduces the size of the common mode EMI filter at the input of the converter.
× Main drawback of this topology is the high RMS value of the secondary diode current, which directly
influence the size of22
the output capacitors and, hence the size and weight of the converter.

Series Input-Parallel Output 10kW Converter based
on Series Resonant Dual Active Bridge Topology for
High Efficiency Aircraft Application
Yann E. Bouvier, Nicolás Alonso, Pedro Alou
CEI-UPM (yann.bouvier@upm.es)

Abstract
Modern aircraft design have a strong tendency towards a More Electrical Aircraft (MEA). Airborne converters
need to have high efficiency and power density (range). This posters shows the design of a 10kW isolated
converter with a series resonant tank in order to have soft transitions in all of the devices. This project is a
collaboration with Airbus and Indra in the AIR (Aircraft Isolated Rectifier) project.

Topology overview
T1

T2

VIN

T5

VR
CR

C

T4

Primary Bridge

T6

LR
T

T3

| Soft

T7

T8

T5

T6

R

T

switching is achieved in all transition with the
help of the resonant current shape, which has zero
current at switching.
| The series input parallel output double transformer
configuration allows for more transistors in parallel
without driving problems. Also each transformer
turns ratio is decreased by half from 14:1 to 7:1
making the design easier.
| Duty cycle is fixed at 50% and output voltage is not
regulated.

C

Resonant Tank
T7

T8

Secondary Bridges

Input
Voltage

Output
Voltage

Output
Power

Frequency

400 V

28 V

10 kW

10 kHz

Equivalent resonant circuit
REq

LR

CR

V1

V2
IRES

Vr
Ires

Vp
Vs
t

Design of Resonant Tank

Prototype
Admitance (dB)

10
0

Q = 10

-10

Q=1

-20

Q = 0,1

-30
-40
-50
1

10

100

1000

10000

Resonant Cureent (A)

Simulation of resonant tank quality factor behaviour
50
40
30
20
10
0
-10
-20
-30
-40
-50
0

Frequency (kHz)

Metallized Polypropylene Film

Coolmos Si MOSFET
Ceramic capacitors
Magnetic Ferrite core
Optimos Si MOSFET
Metallized Polypropylene Film

Resonant current and voltage in capacitor

|

Resonant capacitor voltage is also sinusoidal with minimal noise
at the switching times.

|

Efficiency is close to 97% and aluminum
heatsink is place under the converter to
manage all of the components heat

Admitance (dB)

0

Type

-10
-20
-30
-40
-50
-60
1

10

100
1000
Frequency (kHz)

10000

Experimental results

8

10

100000

quality factor of the resonant
tank is going to influence in a critical
way the operation of the converter
| High quality factor is going to be
achieved by decreasing the total
resistance path of the converter
(transistors included) or increasing
the inductance while decreasing the
capacitance in the resonant tank.

Resonant current and input voltages

The resonant tank current (green) is sinusoidal with some offset
at the zero crossing, caused by the magnetic inductance of the
transformer.
| Input bridge voltage (blue) is free of high frequency spikes
because ZVS is achieved in all transitions.
| Gate voltage of input transistors (magenta) is also free of noise
because of ZVS
|

23

4
6
Time (µs)

| The

Measurement of the real resonant tank
10

Devices
Part number
Input Capacitors
5x B32656S
Primary Transistors
8x IPW65R037C6
Resonant Capacitors 13x B32656S2473
2x E80/38/20 3C92
Transformer Cores
Secondary Transistors 32x IPP100N04S2L
Output Capacitors
12x B32774

2

THREE-PHASE BUCK RECTIFIER FOR AIRCRAFT
APPLICATION WITH VARIABLE LINE FREQUENCY
aU. 

ŽƌŽǀŝđ , bN. Alonso

aCEI-UPM
bCEI-UPM

(uros.borovic@upm.es)
(nicolas.arequena@alumnos.upm.es)

Abstract
Clean Sky is the most ambitious aeronautical research programme ever launched in Europe. Its mission is to develop
breakthrough technologies to significantly increase the environmental performances of airplanes and air transport. The
goal of this project is to develop a 10kW three-phase buck type rectifier with variable line frequency for applications in
future More Electric Aircrafts.

Architecture
Three Phase Buck-Type Rectifier

EMI Filter

Specification

New damping network

| Input

Voltage: 230V RMS phasee to neutral point
| Main frequency: 400Hz
| Nominal Bus Voltage (Vo): 400V
V
| Rated output power: 10kW
| Military derating 30%
| Frequency range 360-800Hz
| PF: 0,95 as minimum
dividual limit
| THD: Each harmonic has an individual

| Based

on the R-C parallel damping with an additional
inductor to reduce the losses
| The inductor only conducts the low frequency
harmonics and the damping resistor conducts the
high frequency harmonics.

Simulation Results
Power steps

Steady state

Line frequency steps
I_A I_B I_C

I_A I_B I_C
I_A I_B I_C Va Vb Vc

Vout

Vout

5%

<1%

Pout

freq
800Hz

5kW
360Hz

Prototype

Experimental results
VRS=230 VRMS
IL AVG=25.77 A

VDFW AVG=214.35 V
Semiconductors
FW Diode
Series Diode
MOSFET

SDP30S120
STTH6010
SCT30N120

Conclusions
A three-phase buck-type PFC rectifier was designed with estimated 97% efficiency suitable for supplying 400V dc distribution systems. A new damping
network has been proposed to reduce the damping resistor’s losses. Selected modulation strategy is current Space Vector Modulation (SVM).

24

UltrasonicͲbasedStructuralHealthMonitoring
foraeronauticstructures
aEduardoBarrera,aMarianoRuiz
aInstrumentationandAppliedAcousticsResearchGroup(I2A2),

TechnicalUniversityofMadrid(UPM).Email:eduardo.barrera@upm.es

Abstract
Piezoelectric sensors and actuators are the bridge between electronic and mechanical systems in structures. This type of sensor is a key element in the
integrity monitoring of aeronautic structures, bridges, pressure vessels, wind turbine blades, and gas pipelines. In this paper, an allͲinͲone system for
Structural Health Monitoring (SHM) based on ultrasonic waves is presented, called Phased Array Monitoring for Enhanced Life Assessment. This integrated
instrument is able to generate excitation signals that are sent through piezoelectric actuators, acquire the received signals in the piezoelectric sensors, and
carry out signal processing to check the health of structures. To accomplish this task, the instrument uses a piezoelectric phasedͲarray transducer that
performs the actuation and sensing of the signals. The flexibility and strength of the instrument allow the user to develop and implement a substantial
part of the SHM technique using Lamb waves. The entire system is controlled using configuration software and has been validated through functional,
electrical loading, mechanical loading, and thermal loading resistance tests.

ACKNOWLEDGEMENTS
This work was supported in part by the by the Centre for the Development of Industrial Technology (CDTI) under CENIT projects
25
ICARO, TARGET and PROSAVE2

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Space application high efficiency and compact
design multiple output DC/DC Converter
Jesús Maañón, Javier López, Miroslav Vasic, Branislav Stevanovic

Abstract
Satelites and other space aplication devices are subject to requirements far more straining than those found in regular applications. Such requirement
usually include temperature ranges that go from -40ºC to 125ºC, as well as vacuum and radiation resistance. In this project the team designed a series of
converters that feed seven different , isolated loads with a very stable voltage level with almost negligible ripple. These coverters are design to face the
harshness of a low orbit environment (800Km) while maintaining correct funcion for all of the mission duration (7 years)

Constrains and challenges
Isolation between outputs
Every output must be independently grounded. This makes a topology with transformer
mandatory

Optical feedback
In order to keep the voltages in regulation range, the regulation must be made in the output,
with
The information sent to the primary through an optical coupler. This devices are very sentitive
to
Radiation and temperature .

Voltage regulation
Output voltages must be tightly regulated. This makes the main magnetic component a key
device in the converter, as its design will affect heavily the global peformance of the conevrter

Monte Carlo Simulations
Several Monte Carlo analysis are done to verify specifications (PM, BW, Zout) in all possible operating conditions. Radiation and temperature are specially
tough in space and thus drifting in nominal values of the components are wider than in any other application.

Bode Plot

Output Impedance

90

0
-45

Output Impedance [mOhm]

Phase [degrees]

54
45

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-135

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60
40
20
0

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10

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27

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ACOUSTIC ENGINEERING APPLIED TO
NEUROPATHOLOGY: ACOUSTIC THERAPIES
aG.

Gálvez, aM. Recuero, aL. Gascó

aInstrumentation

and Applied Acoustics Research Group (I2A2-UPM)
Technical University of Madrid (UPM). Email: gerardo.galvez@i2a2.upm.es

Abstract
Hundreds of millions of people worldwide are affected by neurological disorders. These include Alzheimer disease, Parkinson's disease or Autistics
disorders among others. Neurological disorders represent a public health problem, with a extraordinary economic importance. Mainly, treatments consist
in drug therapies and surgical interventions but complementary therapies are sought to manage symptoms since drugs or surgery are neither definitive
nor long-term solution. We are exploring acoustical engineering as effective method in order to improve both diagnosis and symptomatology to
complement current treatments, evaluating its influence with typical scales according to disorder and electroencephalography (EEG).

Methodology

Background
Neurological disorders, a big problem

Sound design and psychoacustic evaluation
1. Audiometric tests determines a subject's hearing levels

Neurological disorders correspond
50% of all disabling disease

2. Digital sound is synthesized using Matlab with different sound properties
(binaural beats auralization, rhythm, etc.) depending on a specific disease.
3. Specific acoustics instrumentation is used to evaluate acoustical properties
of synthesized sound which depends on: player, headphones and sound
signal properties.

Complementary therapies are
sought to manage symptoms

HATS

Pulse Analyzer

Sound analysis

Sound influence measurements in humans
1. Electroencephalography (EEG) data is collected to compute:
1. EEG Power

2. Functional brain connectivity
2. Specific scales adapted to every disease (cognition and motor performance
in Parkinson Disease, attention in Autistic Disorders, etc.)

Sound as therapy?

Interventions
Music has been used
from ancient times

Music Therapy unknows
neurological basis

Approaches without
scientific basis

Increasing interest of
music/sound effects

Healthy population

Patients

1. Adults didn’t show improvements
on cognitive performance under
20
min
stimulation.
Most
interestingly any subject showed
problems under stimulation.

1. Parkinson
Disease
patiens
reported
improvements
on
symptomatology.

2. Healthy children showed a better
cognitive performance after 12
weeks of listening program.

2. Now we’re designing interventions
for:
1. Fibromyalgic patients.
2. Autistic patiens

All interventions followed placebo-controlled design

Contributions
CRESPO, A.; RECUERO, M.; GALVEZ, G.;
BEGOÑA, A.: “Effect of Binaural
Stimulation on Attention and EEG”,
Archives of Acoustics, 38(4): 517-528,
2013.

31

Acknowledgements
We thank “Center for Biomedical
Technology” of UPM and Associations.

ACOUSTIC TECHNOLOGIES FOR PARKINSON
DISEASE
aG.

Gálvez, aM. Recuero

aInstrumentation

and Applied Acoustics Research Group (I2A2-UPM)
Technical University of Madrid (UPM). Email: gerardo.galvez@i2a2.upm.es

Abstract
Parkinson disease (PD) is 2nd most common neurological disorder implying a high cost to society. Although there is no cure, drug therapy -with important
side effects- controls the physical symptoms successfully, but it loss efficacy over time. For this reason complementary therapies are sought to help when
effect medication decays (OFF-ON phenomena). In this context, we hypothesized that sound stimulation controlled by acoustical engineering methods
could help medication to control symptoms, since there are similar interventions –music or vibrational therapy– known by helping in Parkinson Disease
experimentally. We worked with healthy population to improve methodology and later we carried out a study with 12 patients where we found an
improvement in several symptoms as well as brain activity normalization. Additionally we are working to find biomarkers of PD based on acoustics, due to
there is no lab test for PD, so it is difficult to diagnose, depending of observational procedures.

Methodology

Background

Participants profiles

Parkinson Disease (PD)

PD is 2nd most prevalent
neurological disease

Current treatments don’t stop
progression and side effects are
significant and varied.

Good
response
medication

Sound design
2. Acoustical properties evaluation

≤ 3 Hoen & Yahr scale

Normal Hearing

DBS not implanted
Player

Double blind and placebo-controlled
experimental design following “Principles
of the Declaration of Helsinki” is required.

Tremor

Acoustic engineering in Parkinson Disease

EEG
recording

Pulse Analyzer

Ethics and analysis

• Tremor
Instability

HATS

• Cognition scales

• Gait

Bradykinesia

HiFi Headphones

Data collection
• EEG recording (“Functional
Connectivity” and EEG
Power)

Symptomatology

Rigidity

1. Digital design sound with Matlab

to

Tremor
Globes

Gait

Statistical pre-post analysis with SPSS and
Matlab.

Objetives

Acoustic
engineering

Challenges & future
Challenges

Treatment

Future

Diagnosis

Sound could be and
effective co-assistant to
pharmacological
treatment.

Besides
sound
as
treatment, diagnosis is a
prospective field using
sound.

Translation
to
other
neurological diseases.

Effective sound on PD
Melody
Harmony
Music

Understanding of
neural processing
mechanisms of
sound.

Medical validation
through longitudinal
studies.

Rhythm
Noise
Sound

Acoustic
Technologies
Speech
[…]

[…]

Contributions
CRESPO, A.; RECUERO, M.; GALVEZ, G.;
BEGOÑA, A.: “Effect of Binaural
Stimulation on Attention and EEG”,
Archives of Acoustics, 38(4): 517-528,
2013.

32

Acknowledgements
We thank “Asociación de Parkinson de
Madrid” and “Center for Biomedical
Technology” of UPM.

DEVELOPMENT OF OPTICAL BIOSENSOR FOR
DRY EYE DISEASE DETECTION
B. Santamaríaa*, A. L. Hernándeza, M. Maiglerb, F. J. Sanzaa, R. Casquela,
A. Lavina, M. F. Lagunaa, M. Holgadoa.
a Center

for Biomedical Technology UPM (Campus de Montegancedo), bBio Optical Detection
E-mail adress: beatriz.santamaria@ctb.upm.es

Abstract
Dry eye disease is an ocular disorder that affects to the eye surface and causes not only view distortion and surface damage , but also changes the
chemical composition of the tear.
A lot of people are affected by dry eye diseases . However, in the current market, there are only few test that detect this pathology in its severe stage.
The aim of this project is, thanks to the label free optical biosensor technology, to be capable to detect the dry eye disorder in its primary stage.
Thanks to the optical biosensor, the changes of the tear composition can be detect. More precisely, through a label free immunoassay, the concentration
of tree specific biomarkers related to this pathology can be know. Moreover, the read-out method that is used for the detection reduces the cost of this
test and the sizes of the devices, becoming a cost-efficient, compact and reliable technology.

Label free optical biosensor
Fabrication of BICELL biosensor:

Direct immunoassay:

Biomarkers for dry eye
(antigens to detect):

v MM
MMP9
v S100A6
v CST4

*Same process for nitrocellulose

Tear analysis and results
Sample collection:

Optical Read-out based on Increased Relative Optical Power (IROP):

Results/ MMP9 recognition:

Conclusion:

The compact point of care read-out device is able to detect antigens
concentrations of ng/mL.

The SU8+NC surface is good performance to be used as a sensing surface.

Future research lines:
• Detection of S100A6 and CST4 biomarkers
• Launch of the TearMonitor into de market.
• Future compact point of care devices for other disease detection.

33

More information:

Local blood pressure estimations by subharmonic component
analysis of microbubble-scattered signals
aJ.

Jiménez-Fernández

a

Grupo de Mecánica de Fluidos aplicada a la Ingeniería Industrial. Dpto. Ingeniería Energética,
(jajimenez@etsii.upm.es)

Abstract
The subharmonic component in the signal scattered by contrast micro-bubbles immerged in a liquid and subject to ultrasound fields is investigated, in
order to provide quantitative estimations of local blood pressure. The problem is formulated by assuming a gas bubble encapsulated by a shell of finite
thickness whose dynamical behavior is modeled by the nonlinear Neo-Hooke constitutive equation. The corresponding problem for free bubbles and two
interfacial models has also been considered. Pressure thresholds for the onset of the subharmonic and limit values for the transition to a chaotic
response have been determined for different ambient pressures. Thus, for any driving frequency, the interval of acoustic pressures where a subharmonic
component may be expected has been identified. Subsequently, subharmonic resonance curves for different ambient pressures have been performed.
The results obtained show that as the overpressure increases, the resonance curves are displaced to higher frequencies so that, subharmonic amplitudes
increase with overpressure for frequencies above the corresponding to subharmonic resonance and decreases for frequencies below resonance. The
opposite behavior is observed when the overpressure is decreased.

Introduction
The knowledge of the ambient blood pressure provide important information regarding the diagnose of pulmonary hypertension, cardiac abnormalities and
other severe diseases. In recent past, research effort has been devoted to the development of the clinical techniques for noninvasive local blood pressure
measures by means of encapsulated microbubbles driven into oscillatory motions by the action of ultrasound fields. Analysis of the subharmonic
component in the scattered signal, has been proposed as a feasible method to local pressure estimation. Indeed, the quantitative dependence of the ½
subharmonic amplitude on the ambient pressure has been recognized by in vitro and in vivo experiments: Shi et al. (Ultrasound Med. Biol. 25 (1999) 275283)], Forsberg et al. (IEEE Trans. Ultrason. Ferroelect. Freq. Control 52 (2005) 581-583), Dave et al. (IEEE Trans. Ultrason. Ferroelect. Freq. Control 58 (2011)
2056-2066), as well as, by numerical simulations: Andersen and Jennsen (J. Acoust. Soc. Am. 126 (2009) 3350-3358), Katiyar et al. (J. Acoust. Soc. Am. 129
(2011) 2325-2335). Recently, in vitro experiments have shown the feasibility of this procedure to estimate the interstitial fluid pressure in tumors,
Halldorsdottir et al. (Ultrasonics 54 (2014) 1938-1944). In contrast to harmonic components, subharmonic response is only detected for exciting pressures
above a threshold value which depend on the driving frequency, the equilibrium bubble radius and the physical properties of the host fluid and coating. On
the other hand, it should be highlighted that, as the acoustic forcing is increased, the nonlinear response may become chaotic. Thus, the existence of the
subharmonic is restricted to a bounded interval of acoustic pressure. For overpressures in the physiological range 0-190 mm Hg, threshold values of the
incident acoustic pressure for the onset of the subharmonic have been determined from the power spectrum. In addition, the limit values for the
transition to a chaotic response have been evaluated by using methods from dynamic systems theory, in particular, by means of a systematic calculation of
the corresponding Lyapunov exponents. Thus, for any driving frequency, the interval of acoustic pressures where a subharmonic component may be
expected has been identified. Once this parameter region of existence has been established, the influence of ambient pressure on the subharmonic
intensity has been analyzed. For fixed driving pressure, subharmonic amplitudes has been evaluated in terms of the excitation frequency and ambient
overpressure.

Results:
The main results obtained have been summarized in Fig. 1-3 for bubbles with an equilibrium radius R=3 µm . Fig.1 bifurcation diagram (upper plot) and
Lyapunov exponents (lower plot) with the pressure amplitude as control parameter at a driving frequency f=1.897MHz . Fig.2 Pressure thresholds for the
onset of the subharmonic signal (blue) and for chaotic behavior (red) as function of the frequency. Fig.3 Subharmonic amplitude vs frequency and
overpressure for acoustic pressure amplitudes : left 0.375MPa, center 0.35MPa, right: 0.25MPa$ .

Fig. 1

Fig.2

Fig.3

34

Optimization of an Aspiration Thrombectomy Device (TAD) for using in
cerebral vessels
Carlos Talayeroa, Gregorio Romerob*, Gillian Pearcec, Adèle Gillierd
a Industrial

Engineering Department - Universidad Europea de Madrid (PhD. student)
Engineering Department - Universidad Politécnica de Madrid [*contact person: gregorio.romero@upm.es]
c School of Engineering and Applied Science, Aston University - United Kingdom
d École des Ponts ParisTech – France (Intership student)
b Mechanical

Abstract
Aspirated Thrombectomy method is being used for recanalization of occluded arteries, especially the basilar (intracranial, in the Circle of Willis)
and in the internal carotid (extracranial). During suction, the distal section of the catheter is located close to the thrombus and a negative
pressure difference is generated resulting in an aspiration inside the catheter. In case of exit, the suction leads to an immediate recanalization

Stage 1: problem definition


Occluded arteries in cerebral areas due to blood clots
MTD => rigid elements that can cause injuries in small
vessels and the breakage of the clot (embolism upstream)
Aspirated Thrombectomy (GP Device) => no rigid parts
and minimize the risk of embolism upstream (suction of
the rests).

e 2:
2: preliminary
p
preliliminary
prel
miina y simulation
siimullattion
Stage
Stage 3: optimization
• CFD device analysis
• Cylindrical (as built)
• Conical section: varying taper,
free section, links to the
catheter
• Helical
section:
varying
number of coils, pitch, free
section, taper of the catheter.

• Analytic
alytic mass
ma – spring & 3D FEM mode
model
simulation
mulation
on
teria interaction
• Clot – arte
arteria
• Bloo
Blood
ood clot length and diameter size
• Geomet
Geometry + suction de-pressure range à
raction and torsional loads
traction
• Attach
Attachment forces

Optimized helical and conical geometries device

Stage 4: testing

Helical geometry simulation results

• Scale 3D printed prototypes to validate
date
te CFD analysis
• Colored jelly with injection of inkk
• Qualitative analysis when suction
n
• Different sections tested

Conclusions



eded
Traction load + torsional load for movement needed
Helical section better than conical
el
Thrombus – arteria interaction defined in the FEM model
Suction pressure as function of length and diameter of blood clot
ot

Testing process by using 3D printing and ink injection

References
[1] Pearce, G., Patrick, J. and Perkinson, N. (2007). A New Device For the Treatment of Thromboembolic Strokes. J Stroke Cerebrovasc Diseases
eases 16(4), pp.
pp 167-172
1
(4), pp. 288-293
[2] Pearce, G. et al. (2008). The GP Mechanical Thrombectomy Device. Journal of Stroke and Cerebrovascular Diseases 18(4),
[3] Romero, G. et al. (2010). Computational Modeling of a New Thrombectomy Device for the Extraction of Blood Clots. AEMB Vol. 680. Ed. Springer. pp. 627-633
[4] Pearce, G. et al. (2010). In Vitro Testing of a New Aspiration Thrombus Device. J Stroke Cerebrovasc Diseases 19(2), pp. 121-129
[5] Romero, G. et al. (2013). An investigation into the performance of a new Mechanical Thrombectomy Device using Bond Graph modelling: application to the extraction of
blood clots in the middle cerebral artery. Simulation: Transactions of the Society for 35
Modelling and Simulation International, 89(3), pp. 381-391     

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37

Artificial primary Visual
Cortex design
Leonardo Suriano, Eduardo de la Torre, Teresa Riesgo
leonardo.suriano@upm.es

Abstract
Main idea and mathematical support by JP Gauthier (LSIS – Université de Toulon) – U Boscain (CNRS - France) – M Sigalotti (INRIA - Paris) – D Prandi
(Université Paris – Dauphine) – F Rossi (Aix – Marseille Université).
Summary. The goal of the project is to develop a new software-hardware architecture inspired by the structure and the functionalities of the primary
visual cortex in mammals. The model is based on a redundant 3D representation of images, which adds to the spatial data of the image a further local
angular variable. The final objective of the project will be the construction of a prototype for the proposed software-hardware architecture. By its own
nature, such a prototype will be characterized by a high level of parallelism and will be well adapted for tackling several problems that the visual cortex
solves extremely efficiently : inpainting, shape recognition, contour enhancement. . .

THE HYPOELLIPTIC DIFFUSION
AND HUMAN VISION

HIGHLY CORRUPTED IMAGE
INPAINTING THROUGH HYPOELLIPTIC
DIFFUSION

THE ALGORITMS ARE INSPIRED BY THE HUMAN
BRAIN (GeCo Methods)

INPAINTING RESULTS

•Recall the idea of the Citti-Petitot-Sarti sub-Riemannian model of
V1.

85% CORRUPTED

RECONTRUCTION

•Lift of a curve: how to bring an image from 2D to 3D domain space.
•Reconstruction of the level sets via geodesics (Sub-Riemannian
Geometry).
•Reconstruction of complex images: the hypoelliptic diffusion model.
•The semi-discrete version of the model: reconstruction of mild
corrupted images.
•Dynamic restoration: reconstruction of highly corrupted images.

ARTICO3
FPGA - VERSION
ARTICo3 is a bus-based reconfigurable architecture for SRAM based
FPGAs that enables multithreaded hardware acceleration. Being able to
dynamically trade off between computing performance, energy
consumption and dependability at run time makes ARTICO3 really
suitable for real time demos on drones and autonomous robots in which
we can implement and simulate the behavior of the Visual Cortex.

CAN YOU FIGURE OUT WHAT THERE IS
BEYOND THE CORRUPTED IMAGES?
CONCLUSION AND FUTURE WORK
Thanks to the massive mathematical parallelization
demonstrated, we developed algorithms starting from
standard serial code to CUDA – OpenCL (with an
improvement of 1000x of the elaboration speed on GPUs).
We are going to realize an FPGA hardware version using
the potential of the ARTICo3 and the HLS. The mission is to
build a device that is able to reproduce, in hardware, the
functionalities of the primary Visual Cortex V1.

38

Bioelectric Signal Acquisition and Processing
on an FPGA
Ramón Conejo, Pablo Iglesias, Javier Mora,
Eduardo de la Torre, Teresa Riesgo
Centro de Electrónica Industrial – Universidad Politécnica de Madrid
{ramon.claguna; pablo.iglesias.lopez}@alumnos.upm.es
{javier.morad; eduardo.delatorre; teresa.riesgo}@upm.es

Abstract
FPGA architectures are well known to be an efficient option for digital signal processing, especially when a considerable amount of data has to be
processed. In this scenario Brain Computer Interface (BCI) appears as a very good candidate to benefit from this. A BCI is a direct communication pathway
between a person’s brain and an external device. BCIs are often directed at researching, mapping, assisting, augmenting, or repairing human cognitive or
sensory-motor functions.

System design
ELECTRODES

• Data acquisition – ADS1299
Brainwave data is acquired using Texas Instruments’
ADS1299, an affordable 24-bit 8-channel analog-to-digital
converter (ADC) designed for electroencephalogram (EEG)
applications.

ADS1299 (ADC)
SPI

Communication between FPGA and ADS1299 has been
optimized in order to achieve sampling rates up to 16000 Hz
in streaming.

HANN WINDOW

Moreover, the microprocessor embedded on the FPGA is
used to control the configuration of the electrodes
connected to the ADS1299.

FAST FOURIER
TRANSFORM
(FFT)

• Signal processing
FEATURES

Data processing is performed on a dedicated hardware on
the FPGA. In this research a Virtex-5 FPGA is being used. The
main block of the developed system is an FFT core, which
carries out the frequency decomposition with a high
precision in a matter of microseconds.

LOGIC MODEL

In addition, the block allows the application of a Hann
window to the signal before applying the FFT.

SUBJECT STATE

Detection of Alpha brainwaves

Alpha Waves

Many evaluation experiments can be performed. Early experiments
have shown that the system is able to detect alpha waves. These
brainwaves are dominant during resting states of the brain, such as
relax or meditation.

Interferences from
mains power

Some other responses that could be tracked are evoked potentials,
which reflect the processing of physical stimuli, or event-related
potential, caused by the “higher” processes, which might involve
memory, anticipation, attention, or changes in the mental state,
among others.

BCI - SYSTEM
Signal Processing
ADS1299

FPGA – EVOLVABLE HARDWARE

Future stages
• Evolvable hardware – Machine Learning
Combining the previous technology with evolvable hardware results in
many possible applications in the field of neurology. One of them is the
development of a self-adaptive collective BCI where the responses
retrieved from multiple users are used to obtain a common response.

39

High accuracy 3D bioprinting using laser
induce forward transfer techniques
aA.

Márquez, aS. Lauzurica, aM. Morales, aC. Molpeceres

aCentro

Láser, Universidad Politécnica de Madrid, C/ Alan Turing 1, 28038, Madrid, Spain
Email: andres.marquez@upm.es

Abstract
Laser Induced forward Transfer (LIFT) is a direct writing technique in which very small quantities of material can be transferred into a substrate. This
material can be either a solid material, a paste or even a liquid. There are a type of viscous liquids called hydrogels or bio-inks that are being used as
medium to transfer or print living cells with several methods. The aim of this investigation is to find a suitable hydrogel or bio-ink that is able to maintain
cell viability during all the printing process. In this process included the culture of the cells, preparation of the hydrogel or bio-ink, LIFT experiment set up,
processing and processing of deposited material, cell proliferation and data analysis.

1. Cell type

3. Experiment Set Up

2. Hydrogel

Cell line

LIFT

Natural

Culture




Primary cell

Alginate
Gelatin
Collagen
Hyaluronic Acid
Fibrin

Synthetic



PEG
Polaxamers
PLGA
PCL

Characteristics






Stem cell

4. Processing

Biocompatibility
Degradation
Cross-Linking
Biological integration
Bio-Replication
Viscosity
Hidration

5. Post-Processing

Laser
Donor

Acceptor
2D Construct

3D Construct

Donor set up
• Radiation
transparent
• Absorption layer
• Liquid deposition
Acceptor set up
• Cushion layer
• Wet medium

1. Immediately after printing
• Crosslink of the hydrogel
• Insert construct in
appropriate culture
medium
• First cell viability test

Process parameters
• Gap
• Liquid layer
thickness
• Materials
Laser parameters
• Wavelength
• Power
• Spot size

6. Data analysis








Cell viability (Live/Dead Assay)
Structural analysis
Geometry
Statistics
Degradation of the hydrogel
Cell proliferation
Cell reproduction and dissociation
Thermal stress
Genotoxic damage

2. After cell culture and
crosslinking
• Preparation of new layer
for 3D construct
• Data analysis

1. M. Xu, X. Wang, Y. Yan, R. Yao, and Y. Ge, “An cell-assembly derived physiological 3D model of the metabolic syndrome, based on adipose-derived
stromal cells and a gelatin/alginate/fibrinogen matrix,” Biomaterials, vol. 31,40
no. 14, pp. 3868–3877, 2010

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41

BACTERIAL COLONIZATION ON PM STAINLESS STEELS
aJosé

M. Ranninger, aManuel Cisneros, aJosé M. Ruiz-Román,
aLuis E. Cambronero, bAna M. García, bAndrés Nuñez, bDiego A. Moreno
ETSI Minas y Energía, Universidad Politécnica de Madrid
ETSI Industriales, Universidad Politécnica de Madrid (ana.garcia.ruiz@upm.es)

Abstract
The characteristics and capacities of sintered stainless steels have been investigated in order to evaluate their ability to retain microorganisms. Three
sintered stainless steels were tested in different culture media using four types of bacteria. In general, the austenitic stainless steels was the most
favourable for this type of study. Regarding the microorganisms, the best results for observation and counting were obtained with Staphylococcus
aureus. The results suggest that PM stainless steel could be a useful surface where planktonic microorganisms can attach and develop biofilms, which
could have environmental applications such as decontamination of polluted water.
E. coli, Pseudomonas sp. and Desulfovibrio sp. produced dense layers of
extracellular polymeric substances (EPS), so the microscopic observation
was very difficult.
On the other hand, S. aureus didn´t generate EPS layers during the
period of the study and its spherical shape allowed distinguishing and
counting easily. Moreover, S. aureus adhered strongly to the metal
surface and it didn´t separate from the material during preparation for
microscopic observation. Thus, the best results for observation and
counting were obtained with S. aureus. This microorganism is frequently
used as a model for biofouling studies [1, 2].

Introduction
Powder metallurgy (PM) consists in obtaining pieces of powder metal
that are processed at high temperatures and pressure. Due to its
characteristic manufacturing process, the materials can have a specific
and controlled porosity, which makes it possible to obtain porous parts
such as ball bearings, gears, roller bearings, etc. This porosity is what
made us think about how easy biofouling would be on these materials
and its possible environmental applications.

Materials and Methods
Three different PM stainless steels (SS) were studied: a 316L austenitic
SS, a 430L ferritic SS and a 50/50 duplex SS, the latter resulted from
mixing 430L ferritic SS and 316L austenitic SS powders (Table 1). The
mixtures were obtained by dry mixing and die pressing at three
different pressures (300, 500 and 700 MPa) using an uniaxial press, as
well as die lubrication with zinc stearate. Green samples were sintered
in vacuum at 1250 oC for 30 minutes. The densities of the materials
obtained were in the range of 5.4-6.9 g·cm-3. Coupons were polished to
1 Pm.
Table 1. Chemical composition and properties of the powders used.

Powder
grade

Cr

Ni

Mo

Si

Apparent
density

Flow

Particle
size

%

%

%

%

g·cm-3

s/50 g

mm

316L

16.4 12.7

2.20

0.80

2.6

26.0

< 150

430L

19.2

0.14

1.11

2.7

30.3

< 150

0.1

10 Pm
Figure 1. Scanning electron microscopy micrograph showing the colonization
of a sintered austenitic SS coupon by S. aureus.

It also emerged that the areas with the pores depend unequivocally on
the compacting pressure, and that the smaller the area of the pore, the
higher the density of the microorganisms. Consequently, it can be
deduced that comparing an equal area of pores on a surface, the one
with the smaller pores would retain a larger number of bacteria.
Regarding the material, 316L austenitic stainless steel seems to be the
best one for biofouling studies. Oxide layers were not observed on this
material.

For biofouling tests, the coupons were placed in universal bottles with
20 mL of culture medium and sterilized by autoclaving 20 min at 121 oC.
Then they were inoculated with different microorganisms:
Staphylococcus aureus (CECT 240), Escherichia coli (CECT-516),
Pseudomonas sp. and Desulfovibrio sp. (from the BIO-MAT Group strain
collection). S. aureus, E. coli and Pseudomonas sp. were inoculated in
nutrient broth (CM0067, OXOID) at an initial concentration of 2,5·102
cells·mL-1 and Desulfovibrio sp. was inoculated in Postgate C culture
medium at an initial concentration of 2,5·104 cells·mL-1. They were
incubated at 35 oC (S. aureus and E. coli) or 30 oC (Pseudomonas sp. and
Desulfovibrio sp.) for 24 h (S. aureus, E. coli and Pseudomonas sp.) or
for 7 days (Desulfovibrio sp.). After the tests, the coupons were washed
twice with sterile water, fixed, dehydrated in an ascending acetonic
series, critical point dried, sputtered with gold and examined under
scanning electron microscopy (SEM).
For each material and compacting pressure we quantified the areas of
the pores and the pore-free surface. The density of microorganisms in
both areas was also established.

Conclusions
Our preliminary results indicated that Staphylococcus aureus grwth has a
direct relationship with the porosity of PM stainless steels. However,
additional investigations are still needed for a thorough understanding
of the biofouling mechanism.
The results suggest that PM stainless steel could be a useful surface
where planktonic microorganisms can attach and develop biofilms. This
could have environmental applications such as decontamination of
polluted water.

References
1.M.I. Sarró, O. Alemán, D.A. Moreno, M. Roso, C. Ranninger. Influencia de la
composición química, del tratamiento térmico y del acabado superficial en el
bioensuciamiento de aceros inoxidables austeníticos. Revista de Metalurgia
Madrid, 2004, 40, 1, 21-29.

Results and Discussion

2.M.I. Sarró, D.A. Moreno, C. Ranninger, E. King, J. Ruiz. Influence of gas nitriding
of Ti6Al4V alloy at high temperature on the adhesion of Staphylococcus aureus.
Surface and Coatings Technology,2006, 201, 6, 2807-2812.

All the microorganisms under study attached to both duplex and 316L
and 430L sintered SS (Figure 1). In all cases, bacteria located mainly
inside the pores, where the environmental conditions were better for
their growth.

42

3.José M. Ranninger. Colonización bacteriana y oxidación de aceros inoxidables
austeníticos, ferríticos y dúplex sinterizados, 2016. Tesis Doctoral.

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MODELING AND
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43

MICROBIOLOGICALLY INFLUENCED CORROSION OF
INDUSTRIAL MATERIALS
Diego A. Moreno, Ana M. García, Carlos Ranninger
ETSI Industriales, Universidad Politécnica de Madrid (diego.moreno@upm.es)

Abstract
Studies on Microbiologically Influenced Corrosion (MIC) have been developed as of the second half of the 20th century. MIC refers to the corrosion
caused by microorganisms of metallic materials used by the industry such as: carbon and stainless steels, copper and its alloys, aluminium and its
alloys, as well as titanium. Different terms are frequently used to describe MIC, for example, microbial corrosion or biocorrosion.

Industrial impact

Copper and copper alloys

MIC costs are very important from an economic point of view [1]. It is
estimated that 10-20% of all corrosion damage of metals is caused by
MIC. The cost of corrosion corresponds to 3-4% of the Gross Domestic
Product (GDP), thus MIC costs amount to around 0.3-0.8% GDP. The
main industries affected are petrochemical and power (electric and
nuclear), but industries such as pulp and paper or waste-treatment
(Figure 1) are also affected.

Copper and its alloys were used in the cooling industry. For example
admiralty brass was used as a heat exchanger in the nuclear power
industry, because they were believed to be resistant to MIC. However,
over time, biofouling and MIC develops [2], and the substrata were
replaced by stainless steel, and then titanium.

Aluminium and aluminium alloys
MIC of these materials was a focus for the aeronautic industry in the
1960s. The mould Hormoconis resinae grew in aircraft gas tanks, using
fuel as carbon source. Mycelium and metabolites cause corrosion in the
aluminium alloys, and the biomass caused blockages of filters, provoking
engine failure. Tanks were painted with chromate-rich paints that inhibit
fungal growth, and the quality of kerosene was carefully monitored (to
ensure absence of mould). Prohibition of chromates due to
environmental reasons means that this topic is still of concern.

Stainless steels
Stainless steels are known for their resistance to corrosion. Chromium is
the key alloying element in making steel into stainless steel. Austenitic
stainless steels (types 304 and 316) usually perform better than ferritic
or martensitic alloys, although some MIC has been also observed [3].
Iron-oxidising bacteria and SRB are the main microorganisms involved.

Titanium

Figure 1. MIC in a pipeline of biogas in a waste-treatment plant.

Titanium is used especially in highly-corrosive environments, since it is
the least susceptible to corrosion. However, at least for now, no metallic
material can escape MIC. In laboratory and field tests, some biofouling
and MIC has been observed (Figure 3) [4].

Mild steels
MIC is a localized corrosion that causes significant damage to carbon
and low-alloy steel structures that are either buried or submerged. In
freshwater, pitting on carbon steel is usually associated with tubercles.
Iron-oxidising bacteria, primarily Gallionella and Leptothrix colonise the
surface, forming tubercles composed of ferric hydroxide and manganic
hydroxides (Figure 2). Anaerobic sulphate-reducing bacteria (SRB),
mainly Desulfovibrio, then develop within the tubercles, reducing
sulphates to sulphides. Sulphides are aggressive to most metallic
materials, and the ability of Desulfovibrio to grow in high saline
concentrations means that they are frequently associated with
problems in the petrochemical industry, because sulphides trigger the
aggressiveness of chlorides.

50 µm

Figure 3. Scanning electron micrograph of biofouling developed by
Vorticella on titanium in a field test [4].

10 µm

References
1. Susan W. Borenstein. Microbiologically Influenced Corrosion Handbook.
Industrial Press Inc. New York. 1994.
2. JR. Ibars, J.L. Polo, D.A. Moreno, C. Ranninger, J.M. Bastidas. An impedance study
on admiralty brass dezincification originated by Microbiologically Influenced
Corrosion. Biotechnology and Bioengineering 2004, 87, 856-862.
3. J.R. Ibars, D.A. Moreno, C. Ranninger. Microbial corrosion of stainless steels.
Microbiología 1992, 8, 63-75.
4. D.A. Moreno, E. Cano, J.R. Ibars, J.L. Polo, F. Montero, J.M. Bastidas. Initial stages
of microbiologically influenced tarnishing on titanium after 20 months of
immersion in freshwater. Applied Microbiology and Biotechnology 2004, 64,
593-598.

Figure 2. Light micrograph of Gallionella, the most important ironoxidising bacterium forming tubercles in steels, showing helically
twisted ferric hydroxides.

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46

AMPEROMETRIC CHOLESTEROL BIOSENSORS
BASED ON DENDRITIC MACROMOLECULES AND
METALLIC NANOPARTICLES
aI.

López, aM. P. Garcia Armada, aJ. Losada, bB. Alonso, bC. M. Casado

aDep.
bDep.

Ingeniería Química Industrial y M. A., E.T.S.I.I., U. P. M. (inmaculada.lopez.santiago@alumnos.upm.es)
Química Inorgánica, Cantoblanco, U. A. M.

Abstract
In this poster we present our recent works on the development of cholesterol amperometric biosensors. The enzyme cholesterol oxidase is covalently
bonded to nanostructured electrode surfaces constituted by dendritic macromolecules and metallic nanoparticles. We have worked in two different
electrode configuration options: A- cholesterol oxidase crosslinked onto a block-copolymer with interacting ferrocene units [1]electrodeposited on top of
Pt nanoparticles, in turn electrodeposited on a Pt electrode; and B- cholesterol oxidase covalently immobilized in a self-assembled monolayer (SAM)
composed of Au nanoparticles and a thiol functionalized dendrimer [2]anchored to a glassy carbon electrode.

A- COx/FcBC/PtNPs/Pt electrode
A

B

C

SEM Micrographs of Pt wires with (A) the block-copolymer film electrodeposited at E= 1.0 V vs. Ag/ClAg
from a Cl2CH2 solution with NBu4PF6 as supporting electrolyte. (B) PtNPs electrodeposited by 20 potential
cycles between 0.6 V and -0.2 V vs. SCE at scan rate of 50 mV/s. And (C) The block-copolymer film
electrodeposited on the PtNPs.

m = 375; n = 92; p 0 76
Block-copolymer structure

Linear range Sensitivity Detection KM,app
(mM)
(ʅA/mMcm2) limit (ʅM) (mM)
0.0 - 0.8
2.92
0.95
0.31
0.5
0.8 - 2.2

E (V)

Ascorbic acid
Glucose

Uric acid

Lactic acid

Cholesterol

Amperometric s study of interferences. Additions of 0.5 mM.

Application to real samples. Determination by the standard addition method

Currently, we are working in the improvement of the sensitivity of biosensor by the use of other solvents.

B- COx/AuNPs/TD/AuNPs/GC electrode
This biosensor is currently under development. The self-assembled monolayer design pursuits the direct electrochemistry of the cholesterol oxidase. We
use a GC electrode as base and AuNPs with several sizes.
HS HS HS HS

8.0E-07

HS HS

HS

HS
O O O
O O HN HN
HS
O HN HN
O HN
HS
NH
O
NH
HS
O NH
N
HS
N
O
NH
HS
N
O
NH
HS
N
O NH
N
N
O NH
HS
N
O NH
N
N
HS
O NH
N
N
HS
N
O NH
N
N
N
NH
HS
HS

N

O
O NH
O NH
O NH

HS
HS
HS

O

HS
HS

N

NH
NH
O NH
O NH

N

HS
HS

N

HS

SH
SH

O
O
HN
SH
NH O
S
NH O
H
NH O
SH
NH O
SH
N
NH O
N
N

N
N

N

N

N
N

N
N

N

NH O
NH O
NH
O
NH

N

N
N

NH
N
N
O NH
N
O NH
O NH
NH
O
HS
NH
NH NH
O
NH
O
HS
O O
SH
SH
SH
SH
SH SH

N
N

N

O
NH
NHO

N

N

0.5 mM

6.0E-07

1 mM
1.5 mM

4.0E-07
SH
SH

CG

2.0E-07

S
H
S
H
S
H

0.0E+00

S
H
S
H

NHO
SH
NHO
SH
N O
H
NHO
N
SH
NH
O
N
SH
NH
O
N
SH
N
NH
O
NH
S
H
O
NH
SH
NH O
O
SH
NH NHNH NH
O
SH
O O O O
N

-2.0E-07

N

N

N

-4.0E-07

Biosensor architecture

-6.0E-07
-0.2

-0.1

0

0.1

0.2

0.3

0.4

0.5

SH
SH SH SH SH

DAB - 5 - (NHCH2CH2SH)64

References:

NHO
NHO
NHO

N

without

SH

N

N
N

N

N

N

N

N

O

HS

N

N

N

O O
HN HN
HN

Cyclic voltammograms showing the COx direct electrochemistry in
absence and after the addition of several quantities of cholesterol
in phosphate buffer pH 7 deaerated supporting solution.

[1] M.P. García Armada, J. Losada, F.J. López-Villanueva, H. Frey, B. Alonso, C.M. Casado, Journal of
Organometallic Chemistry 693 (2008) 2803–2811.
[2] M. Algarra, B.B. Campos, B. Alonso, M.S. Miranda, Á.M. Martínez, C.M. Casado, J.C.G. Esteves
47
da Silva. Talanta 88 (2012) 403– 407.

Acknowledgements: We thank the U.P.M and the
Dirección General de Investigación for the financial
support of this research (CTQ2009-12332-C02).

DENDRITIC MACROMOLECULES AND
NANOPARTICLES AS BASIS OF NANOSTRUCTURED
ELECTROCATALYTIC SURFACES
aM.

P. García Armada, aJ. Losada, bB. Alonso, bC.M. Casado

aDep.

Ingeniería Química Industrial y M. A., E.T.S.I.I., U. P. M. (pilar.garcia.armada@upm.es)
Química Inorgánica, Cantoblanco, U. A. M.

bDep.

Abstract
The general targets of our work are the preparation of nanostructured surfaces with electrocatalytic and/or bioelctrocatalytic properties. To the date, we
have prepared several nanostructured electrode surfaces by different ways: size-controlled metallic nanoparticles by means of electroactive dendritic
structures as templates; dendrimers electrodeposited on a layer of PtNPs as synergic catalyst ; and more recently : metallic nanoparticles electrodeposited
on a electrode modified with several dendritic macromolecules films and with a ferrocenyl octasilsesquioxane dendrimer which forms a nanostructured
layer itself on the electrode. These surface were also successfully used to the immobilization of enzymes in the development of sensitive biosensors. In this
poster we present two of these developments that showed good electrocatalytic behavior.

Polyferrocenyl polycyclotetrasiloxane (FPC) as support of Pt NPs

The obtained PtNPs form aggregates with
size of 100 x 50 nm constituted by
nanoparticles with average size of 6 – 10
nm. The
PtNPs grow following the
polymer film grooves.

UHRSEM micrographs of Pt wires modified with FPC (left) and PtNPs /FPC (right)

Application to Xantine oxidase immobilization
Analytical Properties
Linear Range

E vs. SCE
(V vs. SCE)

(µM)
4.7-160

-0.1

Sensitivity

Uric acid Glucose

Detection Limit

(µA/mMcm2)
576.7

Xanthine

(µM)
0.4

Kinetic Parameters
E vs. SCE (V vs. SCE)

KM app (mM)

-0.1

0.61

Ascorbic acid

Study of interferences at -0.1
V
(vs
SCE).
The
concentrations were 0.5 mM
for xantine, uric ácid and
glucose, and 1.0 mM for
ascorbic acid.

Ferrocenyl octasilsesquioxane dendrimer
Applications to simoultaneous determination of AA, AU, DA and Trp
DPVs at the modified electrode in
a Ph 2, NaClO4/ H2SO4 solution,
containing 160 ʅD AA, 40 ʅD UA,
40 ʅD DA and different
concentrations of Tryptophan

DPVs
of
simultaneous
determination of AA, AU, DA and
Trp. Concentrations of: AA ( 20,
120, 220, 320, 420 ʅD), DA (10,
60, 110, 160, 210 ʅD), UA (10,
60, 110, 160, 210 ʅD) and Trp ( 5,
55, 105, 155, 205 ʅD).

SEM micrograph of electrode surface

Analytical Properties
1st

Linear Range

Sensitivity

Detection Limit

(µM)

(µA/mMcm2)

(µM)

5.0-54.5

600.0

0.318

1. M. Herrero, B. Alonso, J. Losada, M. P. García Armada, C. M. Casado, Organometallics 31 (2012) 6344 – 6350.

48

Acknowledgements: We thank the U.P.M and the
Dirección General de Investigación for the financial
support of this research (CTQ2009-12332-C02).

ELECTRODE MODIFIED WITH A FERROCENYLPOLYCYCLOSILOXANE POLYMER AND AUNPS TO
THE DIRECT ELECTROCHEMISTRY OF HRP
aEvelyn Ospina, aM.P. Garcia Armada, aJ.
aDep.

Losada, bB. Alonso, bC.M. Casado

Ingeniería Química Industrial y M. A., E.T.S.I.I., U. P. M. (ej.ospina@alumnos.upm.es)
bDep. Química Inorgánica, Cantoblanco, U. A. M.

Abstract
This work presents an effective bioelectrochemical system for the electrocatalytic reduction of hydrogen and organic peroxides. The nanostructures can
improve the interface between biomolecules and the electronic transducer, because these reduced distance between the redox center of proteins and the
electrode. Also provide a three-dimensional structure similar to the microenvironment of redox proteins in biological systems. Gold nanoparticles have
been electrochemically deposited on a Pt electrode previously modified with a polyferrocenyl polycyclosiloxane polymer [1] as base, in order to carry out
the direct electrochemistry of horseradish peroxidase. The enzyme was immobilized covalently in the AuNPs through thiol functional groups which are
present in the protein structure. This system showed high activity with an apparent Michaelis-Menten constant lower than the intrinsic one.

Scheme of hydrogen peroxide biosensor
e-

e-

e-

Direct electrochemistry of HRP
60

40

H2O2
Current, mA

20

Pt

-20

-40

H2O
FPP

0

HRP direct electro-reduction

-60

AuNPs HRP

-80
-0.8

-0.6

-0.4

-0.2

0.0

0.2

0.4

0.6

0.8

1.0

1.2

Potential, V

Determination of hydrogen peroxide and organic hydroperoxides
B

A

C

0.4 mA

1.0 mA

10 s

0.02 mA

10 s

10 s

Amperometric responses of the biosensor to the successive additions of aliquots of 20 mM of (A) hydrogen peroxide, (B) cumene hydroperoxide and (C)
tert-butyl hydroperoxide in phosphate buffer pH 7 at E = -0.2 V vs. SCE.

Analitical and kinetic Characterization
Analyte
Hydrogen peroxide
Cumene hydroperoxide
Tert-butyl hydroperoxide

Kapp
(A M-1)
0,077
0,026
0,0023

K’M
(mM)
0,32
4,68
0,97

Sensitivity
(μA mM -1cm-2)
685,71
360,00
32,86

Detection Limit
Linear Ranges
(μM)
(mM)
0,30
0 – 0.2 and 0.2 – 6.8
0,12
0 - 0.2 and 0.2 - 7.8
0,81
0 – 0.09 and 0.09 – 15.8

Conclusions
The biosensor has been successfully applied as peroxide biosensor with a very
wide dynamic range and a very high sensitivity, better than those recently
reported in literature. Also, the three-dimensional system shows a long stability
and the measurements are highly reproducible.

Reference

Sensitivity

[2]
[3]
This work

108 μA mM-1cm-2
143 μA mM-1cm-2
685 μA mM-1 cm-2

References
1. Q. Wan, H. Song, H. Shu, Z. Wang, J. Zou, N. Yang, Colloids and Sufarces B: Biointerfaces 104 (2013)
181-185.
2. C. L. Hsu, K. S. Chang, J. C. Kuo, ScienceDirect 19 (2008) 223-230.
3. C. Qiu, T. Chen, X. Wang, Y. Li, H. Ma, Colloids and Surfaces B: Biointerface49
103 (2013) 129-135.

Ackowledgements: We thanks the U.P.M and
the Dirección General de Investigación
(CTQ2009-12332-CO2) for the financial support
in this research

ELECTRODEPOSITED FERROCENYL-DAB AS
TEMPLATES FOR THE SYNTHESIS OF INTER AND
INTRA DENDRITIC Au NANOPARTICLES
aJ.Losada , aM.

a
b

P. García Armada, aC.Villena, aD.Punjabi , bB. Alonso,
bC.M.Casado

Dto de Ingeniería Química Industrial y M. A., U. Politécnica de Madrid, Spain (jose.losada@upm.es)
Dto de Química Inorgánica, Facultad de Ciencias, U. Autónoma de Madrid, Spain

Abstract
In this work, we show that dispersed Au nanoparticles (AuNPs) having diameters of less than 3 nm can be obtained with DAB-ferrocenyl
dendrimers. [1],[2],[3],[4][5] Dendrimers of first, third and fifth generation have been studied and good dispersed non aggregated nanoparticles were
obtained in all the cases. In a similar way than in homogeneous media[6], Au nanoparticles inter-dendritic have been obtained when first or third
generation dendrimer modified electrodes were used, while smaller nanoparticles were obtained with fifth generation dendrimer, indicating that Au
nanoparticles intra-dendritic have been syntethized. The AuNPs were obtained from a HAuCl4 solution and subsequent chemical reduction with
NaBH4. The ferrocene groups were previously electro-oxidized to avoid the direct reduction of Au (III) by the ferrocenyl groups.[7] The formation of
AuNPs was followed by UV-Vis spectrophotometry. The electrochemical behaviour of these electrodes has been studied.

Synthetic scheme for inter and intra-dendritic AuNPs
Fe

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Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

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Fe

Fe
Fe

HN

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HN

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Fe

N

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H
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Fe

Fe

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Fe

Fe

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Fe

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Fe

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Fe

Fe

Fe

Fe

Fe

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HN

HN

N

N

Fe
Fe

HN

Fe

N

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HN

N

Fe

Pt electrode

N

N

NH

HN

NH

Fe

Fe

Fe

Fe

Fe
Fe

NH

Fe

Fe

N
H
N
H

Fe
H
N

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H
N

N
N
N
N

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N

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N

N

NH

NH

Fe

N

N

NH

Fe

Fe

NH
NH

HN

Fe

HN

NH

Fe

NH

Fe

NH

NH

NH HN

Fe

NH

N

N

NH

Fe

NH

N

N

NH

Fe

NH

Fe
Fe

Fe
Fe

Fe

Fe

N
N

N

N
NH

Fe
NH

N

N

N
H

Fe

NH

N
N

N

N
H

Fe

Fe

N

N

N

N

Fe

Fe

H
N

N
N

N

N

N
H

Fe

Fe

HN
N

N

N

Fe

Fe

Fe
HN

N

N
N

N

N
H
N
H

Fe

Fe

HN HN

N

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe
Fe

NH

NH HN

Fe Fe

HN

N

Fe

NH
HN

NH

Fe

Fe
Fe

N

N

Fe

NH
NH

NH

HN

Fe

HN

N

N

NH

N

N

NH

Fe

N
H
N
H

Fe

NH

N

N

NH

Fe

Fe
Fe

HN

HN

N

Fe

N
N

N

NH

Fe

Fe

NH

N

N

NH

Fe

Fe
Fe

NH

NH HN

NH

Fe
Fe

Fe
HN

N
N

N

Fe

NH

N
N

NH

Fe

Fe
Fe

HN
HN
HN

N

N
HH
N
N
H

Fe

NH
N
N

N

N

Fe
Fe

Fe

N

N

N

N
H

NH

Fe
Fe

Fe

Fe

H
N

N

N
H

NH

Fe

Fe

NH

N

N
H

NH
HN

NH

Fe

Fe

HN
HN

N

N

N

N

N

N
N

Fe

Fe
Fe

Fe
Fe

Fe
Fe

2.0E-05

1.0E-05

1.0E-05

5.0E-06

0.0E+00

0.0E+00

N
H

N
H

H
N

N

N

N
H
N
H

Fe

N

N

N
H

Fe

Pt electrode

Fe

N

N

Fe

HN

N
N

N

Fe
Fe
Fe

N

HN

H
N

N

Fe

HN

NH

Fe

Fe

HN
N

N

Fe

NH

HN

Fe

Fe

NaBH4

NH

N

N

N
N

N

N
HH
N

Fe

Fe

N

N

N

Fe

Fe

HN

N

Fe

HN

HN

Fe

HN

Fe
HN

Fe
Fe

NH

N

N

HN

Fe
HN

NH

NH

N

N
NH

Fe

HN

Fe

NH
N

N
NH

Fe

Fe

HN

Fe
Fe

Fe
NH

N

N
NH

Fe

HN
N

Fe

NH

N

NH

Fe

Fe

Fe

N
N
N

N

NH

Fe
NH

N

N

N

N

Fe

Fe

HN

HN

Fe

HN

HN

HN

NaBH4

Fe

Fe

HN

Fe

Fe

Fe

Fe

HN HN

H
N
H
N

H
N

N

N

Fe
HN

N

N

N
N

Fe

H
N

NH

N

N
H

Fe
HN

HN

HN

HN
HN
HN
HN

Fe
H
N

H
N

Fe

Fe

Fe

Fe

Fe

HN

Oxidation Fc

Fe

Fe

Fe

Fe

Fe
Fe

NH

NH HN

Fe

Fe
Fe

Fe
H
N

N

N

N

N

N

N

N

N
H

HAuCl4

Fe

NH
NH
HN

NH

Fe

Fe
Fe

Fe

NH

N

HN

Fe
Fe

N

NH

Fe

Fe
Fe

N

NH

Fe

NH

Fe

HN

NH

HN

NH

Fe

H
N

N

N

N
H

Fe

NH

Fe

HN

N

N

Fe

NH

NH

Fe

HN

NH

HN

NH

Fe
NH

N

N

N

N

Fe

NH

N
N

N

NH

N

N

N
N

N
N

NH

Fe

Fe

NH

N

N

NH

Fe

N
NH

Fe
Fe

NH

N

N

Fe

Fe
NH
NH
NH

N

N
NH

Fe
HN

N

N

N

Fe
Fe

HN

N

N

Fe
NH
NH

Fe

HN

N

N

NH

N

N
N

N

Fe
HN

N

N

N

N

N
H
N
H

Fe

N

N

N
H

NH

N

N

N

NH
NH

Fe

Fe

N
N
N

N

NH

Fe
NH

N

N

N

N

N
H

Fe

Fe

Fe

N

N
N
N
H

Fe

N

N
N
N
H

Fe

N
H
N
H

Fe

H
N

N

Fe

Fe

H
N
NH

N

Fe

Fe

N
H

Fe

H
N
N

N

N

N

Fe

N

N

N

N

N

N

HN

N

N

N

N
H

Fe
Fe

Fe

HN HN

N

N
N

N
N

Fe

H
N
H
N
H
N

N

Fe

Fe

H
N

N
N

N

N

N

Fe

N

N
N

N
H
N
H

Fe

Fe

H
N

N

N

N
N

N

N

Fe

Fe
H
N

N

N
H

Fe

N
N

Fe
H
N

N
N

N

N
H
N
H

Fe

HN

N

N

N

N

Fe

Fe

HN

HN

N
H

Fe

N
H

NH

N

N

N
N

N

Fe

Fe

HN

HN

HN

H
N

Fe

Fe

Fe

HN

N

N

N

N
N

N
H

Fe

Fe
Fe

Fe

N

HN

N
N

N

N
HH
N

Fe

H
N

N

N

N
N
N

Fe

HN

HN
N
HH
N

N
H
N
H

Fe

HN

Fe
Fe

Fe
Fe

HN

HN
HN

Fe

HN HN

N

N

N

HN

Fe
Fe

HN

HN

HN

Fe

HN

NH

HN

NH

HN

HN

HN

Fe
Fe
H
N

N
N

Fe
Fe

HN
HN
HN

HN

Fe
H
N

HN

N

N

N

N

HN

Fe

H
N

N

N

HN
HN

Fe
Fe

HN
N

N

Fe

Fe
Fe
Fe
Fe
Fe

Fe
Fe

NH

N

N

N

HN

HN

HN

Fe
HN

N

HN

Fe

HN

N

N

N
N

HN

HN

Fe

Fe
HN

N

N
N

N

N
HH
N

HN

Fe

Fe

HN HN
HN

N

N

HN
Fe
Fe

Fe

Fe
Fe

HN

N

N
N

HN
HN
HN

Fe

HN

HN
HN

Fe
Fe

HN

HN

HN

N

N

HN

HN

Fe

HN

HN

HN

HN

N

Fe

Fe

Fe

Fe
Fe
Fe

HN

N

Fe

Fe

Fe

Fe

N
N
H
N

-5.0E-06

-1.0E-05

HN

AMN1

-2.0E-05
I (A)

i (A)

Fe

-1.0E-05

Fe

-3.0E-05
Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

Fe

HN

Fe

HN

Fe

HN
HN

N

N

Fe

Fe

HN

N

H
N

N

N
N

N

N

Fe

N
H

Fe

N
H

N
N

N
N
N

H
N

NH

NH
N

N

NH

NH
NH

NH

NH

NH HN

Fe
Fe

Fe

Fe

0.3

-0.8

0.4

-0.6

-0.4

-0.2

0

Fe

AMN5

0.4

Cyclic Voltammograms reduction of Hydrogen Peroxide

AMN1 (-0.5 V)
AMN1-Au (-0.5 V)
AMN1-Au (-0.6 V)
AMN5 (-0.5 V)
AMN5-Au (-0.5 V)
AMN5-Au (-0.6 V)

n
3.90
4.02
3.96
3.79
4.00
4.05

Kf (M-1.s-1)
1.13 x 105
1.12 x 105
1.27 x 105
6.02 x 104
9.87 x 104
1.56 x 105

Cyclic Voltammograms oxidation of Hydrogen
Peroxide
0.00003
0.000025
0.00002
AMN5-sinAu-D11-

AMN5

Micrographs let us to estimate the AuNPs size
and to prove that none aggregate is formed in
the film. The particle-size distribution is low and
very close to the particle size, which let us
affirm that the dendrimer structure is the
responsible of the nanoparticles size.

i (A)

0.000015

AMN1

0.2

E (V vs. SCE)

Fe

Fe
Fe

Fe

0.2

Cyclic Voltammograms reduction of Oxygen

Fe

NH

Fe
Fe

0.1

E (V vs. SCE)

Fe

HN

NH

0

Fe

NH

HN

Fe

-0.1

NH

N

N

NH
Fe

-0.2

Fe

NH

N

N

NH
Fe

-0.3

Fe

NH

Fe

-0.4

NH
NH

N

Fe

-0.5

Fe

N
N

N
N

-0.6

Fe
Fe
Fe

N

N

N
NH

Fe

NH
N

N
H
N
H

Fe

H
N

-4.0E-05

-7.0E-05

NH

N
N

N

N

Fe

H
N

N

N

N
H

Fe

N

N

N

N

N

N
N

Fe

Fe

H
N

N

N

Fe

Fe

H
N

N

N

Fe

AMN 1

Fe

H
N
N

N

N

N
H
N
H

Fe

-3.0E-05
-3.5E-05

-6.0E-05

H
N

N
N

N

N

Fe

AuNPS-AMN1/Pt

NH

N

N

N

N

N
H

-5.0E-05

AMN 5

HN

N

N

HN

-2.5E-05

Fe

HN

N
HH
N

AMN1/Pt

Fe

HN
N

N

N

Fe
Fe
Fe

-4.0E-05
Fe

HN HN

N

HN
HN

HN

HN

HN
HN
HN

Fe

HN

HN

HN

Fe
Fe
Fe

-2.0E-05

Fe

Fe

-1.5E-05

Pt bare

0.00001

AMN1-sinAu-d6

0.000005

bare 0.5mM

0
0.17

0.27

0.47

0.57

AMN1-conAu-D10

0.67

AMN5-conAu-D8
-0.00001

The voltammetric study shows that the modified electrodes have electrocatalytic activity in
the reduction of hydrogen peroxide and oxygen and the oxidation of hydrogen peroxide. The
heterogeneous reaction constants have been evaluated by RDE voltammetry. These studies
allow to determine the influence of the dendrimer and composite structure in the efficiency
and the mechanisms of the reactions.
Yancey, D. F.; Carino, E. V.; Crooks, R. M. J. AM. CHEM. SOC. 2010, 132, 10988.[2] Kim, Y.-G.;
Oh, S.-K.; Crooks, R. M. Chem. Mater. 2004, 16, 167 [3] Esumi, K.; Hosoya, T.; Suzuki, A.;
Torigoe, K. Langmuir 2000, 16, 2978.
[4] Torigoe, K.; Suzuki, A.; Esumi, K. J. Colloid and Interface Sci. 2001, 241, 346. [5] Salmon, A.;
Jutzi, P. J. Organomet. Chem. 2001, 637–639, 595. [6] Astruc, D.; Ornelas, C.; Diallo, A. K.; Ruiz,
J. Molecules. 2010, 15, 4947.
[7] Liang, L.; Ruiz, J.; Astruc, D. J. Inorg. Organomet. Polym. 2010, 20, 503.

E (V vs Ag/AgCl)

molFc/cm2
AMN1

[1]

50

0.37

-0.000005

AMN5

Coverage
4,62E-10
1,70E-09
5,45E-10
6,35E-10
1,30E-09
4,62E-10

K´(cm/s)
Oxidation Reduction
5,57E-03
3,72E-03
2,17E-03
6,79E-03
4,66E-03
6,44E-03

5,14E-03

NANOSTRUCTURED ELECTRODE SURFACES FOR
THE DETECTION OF MOLECULES OF
PHYSIOLOGICAL INTEREST
aAndrés
aDep.

M. Arroquia, aM. Pilar García Armada, aJosé Losada

Ingeniería Química Industrial y M. A., E.T.S.I.I., U. P. M. (andres.acobos@alumnos.upm.es)

Abstract
In this poster, we describe an electrochemical sensor for several molecules with physiological interest as ascorbic acid, dopamine, uric acid, etc. The sensor
is based on a glassy carbon or carbon screen-printed electrode modified with gold nanoparticles and self-assembled dopamine nanospheres via
cysteamine – glutaraldehyde. The dopamine nanospheres were previously functionalized with gold nanoparticles. The stepwise fabrication of the modified
electrode and its electrochemical response were evaluated using cyclic voltammetry and differential pulse voltammetry.

Electrode fabrication

Dopamine nanospheres fabrication

H2N

HAuCl4

SH

HS

NH2

HS

NH2

HS
HS

E = -1.0 V

HS

N

HS
O

O

HS

NH2
NH2

HS

HS

NH2

HS

HS

NH2

HS

HS

O

N

HS

O

N

HS

O

N

O

N

O

N

O

HS
HS
HS

Bare
electrode

N

O

N
N

Dopamine hydrochloride

HAuCl4

O

+

O

N

O

N

O

N

O

NaOH

Ascorbic acid

Modified
electrode

Analysis of molecules of physiological interest
Calibration plots of Uric acid, tryptophan and dopamine obtained by diferrential pulse voltammetry (DPV) in phosphate buffer pH 7 (PBS) with a
carbon screen-printed electrode (DROP SENS).

TRYPTOPHAN

URIC ACID
35
30
25
20
15

y = 0.0456x + 0.1094
R² = 0.9951

10
5

80

y = 0,0332x + 2,1064
R² = 0,9956

8
7

Peak height [µA]

40

DOPAMINE

9

y = 0,0128x + 24,467
R² = 0,9924

Peak height [µA]

Peak height [µA]

45

6
5
4
3

y = 0,0544x + 0,4644
R² = 0,9962

2
1
0

0
0

200

400

600

800

1000

1200

60
50
40
30
20

y = 0,6303x + 3,4804
R² = 0,9869

10
0

0

1400

y = 0,3257x + 15,86
R² = 0,9612

70

50

100

150

200

0

50

Concentration[µM]

Concentration[µM]

100

150

200

Concentration [µM]

Linear ranges
(PM)

Sensitivity
(PA mM-1cm-2)

Detection limit
(nM)

Linear ranges
(PM)

Sensitivity
(PA mM-1cm-2)

Detection limit
(nM)

Linear ranges
(PM)

Sensitivity
(PA mM-1cm-2)

Detection limit
(nM)

0 – 760
760 – 1200

652
183

780

20 – 80
80 – 200

777
474

656

5 – 50
50 - 200

9004
3931

57

Currently we are studying:
ASCORBIC ACID

ISODETERMINATION
3.00

25.00

dopamine

2.00

uric acid
tryptophan

1.50
1.00

15.00

10.00

A

5.00

0.50
0.00
0.00E+00

B

20.00

Peak height[µA]

Peak height[µA]

2.50

0.00
1.00E-01

2.00E-01

3.00E-01

4.00E-01

5.00E-01

6.00E-01

7.00E-01

0.00

8.00E-01

0.05

0.10

0.15

0.20

0.25

0.30

Potential [V]

Potential [V]
DPV of a mixture of dopamine 10 PM and uric acid and tryptophan
40 PM, in PBS, measured with a carbon screen-printed electrode
(DROP SENS).

Ascorbic acid DPV determination. (A) first sweep and (B) second sweep
after two minutes. This DPV shows the adsorption of ascorbic acid on the
dopamine nanospheres.

References:
S. Cho, S.-H. Kim, Journal of Colloid and Interface Science 458 (2015) 87-93.
X. Liu, X.-Y. Zhang, L.-L. Wang, Y.-Y. Wang, Microchimica Acta 181 (2014) 1439-1446.

51

Acknowledgements: We thank the U.P.M and the
Dirección General de Investigación for the financial
support of this research (CTQ2009-12332-C02).

Developing a methodology to measure safety
level of a chemical process plant
aAbouzar
aUPM

Yousefi, aManuel Rodriguez Hernández, bJaime Martin Juez

(abouzar.yousefi@repsol.com)

bRepsol

Abstract
Despite many efforts made to prevent major accidents in process industry, these accidents continue to occur. It seems that our thinking about how
accidents happen (accident models) and all the management systems based on that approach, while reasonably successful, does not enable us to achieve
the goal of zero accidents. Either accident models are not reflecting the accident mechanism in process industry or the management systems are not
properly satisfying the safety measures (preventive and control measures) recommended by accident model.
To understand how effective are these safety measures, safety indicators can be used. These indicators are of a reactive, or a proactive nature, depending
on the characteristics of the indicators. Reactive indicators or lagging indicators, which used more commonly in process industry, are post-event types and
generally show deficiencies in safety measures. Meanwhile, proactive indicators or leading indicators can provide information on robustness of safety
measures before an accident take place.
The information from leading and lagging safety indicators that are defined based on accident model in some way can determine the safety level.
Considering various accident models, it is recommended to use STAMP model which is based on system theory to define a set of leading and lagging
indicators and the relation of these indicators with safety level of a process plant.

Introduction
Successive major accidents, from the explosion at Flixborough (1974), the deadly toxic gas release in Bhopal (1984), the explosion at Piper Alpha (1988) to
more recent examples including the explosions at BP Texas City (2005), Buncefield (2005) and the blow-out and subsequent environmental disaster in the
Gulf of Mexico (2010) have raised concerns with the public, stakeholders and regulators. The Gulf of Mexico accident (2010) has highlighted a number of
serious problems in scientific thinking about safety and our thinking about how accidents happen.

Piper Alpha Production platform, North
BP's Texas City Refinery in Texas City,
Sea, 6 July 1988, killing 167 people
Petrobras Platform P-36 Explosions, Brazil, Texas, March 23, 2005, a fire and
15 March 2001, The platform sank five
explosion , killing 15 workers
days later. 11 crew were killed.

Deepwater Horizon, GoM - 20 April
2010 , killed 11 men- about 4.9
million barrels of oil spill

Accident Models

Accident models have evolved over time from being linear and deterministic to be non-linear and non-deterministic.

Heinrich Domino Theory (1931)

Conclusion

Multi-linear Event Sequencing (Benner, 1975), other
similar models: FTA, FMEA, FMECA, etc

In order to measure the safety of a process plant first
we have to understand how accidents happen.
Accident models have evolved over time to reflect the
accident mechanism in evolving process industry. The
acknowledgement of process plant as complex systems
points to systems thinking theory as the most suitable
tool to deal with accidents in process industry. Hence it
is recommended to select STAMP which is a system
theory based accident model and accordingly define a
set of leading and lagging indicators which could
demonstrate the adequacy and effectiveness of the
existing safety measures. No doubt, realization will be
accompanied by numerous problems and unforeseen
difficulties. Essential will be sensible choosing and
observing the set of indicators that in some way
measures the safety level of the plant as it is defined
based on accident model and is a sign of potential Example of Control structure for STAMP
accident.

52

Reason’s Organisational Model of System Accidents

Rasmussen’s Sociotechnical Framework

Modelling and simulation of biorefinery unit
operations using ionic liquids as separation agents
aIsmael

Díaz, Manuel Rodríguez, Emilio J. González

aLaboratorio

de Tecnología Química, Departamento de Ingeniería Química Industrial y
del Medio Ambiente, ETSI Industriales (ismael.diaz@upm.es)

Abstract
In this work, process flowsheet of a whole multifeedstock/multiproduct integrated biorefinery is presented. For each feedstock, the different available
processes are shown, for each process the routes to produce multiple products (chemicals like the antioxidant astaxanthin, polymers like PHB –
polyhydroxybutyrate-, specialty chemicals from levulinic acid and esters, biodiesel -mainly jet fuel-, bioethanol, etc.) are reported, and for each route some
alternatives to achieve the desired product are included. Biorefinery integration shows how the same unit is used by different feedstocks to produce
different products. Finally, each operating unit that can use ionic liquids (ILs) is marked. To illustrate the potential of this approach and to have a way to
analyse the benefits of each alternative, a superstructure optimization as well as a simulation of the biorefinery is being developed. In this work, the
simulation of a part of the biorefinery illustrating the use of the ionic liquids was carried out.

An Integrated approach of the
multifeedstock/multiproduct biorefinery

From literature data, a biorefinery conceptual scheme based on
different raw materials (algae, lignocellulosic…) has been developed
in order to get different products under different scenarios. The aim
is, on the one hand, to evaluate these scenarios to identify the best
process routes and, on the other hand, to assess the feasibility of ILs
as an alternative to conventional separations.

COSMO-SAC thermodynamic model as an
assistive tool in ionic liquid design
To develop the process simulation models using ILs, the COSMOSAC
property package was chosen. Due to the lack of experimental data
for the mixtures involving ILs, pure predictive methods are necessary.
COSMO-based thermodynamic models, founded on quantum
chemistry calculations, have been reported to be one of the best
options to compute IL properties

cess
Product
Design

Aspen plus supported design for technical and
economic feasibility studies
Acknowledgement
The authors are grateful to Comunidad de Madrid (LIQUORGAS project S2013-MAE-2800) for financial support

53

USE OF EQUATIONS OF STATE TO MODEL THE PHASE
BEHAVIOR OF SYSTEMS CONTAINING IONIC LIQUIDS
Emilio J. González*, Ismael Díaz, Manuel Rodríguez
Departamento de Ingeniería Química Industrial y Medio ambiente, ETSI Industriales –
Universidad Politécnica de Madrid. *Contact e-mail: ej.gonzalez@upm.es

Abstract
Ionic liquids (ILs) are relatively new compounds with many novel and promising properties. Detailed knowledge of their phase equilibria is required to
understand better the behavior of these substances and to design future processes.
Taking into account the large number of ILs that can be synthetized, methods to predict their phase behavior are also necessary. In this work, the
Group Contribution (GC) and the Cubic Plus Association (CPA) equations of state (EoS) were satisfactorily applied to describe the liquid-liquid
equilibrium (LLE) and vapor-liquid equilibrium (VLE) of binary mixtures containing ILs mixed with water or benzene. As example, this poster shows the
results obtained for the following systems: {benzene (1) + [EMim][NTf2](2), or [HMim][NTf2](2)} and {water (1) + [1B2Mpy][NTf2](2), or
[1B4Mpy][NTf2](2), or [B3MAm][NTf2](2), or [BM3Am][NTf2](2)}.

Framework
What is an ionic liquid?
The ILs are compounds that consist entirely of ions and whose melting
point is lower than 100 °C. The following figure shows their most
important properties and applications:

Why study the phase behavior of compounds in ILs?
Detailed knowledge of the phase behavior is required to design
separation processes.

http://fluorine.ch.man.ac.uk/

www.pharmtech.com

www.hitekengineers.com

Why use models to describe the phase behavior?
Theoretical models are an interesting tool to make a preliminary
screening of the best ILs for a specific application.
Among them, equations of states, such
as GC and CPA, were already applied to
describe the properties of ILs, as well
as to model phase behavior of systems
containing this kind of compounds.

www.aspentech.com

Results
1.0

350

350

330

0.8

340

340

330
0.6

330

320

320

320

0.4

300

0.2

290
0.0

0.2

0.4

x1

0.6

0.8

1.0

0.0
0.0

T = 353.15 K
0.2

0.4

0.6

0.8

1.0

x1

Experimental LLE and VLE data for binary systems {benzene(1) + ionic liquid (2)} [1,2]. Lines
represent the data obtained using the GC-EoS. Symbols: (˜) [EMim][NTf2]; (■) [HMim][NTf2].

T/K

310

T/K

T/K

p/kPa

340

310

310

300

300

290
0.0

0.2

0.4

0.6

0.8

x1

1.0

290
0.0

0.2

0.4

0.6

0.8

1.0

x1

Experimental LLE for binary systems {water (1) + ionic liquid (2)} [3]. Lines represent the
data obtained using the CPA-EoS. Symbols: (˜) [1B2Mpy][NTf2]; (■) [1B4Mpy][NTf2], (˜)
[B3MAm][NTf2]; (■) [BM3Am][NTf2].

References:

Research activity in the laboratory:

[1] E.J. González et al. Fluid Phase Equilib. 2014, 362: 163-169.

• New bioenergy processes

[2] R. Kato et al. J. Fluid Phase Equilib. 2004, 224: 47-54.

• Autonomous systems

[3] E.J. González, E.A. Macedo, Fluid Phase Equilib. 2014, 383: 72-77.

• Ionic liquids

Acknowledgement
The authors are grateful to Comunidad de Madrid (LIQUORGAS project S2013-MAE-2800)
for financial support.
54

http://www.diquima.upm.es

APPLICATIONOFMOLECULARFLUORESCENCE
TECHNIQUESINPLASTICRECYCLING
A. Arenasa, M.U. de la Ordenb, A. Molinac, V. Alcázara, J. Martínez Urreagaa
a Dpto.

Ingeniería Química Industrial y Medio Ambiente, Grupo “Polímeros, Caracterización y
Aplicaciones , E.T.S.I. Industriales, UPM, Madrid (joaquin.martinez@upm.es)
Aplicaciones”,
b Dpto. Química Orgánica I, Facultad de Óptica y Optometría, UCM, Madrid.
c Ecoembes , España.

Abstract
Mechanical recycling of plastics saves raw materials and energy, while generating jobs, so it plays a key role in the new proposals on Circular Economy. An
important concern in mechanical recycling is the identification and sorting of the different plastics, since in most cases the residues appear in mixed waste
streams and the properties of the recycled material largely depend on the purity of the plastic. Therefore, in recent years a great effort has been devoted
to the development of new methods for automated identification and sorting of used plastics.
plastics In this work the usefulness of different methods of
identification based on the measurement of intrinsic and extrinsic molecular fluorescence is discussed. The results indicate that the methods based on the
use of fluorescent markers may be very useful for the sorting of packaging plastic waste, although these methods are sensible to degradation processes.

Introduction
Recently, different methods based in molecular fluorescence have been proposed for improving the identification of plastics in waste streams, including
methods based on measurements of fluorescence emission or lifetimes (Langhals et al., 2014) and methods based on the introduction of fluorescent
markers in the plastics (Ahmad, 2004; Brunner et al., 2015; Pilon et al., 2015). But these methods have not been tested in actual commercial mixtures of
plastics. Moreover, veryy little attention has been p
p
paid to the studyy of changes
g in fluorescence due to the thermal, hydrolytic
y
y or p
photochemical degradation
g
in use of the labeled plastics.
Fig.1.

Materials

Methods

Used, aged and virgin plastics (PET, PVC, HDPE, PP, PA, PC, PLA)

Additives: Irganox™ BͲ900, 1010, 1076. CaCO3, Irgafox™

Fluorescent markers: Rhodamine 6G, Marker V, synthesized in the
laboratory (see Fig.1)

Measurements of fluoresecence (Perkin Elmer LS 55) and
fluoresecence lifetimes (EasyLife VTM, Optical Building Blocks)

Materials characterization: Color, UVͲVis and FTIR spectroscopy

Others: Cloisite CNa (unmodified montmorillonite),
montmorillonite) Fluoresent silica

Compounding: Rondol Microlab TwinͲscrew
Twin screw

Results andConclusions

M h d based
Methods
b d on measurements off fluorescence
fl
lif i
lifetimes
h
have
poor selectivity
l i i
and reproducibility.
Florescent markers can be detected at levels below 1 ppm. Methods based on
fluorescence labeling may be useful for identification and sorting of plastics that are
special because of its high value or the need to be removed from the stream.
Fluorescence labeling shows good stability against thermal, hydrothemal and
photochemical degradation, as shown in Fig. 3 and Fig. 4. The stability depends on
the marker used (marker V better than R6G) and the manner in which the marker is
introduced into the plastic (R6G is more resistant when supported on
montmorillonite ).
Fig. 3.

0h
100h
HDPE
PE(Irg)

350
300

60

Fig. 2. Fluorescence
of different samples
of commercial PVC.

40

20

0

800
150
100
50

600

650

700

750

800

600

700

850

Fig. 4. Fluorescence of
PE
labeled
with
marker V, after the
hydrolytic degradation
att 80 ºC for
f different
diff
t
times.

0h norm
10h norm
20h norm
188h norm
308h norm
PE(Irg) norm

200

550

500

1000

600

400

200

Wavelength (nm)

We acknowledge the financial support of MinecoͲSpain (Project MAT2013Ͳ
47972ͲC2Ͳ2ͲP), project UPM RP 160543006 , Cátedra RepsolͲUPM and Ecoembes


PVC 1
PVC 2
naturally aged PVC
UV aged PVC

Wavelength (nm)

0

Acknowledgments

80

250

-50
500

UVaged PVC

naturally aged PVC

PVC2

400

400

Intensitty (a.u.)

Fluorescence of PE
labeled with R6G
supported on clay,
before (red) and
after (black) being
photodegraded for
100h. Green and
blue lines are the
emission of samples
of unlabeled PE.


PVC1

Intensity (a.u)

Methods based on measurements of fluorescence emission have limited utility in
actual samples of used plastics used, due to degradation and the presence of
fluorescent additives. Fig. 2 shows the differences observed in the emission of
several samples of commercial PVC.

Intensity (a. u.)

0
400

450

500

550

Wavelength (nm)

600

650

References

Ahmad SR. 2004. A New Technology for Automatic Identification and Sorting of Plastics for Recycling. Environmental Technology, 25(10): 1143Ͳ1149.
Brunner S, Fomin P, Kargel Ch. 2015. Automated sorting of polymer flakes: Fluorescence labeling and development of a measurement system prototype. Waste
Management 38: 49–60.
Langhals H, Zgela D, Schücker T, 2014. High performance recycling of polymers by means of their fluorescence lifetimes. Green Sustain. Chem. 4, 144–150.
Pilon L, Stewart A, Bahia R, Hintschich S, Willner C, Eder H. 2015. Removable Identification Technology to Differentiate Food Contact PET in Mixed Waste Streams: Interim
55
Report. http://polymark.org/system/files/generated/files/Polymark%20report_preliminary%20technical%20results.pdf.
(accessed February 2016).

DESIGN OF ADDITIVES BASED ON SEPIOLITE,
SYNERGISTS WITH FIRE RETARDANTS AND CERAMIC
CHAR FORMERS FOR POLYMERS
aM.L.

Puertas, aA. Esteban-Cubillo, bJ.F. Bartolomé

aTOLSA,

S.A (mpuertas@tolsa.com)
de Ciencia de Materiales de Madrid (ICMM-CSIC)

bInstituto

Abstract
Due to the increase in the usage of polymeric materials in technological applications, new additives are needed in order to improve the properties and
performance of these materials. In the recent years, mechanical requirements and fire resistancy of materials have became stricter and this trend will
continue in the future. For this reason, new additives based on sepiolite, a fibrillar natural silicate, with the capacity of developing ceramic-like structures
in case of a fire have been designed using low melt temperature glasses and water-dissolved glasses.

Sepiolite: Structure and synergistic effect
with fire retardants (FR)
Natural occurring hydrated
magnesium silicate

Aim of the research
Based on the synergistic effect of sepiolite with fire retardants due to its special
physicochemical structure and with the intention of improving the fire
retardancy of polymeric materials, new additives for polymers have been
designed to promote, in case of fire, a protective ceramic char layer.

Fibrillar structure

Materials and microstructure design

High Specific Surface Area
Dispersion of sepiolite fibers within the polymeric matrix reinforce its
structure and can act as a rheological modifier of the melt polymer.
This reinforcement improves the behavior of polymers in case of fire,
and acts as a synergist with fire retardants in final formulations:
enhances the mechanical and
barrier properties of the char layer

Low melt temperature glasses (based on ZnO-B2O3 with high content in B2O3)
and water-dissolved glasses (based on silicon) were designed and prepared.
Combination of this glasses with sepiolite resulted in the development of new
additives with ceramifying capacity.
These additives, based on sepiolite with the aforementioned glasses, dispersed
within the polymer matrix, will be able to form a ceramic network with
temperature as shown in the scheme below:

reduces fumes production

Temp.

avoids dripping of flaming melt
polymer

Results
Prepared additives based on sepiolite and Low melt temperature glasses and water-dissolved glasses were placed into porcelain crucibles and treated in
electric oven at 1000oC, the treated additive was characterized by SEM to check the microstructure and hot stage microscopy was performed to evaluate
de additive potential to form a ceramic structure and the compactation.

Pristine sepiolite
Hot stage microscopy shows an initial swelling of
the sample and negligible contraction is obtained
No ceramification is observed when the samples
are heat treated at 1000oC, and the residue is a
powder

Sepiolite based additives with low
melt temperature glasses

Sepiolite based additives with
water-dissolved glasses

Hot stage microscopy shows 5% of contraction of
the sample at 800oC and 40% of contraction at
1000oC.
The low melt temperature glasses used in the
formulation leads to a hard residue when the
samples are heat treated at 1000oC.

Hot stage microscopy shows 25% of contraction
of the sample at 800oC and 45% of contraction at
1000oC.
The water-dissolved glasses used in the
formulation leads to a hard residue when the
samples are heat treated at 1000oC
25% of contraction at 800oC
45% of contraction at 1000oC

SEM microscopy
reveals the absence
of interaction
between sepiolite
particles

Needle-like
structures
embedded into a
glassy phase are
observed by SEM

A needle-like porous
structure, with a glassy
phase that makes
possible a strong
interaction between
fibers is obtained

Conclussions
Sepiolite based additives with cermificable capacity were prepared using low melt temperature glasses and water-dissolved glasses. The obtained additives,
once introduced in a fire retarded polymeric matrix, are intended to develop a ceramic-like char residue in case of fire that will protect the material from
burning due to the enhance of heat barrier and gas barrier properties avoiding the release of smoke and volatiles or the penetration of oxygen.
*This work was supported by Spanish Ministry of Economy and Competitiveness
56 (MINECO) under SEPIFIRE project (RTC-2014-2033-4)

RECYCLINGOFAPETBYͲPRODUCTVIA
NANOSTRUCTUREFORMATION
J. Martíneza, D. Jaráiza, A. Arenasa, M.U. de la Ordenb, A. Molinac, V. Lorenzoa,
a Dpto.

Ingeniería Química Industrial y Medio Ambiente, Grupo “Polímeros, Caracterización y Aplicaciones”,
E.T.S.I. Industriales, UPM, Madrid (jmartinez@etsii.upm.es)
b Dpto. Química Orgánica I, Facultad de Óptica y Optometría, UCM, Madrid.
c Ecoembes, España

Abstract
There are different methods for improving the properties of recycled poly(ethylene terephthalate) (rPET), including solid state polymerization and methods
based in the use of chain extenders. In this work a method based on the addition of layered silicates to form nanocomposites has been explored. The PET
byͲproduct was a fraction of fines produced in the grinding and granulating steps of the mechanical recycling of the plastic, which contains lowͲintrinsic
viscosity PET with high amounts of impurities.
impurities Nanocomposites were obtained by meltͲcompounding
melt compounding the PET fines with two commercial montmorillonites
in a twinͲscrew microextruder. The raw materials and the nanocomposites were characterized by Fourier transform infrared (FTIR) spectroscopy, XͲray
diffraction (XRD), thermal analysis and transmission electron microscopy (TEM). The effects of the clays on the mechanical and optical properties of the
obtained materials were measured.
Impurities:14%(mostly paper labels +PETͲ
polyolefin multilayer)=>Discarded

Materials

Code name

HT

sieving

CH 3

Fines

N

Wt %ofclay

RPET

Ͳ

0

CH 2CH 2OH

RPET152

C15

2

N

RPET154

C15

4

RPET302

C30

2

RPET304

C30

4

CH 3

CH 3

Clay

HT

CH 2CH 2OH

HT

Cloisite 15A™(C15)Cloisite 30B™(C30)

Recycled
materials
t i l

<1mm:86%
a 99%pure PET=>Recycling

60

1500
C30
C15

50

RPET
RPET302
RPET304
C30

1000
Intensity
y (a.u.)

Intrinsic viscosity (mL/g)

55

45
40

500

35

0
30
0

2

4

2

weight % of clay

2)

m
EE(N/mm
(N/mm2
2)

4

5

6

7

8

9

10

2T

Nanocomposites with 2 % of clay show increased viscositiy and Young´s
modulus. Higher clay contents lead to undesirable degradation of the
polymer and poorer properties. Cloisite C30 gives nanocomposites with
5000
better properties.
4500

3

XRD (up) and TEM show intercalation and exfoliation, i.e.,
the formation of true nanocomposites, mainly in
composites with 2 % of clay.
RPET302

C15
C30

4000

3500

3000

2500
0

2

4

weight % of clay

Conclusions

True nanocomposites are produced.

The addition of 2% of clay leads to an increase in the viscosity and stiffness of the material.

Higher levels of clay are undesirable because significant degradation of the polymer is produced.

No worsening of clarity of the material is observed.

Acknowledgments
57

We acknowledge the financial support of
MinecoͲSpain (Project MAT2013Ͳ47972ͲC2Ͳ2Ͳ
P), project UPM RP 160543006 and Ecoembes

58

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60

Analysis of Electricity Markets with Constraints
aIngrid

Oliveros, bSergio Martinez, bMaximo Lopez, cElvin Jimenez

aUniversidad

del Norte, Barranquilla, Colombia (inoliver@uninorte.edu.co)
of Electrical Engineering, ETSI Industriales, UPM, Spain
cInstituto Tecnologico Santo Domingo, Dominican Republic
bDepartment

Abstract
Constraint satisfaction techniques are mechanisms that can be used to ensure that all transactions in a electricity market can be completed without
violating any operating limits. This is an important issue in an electricity market, because an improper handling of the constraints can divide the system
and have a significant impact on the ability of the individual players to exercise market power. The main purpose of this paper is to present a methodology
to guarantee a safe unit commitment in normal operation and after contingencies, using re-dispatch techniques after a topological analysis.

No

Bus

G1
G2
G3
G4
G5
G6
G7
G8
G9
G10
G11
G12
G13
G14
G15
G16
G17
G18
G19
G20
G21

3
17
36
63
28
60
2
29
23
4
59
33
45
47
43
30
38
24
53
56
18

Pmin Pmax
(MW) (MW)
17
26
64
98
36
52
32
54
68
68
48
96
160
304
120
236
200
200
42
42
87
100
24
31
22
28
42
70
90
102
16
24
86
100
28
42
210
294
132
184
48
60

USDólar/
MWh
0
0
0
0
0
0
21,59
35,86
37,59
64,86
121,84
130,5
131,18
132,43
135
138,06
145
162,59
179,14
186,1
268,18

Typical generation at 20:00.
Dispacth and Re-dispacth Results.

I. Introduction
This poster presents a methodology to guarantee a safe unit commitment,
and illustrates its application to the Dominican Republic power system. The
aim is to fulfill demands of the market in terms of safety and economy,
ensuring transparency among participants. For this purpose, the system is
modeled under normal operation and with contingencies.

Line type
%

II. Methodology
Based on simple merit-order scheme, the market operator determines the
commitment and the market clearing price. With the unit commitment, a
topological analysis of the electrical system is performed to detect
weaknesses under normal operation and with contingencies. Then a redispatch that takes into account the recommendations to guarantee safe
operation of the system, so that transactions can be achieved without the
violation of operational limits, is proposed.

System
Dispacth

System Analysis
and
Contingency
Selection

Type 2: Lines that, when in a fault, cause the division of the system into
two unconnected parts.
Type 3: Lines whose shutdown does not affect the operation of the system
or the market clearing price.
Type 4: Lines whose shutdown forces the re-dispatch of the system.

Safe
Re-dispatch

III. Results
The Dominican Republic power system is used to test the methodology
with a representative example, an insular system with a radial transmission
network and a main link of 345 kV. For this system, the lines are classified
according to how they are affected by a fault. An application was
developed that classifies lines into four different types.

1
13

2
13

3
54

4
20

An analysis of the market clearing price using the traditional and the
proposed methodologies shows that for peak demand using the traditional
methodology the marginal price is 179.14 US$/MWh, generators 1 to 19
are dispatched. On the proposed methodology, the marginal price is 268.18
US$/MWh, generators 1 to 21 are dispatched.

IV. Conclusion
The proposed methodology avoids late entry to the unit commitment of
generators out of merit, at high price, in case of contingency. The market
operator evaluates the combination of the different prices, the probability
of contingencies and its duration, and determines whether it is
economically profitable for all participants in the market. This analysis
allows the market operator and the system operator to establish policies to
overcome the weaknesses identified. In addition, it allows to define a
competitive electricity market to ensure equal participation and allows the
transparent participation of the new members.

References

I. Oliveros, M. Lopez, S. Martinez and E. Jimenez. "Análisis de topología y
restricciones de seguridad en mercados eléctricos competitivos: aplicación
Type 1: Radial lines. Their fault causes isolation of generators and/or loads. al sistema eléctrico de república dominicana". Interciencia, vol. 40, pp. 60461 610, 2015.

ANALYSISOFTHEOPERATIONALRISKSOURCESINELECTRIC
UTILITIES.CaseStudy:VenezuelanElectricUtilities
aDionicio
aETSII
bETSII

PeñaͲTorres, bCarlos RodríguezͲMonroy

– UPM.enrique.ptorres@alumnos.upm.es
– UPM.crmonroy@etsii.upm.es

Abstract
The aim of this study is to review the state of the art and the opinion of experts of organizations to define if it is possible to adapt the guidelines issued for
the banking sector by the Basel Committee on Banking Supervision of the Bank for International Settlements (BCBSͲBIS) concerning the administration of
the Operational Risks (OpR). After defining the adaptation of BCBSͲBIS guidelines to companies different from those of the banking sector, a case study
that
h empirically
i i ll underpins
d i the
h feasibility
f ibili off implementing
i l
i the
h BCBSͲBIS
BCBS BIS guidelines
id li
i presented.
is
d For
F the
h selection
l i off the
h case study
d a country is
i defined
d fi d
based on the opinion of the major risk rating agencies and for the selection of the company the criteria is based on the economic and social impact within
the selected country. Finally, several OpR in the research unit have been obtained from secondary data sources in the industry, so the foundations have
been established for the realization of future adͲhoc research within that organization. Likewise the feasibility of implementing and adapting the BCBSͲBIS
guidelines in any nonͲfinancial sector is also confirmed
Keywords— Operational Risks, Basel Committee on Banking Supervision, Bank of International Settlements, Venezuelan Electricity Sector.

p
AdaptationoftheBCBS–BISDirectivesto
electricutilities

RiskUniverse
Claims

The BCBSͲBIS [1], Chernobai et al. [2] and Jorion [3] define and divide the
various sources of OpR for the financial system. Considering the above and
from meetings with experts from the electricity sector, the authors adapted
the sources of OpR (see Figure) for electric utilities and their integration into
existing risks (market, credit and liquidity) [4].

Liquidity
Risk

Market
Risk

OPERATIONAL
RISK
Credit
Market
Risk
Discipline

Identification and definition of the
sources of OpR in the research unit as a
function of the historical data

Reputational
Risk

Computers
CriminalActivity
Communications
ErrorsSales
Swindle
TECHNOLOGY
PEOPLE
Electrical
Security
Fraud Negotiation
Protection
TrainingUnauthorized
Measurements
PROCESS
ContingencyPlans
Operational
Continuity Improvements&Investment
F i
Fusion
ProcessErrors
Wheater
s
Gobernment
(ENOS,AENOS,others)
Fire EXTERNAL Outsourcing
National EVENTS Customers
Grid Flood Terrorism

In recent years, the Venezuelan Electricity Sector (VES) suffers from voltage fluctuations, power failures, power and load losses and various other problems
that keep the country and the electric utilities under emergency conditions. In view of this situation, the Ministry of Popular Power for Electric Power
(MPPEP) established guidelines to mitigate such a serious scenario [5]. However, as it is shown below, these guidelines do not necessarily identify properly
the
h OpR.
O R
From the review of the stateͲofͲtheͲart performed in this study it was found that among others, the following sources of OpR were present in the company
under analysis:
‰ Excessive dimension of Corpoelec Inc. and
market for energy.

elimination of the free ‰ High costs of Hydroelectric Power Plant Construction.

‰ Decrease in the height of the reservoirs.
‰ Deficiencies in the investment plans of hydropower plants.
‰ NonͲtechnical
Non technical losses in the distribution grid.
grid
‰ Poor or nonexistent legal framework.

‰ Environmental damage caused by the construction of hydropower
plants.
‰ Changeofmissionandvisionoftheorganization
‰ AdministrativeIrregularities
g
‰ Continuouschangesofministries,seniormanagementoftheelectricity
sectorandexternaltraining.

‰ The Tarff Schedule.

Conclusions
The VES historical data show that the OpR are present in many of the production processes of its subsidiaries. In many cases it is difficult to determine
when a financial risk pertains only to a subsidiary or when it is part of the entire organizational structure of the sector. Being the VES structured as a single
holding the competences of each of the companies and institutions that compose it are not effectively defined.
The authors of this analysis compared OpR sources between this study with articles of other OpR researchers in electric utilities. The writers concluded
that the studies are complementary and in any case are not mutually exclusive. Finally, we can say that the multiple OpR roots defined by international
financial organizations, among which the BCBSͲBIS, are enriched.
This study attempts to establish with sufficient grounds the existence of OpR within the VES and its most important company Corpoelec Inc.ͲEDELCA, and
the empirical application of the BCBSͲBIS guidelines to the selected electricity sector confirms that it is possible to implement and adapt these guidelines
to other industries different from the financial sector.

References
[1]BCBS– BIS,“SoundPracticesfortheManagementandSupervisionofOperationalRisk”.(2011),Availableat:http://www.bis.org/
[2]A.Chernobai,S.Rachev andF.Fabozzi,OperationalRisk, USA:JohnWiley&SonsInc,IVEdic,2007,pp.18– 28.
[3]P.Jorion,FinancialRiskManagementͲ Handbook,NJͲ USA:JohnWiley&Sons,2007,pp.551Ͳ 554.
[4] D. Peña, C. Monroy, P. Solana, J. Pórtela, Evaluation of the operational risks in enterprises of the electric sector applying suggestions from the Basel
Committee, Interciencia, Dec. 2013, Vol. 38, Nº12, pp. 831.
[5] MPPEP, Logros alcanzados por el MPPEE, Caracas, Venezuela,2010, pp. 10 – 38. Available at: http://www.mppee.gob.ve

62

REGULATORYPROPOSALSFORTHEDEVELOPMENTOFAN
EFFICIENTIBERIANENERGYFORWARDMARKET
aÁlvaro

CapitánͲHerráiz, bCarlos RodríguezͲMonroy

aTechnical

University ofMadrid,UPM(alvarocapitan@hotmail.com)
University ofMadrid,UPM

bTechnical

Abstract
The Iberian Power Futures Market (OMIP) started operations on 3 July 2006. The market efficiency, regarding how well the future price predicts the spot
price, is analysed. OMIP trading members may settle OverͲtheͲCounter (OTC) trades through OMIP clearing house (OMIClear). The auction equilibrium
prices are not optimal for remuneration of regulated supplies as such prices seem to be slightly upward biased. The exͲpost forward risk premium, i.e. the
difference between the forward and spot prices in the delivery period, is employed The price efficiency improves with the market development of all the
coexistent forward contracting mechanisms within the Iberian Electricity Market (MIBEL). A regression model tracking the evolution of traded volumes in
the continuous market during its first 4years is built as a function of 12 potential liquidity drivers. The only significant drivers are the traded volumes in
OMIP compulsory auctions, the traded volumes in the OTC market, and the OTC cleared volumes by OMIClear. The amount of market makers, the
enrolment of financial members and incumbent generation companies, and the OTC cleared volume by OMIClear show strong correlation with the
continuous traded volumes. OMIP liquidity is still far from the levels reached by the most mature European markets (Nordic and German markets). OMIP
and OMIClear could develop efficient marketing actions to attract new entrants active in the spot market and financial agents as well as volumes from the
opaque OTC market, and to improve the performance of existing illiquid products. An active dialogue with all the stakeholders will help to implement such
actions. During its firs five and a half years, the continuous market shows steady liquidity growth. The hedging performance is measured through a net
position ratio obtained from the final open interest of a month derivatives contract divided by its accumulated cleared volume. The base load futures show
the lowest ratios due to good liquidity. The net position ratio can be a powerful oversight tool for energy regulators when accessing to all the derivatives
transactions as envisaged by European regulation on Energy Market Integrity and Transparency (REMIT). The exͲpost forward risk premium tends to be
positive in all existing mechanisms (OMIP futures, OTC market and CESUR auctions for catering the last resort supplies) and diminishes due to the learning
curve and the effect – since year 2011 – of the fixed price retributing the indigenous coal fired generation. Comparison with the forward generation costs
from natural gas (“clean spark spread”) is also performed. The power futures are strongly correlated with European gas prices. The clean spark spreads
built with prompt contracts tend to be positive. The biggest clean spark spreads are for the month contract, followed by the quarter and then by the year
contract. Gas fired generation companies can maximize profits trading with contracts of shorter maturity. OMIP monitoring reports providing postͲtrade
transparency, OTC data access by the energy regulator, and assessment of the regulatory risk can contribute to efficiency gains. 

21

90 

Price efficiency

1,0

19

Multi-commodity

Short maturity
balancing contracts

13
70

11
9

Market competition through agents’
balanced structure

€/MWh

5

Compliance of
Ethic Codes

Open Interest development reflecting real hedging and sound
risk management needs

3

30

1

1
-1

-1
Q3

Q4

410

111

211
Q

Q

Q

110

210

409

310
Q

Q

Q

Q

-0
9

309
Q

-0
8

-0
8

209
Q

Q1

Q4

Q3

407

108

208
Q

Q

Q

107

307

207
Q

Q

-3

Q

Q4

-1

-0
6

1

-5

-9
-11
Nov.11

Jul.2011

Sep.2011

May.2011

Nov.10

Mar.2011

Jul.2010

Jan.2011

Sep.2010

Jan.2010

Mar.2010

May.2010

Jul.2009

Sep .2009

Nov.2009

Mar.2009

GTCC Y+1

May.2009

Jul.2008

Jan.2009

Sep .2008

Nov.2008

Mar.2008

Jul.2007

Jan.2008

Sep.2007

Nov.2007

Jan.2007

Mar.2007

Nov.2006

May.2007

Jul.2006

Ma y .2008

OMIP Y+1

Small bid-ask
spreads

Stakeholders’
communication

Robust exchange & clearing operation
through innovative IT platforms

Coexistence with strong
OTC market

Coexistence with regulated
forward mechanisms

Incentive campaigns
(e.g. discounts)

Growing traded volumes

Variety of trading members

Variety of basic derivatives

Delivery Period

10

OMIE Spot

Pre-trade & Post-trade fundamental data
transparency
Efficient market
maker agreements

-7

Sep.2006

€/MWh

7
50

Cross-border capacity
products

OMIP Settlement Price - Spot Price (€/MWh)

CESUR Price - Spot Price (€/MWh)

0,8

0,7

0,6

0,5

0,4

0,3

0,2

0,1

0,0
Aug .06
S ep.06
O ct.06
Nov.06
D ec.06
J an.07
F eb.07
Mar.07
A pr.07
May.07
J un.07
J ul.07
Aug .07
S ep.07
O ct.07
Nov.07
D ec.07
J an.08
F eb.08
Mar.08
A pr.08
May.08
J un.08
J ul.08
Aug .08
S ep.08
O ct.08
Nov.08
D ec.08
J an.09
F eb.09
Mar.09
A pr.09
May.09
J un.09
J ul.09
Aug .09
S ep.09
O ct.09
Nov.09
D ec.09
J an.10
F eb.10
Mar.10
A pr.10
May.10
J un.10
J ul.10
Aug .10
S ep.10
O ct.10
Nov.10
D ec.10
J an.11
F eb.11
Mar.11
A pr.11
May.11
J un.11
J ul.11
Aug .11
S ep.11
O ct.11
Nov.11
D ec.11
J an.12

Wider portfolio

15

R atioF inalO penInteres t/A c c umulatedC learedVolumes

0,9

17

MW h_O I/MW h_A uction+C ontinuous +O TC clearedO MIC learB as eloadF utures
MW h_O I/MW h_A uction+C ontinuous +O TC clearedO MIC learP eakF utures
MW h_O I/MW h_clearedME F F P owerMonthS waps 

EEX French power futures Y+1

The research added value and its scientific content
This research is the first PhD Thesis published in Spain analysing in detail OMIP performance. Many future research areas are proposed. It provides an
original approach applying financial market indicators. It improves the state of the art, endowing energy supervisory agencies and energy policy planners
with powerful indicators to measure the evolution of the wholesale energy markets and to take proper decisions related to energy policy and regulation,
serving to increase the market efficiency.

The research question and the goals
The main question is: Has OMIP performed efficiently in its first years of existence? The following topics are analysed: The electricity futures prices as good
predictors of spot prices; OMIP ex post forward risk premium; the price arbitrage opportunities; the liquidity of the continuous market based on sound
drivers; the energy policy measures disturbing the correct price formation; the strenghtening of the market supervision; the forward estimation of gasͲfired
generation costs; the renewable energy penetration; and the risk hedging using clearing houses.

Conclusions
Both the electricity futures and spot markets could be employed to satisfy the demand of the reference suppliers (last resort suppliers). A strengthened
supervision through integral access by national regulatory authorities to the fundamental data and transactions data of spot and derivatives trading is of key
importance. The creation of an Iberian gas hub and the introduction of gas derivatives in that market would improve the electricity futures price formation.
The futures market liquidity would increase with marketing incentives. The daily net position and hedge ratios per agent type would facilitate a more robust
supervision. Weekly supervision reports on long and short positions for different market participant types could be published by the existing clearing houses
in Spain and Portugal, and more recently in Germany. The creation of a common platform for the publication of inside information on the wholesale
electricity and gas markets in Spain would contribute to the right price formation.

Future research lines
Daily comparison of the net position ratio versus the hedge ratio is proposed to assess the market participants’ risk aversion. In oil markets, an inverse
relationship between futures open interest and spot market volatility seems to exist. Such an inverse relationship could be analysed for MIBEL. An
assessment of MIBEL forward risk premium is suggested due to intense introduction or urgent energy policy measures by the governments of Portugal and
Spain. The analyses could consider crossͲborder hedging instruments (financial transmission rights), the special regime selling auctions in Portugal, and the
impact of daily futures trading. The forward estimation of coalͲfired generation costs (Dark Spark Spreads) could be considered and comparison of the
forward risk premium and the spark spreads with other EU energy derivatives markets and further maturities (peak, daily contracts, etc). The research could
be enriched by analysing if the application of the PanͲEuropean market coupling algorithm (i.e. same spot price in interconnected markets in the absence of
network congestion) and REMIT full implementation produce market efficiency gains or regulatory measures are needed.

63

A nonlinear blackbox modeling approach for
system level simulation of DC microgrids
Airán Francés, Rafael Asensi, Óscar García and Javier Uceda
Centro de electrónica industrial (airan.frances@upm.es)

Abstract
The existing power distribution system constitute the largest and most complex machine ever made. Although its performance has been excellent and it
has been a key factor for the humanity technological progress, currently it is falling behind to comply with the stringent XXI century challenges. The
massive integration of electronic power converters in the distribution system creates thrilling opportunities to improve some of the shortcomings of the
current electric grid. In fact, as the number of publications prove, this is a hot topic, both for industry and academia, that has been labeled as Smart Grid.
However, the design of these power converter based systems is not straightforward, since in general the stability of the interconnection of stable power
converters is not assured. Furthermore, there are other sources of instability or dynamic degradation as system level control strategies or protections that
must be evaluated beforehand. In addition, the system design usually involves the integration of commercial converters, so the information about their
internal architecture is very limited. In this context, our work focuses on the blackbox modeling of power converters that can be combined to shape a
microgrid. Besides, we are interested in modeling their nonlinear behavior in order to analyze the large signal behavior of the system.

G-parameters model
• Small-signal model around an
operating point
• Norton/Thevenin representation
• Suitable for system identification
techniques
• Unterminated model

Linear model identification
• Frequency
around an
point

response
operating

• Two tests:
o Vin →

! ," !

o Iout → # ! , $ !
• Source
and
decoupling
• Transfer
identification

load
function

• Large signal frequency
response surfaces
• Impression about
nonlinear behavior of
the converter

Polytopic model
• Nonlinear model
• Weighted combination of
linear models
• Operating points
considered according to
frequency response
surfaces
• Nonlinear weighting
functions: double sigmoid
• Tuning by means of time
response behavior
• LPF for transition among
linear models
• Sharp transition for
changes in control mode

• Suitable for large signal
admittance based
stability assessment

Future work
• Automation of polytopic model
parameters tuning process

Simulation evidence

• Feasibility of system level control
incorporation

• Converters switching
model as truth model

• Performance comparison between
the polytopic model and other
blackbox modeling approaches

• Polytopic models
identified from
switching models
using PSIM

• Experimental validation of the
performance of polytopic models for
system level modeling using
commercial converters

• Identification with
Matlab
• Both models
compared in PSIM
• Load steps, converters with control mode changes, droop
control and load disconnections

• Blackbox nonlinear stability
assessment of power converter
based system by means of polytopic
models

64

LARGE-SIGNAL MODELING OF ELECTRONIC
POWER CONVERTERS IN AC MICRO-GRIDS
Galo Guarderas, Rafael Asensi and Javier Uceda
Centro de Electrónica Industrial (g.guarderas@alumnos.upm.es)

Abstract:
The purpose of this work is large-signal modeling of electronic power converters to be used in micro-grids. Those power converters are very often
commercial equipment, providing limited information about its internal structure, that requires a black-box strategy. Initially several linear small-signal
models have identified based on g parameters in d-q axis, extending the availability of these modeling strategy to 3-phase systems. In order to extend
this modeling technique to large-signal, polytopic models as a non-linear combination of linear g models have been also developed.
During the process, some test applied to the switching models of power converters. With the acquired information, some identification algorithms are
able to identify the g parameters in an unterminated two-port modeling approach.
Within the obtained models, some time domain simulation have been done in order to verify the performance of the modeling technique. Polytopic
model will be available shortly.

Converter DC - AC
Power Converters are usually in a variety of different functions in
micro-grids. The black-box approach is based on modeling the
power converters with the information provided by input and
output signals obtained in a number of tests. These signals are
then processed through system identification methods (ARX,
ARMAX, OE or HW) in order to find transfer functions. The first
three methods-ARX, ARMAX and OE- are used to identify linear
systems, while HW identifies nonlinear systems. The two-port
circuit is used to create a model based on the transfer functions.
The input and output signals are simulated through Matlab
software

CONVERTER

Zo

ii

io

Hi*io
vi

+
-

Yi

vo

Go*vi
Two ports circuit
The following flowchart describes the sequence for achieve the final model.

Data set

Signal adequation

converter

Validation (TF)

VACo & IACo

Park’s transformation

Final model
Vdq0 & Idq0

C o n v e

r

t

e

r

Vi & Ii

Identification
system (TF)

The figures show the process used to get an accurate
model of the real converter. To assess the model, an
operating point was set, then perturbation was
applied to the operating point of the converter. The
results show only small behavioral differences
between the converter and the model. This model
can be improved extending its performance to largesignal, catching the non-linearities observed in the
power converter behavior

C. model – converter Vdq0 & Idq0

65

C. model – converter VACo & IACo

Smart Nano-Grid: an Energy platform for UPM
Víctor Rivas, Airán Francés, Óscar García, Javier Uceda
Centro de Electrónica Industrial

Abstract
The UPM has developed a small Smart-Grid for research purposes. This platform has been recently installed at Montegancedo UPM Campus. It is
composed of several renewable energy sources and their corresponding power converters, a battery, and resistive loads. All the elements are connected
to two voltage buses, one AC whereas the other is low voltage DC. A bidirectional inverter manages the power flow across them if needed. The system
may work connected to the grid or isolated offering another variable to analyze. The platform will be fully monitored in a remote way.
This system provides different configurations that can be used as a testbench to make easier the research and development of projects in this area.
Furthermore, it allows cooperation with research companies and also can be used for teaching as a living lab.

Description of the Smart Grid
Elements
• Photovoltaic generation (two groups of 2,5kW each).
• Eolic generation (two vertical turbines of 1kW each).
• AC voltage bus (230V - 50Hz).
• DC voltage bus (48V).

• Energy storage on Li-Ion battery (Capacity 4kWh) and its
corresponding BMS (Battery Management System).
• Two banks of resistive loads of 3kW max. power each. They are
able to simulate the power consumption of a standard home.
• Power electronics circuits: bidirectional inverter, two MPPT
DC/DC converters, one MPPT DC/AC inverter and two converters
for wind turbines (DC/DC and AC/AC) .
• Acquisition and measurement equipment.
• Fuses and protections.
• Remote sensing.

Possible areas of research
• Power management in Smart Grids.
• Stability of distributed electric systems.
• Power electronics circuits.
• Strategies for energy storage.
• Analysis of big data obtained from sensors and smart-meters.

• Usage of new storage technologies such as supercapacitors, flux batteries,
flywheels, etc.
• Feasibility of the use of dc buses.
• Energy efficiency techniques.
• Data analysis obtained from energy generation.

http://cityofthefuture-upm.com/
66

Digital Control System for High Speed
Brushless de-Excitation System (HSBDS)
a Alejandro
a
b

García, b Emilio Rebollo, a Jorge Portilla, a Óscar García

Centro de Electrónica Industrial CEI-UPM (alejandro.garciaj@alumnos.upm.es)
Grupo de Generación Eléctrica con Energía Eólica GELEO

Abstract
In the synchronous brushless machines the excitation is controlled by a secondary machine called exciter. If a fault occurs, it is necessary to extinguish as
fast as possible the current in the primary machine rotor in order to cancel the magnetic field/flux. Due to the system implementation, the diode bridge
enters in a free-wheeling mode and the rotor current decreases with the rotor time constant. A solution is proposed to reduce this time constant by means
of introducing a resistor in series during the demagnetization transient, and a digital control system is developed to detect faults and act in consequence.

HSBDS - General scheme

Digital control

After the diode bridge, the system is made up of 3 different components: a Power
Adapter to adapt voltage from the diode bridge, a Master Control board, and some
Slaves Modules to let the current flow trough the resistor if necessary.

Thresholds based algorithm
The measured value is analyzed with an hysteresis
comparison. If several values are higher/lower than the
threshold, the IGBTs are switched to ON/OFF.

Vd
Vd

Master
35
30
25
20
15
10
5
0
0

0,002

0,004

0,006

Microprocessor

0,008

Bluetooth module
From Power Adapter

Digital control

To slaves

Derivatives based algorithm
Trying to increase the dynamic response of the whole system, an algorithm based on the detection of the decreasing derivative of the voltage response
is proposed.
Due to the rectified voltage waveform, a digital filtering process is needed: a representative value of each
rectified period is used (median value) to detect a fast decreasing slope in the voltage measured.
2000

Voltage measured uP (mV)

1900

1900

1880

1800

1860

1700

Voltage measured uP – median values (mV)

1840

1600

1820

1500

1800

Median values during Derivative (mV)
3000

Results & Conclusions

2900
2800

- A high-speed easy-reprogrammable control
system has been developed.

2700
2600

- Several parameters are offered to adapt the
configuration set-up to different scenarios.

2500
2400
2300

- With the Threshold based algorithm, it takes 50
ms to switch OFF the IGBTs.

2200
2100
2000

Median values in steady state
Median values during decreasing derivative
Enough detection – Switch OFF

67

-

On the other hand, only 12-14 ms are needed
to switch due to Derivatives.

-

Real time information is available from the
rotor via Bluetooth.

High Speed Brushless De-excitation System for
Brushless Synchronous Machine (HSBDS)
a

Carlos A. Platero, b Emilio Rebollo, b Francisco Blazquez, c Óscar García

a

Grupo de Generación Eléctrica con Energía Eólica GELEO (carlosantonio.platero@upm.es)

b

Grupo de Generación Eléctrica con Energía Eólica GELEO
Centro de Electrónica Industrial CEI-UPM

c

Abstract
Synchronous machines with brushless excitation have the disadvantage that the field winding is not accessible for the de-excitation of the machine. This
means that, despite the proper operation of the protection system, the slow de-excitation time constant may produce severe damage in the event of an
internal short circuit.
A high-speed brushless de-excitation system (HSBDS) for these machines was developed in our Laboratory. First a laboratory 5 kVA prototype and after
the test in a 15000 kVA machine in Alstom factory (Bilbao), 4 Hydro generator are in service with this HSBDS.

The de-excitation problem of Brushless Synchronous Machines
Exciter

The main synchronous machine will be de-excited through the rotating diodes,
which operate in freewheel mode, close to a short-circuit condition because the
voltage drop across the diodes is negligible compared with the rotor voltage. So in
this type of excitation system the damage would be very severe, even if the
electrical protection relays operated correctly, as the short-circuit current supplied
by the machine will last several seconds.

Main Synchronous Machine

Diode bridge
If
+

If exc

I 0
Uf

-

Rotating Components

Brushless Synchronous Machine under normal operation
Exciter

Main Synchronous Machine

Diode bridge
If
-

If exc Ļ

I=0
Uf

I=If/3 I=If/3 I=If/3

+

Rotating Components

Brushless Synchronous Machine under De-excitation (Freewheel)

Severe Damages in a Brushless Turbogenerator.

High Speed Brushless De-excitation System for Brushless Synchronous Machine (HSBDS)
The HSBDS consists of a rotating discharge resistor (Rd), connected between the
rotating diode bridge and the main machine field winding by a Static switch. This
Static switch is controlled through the voltage measured at the diode bridge by a
rotating control circuit mounted in the rotor, thus eliminating the need for an
external signal, via either radio, slip rings or special transformers.
Exciter

HSBDS

Diode bridge

Diode

Shunt

Testing Slips Rings

Main Synchronous Machine
Disconnector (HSBDS out)
Transistor Switch

Control
Circuit

HPP Quereño. HSBDS in operation in a 20 MVA Hydro generator.
Static
switch

Rd
Rotating Components

Conclusions

2000
1500

Without
HSBDS

Generator Currents [A]

1000
500

-

HSBDS has been into commercial operation in
four 20 MVA / 40 MVA hydro generators since
September 2013, without remarkable troubles.

-

The sudden short circuit tests in a 15 MVA
show that the I2t can be reduced 10 times.

-

Patents

0
-500
-1000
-1500
-2000
0

1

2

3

4

5
Time [s]

6

7

8

9

10

2000
1500

With
HSBDS

Generator Currents [A]

1000
500

15 MVA Brushless Synchronouos Generator.
Alstom Factory.

0
-500
-1000
-1500
-2000
0

1

2

3

4

5
Time [s]

6

7

8

9

10

15 MVA Brushless Synchronouos Generator.
Sudden short circuit tests.

68

P20090468
PCT/ES2010/000058

Electronics and Automation
9

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2

Control Loop Design of the CEI@UPM Inverter
for the Google/IEEE “Little Box Challenge”
Regina Ramos, Iñigo Zubitur
Centro de Electrónica Industrial. CEI-UPM (regina.ramos@upm.es)

Abstract
The Google Little Box Challenge was an open competition to build a (much) smaller power inverter, with a $1,000,000 prize. The objective was to design
and build a kW-scale inverter with the highest power density (at least 50 Watts per cubic inch).
Our team “CEI at UPM”, led by Prof. José A. Cobos, has proposed a novel family of inverters. Those inverters use the same current to perform two functions
simultaneously: energy transfer and energy storage. The internal power handled by the inverter is dramatically reduced. Smaller magnetic components
and lower losses means smaller size of the inverter. For this novel family of inverters we have propose a new control method.

Specifications
Low frequency storage

Instantaneous Power Mismatch

Ø 2 kVA loads
Ø power density ≥50 W/in3
Ø PF= 0.7–1
Ø Volume ≤ 40 in3
Ø Output 240 Vrms, 60 Hz
Ø Input ripple current of < 20%
Ø Input ripple voltage of < 3%
Ø η ≥ 95%
Ø temperature ≤ 60ºC

Two control
objectives

Ø EMC: FCC Part 15 B
Ø Does not require galvanic isolation

Topology
Goal:

Control Scheme

kHz

60Hz

Ø Mode selection

2 slow dynamic control loops

Ø Calculate T1,T2

2 fast dynamic control loops

kHz

120Hz

Mode selection
Yes

!"#$
< 1&
!%

Control Loops
60
Giin
Riin
Liin

10

Magnitude (dB)

Magnitude (dB)

20

0
-10
-20 2
10

3

4

10
10
Frequency (Hz)

10

50
0

0

1

10
10
Frequency (Hz)

2

10

Yes

'"#$
')
> 1(
+ '$*
'%
'%

-20

T33+

No

T23A+
2

3

10
10
Frequency (Hz)

4

10

40
Gvs
Rvs
Lvs

Magnitude (dB)

Magnitude (dB)

No

0

-40 1
10

5

100

-50 -1
10

20

T0+

No

Giout
Riout
Liout

40

Yes

'"#$
')
< 1(
( '$*
'%
'%

'"#$
')
> 1(
+ '$*
'%
'%

Gvout
Rvout
Lvout

20

'"#$
1
>
!"#$
'%
!%

0

TB+

No

TRA3+

-20
-40 1
10

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Simulation Results

4

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2"34

Development of the production of 240 Power
Supplies for the XFEL Superconducting Magnets
José María Fernández García, Óscar García Suárez
Centro de Electrónica Industrial (jm.fernandez@upm.es, o.garcia@upm.es)

Abstract
Since 2011, the Centre for Industrial Electronics (CEI UPM) is responsible of one of the Spanish in-kind contributions to the European XFEL project. It
consist on the design, prototype, manufacture and test of a 240 Power Supplies with 10V/50A DC/DC Power Converters to Supply 17 bit precision current
to the Vertical and Horizontal Correctors Superconducting Magnets into the 4km long European X-Ray Free-electron Laser tunnel located at DESY research
facility in Hamburg, Germany. The project is currently in the final phase: the mass production.

XFEL
Project
Power
Converter

Integration

Documentation

Virtual
Instruments
Bench

Small Series
at CEI

Call for
Tender

Mass
Production

Topology
Selection

EMI Board

List of
Components

Programming

Components
Provisioning

Input
Documents

Technology
Transference

Design and
simulation

Quench
Protection

Gerbers

Tests

Integration

Technical
Requirements

Control of
Production

Planar
Transformer

DCCT

Assembly

Reports

Testing

Administrative
Requirements

Pre-Series
validation

Control

Rear Panel

Tracking info

Contact to
Companies

Quality
Control

Prototyping

Mechanics

Manuals for
Testing

Follow-up

Datasheets

72

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-

The Future in Advanced Modeling Strategies and
Magnetic Components Design Using PExprt
Fermín A. Holguín, Roberto Prieto López
Centro de Electrónica Industrial, Universidad Politécnica de Madrid (CEI-UPM)
Contact email: fermin.holguin@upm.es

Abstract
Inductors and transformers are key components in many power electronics applications such as power converters. Since magnetic components can be
critical for the expected behavior of the converter, and they might have a great impact in the overall performance of the system, accurate advanced
models should be used in the design process in order to have reliable simulations and to reduce the margin of error between calculations and the real
component. The objective of this poster is to show the capabilities of the magnetic components design and modeling tool PExprt and how we can improve
our designs based on its integrated features and through the application of advanced and accurate simulations techniques.

Advantages and features

What is PExprt?
Commercial Magnetic
component design
tool Developed at CEI

Extensive
libraries
Application topology
based design

Fast component design.

Several
analytical
calculation
methods for losses estimation are
available.

Design and calculation modes.

Integrated modeling tool.

Direct link with a finite element
analysis tool for deeper evaluation.

Customizable user libraries.

Different fabrication technologies
available.

Complete integration with ANSYS
simulation tools.

It is possible to design a
component based on
simulated waveforms
thanks to the integration
with ANSYS simulation
tools!

PExprt
is
a
magnetic
component design tool that
was developed at CEI-UPM and
is being commercialized by
ANSYS. The tool helps the
designer to achieve fast and
accurate designs aided by the
most
modern
modeling,
analysis
and
simulation
resources. The tool offers the
possibility
to
design
a
component based on basic
electrical waveforms or in
specific
power
converter
topologies. The tool is also
provided with an extensive
library of commercial core
shapes and sizes, magnetic
materials and wires that makes
the selection of the proper
configuration
of
the
component an easy task.
Anal in th
Analyzing
the effects
effect
and modifying the
comp
component according
to the design
objectives

Fine tuning the
design with
PExprt
PE

Finally the model of the
optimized component is
simulated in the complete
system to asses the performance
in operating conditions

Summary and future work
Using high accuracy modeling techniques in
the design of magnetics components might
increase the required design time but this issue is highly
ly
compensated with the reduction of uncertainties due to
mismatches between used calculation methods and real
al
rn
component. Due to an unique combination of modern
rt
simulation tools with very accurate analytical models, PExprt
d
offers great flexibility and potential in the inductors and
transformers design for power electronics applications.
As future work, the improvement of analytical methods for
losses calculations, accurate capacitive models, and a non-linear
core model for circuit simulation based on finite element
analysis results are being developed and integrated in the tool.
This will improve the accuracy of core loss simulation and
electrical behavior when working at close-to-saturation
conditions.

2D and 3D FEA
based model can
be obtained

74

After the evaluation of
the new configuration,
a complete model that
includes all relevant
effects, can be
generated

A new Processing Layer and Software
Framework for Real-Time Data Acquisition and
Communications for the Cookies Wireless
Sensor Network Platform
Santiago Alfonso Muñoz Rodríguez, Jorge Portilla, Teresa Riesgo
Centro de Electrónica Industrial (s.munoz@upm.es)

Abstract
Embedded systems must work under real-time conditions in several occasions: when an event happens it must be addressed before a certain amount of
time passes. This project has the goal of providing a real-time processing board for the Cookie platform, a modular WSN (Wireless Sensor Network) node
under development at CEI (Centre for Industrial Electronics). By running on a powerful ARMv3 microcontroller with an extended number of peripherals
such as USB host, Flash Memory and SD Card Interfaces, the required computing power for data acquisition and interaction with the environment can be
achieved. An associated software framework based on a real-time operating system is developed in order to accelerate application development, providing
the necessary low level drivers and an application structural template based on dataflow computing.

Hardware Development
Board Features
The board contains core set of processing elements and peripherals
and a dual bus to provide connectivity with external components:
• ARM Cortex-M3 Microcontroller
• NAND flash memory storage
• USB OTG
• microSD card reader
• JTAG for programming/debugging

Extended functionality through the Cookie Ecosystem
The Cookie Platform is designed to be modular. This board can be stacked with other boards
that implement extra functionality to form a single device adapted to the needs of each
deployment: GPRS, Ethernet, FPGA-based processing or sensors as required.
In the development deployment, both hardware and software compliance with the following
boards has been taken into account:
• Power supply via USB
• Ethernet controller for communication with Ad-Hoc Devices.

• GRPS for Long-Range communications plus GPS for positioning.
The fact that the functionality of this board can be expanded continuously by developing new
circuit boards that are compliant with the Cookie architecture is promising for its future usage.

Software Framework
The software framework, written on top of FreeRTOS (a free market-leading real-time operating system), provides an application structure that integrates
the functionality of the microcontroller peripherals on the board and the ones that can be added via other Cookie Layers. By filling the deployment-specific
parts of the code, applications can be developed quickly while maximizing code re-usage.

A dataflow based module architecture
The framework is broken down into a series of modules that implement independent
hardware functionalities and communicate with each other to perform more complex
functions without the need for a global controller.
Instead of using a control structure, the system uses a set data-path between modules
that are activated whenever the adequate external or timer-based internal stimuli
occurs.
This leads to a smaller processing overhead and easier expandability. Furthermore, realtime constraints can be met by using the priority based scheduling policy of FreeRTOS.

Onwards to the first deployment
This board and framework, along with the Cookie Platform, is being used to
implement the Control Unit for Enviguard. This project consists on the
development of a sensor unit for water quality monitoring that can operate
on isolated environments and communicates with an off-site database.

75

Distributed Artificial Neural Network over a
Wireless Sensor Network
David Aledo Ortega, Félix Moreno González
Centro de Electrónica Industrial (david.aledo@upm.es)

Abstract
The aim of this thesis is, first to implement Artificial Neural Networks (ANNs) on hardware, and second to distribute an ANN over a Wireless Sensor
Network (WSN). ANNs have a huge potential of parallel processing that can be exploited by hardware implementations. However, ANNs are typically
implemented on software. By distributing an ANN over a WSN, the computational burden of the sensor nodes is also distributed. It increases the lifetime
of the WSN avoiding some nodes discharge battery too fast. Further, fault tolerance is increased because, when an ANN loses nodes, accuracy is reduced
but it is still working.

Network and training

Artificial Neural Networks

error backpropagation

§ These algorithms belong to Artificial Intelligence
§ They have the “intelligent” capability of learning
§ Biologically inspired on a simple model of our neurons
x1

W1

x2

W2

xn

Wn

comp

+

inputs

Neuron model

outputs

f(x)

linear

sigmoid

desired
outputs

Only one neuron can do very few things, but a network of neurons can perform more complicated
tasks. For (supervised) learning, desired outputs of each training example are compared with the
outputs. Through a training algorithm (the most important is Backpropagation), weights are updated
in order to make the outputs closer to the desired ones.

Hardware implementation
IP core for Xilinx’s Vivado
Built on configurable VHDL codes.

Distribution over the WSN
Radar signals classification
Radars should recognize if the approaching object is:
§ Car
§ Pedestrian
§ Other

76

The ANN is divided into the WSN nodes. The
ANN takes the decision, having as inputs the
signals of different radars catching the same
object. Performing a distributed computation
until the final node takes the final decision.

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Photonic and Electromagnetic Transducer
Based Real-Time Monitorization of Properties
of Fluids in Streams
Santiago Muñoz, Irene Potti, Bruno Lansac, Francisco Javier Sanza, Ana L. Hernández, Rafael
Casquel, María Fe Laguna, Sergio Andrés Quintero, Jorge Portilla, Teresa Riesgo, Miguel Holgado

Centro de Tecnología Biomédica (miguel.holgado@upm.es)
Centro de Electrónica Industrial (teresa.riesgo@upm.es)

Abstract
Project REMO aims to provide a technological demonstrator for a real-time monitorization system of the components present
in oil well streams. A passive transducer sensor array, combining both photonic and electromagnetic meta-material based
techniques, is deployed on-site to detect properties such as the crude oil to water ratio in the stream, presence of light
hydrocarbons, CO2 and H2S, concentration of mineral salts and presence of gas compounds. An electronical system registers
and interprets the raw data coming from the sensors to provide the user with a processed synthesis of the desired properties.
This project is developed as a joint effort of UPM (Technical University of Madrid), UC3M (Carlos III University of Madrid) and
CSIC (Center of Superior Scientific Research), and sponsored by Repsol and Indra as part of the Repsol Insipire Program.

Technology

Well Simulator

Photonic Transducers

Electromagnetic Transducers
Sensor
0

-5

-10
DB(|S(1,1)|)
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DB(|S(1,1)|)
Aceite

DB(|S(1,1)|)
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DB(|S(1,1)|)
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DB(|S(1,1)|)
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DB(|S(1,1)|)
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-15
1000

1200

Classifier-based readout system

78

1400
1600
Frequency (MHz)

1800

2000

Self-Learning Embedded System for Object
Identification in Intelligent Sensor Networks
Mónica Villaverde, David Pérez and Félix Moreno
Centro de Electrónica Industrial. CEI-UPM (monica.villaverde@upm.es)

Abstract
The emergence of the Internet of Things (IoT) opens a new world of possibilities for interconnecting different systems and the creation of a
network composed by different devices connected each other is a cutting-edge concept. This is a new opportunity to enhance systems since
sensors can share information about their environment for handling different devices. This research focuses on improving the behavior of an
object identification system since the main goal is to compare the results using different cooperative techniques for increasing the system
reliability and providing adaptation. The designed identification system is based on a decision tree which analyzes a radar signal to obtain the kind
of the object that is moving around the detection area. This system provides good results when it works under the same conditions where it was
trained. However, due to the fact that the radar device is very dependent of its location and orientation, a Dynamic Decision Tree (DDT) is proposed
to reduce those influences and make the system more adaptive to changing environments. The DDT combines different machine learning
techniques and cooperative procedures to adapt itself to new conditions and even to “discover” new types of objects.

Proposed System
More than one device is working together in order to
provide a more accurate solution.
• Classification stage: Each device executes its own
decision tree to identify the detected object and the
cooperative network puts in common all those results
for providing a final solution.
• Learning stage: If cooperation decides that the
detected object belongs to a new type non defined
during the decision tree training, this new type is
stored to be labeled using clustering and cooperation
techniques.

Classification stage
Accordingly action
(it depends on the application)

Radar
signal

No

Getting
parameters

Radar
parameters Decision

Identification

tree

Cooperative
network

Cooperative
identification

Unknown?
Yes

Number of “Unknown” Unknowns

warehouse
“Unknown” parameters
No

Methods

Object
labeled

=n?

Label

Yes

• Decision Tree is used to provide the object classification. Using the pruning
threshold the system is able to modify the ‘unknown area’ available for
incorporate new kind of objects.
• Clustering is used to include new object categories discovering a new group
of detected objects which belong to the same ‘unknown area’. The
clustering threshold is used to adjust the dispersion of the group.
• Cooperative network allows to increase the system reliability since it
considers an hypothesis set. Moreover, it could be useful to label the
‘unknown’ objects discovered by one radar device. Several cooperative
algorithms are being studied.

Store
“unknown”

External
information

Cooperative
network

Clustering

New decision tree

Learning stage

Current Results

Conclusions & Future Work
• Choose properly the values of both thresholds (pruning & clustering).
• Learning capabilities have been demonstrated.
• Memory requirements have to be considered especially for embedded
systems developments.
•79The inclusion of cooperative strategies should be implemented.

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80

3DVirtualWorldRemoteLaboratorytoAssist
inDesigningITERFastPlantSystemControllers
basedonFlexRIO andEPICS
aA.Carpeño, aS.Lopez,aM.Ruiz,aG.deArcas,aS.
aUniversidad

Esquembri

PolitécnicadeMadrid(antonio.cruiz@upm.es)

Abstract
iRIOͲ3DLab is a platform devised to assist developers in the design and implementation of intelligent and reconfigurable FPGAͲbased intelligent data
acquisition systems (IDAQ) following a complex distributed scheme using EPICS and FlexRIO technologies for ITER’s Fast Controller (FC). Although these
architectures are very powerful in defining the behavior of DAQ systems, they also convey a higher difficulty in understanding how the system works, and
how it should be configured and built according to the available hardware and the specific processing demanded by the requirements of the diagnostics.
Virtual Reality technologies are proving to be very effective in different training scenarios due to their capability to provide immersive training experiences
and collaborative environments, which can be exploited to provide solutions for the aforementioned challenge.
iRIOͲ3DLab comprises an Opensim based 3D virtual world, accessible through a standard free 3D viewer. This virtual world connects, using a standard http
protocol, with a JAVA application running in the CODAC Core System. This application is responsible for the automatic control of the IOC according to the
orders received from the virtual world. In order to provide the excitation signals and to measure the responses of the system this application connects,
using a clientͲserver architecture, to another JAVA application which ultimately controls a NI USBͲ6361 acquisition board physically connected to the
FlexRIO modules. Users, through their avatars, interact with virtual replicas of this equipment as they would in realͲlife situations. These actions cause real
changes in the physical FC. The solution presented in this paper, will permit to future ITER CODAC Core System users and developers get training for
settingͲup and deploying ITER Fast Controllers devices.
TECHNICALROOM

EXPOSITIONROOM

OBJECTIVES
‰

Learn how to use EPICS and FlexRIO in CODAC
Core System.

‰

Learn to develop Advanced Data Acquisition
Systems.

‰

Test new developments for CODAC Core System
Fast Controller.

‰

Improve the diffusion initiatives about the
integration of FlexRIO and EPICS in the design of
Intelligent Data Acquisition Architectures.

BUILDING

MEETINGROOM

SYSTEMARCHITECTUREANDOPERATION

81

Development of Hardware Accelerators Using
OpenCL Methodologies for Single and Multiple
FPGA Architectures
César Castañares, Alfonso Rodríguez,
Teresa Riesgo and Eduardo de la Torre

TEC2014-58036-C4-2-R

Centro de Electrónica Industrial, Universidad Politécnica de Madrid
(cesar.castanares@upm.es)

FPU Grant Program

Abstract
The amount of computing power demanded by current applications has fostered the use of parallel computing. One of the key aspects of using parallel
computing paradigms is the possibility to decrease execution times when the computational workload is offloaded into several computing units, allowing
the development of more complex systems but, at the same time, increasing the effort that has to be put in system management.
The appearance of new high-level parallel programming languages, like the open standard OpenCL, permits the execution of application code snippets
(known as kernels) within several computing devices, favoring functional portability among different vendors. These high-level languages can also be used
to provide an easy, efficient and automatized methodology to develop hardware accelerators. Replacing software-based compute units by hardware
accelerators is a great challenge, since system flexibility can be compromised. As a result, reconfigurable computing engines such as the ARTICo3
architecture, able to perform a dynamic management of the generated accelerators to adapt to changing application requirements, can be used to
mitigate this problem.

ARTICo3 & OpenCL framework
Relationships between both frameworks:
§ Host-Device structure
§ Data-level and task-level parallelism
§ PEs gathered within Compute Units (CU)
§ Hierarchical memory approach

Flexible support of kernel
execution…
…with dynamic allocation
of Compute Units

Platform and memory models

Execution model

An automated and easy methodology to generate hardware accelerators is needed

Hardware accelerator design
High-Level Synthesis (HLS)

Hardware Design Language (HDL)

VHDL

C/C++

Low-level optimization of HW accelerators

Design time performance

HW Synthesis

Time-consuming design process

Large area overhead

VHDL

Matrix multiplication kernel
Design time: few hours

AES-256 kernel
Design time: ~2 weeks

Vivado HLS

1 monolithic block

SDAccel

N fixed Compute Units

ARTICo3

N dynamic Compute Units

Several Processing Elements are allowed, but without shared memory
Based on OpenCL compilation flow, execute kernels over static hardware
Load and replace compute units dynamically using reconfiguration techniques

Host

§ Intense multi-tasking

Distribute workload in

§ High computational load

network topologies

CU

Distributed computing: multi-FPGAs
§ Limited resource availability

82

CU

Accelerator-level parallelism

CU

Design Tools

Host
FPGA

FPGA

CU
CU
CU

Deep knowledge of underlying technology

Easier development (High-level languages)

HLS

Development of tools for relocation-oriented
partial reconfiguration on the Vivado suite
Javier Mora, Eduardo de la Torre, Teresa Riesgo
Centro de Electrónica Industrial – Universidad Politécnica de Madrid
{javier.morad; eduardo.delatorre; teresa.riesgo}@upm.es

TEC2011-28666-C04-01

Abstract
Dynamic and partial reconfiguration of FPGAs permits changing the functionality of a circuit at runtime in a resource-efficient manner, which is beneficial
for applications such as evolvable hardware. Xilinx development tools provide a partial reconfiguration flow targeting DPR; however it does not provide
features such as relocation and introduce a certain logic overhead in the design, making it unsuited for designs based on fine-grain processing elements.
With the release of Vivado, the possibility of using Tcl-based scripts to access and manipulate low level resources of the FPGA during design time opens the
door to the development of custom tools allowing a more precise design targeting relocatable, overhead-free dynamically reconfigurable modules.

Reconfigurable hardware
Virtual Reconfigurable Circuits

Full reconfiguration
"

LUT

f1

00à0
01à1
10à1
11à0

f3
functions
üEasy to implement
üPortable
û Resource wasteful
û Mux: overhead
û No dynamic scalability

00à0
00à01
0 à1
0 à0
00à01
1 à10
1 à1
01à10
0 à11
10à11
0 à0
11à1

üNot hard to implement
üRelatively portable
üResource efficient
û Fixed circuit structure
û No dynamic scalability

"

f2

Logic reconfiguration

function library

üResource efficient
üFree circuit structure
üDynamic scalability
û FPGA dependent
û Complex implementation à NEED FOR A TOOL

function
library

Evolvable hardware: Systolic Array
Evolvable hardware
Input
Reference
Result
image Systolic
image
array
Compare

EVOLVE

Scalable version (full reconf)

Systolic array

¢ PE

3×3
pixel
window

Fitness

Current results
¢ 400

megapixels per second (400 MHz)
¢ 80 000 solutions evaluated per second
(LUT-based version)
¢ Evolves in 3 seconds (LUT-based version)
¢ Outperforms median filter

size: 5 CLBs (out of 8640 on the FPGA)
scalable
¢ Up to 8×7 PEs in the array
¢ Tools used are deprecated
¢ Dynamically

+

à

×2

+

min

à

min

×2

à

â

+

min

×2

â
Interchangeable
processing elements
(PEs)

+

filtered
pixel

REG

LUT-based version (logic reconf)
¢ PE

size: 2 CLBs (max. compacity)
8×8 arrays in parallel
¢ Or two 16×16 arrays
¢ Very fast reconfiguration
¢ Scalable at design time
¢ Dynamic scalability emulated using fewer PEs
(unused PEs still consume energy)
¢ Eight

Future plans: hybrid version
¢ PE

changing à logic reconf (fast)
à full reconf (energy efficient)

¢ Scalability

Input

Filtered

Ongoing work: Tool development
Current tools for full DPR design

New tool

Xilinx Partial
Reconfiguration:

DREAMS tool:

Vivado à Tcl scripting

¢ Custom routing engine
üAllows relocation
(same block for many regions)
üProven effective
û Complicated to use
û Separate program
û Only for specific FPGAs
û Does not work in Vivado
nor in modern FPGAs

Interact with synthesized design
Design custom scripts à TOOLS
¢ Apply constraints procedurally
¢ Access low-level design info
such as net routing
¢ Manipulate low-level resources

Provided by Xilinx
üIntegrated with Xilinx tools
û Limited
û No relocation
(1 block = 1 region)
¢

¢
¢

83

tcl

Advantages:
üIntegrated in Vivado
üEasy to develop
üPotentially portable
to different FPGAs
üGeneralizable to
different problems
üOpportunity for more
DPR-related projects

HighPerformanceImageAcquisitionand
ProcessingArchitectureforFastPlantSystem
ControllersbasedonFPGAandGPU
aJ.Nieto, aS.Esquembri,aG.deArcas,aM.Ruiz
aInstrumentationandAppliedAcousticsResearchGroup(I2A2),

TechnicalUniversityofMadrid(UPM).Email:jnieto@sec.upm.es

Abstract
The two dominant technologies that are being used in real time image processing are FPGA and GPU due to their algorithm parallelization capabilities. But
not much work has been done to standardize how these technologies can be integrated in data acquisition systems where control and supervisory
requirements are in place, such as ITER. This work tests an image acquisition and processing system for Cameralink devices based in a FPGA DAQ device
(National Instruments FlexRIO technology) and a NVIDIA Tesla GPU series card. This integration, compliant with ITER fast controller solutions, simplifies the
implementation of advanced data (images) acquisition systems. The most important advantage of this solution is that data acquired from the set NI1483Ͳ
NIPXIe7966R is moved directly to GPU avoiding the use of CPU memory buffers using NVIDIA GpuDIRECT RDMA technology. Thus it is possible to increase
the performance of the system because CPU intervention is minimized due to data transfer is done using PCI Express and DMA. The system has been
developed using CODAC Core System standards (EPICS and Nominal device Support) in order to guarantee an easy integration in ITER’s solutions.

GOALS

SOLUTIONS

¾

ProposeastandardmethodologytoincludeGPUsinITERFastPlant
Controllers

9

EPICSintegrationthroughNominalDeviceSupport

¾

MaximizeDAQͲGPUͲHOSTthroughput

9

FLEXRIOͲGPUbundlesupportingRDMAfordirectdatatransfers

¾

Provideseamlessintegration(highlevelaccessw/oGPU)

9

Highlevelabstractionlayerthatminimizestechnicalknowledge
requirements

SYSTEM ARCHITECTURE

TEST SYSTEM

METHODOLOGY

CONCLUSIONS
¾

A model and a methodology to include GPUs in FPSCs using FlexRIO
has been proposed and tested using a generic use case for
continuous image acquisition and processing

1.

SelectaparallelizedalgorithmimageprocessingforGPU.

2.

¾

Data transfers between DAQͲGPUͲHOST are maximized by using
RMDA technology avoiding unnecessary memory copies

BuildasharedlibrarythatcontainsthekernelGPUprocess
functionsandmanagedGPUresources.

3.

¾

GPU processing algorithms can be easily updated through the CUDA
Shared Library provided.

ImplementLabVIEWCodeforFPGA tocontrolCameraLink
interface.

4.

UsingNDS(NominalDeviceSupport)template,buildauser
applicationthat:

¾

Full integration in EPICs is provided through Nominal Device Support

a)

AcquireimagesfromCameralink devicetoGPUusing
GPUdirect RDMAtechnology.

b)

ProcessimagesinGPU.

c)

PublishandshowimagesresultsusingEPICSPVsina
CSSOPIpanel.

ACKNOWLEDGEMENTS
This work was supported in part by the by the Spanish
Ministry of Economy and Competitiveness under project
84
ENE2012Ͳ38970ͲC04Ͳ04

Integrationofadvanceddataacquisition
applicationsusingFPGAͲbasedFlexRIOdevices
inITER’sCODACCoreSystem
aM.Ruiz, aE.Bernal,aE.Barrera,aS.Esquembri
aInstrumentationandAppliedAcousticsResearchGroup(I2A2),

TechnicalUniversityofMadrid(UPM).Email:jnieto@sec.upm.es

Abstract

FASTCONTROLLER

භ PXIe form factor for Fast Controllers.
භ Totally integrated with EPICS.
භ Simplifies the design of high performance DAQ
systems based on fully reconfigurable FlexRIO.

The aim of this work is to present the development and integration of advanced data
acquisition (DAQ) applications using Reconfigurable Input Output (RIO) FPGAͲbased devices in
ITER’s Control, Data Access and Communication (CODAC) Core System (CCS). CCS is the software
distribution built by the ITER Organization for the developers of plant system controls.
Compared with traditional DAQ systems, the use of Reconfigurable Input Output (RIO) devices
drives a methodology change of the design model and brings the system designer the capability
to fully customize the functionality with a high performance and a reconfigurable architecture.
National Instruments (NI) FlexRIO devices are part of ITER Catalog of I&C products for Fast
Controllers [1] developed using PCIe/PXIe technology. The integration of this hardware with
EPICS [2][3] is relying on the common interface that the Nominal Device Support (NDS) supplies.
NDS is a software layer that provides a device handling standardization in CODAC, simplifying
the development of EPICS device support. The design methodology proposed in this work
covers: a) modeling in LabViewͲFPGA the behavior of the DAQ hardware b) exporting the
functionalities for interacting with the hardware to ITER’s CODAC Core System (CCS) [4] c) the
creation of the low level communication interface to the device using the NDS abstraction layer
and the connection with the corresponding EPICS records and d) the built of the main software
element of EPICS, the Input/Output Controller (IOC). DAQ example using FlexRIO PXIe796x
devices with digital I/O (6581) adapter module is presented as basic use case of integration with
ITER’s CCS.

Choose FlexRIO HW from ITER
Cataloguefor Fast Controllers

Wehaveelaboratedtemplates
andexamplesthatacceleratethe
developmenttime.
Completeintegrationexamples,
i.e.DigitalDAQ8Ͳbit@100MHz

Product

Description

NIͲ5761R

14Ͳbit200MS/sDigitizer

NIͲ6581

54ͲchannelDigitalI/O
adapter module

Digital DAQ

Description

Features

Cameralink Adapter module

Adapter Mod.

NIͲ6581

100MHzMax.Clk. Rate 54digitalI/Ochannels

PXIe FPGA

NIPXIe 796XDevices

Fully ReconfigurableLabVIEW Template

NIͲ1483
PXIe 7961

Device Support CompleteDevice Suport Based on NDS 8ͲbitAcquisition@ 100MS/s

FlexRIOdevice
PXIe 7966 (FPGA module)

CAEPICS Client Example BOYInterface(GUI)

PXIe
Chassis

º

NI6581 Template
DigitalACQ/GEN

HARDWARERELATEDSTEPS

NI1483Template
Image ACQ

1. Exploregiventemplates.
2. Addextrainputoutputcontrols.
3. Addparticularpreprocessinghardwaretothedevice(FPGA)under
development.
4. Compileandgeneratethebitstream.

NI5761 Template
Analog ACQ/GEN
NI6581NI
FlexRIO
NIRIOlibrary
MyDAQDriver
NDS

ITER
CODAC
Core
System

Asyndriver
RecordSupport
ChannelAccess

IOC

CompleteDevice Control

My Hardware
.lvbitx/.h

SOFTWARERELATEDSTEPS

Device.h/.cpp
Channel Groups
.h/.cpp
Channels
.h/.cpp
Records
.db

5. Shapethedevicefromspecifications.
1. NumberofChannelGroupsandChannels.
2. Typeofchannels.
6. Modifytemplateforparticularmanagementoftheacquireddata.
7. AddnewrecordstoprovideextradevicefunctionalitiesthroughEPICS.
8. TestthecustomDAQsystemwithGUIͲBasedBOYinterfacesgiven.

CONCLUSIONS
¾ StartoffbuildingyourcustomDAQsystemwithFlexRIOͲ
BasedTemplates.
¾ AvailableforallhardwaredefinedinITERcatalogforPXIe
formfactorFastCotrollers.
¾ Reducedevelopmenttimesimplifyingthedesign,
implementationandintegrationcomplexity.
85

¾ TemplatescoveringthefulldesigncycleofFlexRIObasedDAQ
systemswithCODACCoreSystemandEPICS.
ƒ LabVIEWͲFPGAtemplates.
ƒ DeviceSupporttemplatesusingNDSabstractionlayer.
ƒ RecordSupporttemplatestocontrolthedevicethrough
EPICS.

Towards Safer and Predictable Hardware
Acceleration in Distributed, Embedded and
High Performance Systems
Alfonso Rodríguez, César Castañares, Leonardo Suriano,
Teresa Riesgo and Eduardo de la Torre

TEC2014-58036-C4-2-R

Centro de Electrónica Industrial, Universidad Politécnica de Madrid
(alfonso.rodriguezm@upm.es)

FPU Grant Program

Abstract
ARTICo3 is a bus-based reconfigurable architecture for SRAM-based FPGAs that enables multithreaded hardware acceleration. The architecture supports
hardware replication through Dynamic and Partial Reconfiguration, being able to dynamically trade off between computing performance, energy
consumption and dependability at run time. The independence between tasks and their requirements is exploited to change the working point whenever
it is necessary, to better adapt to changing environments.
The general approach of the ARTICo3 framework allows the aforementioned architecture to be used in multiple scenarios, ranging from embedded to high
performance systems, or even distributed ones. However, such a versatile architecture requires enhancements so that new computing frontiers can be
reached. Two key factors have been selected as cornerstones: system performance/consumption modeling to allow online estimations, and compliance
with standard computing specifications (OpenCL).

ARTICo3
Resource
Manager

External
Memory
Controllers

Local
Memory

Host
µP

Communications

Data Bus

DMA
Engine

Control Bus
Data Shuffler
Voter
Reducer

I/O

Reconfiguration
Engine

Features

Static Region
ion

• Computing platform based on hardware accelerators

Dynamic Region

• Module replication via Dynamic and Partial Reconfiguration

HW Accelerator

HW Accelerator

Reconfigurable
Reconf
Rec
onfigu
onf
igurab
igu
rable
rab
le
Mem Slot

Reconfigurable
Reconf
Rec
onfigu
onf
igurab
igu
rable
rab
le
Mem Slot

• Parallel processing – multithreading capabilities

HW Accelerator

Reconfigurable
Slot

Reconfigurable
Reconf
Rec
onfigu
onf
igurab
igu
rable
rab
le
Mem Slot

Reconfigurable
Slot

• Module redundancy – fault tolerance capabilities
• Optimized memory transactions (DMA + dedicated bus)
• Hardware add-ons in data gateway: voter and reduction units

How can it be achieved?

What is needed?
• Dynamic adaptation to changing environments

Intrinsic architectural support in ARTICo3

• Dynamic tradeoffs (Co3)

• Parallel Computing

1

Dynamic and Partial Reconfiguration

1

Dynamic Resource Management

• Energy Consumption
• Dependability (Confidentiality, etc.)

System modeling, parameter estimation and change prediction

2

Standard specifications: OpenCL

3

• Predictable system behavior
• Reconfiguration stages
• Normal operation

2

• Autonomous system behavior
• Self-awareness
• Self-healing capabilities
• Different abstraction levels

3

• System flexibility
• System scalability

Work in progress…

Application-specific scenarios

Financial risk management

Human visual cortex

Image inpainting

Object recognition

Autonomous vehicles

Smart cities

Platform
Memory

REBECCA partners:

Support for multiple Models of Computation
mput
utation
n
3
Network extensions (multi-FPGA approach)
h)

Framework development

Robust computing engine

Networked, heterogeneous computing engines

Execution 3
Abstraction
Models
Programming

86

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Development of a Haptic Vest for Security Forces
Training in Virtual or Mixed Reality Environments
Gonzalo García1, José Breñosa1, Manuel Ferre1, Juan Carlos Ramos1,
Álvaro Sánchez-Pascual1, Rafael Aracil1, José María Sebastián1
1Centre

for Automation and Robotics (UPM-CSIC)
fencggv@gmail.com, jose.brenosa@upm.es, m.ferre@upm.es

Abstract
The development of the haptic vest is focused in increasing the immersion and realism in virtual environments, through delivering vibrotactile and thermal
feedback. The first steps to achieve touch-based communication, impact and thermal effects have been done in order to set different actuation methods
(vibration motors, Peltier cells and a new impact actuator). In this manner, several patterns have to be validated for helping users to move and receive
stimuli from a virtual reality. The research analyses human torso resolution and perception of vibration and thermal patterns, evaluating different kind of
actuators and their location in the vest. The performed experiments help to perform sensations in comparison with the feeling in a real environment.

Background
The development of the haptic vest is framed on the European Project ‘AUGGMED’
(Automated Serious Game Scenario Generator for Mixed Reality Training). ‘AUGGMED’
objective is the development of a serious game platform for training of security forces assisted
with virtual reality interfaces. The aim is to develop a vibrotactile interface to convey impact
effects (e.g., bullets, explosions), thermal effects (e.g., heat or cold) as well as touch-based
communication between members of the same respond team (e.g., touching ones shoulder to
confirm presence or guide when an explosion has affected lighting and caused temporary
deafness).

Stimuli Types

Figure 1: Previous vest prototype

Vibrotactile Stimuli
Vibration motors are used to convey vibrotactile effects in different body areas,
achieving users can feel several sensations through touch-based communication.
The vest can generate tactile sensations:
• Contacts with elements of the virtual environment, rain, etc.
• Another type of sensations can came from
used for applications as guidance or training.

virtual characters and can be

Thermal Stimuli
Figure 2: Security forces during training

Peltier cells are used to obtain thermal effects in the vest. These cells are
distributed by lower back and abdomen. Peltier cells can generate heat and cold
sensations with a single actuator, depending on the electronic control:
• Heat produced by a nearby explosion or by a hot conditions inside the virtual
environment.
• Cold produced by the environment or low temperature virtual elements.

Impact Stimuli
It has been pretended create impact effects in order to users can receive real
sensations. It does not exist any development to convey this stimulus type,
therefore the actuator is created for this application specifically and is based on a
mechanical system.
It can be achieved effects like bullet impacts or hits like impacts generated by a
shock wave when a explosion is produced near to the user.

Figure 3: Vibrotactile actuators inside the vest

Vest for Guidance
In first place, it has been done tests for determining the correct distribution
of thermal and vibrotactile actuators on the vest areas chosen to generate
the communication with users.
Once the distribution is done, vibrotactile actuators are placed on the vest,
assuring them to avoid problems during vibrations. The vest is tested like a
guidance tool for users in virtual environments.
It has been verified that the system can be used as a guidance tool with
minor adjustments and the integration of a sensory system to refine the
application.

88

Figure 4: Participant during guidance test and path followed by 3 subjects

Facial Expressions and Voice Control for an
Interactive Robot
Patricio Encalada, Biel P. Alvarado, F. Matía, R. Galán
Center for Automation and Robotics, UPM-CSIC
(b.alvarado@alumnos.upm.es)

Abstract
Doris is an interactive social robot designed to work in environments where the exchange of information with people is its main goal, making that a part of the
research focused on the human robot interface (HRI). The speech is the main method of interaction which has been performed based on visemes lip sync to solve
this problem.

The lip sync performed consists in the union of two channels, the visual and sound, and a parallel coordination between mouth movement of the robot consisting
on 6 degrees of freedom and the audio text synthesized predetermined by the user, in order that the robot can communicate with its human environment almost
naturally.
Audio synthesis is performed with a text-to-speech, using the Parallax Emic 2 card, where you can choose the DECtalk synthesizer or EPSON and can set the
amplitude, tone (8 tones available), speed pronunciation, execution control and stop, and availability of speaking in Spanish and English.
The position of the robot lips are preset coordinates for each viseme or each visual form taken by the mouth to pronounce syllables in the Spanish language, stored
in a coded database accessed by the synchronization algorithm which sets the mouth position interactively and ends with the syllables of the string analyzed.

Doris

Architecture
Doris is a half-humanoid robot, since its base
consists of a differential drive PatrolBot robot in
which the structure of a mechanical humanoid face
is installed.
It has an onboard computer, where navigation data
is managed in indoor environments, based on
Ubuntu and ROS (Robotic Operative System). Clients
have access connected via sockets to exchange
information, whether for the robot status or the
command usage and configuration.
The hardware which manages servomotors
movements (Master Pololu) communicates via USB
with the server, where lip sync algorithm is executed
sending the correct position of the servomotors.
Audio synthesis card (Emic2 Parallax) communicates
with the server via a USB / RS232 converter which
receives serial configuration commands as well as
execution, stop and summarizing text orders.

The Lip Sync

Lip Sync Algorithm

In order to improve the speech bimodal perception, a lip sync algorithm has been
developed, which consists in the following blocks:
data: The robot operator is responsible for configuring the system from any
• Insert
client. The algorithm receives the information to be transmitted through the robot
in a string based format.
analysis: The string must be normalized before moving to the next block. This
• String
means that it should remove some characters, symbols and spaces not required to
proceed with the hyphenation.
It is done by taking into account Spanish language division rules.
• Hyphenation:
Comparison
with
visemes database: Each syllable is compared with the encrypted

database, where each element has the syllable and the viseme code to which it
belongs. Simple or compound visemes exist.
• Select motion: Each viseme has specific coordinates, which means that the robot
actuators are placed in an specific position for visual effect in the corresponding
syllable pronunciation and these data are sent to the Master Card Pololu parallel
while the audio synthesis is being undertaken.
to speech converter configuration: In this block commands to the Emic2 card
• Text
are sent to set variables such as pitch, speed, amplitude and language.
• Converting text to speech: Commands are sent from the Doris kernel to Emic2 card
which is responsible of synthesizing the audio character string the client requests.
The synthesized audio is played as the master Pololu card executes the movements
sequence of the corresponding visemes to pronounced syllable.

*This work is funded by RoboCity2030-III-CM project (phase III; S2013/MIT-2748), funded by I+D Activities Programs of Comunidad de Madrid and cofunded by Structural Funds of the EU.

89

It is also funded by Spanish Ministry of Economy and Competitiveness, NAVEGASE project (Natural Language Aided Navigation, DPI 2014-53525-C3-1- R).

90

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Contribution of DFIG wind turbines to Primary
Frequency Control
Danny Ochoa, Sergio Martinez
Department of Electrical Engineering, ETSI Industriales, UPM
(danny.ochoac@alumnos.upm.es)

Abstract
In recent years, worldwide power systems are experiencing a steadily growth in wind power penetration. A common concern in the operation of such
systems is related to the frequency stability. Modern variable speed wind turbines have a limited capacity in providing ancillary services, such as: fastfrequency response and primary frequency regulation. This thesis aims at developing a new methodology for the analysis of frequency dynamics in largescale power systems with high level of wind energy share. Firstly, a simplified electromechanical model of a doubly fed induction generator (DFIG) based
wind turbine has been proposed. In addition, a virtual inertia controller version of the optimized power point tracking method (OPPT) has been adapted
for this kind of wind turbines. In this method, the maximum power point tracking curve (MPPT) is shifted to drive variations in the active power injection
as a function of the grid frequency deviation, by exploiting the available inertial resources. The proposed methodology integrates the model in a primary
frequency control scheme to assess the interaction with the rest of the plants in the power system.

I. DFIG-WT model
A simplified electromechanical model
oriented to power-frequency studies has
been developed. For validation, a MATLABSimulink detailed model has been used.

ωt[pu]

Wind
speed
v[m/s]

Mechanical System

Wind Turbine

Cp

Tt[pu]

Calculation

Conversion

λ

Tem[pu]

Cp(λ,β)
Calculation

Tt[N·m] +

Conversion

1
s

1 J eq

_

Tem[N·m]

ωt[rad/s]

Conversion

ωg[pu]

ωg[rad/s]

n

n

ωt[pu]

Conversion

Pt[pu]

Tem[pu]

Active
power
Pag[pu]

ωg[pu]

Π

Wind Turbine

Electric
Mechanical Generator
System

Pag
Tem[pu]

Gear
box

DFIG

Pitch angle
controller

v
Wind speed
(input)

AC

Speed
controller
(MPPT)

Pitch angle controller

DC
DC

β[grad]

AC

RSC

1
1+tC s

Tem ,max[pu]

T*em[pu]

K Psc

_

K
+ Isc
s

Pag[pu]

dt

(max)

1
1+t Ps

GSC

Servo Dynamics

Fig. 1. DFIG-wind turbine general scheme.

db

ωg[pu]
w

MPPT Curve

b max
K Ppc +

- d b dt (max)

P

*
+ P ag[pu]

Tem ,min[pu]

Active
power
(output)

Electronics
Converter

Speed controller

DFIG and Electronics
Converter

Grid

K Ipc
s

ωg[pu]

+

ω*g[pu] = ωmax[pu]

b min

Fig. 3. Validation of the model.

Fig. 2. Simplified electromechanical DFIG-wind turbine model.

II. Fast-frequency response scheme
A novel control strategy for performing fast-frequency response by a DFIG-WT has been adapted in the
aforementioned model (Fig. 4). According to the OPPT method (Fig. 5), the DFIG-WT has to leave its
optimal operation point (A) and move to (B) when an under-frequency (UF) event occurs. Then, its
operation point will ride along the points B and C by means of shifting the MPPT curve to the left. After
this frequency support, the DFIG-WT will recover its optimal pre-disturbance conditions (A). In case of an
over-frequency event, the DFIG-WT will describe the path A→D→E→A.
fKopt,max

Dead Band

Df

Df

s

Fig. 5. Explanation of the OPPT method.
P*ag

P

KOPPT

fKopt

1 Two + s
Wash-out filter

Variable
MPPT-curve

*

Kopt

Calculation

w

wr 0

wg

fKopt,min

Fig. 4. Aggregated control scheme for implementing the OPPT method.

III. Simulation and results

a) MPPT control

The proposed DFIG-WT model has been incorporated into a traditional primary frequency control scheme for a
single control area (Fig. 6). The behavior of certain variables of the DFIG-WT and the grid frequency dynamics
during a load sudden increase is illustrated in Fig. 7. The primary frequency control actions provided by each
power plant is presented in Fig. 8. Finally, Fig. 9 shows the reduction of the maximum instantaneous frequency
deviation (MIFD) when the OPPT method is applied on a DFIG-WT as a function of the incoming wind speed.

Thermal power plant
(Coal)

DPm1
DPm 2

Thermal power plant
(Nuclear)

DPm 3

Thermal power plant
(Combined-Cycle)

DPm 4

DFIG-Wind Turbine

Dw[pu] = Df[pu]

w1

w2

w3

+
+

+

DPag

w5

-

+

Dw[pu]

1
2HT s + D


+

+
w4

b) OPPT control
Fig. 8. Primary frequency control provided
by each power plant (UF-event).

DPL

MIFD reduction (%)

Hydro power plant

Rotating mass and
Load Damping
Power plant
Hydro
Coal
Nuclear
Cobined-Cycle
Wind

wi (%)
5
15
35
15
30

50
40
30
20
10
0
6,0

7,2

8,4

9,6
10,8
Wind speed (m/s)

Under-frequency event

Fig. 6. Primary frequency control scheme.

Fig. 7. Simulation results
93 (v = 9.6 m/s).

12,0

13,2

14,4

Over-frequency event

Fig. 9. Reduction of the MIFD vs. wind speed.

Controlling the doubly fed induction generator
based wind turbines during normal and
disturbed grid voltage

ei

Área conocimiento
Ingeniería Eléctrica

UNIVERSIDAD POLITÉCNICA DE MADRID

Mohammad Ebrahim Zarei, Carlos Veganzones, Jaime Rodríguez
Department of Electrical Engineering, ETSI Industriales,
Universidad Politecnica de Madrid, (me.zarei@alumnos.upm.es)

Abstract
This work presents an improved strategy in the field of predictive control (PC) of the doubly fed induction generator (DFIG). The proposed strategy applies
four voltage vector in every period in order to have constant switching frequency and low current THD. The appropriate voltage vectors in each period are
recognized when the estimated duration times of selected active vectors are positive. The suggested techniques has excellent performance during
transient and steady-state conditions. The proposed predictive control can easily flow the references under normal and abnormal voltage conditions even
if the references contain ac terms. Without any additional controller, the proposed technique could obtain smooth stator active and reactive power or
smooth electromagnetic torque or could inject sinusoidal and balance current into the grid when the voltage unbalance appears in the stator winding of
DFIG. Moreover, under unbalanced voltage conditions, still four voltage vectors are applied in every switching period. The simulation studies for this
technique are carried out for 2 MW DFIG in Matlab Simulink environment under ideal and unbalanced grid voltage. Furthermore, the experimental studies
are now conducting. The results of this technique are compared to other strategies. The comparisons show that the performance of the proposed strategy
is significantly superior to the other strategies.

I. Introduction:
The DFIG consists of two converters. The rotor side
converter (RSC) control the generator and control the
stator active and reactive power. The grid side converter
(GSC) regulate the dc link voltage. Schematic of DFIG is
shown in Fig. 1. The experimental setup is shown in Fig. 2.
Fig. 1. Simulated DFIG wind turbine

II. Proposed Strategy:

In this novel strategy, at each switching period, four voltage vectors are selected to be applied by the
rotor side converter of doubly fed induction generator according to a very simple algorithm. Duration
time of selected vectors are estimated by two equations. Finally, the appropriate vectors will be
employed according to their duration times.

III. Simulation results:

Fig. 2. DFIG wind turbine experimental setup

In order to show the superiority of the proposed PC during unbalanced voltage conditions, a compression study have been conducted between the
proposed PC and two previous PC method under the same conditions. three control power targets have been adopted during unbalanced grid voltage
which are:
1- smooth active and reactive power (t= 0.4 s to t=0.5 s)
2- smooth electromagnetic torque and reactive power (t= 0.5 s to t=0.6 s)
3- balance stator current (t= 0.6 s to t=0.7 s)
The simulation result for the proposed PC is shown in Fig. 3. the results for previous PC based on three voltage vectors and previous PC based on one
voltage vector are illustrated in Figs. 4 and 5, respectively. In the whole study the stator active and reactive power references were set to be -1.5 MW and 0
Mvar, respectively, and the rotor speed was fixed in 0.8 PU. As can be seen, the performance of the proposed strategy is more better than the other two
strategies.
-1

Ps

-1.5
P

s

Ps-ref

0.4

0.5

0.6

-2

0.7

0.5
Qs (Mvar)

0
Q

Qs-ref

0.4

0.5

0.6

0.5

0.6

0.7

Is (kA)

Is (kA)

0

0.6

0.7

0.5

0.6

0.7

0.4

0.5

0.6

0.7

Ir (kA)
0.4

0.5

0.6

Fig. 3. Result of proposed PC of DFIG during
unbalanced grid voltage with three different
control targets

0.7

Qs-ref

0.4

0.5

0.6

0.7

0.4

0.5

0.6

0.7

0.4

0.5

0.6

0.7

0.4

0.5

0.6

0.7

-10
-15

2

0.4

0.5

0.6

0

-2

0.7

2

0
-2

-2

0.7

Qs

-0.5

2

0

0.6

-5

0

-2
0.4

0.5

0

2

2
Ir (kA)

0.5

-10
-15

0.4

2

0.4

0.5

Qs

0.4

Ps-ref

0.7

Qs-ref

Tem (kNm)

Tem (kNm)

-10

-2

0.6

-5

-5

-15

0.5

0

-0.5

0.7

0.4

Tem (kNm)

-0.5

s

Ps

-2

Is (kA)

Qs (Mvar)

0.5

-1.5

Ps-ref

Ir (kA)

-2

Ps (MW)

-1.5

-1

Qs (Mvar)

Ps (MW)

Ps (MW)

-1

0
-2

0.4

0.5

0.6

Fig. 4. Result of PC based on three voltage
vector during unbalanced grid voltage with
three different control targets

94

0.7

Fig. 5. Result of PC base on only one voltage
vector of DFIG during unbalanced
grid voltage
(e)
with three different control targets

CSP PROTOTYPE: THE COHERENT INTEGRATION OF
DESIGN CHOICES FOR ADVANCING IN SOLAR
THERMAL POWER
aJavier

Muñoz-Antón, aJosé María Martínez-Val, aRubén Abbas,
Muñoz, bÁlvaro Gamarra

bRicardo
aTechnical
bOHL

University of Madrid, José Gutiérrez Abascal 2, 28006, Madrid, Spain (jamunoz@etsii.upm.es)
Industrial, Torre Espacio. Paseo de la Castellana, 259 D, 28046, Madrid, Spain

Abstract
Results from a systematic research on the coherence (and inefficiencies) of current and alternative ways to exploit solar thermal energy by concentrated
solar plants (CSP) are reported in previous authors work, intended to analyze forth and back the energy conversion chain from solar radiation to electricity.
This exercise pointed out the pivotal role of the heat transfer fluid for an effective integration of said energy chain, and CO2 was selected for that role,
because it is a gas without practical limitations in maximum temperature, and very adequate values of critical temperature and pressure. Optimum
operating conditions were attainable in multi-tube receivers illuminated by advanced Linear Fresnel Reflectors with moderate values of radiation
concentration factors; and the architecture of the full solar field system could be simplified in modular lattices leading to minimum values of mass
requirements of the relevant materials, from glass to concrete. The specific investment cost for this new kind of power plant was evaluated in terms of said
mass accountancy, and it was found that solar thermal power could be competitive with fossil fuel power plants in the near future. Developed theory are
being implemented in a prototype already available at Getafe, FUTURO SOLAR, in the south of Madrid. Industrialization of this concept will be carried out
by the Spanish company OHL Industrial.

1. Relevant physical facts of
solar concentration

3. Physics of Fresnel receptors
No pipes mobile parts, lower thermal
requirements, flexibility in design

Simplest (and
cheapest) available
solar receiver

2. Current developments
constraints
High thermal requirements,
temperatures, expensive materials

4. A simplified architecture of
Fresnel Systems
That can be easily (and
cheaply) improved

5. Converting thermal radiation into useful heat
Multitube receptor with CO2

Prototype Located at Getafe (Madrid, Spain)

6. Thermodynamic
cycle - Also using CO2!

7. Performance economics of Fresnel based CSP è Cost competitive!!
5€/W è 1,5 €/W ~ 6,2c€/kWh

Conclusions

Acknowledgements

Fresnel means flexibility to the design process and made it possible to work with gases, so overcoming temperature Technical dicussions within the
limitations acting as a weak link in the energy transformation chain.
research group (GIT) were
The complete integration of design decisions was started from both ends, going forth and back, with a pivotal element essential for this work
which was the heat transfer fluid (HTF). The selection of CO2 as HTF was especially suited for opening new possibilities
in the power block, where Joule-Brayton cycles can offer very high efficiencies and very positive operating features for
- JM Martinez-Val, C Rubbia,
frequent transient conditions, as those of solar power.
HH Sait, R Abbas, J MuñozThe choice of using several tubes in the receiver was essential for having the necessary degrees of freedom for
Antón, A coherent integration
optimizing the thermal performance. It is worth emphasizing that multi-tube receivers seem the correct answer to the
of design choices for
problem of minimizing entropy generation in the energy transformation from concentrated radiation to heat the
advancing in solar thermal
running fluid.
power, Sol. En., Vol.119,
In summary, the systematic research on the coherence (and inefficiencies) of current and alternative ways to exploit 2015, 474-485
solar energy through thermal applications has put Linear Fresnel Reflectors in the right perspective and has opened
- R Muñoz, JM Martínez-Val, R
new ways to exploit CSP, with high enough efficiency and much lower cost than current installations. Although one
Abbas, J Muñoz-Antón, A
could argue about the precise accuracy of some data or some specific calculation, the main features of Fresnel
Rovira, MJ Montes, A
concentrators, multitube receivers and CO2 are well established by themselves and integrally, to produce a promising
Concentrating Solar Power
new type of solar thermal plant for actually competing in the electricity generation market.
Prototype for validating a
new Fresnel-based plant
design, En.Proc., Vol.75,
Future work should improve the accuracy of the different parts of this analysis, as well as the connection between 2015, 423-429
parts in order to guarantee an appropriate overall optimization. In this context, a very important study to be done is
the Thermal Energy Storage, which could improve significantly the previous results, and could embody other missions -www.ohlindustrial.com/
innovacion/iplusdplusi/futuro
for CSP, in relation to the reliability of the electric system.
95
-solar/

References

Future Work

Design and synthesis of selfͲassembled
epindolidiones
and
quinacridones
for
photovoltaic applications
M.Arenasa, V.Alcázara,J.Ramíreza andG.Menéndeza
a

DepartmentofChemicalandEnvironmentalEngineering(m.arenasp@alumnos.upm.es)

Abstract
Organic electronics has become a field of increasing interest due to their potential advantages in terms of processing, fabrication costs and flexibility. Two
of the requirements of an organic compound to have application in photovoltaics are low bandgap (energy difference between frontier orbitals HOMO and
LUMO) and high charge carrier mobilities. Organic photovoltaics (OPVs) can be divided into classes: devices based on polymer semiconductors and devices
based on small organic molecule semiconductors. Here, we present the design, synthesis and characterization of several small molecules with structures of
epindolidione (EPD) and quinacridone (QD) that could fulfill the above requirements.

Introduction
Epindolidione and quinacridone are the hydrogenͲbonded molecules analogues of tetracene and pentacene (4 and 5 linearlyͲfused benzene rings,
respectively). Recently, they have showed their potential as organic semiconductors with hole mobilities in the range of 0.1Ͳ1.0 cm2/V.s. Although both
compounds present interesting advantages as lowͲcost production, excellent stability or low toxicity, they are very insoluble in common solvents which
makes them difficult to implement.
In order to solve this problem we focused on the design and preparation of derivatives that
satisfy the following criteria:
• Proper bandgaps: conjugated double bonds
• High mobilities: molecules able to self assemble through hydrogen bonds and SS stacking
• Substituted with long alkyl chains: to achieve solubility and, if luckily, a liquid crystal behavior

epindolidione

quinacridone

Methods andResults
QuantumCalculations
GAMESS (General Atomic and Molecular Electronic Structure System) has been the ab initio quantum
chemistry package used to estimate the energies of HOMO and LUMO (frontier orbitals) and to study
the molecular dynamics.
HOMO
(eV)
epindolidione Ͳ5,6
quinacridone Ͳ5,5
Material*

LUMO EgfromCV Eg optical Hole mobility Electron mobility
(eV)
(Ev)
(eV)
(cm2/Vs)
(cm2/Vs)
Ͳ2,9
2,7
2,4
1,5
N/A
Ͳ2,9
2,6
2
0,2
0,01
Moleculardynamics simulation ofSS stacking inEPDs

*Datafrom E.D.Glowacki,Adv.Mater.2013,25,1563–1569

Synthesis of organic compounds

UV and fluorescence studies

We have synthesized the following compounds, with the quinacridone
core and different substituents to achieve the desired solubility. Some of
the prepared compounds turned to be highly insoluble and the best
results were obtained for those with the thioether functionality.

The soluble quinacridone compounds have been characterized by UV and
fluorescence spectroscopy. From these spectra, the band gap could be
neasured and the results are in good agreement with the previously
calculated by quantum mechanics.

O

C14H29

thio_iso_9.69EͲ07UVͲVISIBLE

CH3

C14H29

N

C14H29

N

C14H29

N

CH3

O

O

O

H
N

N
H

N
O

H

O

S

H

O

O

H

O

CH3
N

N
N
H

H
N

O

H

S

thio_iso_1.938EͲ06UVͲVISIBLE

1

N

H

NormalizedAbsorbanceorFluorescence

O

N
O

SC18H37

N

CH3

O

N

H37C18S

H

O

thio_iso_4.845EͲ06UVͲVISIBLE
thio_iso_4.485EͲ07FLUORESCENCE

0,8

0,6

0,4

0,2

0
440

460

480

500

520

540

560

580

600

WaveLength(nm)

Structure andpictures ofQDs molecules

UVandfluorescence spectra ofQD(isopropylthioether)insolution

Conclusions
1. A new family of small organic molecule semiconductors with improved solubilities have been prepared.
2. The compounds show a suitable bandgap for a potential application in organic electronics.
3. The molecules are able to self assemble by hydrogen bonds and SS stacking.
4. The behavior of QDs as films and in the presence of acceptor type compounds (PCBM or C60 ) must be carried out.

96

Acknowledgements
We wish tothank Fundación
Repsolfor financial support and
Organic Chemistry Department
ofUSALfor their collaboration.

IMPACT OF THE FLYING CAPACITOR ON THE
BOOST CONVERTER FOR PV APPLICATIONS
Diego Serrano López, J. A. Cobos, Miroslav Vasić
Centro de Electrónica Industrial (cei@upm.es)

Abstract
This poster presents a method to estimate the volume and losses of the Boost and the Boost with Flying Capacitor converters. The main differences
between those topologies are:
• Although there are two more MOSFETs in the Flying Capacitor topology, their voltage rating is half of the voltage rating in the Boost transistors.
• The voltage across the inductor in the Boost with Flying Capacitor is lower than the voltage across the Boost’s inductor.
• The Boost with Flying Capacitor converter has to include two more drivers for the transistor and one more capacitor. Also, the control is more difficult.

Topologies
Boost

Operation
Both converters are operating in triangular conduction mode
(TCM), this mode allows negative current through the inductor
that can be used to achieve ZVS, however, the inductor size and
losses are higher in this mode than in continuous conduction
mode, and the input filter requirements are more restrictive.

Boost with Flying Capacitor

#$%

Boost converter: the duty cycle is ! = 1 " #

.

&'(

Boost with Flying Capacitor converter: the operation depends on
the conversion ratio, for )*+, < 2 · )-. , the sequence is:
1. Charge the inductor and capacitor.
2. Discharge the inductor to the output.
3. Charge the inductor and discharge the capacitor to the output.
4. Discharge the inductor to the output.
The capacitor voltage is V/0342 , the duty cycle is ! = 2 "

Waveforms

5·#$%
.
#&'(

Optimization Process
A Matlab process has been developed in order to generate all the
valid designs for the following specifications:

Dead-time for ZVS

Results
The process will give a list of available designs, each design has a different
number of MOSFETs and capacitors, and a different inductor. The optimized
models are these that have minimum volume and losses.

Pareto Front:
optimized
designs

Conclusion
The Boost with Flying Capacitor has better performance for these specifications.

97

• )-. = 677 )

• 89:; = >? @

• )*+, = A77 )

• )BCDEF9GH = 1I7 JEK

• L*+, = M NO

• PQ:RRST = 2 @ · )*+,

Laser processing for high-efficiency silicon-based
photovoltaics and BIPV
Canteli, a D. Muñoz, a J.J. García-Ballesteros, a Y. Chen,
a A. Marquez, a S. Lauzurica, a M. Morales, a C. Molpeceres
a D.

a

Centro Láser, Universidad Politécnica de Madrid, Alan Turing, 1,
Madrid 28038, Spain (Corresponding author: david.canteli@upm.es)

Abstract
With buildings in Europe using 40 % of total EU energy consumption, in-situ electric generation appears as a very attractive market, but it is necessary an
evolution of the photovoltaic sector form Building Applied Photovoltaics (BAPV) to Building Integrated Photovoltaics (BIPV) to fulfil the aesthetical and
structural criteria. Here we show results of the customization with semitransparencies of both thin film amorphous silicon and standard crystalline
modules using laser ablation and laser cutting processes.

Crystalline solar cells
Laser cutting process

Thin film solar cells

High morphological quality

Laser process parametrization
to obtain outstanding results

Laser processes
Several laser process are used in the
thin film module manufacturing. From
them the so-called P3 and P4 are used
to customize the solar devices.

Excellent electrical behavior

Al
a-Si:H
TCO
Glass

High morphological quality

Excellent electrical behavior
Non optimized P3
Optimized P3
Non optimized P4
Optimized P4

V (V)

Customization strategy
Adaptation of the process to the
desired results in final device.

P3 process

Customization strategy
Test of different designs

Semitransparent thin film solar modules
could be obtained with several laser
processes perpendicular to the monolithic
unions…

Dead
area
Active area

Transparency
20%
6%
P3
P3
P2
P1

Active area

Round corners to minimize
cracks by mechanical stress

P4 process

P4 process

… or with freeform
designs isolated by
optimized P4 processes.

Final products
Crystalline silicon. A module with 40 solar cells with square cuts at
different positions were finished by glass and EVA encapsulation,
were manufactured. The final effect is a partially transparent
module with a desired geometrical design.
Thin films solar cells. Freeform designs could be used to personalize
thin film modules, with almost none deviation in the electric
generation properties apart from the active area reduction.

Conclusions
The acquired experience in laser processes for photovoltaics have been used to develop new concepts for semitransparent photovoltaic modules
production, aiming to the new and future trends of the energy market: BIPV products. Fully commercial nanosecond pulsed laser sources have been
used to obtain laser processes (cutting process in crystalline solar cells and P3 & P4 processes in amorphous silicon solar modules) of outstanding
quality, and have been used to create semitransparent areas in thin film and crystalline modules. As a result, final devices fulfilling the aesthetical
criteria and with good electrical properties have been obtained in both technologies, making them fully compatible with BIPV applications.
Acknowledgments. This work has been supported by the Spanish Ministry of Science and Innovation under projects AMIC ENE2010-21384-C04-02/04, and
98
INNDISOL IPT-420000-2010-6 (FEDER funded “Una manera de hacer Europa”).

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REGULATORYPROPOSALSFORTHEDEVELOPMENTOF
RENEWABLEENERGYSELFͲCONSUMPTIONINSPAIN
aGloriaMármolͲAcitores,bCarlosRodríguezͲMonroy
a
b

TechnicalUniversityofMadrid(UPM),Spain(gloria.macitores@alumnos.upm.es)
TechnicalUniversityofMadrid(UPM),Spain(crmonroy@etsii.upm.es)

Abstract
Article 2.1 of the recent Paris Accord (COP 21) adopted within the context of the United Nations Framework Convention on Climate Change establishes
that a global response to the threat of climate change is required, as well as a decrease in greenhouse gas emissions [1]. On the other hand, the
European Commission recognises that both the industrial and domestic sectors have the possibility of consuming their own electricity, due to the level of
development and innovation of the Member States.
States The rise in electricity prices of most developed countries,
countries together with the gradual decrease in the
cost of renewable generation technologies, results in some estimations foreseeing up to a 75% increase of the selfͲconsumption rate in Central European
households [2]. Nevertheless, there is a lack of regulation on this issue at European level, which has derived in different types of regulations being
approved across EU Member States [3]. In the case of Spain, Royal Decree 900/2015 has been categorised as too restrictive, in the sense of precluding
the financial feasibility of new selfͲconsumption systems’ deployment, whereas other European countries with poorer renewable energy resources are
experiencing a higher growth in the amount of installed capacity for power selfͲconsumption among domestic customers.

Researchquestion

Objective

The main question that this research aims to answer is the
following one: What regulatory approaches should be
adopted in Spain in order to foster power selfͲconsumption
among domestic customers?

The objective of this research is to analyse the current situation associated to power
selfͲconsumption both at international (mostly European) and national level, in order
to develop regulatory proposals that help fostering its deployment and use among
domestic customers in Spain, ensuring the economic feasibility of the power sector.

Methodology
Whatis
powerselfͲ
consumption

Needtofoster
powerselfͲ
consumption

• COP21targets
• Definitionand

selfͲconsumption • Objective202020
system
y

• EC’sNewDealfor
EC’ N D l f
components
EnergyCustomers
• Generation
• Increasingelectricity
technologies
prices,decreasingcost
(solar,miniwind,
ofrenewable
geothermal)

generation
• Storage
technologies
technologies

• Lowerlosses

Current
international
statusand
levelof
development

Comparative
international
regulation

Analysisof
selfͲ
consumption
regulationin
Spain

Regulatory
proposalsto
fosterselfͲ
consumption
inSpain

Installedcapacitybytype • Differentregulatory • RoyalDecree
• Regulatoryproposalsto
oftechnologyandcountry models
1699/2011
stimulatepowerselfͲ
consumption
Amount of energy
Amountofenergy
• Noregulationat
No regulation at
• RoyalDecree900/2015
Royal Decree 900/2015 consumption
producedfromselfͲ
Europeanlevel

Effectsoftheproposed
• Effectsofcurrent
consumptionsystemsby • ECBestPracticeson
regulatoryapproaches
regulationonthe
typeoftechnologyand
RenewableEnergy
economicandfinancial ontheeconomic
country
frameworkofthe
SelfͲConsumption
feasibilityofnewselfͲ
Renewableenergy
consumptionsystems’ Spanishpowersector
resource
deployment
PVelectricitycostmaps
Saleofproduced
energy

$/Wp

Energy
Remuneration

Energyfedintothe
powergrid

NetMetering

Yes

Contributiontothe
system
No

Sources:[4],[5]

R f
References
[1]UnitedNations.2015.ParisAgreement.FrameworkConventiononClimateChange.
[2]VázquezCobos,C.2016.GeneraciónDistribuidayAutoconsumo,EvaluaciónEconómica.GómezͲAcebo&Pombo.ClubEspañoldelaEnergía.
[3]EuropeanCommission.2015.BestPracticesonRenewableEnergySelfͲConsumption.
[4]PricewaterhouseCoopers.2015.ElautoconsumoenEspaña:segmentosresidencialycomercial.
[5]Ossenbrink,Huld,JägerWaldau,Taylor.2013.PhotovoltaicElectricityCostMaps.JRCScientificandPolicyReports.EuropeanCommission.

100

Natural gas decarbonization: A viable option
for a low-Carbon society
a,bA.

Abánades, bR.K. Rathnam, bS. Stückrad, cT. Wetzel, cL. Stoppel,
cT. Geißler, b,dC. Rubbia.
aETSII-Technical

University of Madrid (abanades@etsii.upm.es)
for Advanced Sustainability Studies (IASS)
cKarlsruhe Institute for Technology (KIT)
dEuropean laboratory for Particle Physics (CERN)
bInstitute

Abstract
Greenhouse gas emissions produced by the utilization of fossil fuels need to be drastically reduced to mitigate global warming. Natural gas, for instance, is
called to play a fundamental role in the midterm, covering a significant amount of the world energy demand and as an important feedstock for the
chemical industry (f.i. ammonia and hydrogen production). Carbon capture and sequestration (CCS) is the main technology to avoid CO2 emissions from
hydrocarbons utilization, but could fossil decarbonization be a viable option to minimize anthropogenic emissions?. In particular methane decomposition
was proposed in the past as a technique to be applied into a low-Carbon economy, but its implementation was not proven to be technically and
economically viable at industrial scale. We have verified the concept of an innovative methane decomposition reactor based on methane injection into
liquid metal that may be scalable to industrial scale and econonomically competitive, providing an alternative pathway to use natural gas while
safeguarding the climate and facilitating the integration of a clean energy carrier like hydrogen in the energy sector.

Methane decarbonization enables fossil resources utilization in a low-carbon economy
The carbon is removed from natural gas, showing potential
applications as structural, light and high conductivity material.
The scientific viability was proven at laboratory scale, but
critical technological showstoppers have avoided its scalability.
A new innovative reactor based on the injection of methane
into a liquid metal bubble column reactor has been tested in a
framework of a collaboration between KIT and IASS, with the
technical coordination of UPM (IASS/UPM contract
agreement) and the leadership of Prof. Rubbia.

Project achievements
Experimental verification of the innovative concept

• Suitable glass reactor material and bubbling device have been
identified for the operation with liquid metal (tin).
– Null corrosion
– Operation close to 1200 ºC achieved.
– Hydrogen Power of the order of 100 W (Lower Heating Value)
• Measurement of hydrogen yield in the liquid metal column
reactor. 78% hydrogen yield reached at 1200 ºC. No significant (<
1%) production of other.
• Operation of the experimental device for several days.
• Life cycle assessment shows lower environmental impact than
steam reformer and similar to electrolysis driven by wind.

According to our diagnosis of the technology readiness level, the methane cracking technology with liquid metal has improved from TRL2 to TRL4
during the development of the project. From the knowledge that exist at the current development level, methane cracking with liquid metal
technology is viable from the technical and economic point of view, and beneficial from the environmental point of view as a tool to reduce effectively
greenhouse gases emissions

Next steps
Development from TRL4 to TRL5 by the integration of all the components of the industrial process at laboratory scale: thermal heating, CH4/H2
separation, heat recovery.
Achievement of TRL6: Design, construction and operation of a mid-scale prototype (20 kW-H2)

Related peer-reviewed publications

A. Abánades, R.K. Rathnam, T. Geißler, A. Heinzel, K. Mehravaran, G. Müller, M. Plevan, R.K. Rathnam, C. Rubbia, D. Salmieri, L. Stoppel, S. Stückrad,
A. Weisenburger, H. Wenninger, Th. Wetzel. Development of methane decarbonisation based on liquid metal technology for CO2-free production of
hydrogen. International Journal of Hydrogen Energy, In Press, Corrected Proof, Available online 23 December 2015

T. Geißler, M. Plevan, A. Abánades, A. Heinzel, K. Mehravaran, R.K. Rathnam, C. Rubbia, D. Salmieri, L. Stoppel, S. Stückrad, A. Weisenburger, H.
Wenninger, Th. Wetzel. Experimental investigation and thermo-chemical modeling of methane pyrolysis in a liquid metal bubble column reactor with
a packed bed. International Journal of Hydrogen Energy, Volume 40, Issue 41, 2 November 2015, Pages 14134-14146

M. Plevan, T. Geißler, A. Abánades, K. Mehravaran, R.K. Rathnam, C. Rubbia, D. Salmieri, L. Stoppel, S. Stückrad, Th. Wetzel. Thermal cracking of
methane in a liquid metal bubble column reactor: Experiments and kinetic analysis. International Journal of Hydrogen Energy 40 (2015) 8020-8033

A. Abánades, C. Rubbia, D. Salmieri. Thermal cracking of methane into Hydrogen for a CO2-free utilization of natural gas. International Journal of
Hydrogen Energy, Volume 38, Issue 20, 2013, Pages 8491-8496

A. Abánades, C. Rubbia, D. Salmieri. Technological challenges for industrial development of hydrogen production based on methane cracking.
Energy 46 (2012) 359-363

A. Abánades et al. Experimental analysis of direct thermal methane cracking.
101 International Journal of Hydrogen Energy 36 (2011) 12877-12886

Thermodynamic analysis of an integrated gasification combined
cycle with chemical-looping combustion and CO2 sequestration
Jiménez Álvaro, aIgnacio López Paniagua, aCelina González
Fernández, aJavier Rodíguez Martín, aRafael Nieto Carlier

aÁngel

Corresponding author (contact email: a.jimenez@upm.es)
of Energy Engineering (ETSII). Universidad Politécnica de Madrid

a Department

Abstract
Chemical-looping combustion is an interesting technique that makes it possible to integrate power generation from fuels combustion and sequestration of
carbon dioxide without energy penalty. This research provides results about the energetic performance of an integrated gasification combined cycle (IGCC)
power plant based on CLC of synthesis gas. A real understanding of the behavior of this concept of power plant implies a complete thermodynamic
analysis, involving several interrelated aspects as the integration of energy flows between the gasifier and the combined cycle, the restrictions in relation
with heat balances and chemical equilibrium in reactors and the performance of the gas turbines and the downstream steam cycle. Simulations to
evaluate the energetic efficiency of this CLC-IGCC power plant under diverse working conditions have been carried out, and a comparison with a
conventional integrated gasification power plant with precombustion capture of carbon dioxide has been made. Different synthesis gas compositions have
been tried to check its influence on the results.

CLC concept

CLC-gas turbine block

Paragraph

In CLC air and fuel never get in contact. An oxygen
carrier is used instead, typically a metal oxide,
generically denoted by MeO
1.

Fuel reactor:

(2n+m)MeO + CnHm → (2n+m)Me + mH2O + nCO2
MeO + CO → Me + CO2
2.

Air reactor:

Me + ½O2 → MeO

CLC-IGCC plant

Results
Composition and LHV of resulting synthesis gases A and B.
Fuel
Syngas A
Syngas B

Composition (% volume)
LHV (kJ/kg)
CO
CO2
H2
H2O N2
Ar
46.90 18.45 26.02 0.02 8.09 0.53
8 069
46.47 8.23 37.19 0.03 7.84 0.24
11 257

Energy yields of CLC-IGCC power plant. Reference case TIT = 1500 K; pr = 20 bar.
Fuel
WCLC-GT (MW) WST (MW) Waux (MW) Waux (MW) hth (%)
Syngas A
143.29
123.19
44.02
221.46
42.54
Syngas B
152.83
132.01
44.95
239.90
45.67
Comparison of thermal efficiency and operating conditions between CLC and
conventional IGCC.
Fuel

IGCC type
Gas turbine
conventional
GE 9371 FB
Syngas A
proposed CLC
modeled
conventional Siemens SGT5-2000E
Syngas B
proposed CLC
modeled

TIT (K)
1700
1500
1422
1500

pr (bar)
18.2
20.0
11.8
20.0

hth (%)*
38.40
42.54
38.50
45.67

* Including power consumption for CO2 separation and compression up to storage pressure

Conclusions
A very important enhancement to the thermal efficiency has been found in the comparison between a CLC system and a conventional combustion system.
Saving the large amount of energy required to capture CO2 in the case of conventional combustion implies a very significant increase of the power plant
thermal efficiency. The figures of 4 and 7 percentage points for the particular fuels under study (with a higher increase in performance for the fuel with
more carbon, as the savings in CO2 capture becomes higher) have been obtained. Although an important effort on research and significant technical
development are needed results show that the CLC cycle offers a great potential for efficient power generation with low CO2 emissions.

102

Utilizing the Internet of Things to promote energy
awareness and efficiency at discrete production
processes: Practices and methodology
aFadi Shrouf, bBing Gong, bJoaquin Ordieres, c Giovanni Miragliotta
aUPM -Spain, POLIMI - Italy, University of Applied Sciences -Germany (fadi.shrouf@polimi.it)
b
c

UPM -Spain,
POLIMI - Italy

Abstract
This research aims to investigate how to utilize the Internet of Things (IoT) paradigm at the shop floor level (by
providing real-time energy consumption data) to increase energy awareness and efficiency at discrete
manufacturing companies.
ØProviding a systematic way (i.e. a methodology) to adopting IoT technology at shop floor to increase energy
consumption awareness and then improve energy efficiency of production systems.

ØUnderstanding of energy-efficient production management practices that are enhanced and enabled by the
Internet of Things technology. In addition, defining the benefits that can be obtained thanks to adopting such
management practices.
ØMinimizing energy consumption cost during production processes with consideration of the fluctuations in energy
prices (i.e., hourly based).
ØAmount of energy consumed, its cost, and CO2 emitted are defined at operation level
ØMaking it possible for factories to show their stakeholders how much CO2 is emitted when producing the product,
with consideration to energy sources.

103

Dynamics of Spanish gas prices and Brent oil effects. A
quantitative approach.
a Pablo
a

A. Cansado-Bravo, a Carlos Rodríguez-Monroy

ETSII – UPM. pablo.cansado.bravo@alumnos.upm.es/ crmonroy@etsii.upm.es

Abstract
This paper examines the relationship between Spanish wholesale gas prices (SG) and Brent prices with special attention to oil prices features and volatility
in particular, over the period 2002 – 2013. Empirical statistics analysis is carried out in the first part of the study to confirm that Spanish gas returns
similarly to oil returns depart from normality, are negatively skewed and allow for heavy tails of infrequent but extreme deviations. Moreover and using
financial modelling tools it is found that both series, i.e. Spanish gas and oil prices exhibit clear indications of interconnected volatility clustering
properties. In view of this in the second part of the study we aim to characterize the best volatility model based on GARCH family models that can capture
above stylized facts but also that can show some light on the relative effects of oil prices into gas prices for modelling and forecasting.
Keywords— Spanish wholesale gas price, crude oil price, persistence, volatility clustering, autocorrelation, GARCH, EGARCH, volatility modelling.

Background to relevant econometrics applied to oil and Spanish gas prices theory
A number of stylized facts about the volatility of crude oil prices have emerged over the past years, similarly to other financial series, as it has been
confirmed in numerous studies. In line with this we examine those oil price and gas features in parallel, using general statistical analysis but also the tools of
modern financial econometrics. It is important to note that the existing literature on crude oil time series supports the evidence of similar behavior to other
financial series regarding main characteristics displayed (Kang, 2008 [1] ; Cheung 2009 [2] ; Auer, 2014 [3] ). Stylized facts investigated are: persistence of
volatility shocks (implying that the fluctuation of prices has permanents effects on its volatility), the leverage effects (the downward movements are
followed by greater volatilities than upward movements of the same magnitude) and volatility clustering (slow decaying behaviour of the nonlinear
autocorrelation functions).

Are SG prices persistent?
We investigate into the root properties of SG prices over the period 2002-2013 by initially using generic ADF test applied at a one-sided 1 and 5 percent
confidence levels to find that at those significance levels and similarly to Brent oil and NBP ADF test results, we cannot reject the hypothesis that SG prices
are integrated of order one and therefore are highly persistent. For modelling purposes it is interesting to realize that SG would be highly unpredictable as
their volatility could grow without bound in the long run also indicating that there is no obvious arbitrage opportunity for the investors in the Spanish gas
market, at least based on regular imported wholesale volumes.
Figure 1_Clustering analysis of gas and Brent returns

How are SG prices volatility clusters?
A quantitative manifestation of this universal attribute of market
data is that while returns themselves do not show the evidence of
temporal correlations, the absolute returns or their squares do
display a positive, pronounced slowly decaying autocorrelation .
In order to quantify SG series volatility clustering we introduce a
moving window reference to obtain valid statistics over the p%
threshold fluctuations within a n-month window. As it can be seen
in Figure 1, SG returns (solid) display a much higher frequency of
occurrence over the threshold than crude oil distributed returns
(dash) or than a typical Gaussian distribution (dash dot).
Brent vs. SG returns clustering behavior, this represented by
frequency of largest-than 20% fluctuations in each 20-month
window. Interestingly, clustering behavior of SG returns is more
extreme and peaks and valleys show a larger dimension than
those for oil as shown before.

Modeling SG gas price volatility
Results obtained from the selected EGARCH (3, 2) model indicate
that the volatility of SG returns is fairly persistent, with the
estimated β parameter controlling the decay of the
autocorrelation function being 0.5359.
An alternative measure of volatility persistence is the half-life of a volatility shock (HLS), which is the time it takes for the volatility to move halfway back
towards its unconditional variance after it receives a shock. In our case, SG returns implied HLS is about 1.11 months.

Conclusions
In this paper we have analyzed the main properties of Spanish gas prices (SG) with especial focus on volatility clustering. Consequently we propose a
sound volatility model able to capture those features including persistence in volatility and its mean-reverting behavior, the asymmetric impact of positive
versus negative innovations and volatility clustering. Using AIC and BIC criteria but also other relevant features supporting the decision like size,
significance of the model’s coefficients and the ability to represent persistence, we found that the best model was the EGARCH (3, 2).

References
[1] Kang, S., Kang, S., Yoon, S., 2008. Forecasting Volatility of Crude Oil Markets. Energy Economics 31 (1), 119–125.[2]
[2] Cheung, C, 2009. Modelling and forecasting crude oil markets using ARCH-type models. Energy Policy. 2346 -2355.
[3] Auer, B., Schuhmacher, F., 2014. Performance Hypothesis Testing with the Sharpe Ratio.. Finance Research Letters 10 (4), 196–208.
104GARCH models. Energy Economics. 1477-148
[4] Wei, Y., Wang, Y., Huang, D., 201. Forecasting crude oil market volatility using

THERMODYNAMIC EVALUATION OF SOLAR
FOSSIL HYBRID POWER PLANTS
a,b J.

Rodríguez Martin, bS. Sánchez-Orgaz, bA. Jiménez Álvaro, bI. López
Paniagua, bC. González Fernández, bR. Nieto Carlier

aCorresponding
b

author affiliation (Javier.rodriguez.marti@upm.es)
Energetic Engineering Department (ETSII). Universidad Politécnica de Madrid

Abstract
We are in an energetic context in which to the plants of generation of electricity demands are high efficiency, low costs, low fuel consumption and
low CO2 emissions. The solar fossil hybrid power plants possible to achieve these aims through a combination solar and fossil. From the group of
investigation of Thermodynamic Applied to the Industrial Engineering (TAII) developing an investigative labor destined for the analysis and
energetic optimization, exergetic, economic and environmental way of this type of plants.

SOLAR HYBRID MULTI-STEP GAS TURBINES
A general model for an irreversible solar-driven Brayton multi-step heat
engine is presented. The model incorporates an arbitrary number of turbines
(Nt) and compressors (Nc) and the corresponding reheating and intercooling
processes. For the solar collector, we assume linear heat losses, and for the
Brayton multi-step cycle, we consider irreversibilities arising from the nonideal behavior of turbines and compressors, pressure drops in the heat input
and heat release, heat leakage through the plant to the surroundings, and
non-ideal couplings of the working fluid with the external heat reservoirs.

PUBLICATIONS

INTEGRATED SOLAR COMBINED CYCLE SYSTEMS (ISCCS)
Three alternatives for integrating a solar field with the
bottoming cycle of a combined cycle plant are modeled:
parabolic troughs with oil at intermediate and low cycle
pressures and Fresnel linear collectors at low cycle pressure. A
thermoeconomic study of the operation of the plant
throughout a year has been carried out.. The energy
efficiencies obtained are very similar. The exergy efficiencies
are slightly better for hybrid operation than for fuel-only
mode, due to the high exergy destruction associated with
post-combustion. The economic study shows that the Fresnel
hybridization alternative offers similar performance to the
others at a significantly lower cost.

- S. SÁNCHEZ-ORGAZ, A. MEDINA y A. CALVO HERNÁNDEZ. Thermodynamic model and optimization of a multi-step irreversible Brayton cycle.
Energy Conversion and Management, 2010, vol. 51, pp. 2134-2143.
- S. SÁNCHEZ-ORGAZ, A. MEDINA y A. CALVO HERNÁNDEZ. Maximum overall efficiency for a solar-driven gas turbine power plant. Int. J. Energ.
Res., 2013, vol. 37,pp 1580-1591.
- S. SÁNCHEZ- ORGAZ, A. MEDINA y A. CALVO HERNÁNDEZ. Recuperative solar-driven multi-step gas turbine power plants. Energy Conversion and
Management, 2013, vol. 67, pp. 171-178.
- S. SÁNCHEZ-ORGAZ , M. PEDEMONTE , P. EZZATTI , P.L. CURTO-RISSO , A. MEDINA y A. CALVO HERNÁNDEZ . Multi-objective optimization of a
multi-step solar-driven Brayton plant. Energy Conversion and Management, 2015, vol. 99, pp. 346-358.
- E. BERNARDOS, I. LÓPEZ, J. RODRÍGUEZ, A. ABÁNADES. Assessing the potential of hybrid fossil–solar thermal plants for energy policy making:
Brayton cycles. Energy Policy , 2013, vol. 62, pp 99–106.
- J. RODRÍGUEZ MARTÍN , E. BERNARDOS RODRÍGUEZ, I. LOPEZ PANIAGUA and C. GONZÁLEZ FERNÁNDEZ. Thermoeconomic Evaluation of
Integrated Solar Combined Cycle Systems (ISCCS). Entropy 2014, vol. 16, pp 4246-4259.

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ESTIMATION OF BLACK CARBON EMISSIONS
FROM COOKSTOVES IN AFRICA
aC.

de la Sota , bM. Kane, aJ. Lumbreras, cM. Viana, aJ. Mazorra,
aA.Narros, aR.Borge, cX.Querol
aTechnical

University of Madrid (UPM) (candela.delasota@upm.es)
Anta Diop University (UCAD)
aSpanish National Research Council (CSIC)
bCheikh

A large portion of the Black Carbon (BC) released to the atmosphere comes from burning biofuel in cookstoves. However, BC household emissions
estimates are rather uncertain. We tested eight cooking systems (fuel-stove combination) widely used in Africa in a Laboratory Emissions Monitoring
System in Dakar (Senegal). PM2.5 mass was collected using a gravimetric system and then BC content was analyzed using three different filter-based
techniques: Nexleaf system, Smoke Stain Reflectometer and Sunset Laboratory Dual Optics Carbon Analyzer. A good agreement was observed between
them. This information is very useful for resource-constrained locations were high cost measurement techniques aren’t affordable. This work provides
useful data that may improve the reliability of global and regional emission inventories and provide information for the implementation of measures to
improve indoor air quality. Future research is needed to evaluate more types of stove and fuels, both in laboratory and under real cooking conditions.

Introduction
Nowadays, half of the world population depend on biofuels to satisfy their cooking energy needs. These
fuels are burnt inside homes in poorly efficient stoves, with important consequences on human health
and the environment. Global inventories indicate that residential pollution sources are responsible for
over 25% of Black Carbon (BC) emissions worldwide (Bond et al., 2004). Thus, the control of these
emissions through the implementation of cleaner and more efficient cooking technologies could be
crucial for climate change mitigation (Venkataraman et al., 2005).

Materials and methods
BC emissions were collected on filter samples using a Laboratory Emissions
Monitoring System (LEMS) in Dakar (Senegal) specially designed for cookstove
testing. Three replicates of the Water Boiling Test were conducted to test each
cooking system (stove-fuel combination). Eight cooking systems were tested:
the combination of four stove types (traditional three stone fire, rocket,
improved ceramic stove and gasifier) and two wood species commonly used
in this area (Cordyla pinnata and Casuarina equisetiflolia). Filter BC contents
were analysed using three techniques (see figure on right), in order to identify
suitable solutions for resource-constrained locations were high cost
measurement techniques aren’t affordable.

Results and discussion
102 quartz fiber filters were analysed with the three analytical methods. A
logarithmic regression model was fitted between reflectance values (RR) and
the Elemental Carbon (EC) load (µg/cm2) from the Sunset analyser:
EC = -6.185·ln(RR) + 27.279 (R2 = 0.865) that can be used to estimate the EC
content on the filters using the reflectometer. A linear regression of BC data
load from the Nexleaf system versus Sunset-derived EC values shows a relative
good agreement, although indicates that the Nexleaf system overestimates BC
charge by 35% approximately. This can be explained because optical methods
may account for other light absorbing carbon forms other than BC, and also to
the lower precision of the method. Regarding wood species, black carbon
emissions from Cordyla pinnata were higher than those from Casuarina
equisetifolia regardless of the stove. This confirms that the type of wood used
as fuel is an important factor influencing BC emissions. A more detailed
analysis of the two wood types is needed to explain the differences in more
detail. The type of stove was also found to have a significant effect on the BC
emissions. The rocket and ceramic improved stoves have a stronger draft and
higher temperature flames, creating more warming particles. The three-stone
fire produces less of these particles, as it produces a larger bed of charcoal
under the flaming fuel. The gasifier stove creates little flame but more
charcoal, producing lower BC emissions. Field studies are need to assess BC
emissions of these stoves under real cooking conditions. Moreover, total PM
emissions and organic carbon fraction should also be addressed to estimate
the net radiative forcing and thus, the potential climate effect of each cooking
system.

References
-Bond T.C., Streets D.G., Yarber K.F., Nelson S.M.,. Woo J.H., Klimont Z. 2004. A technology-based global inventory of black and organic carbon emissions
from combustion. J. Geophys. Res. 109, D14203.
-MacCarty N., Ogle D., Still D. , Bond T., Roden C., Willson B.2007. Laboratory Comparison of the Global
warming Potential of Six Categories of Biomass Cooking Stoves. Aprovecho Research Center, 26 p
-Venkataraman et al. (2005), Residential Biofuels in South Asia: Carbonaceous
Aerosol Emissions and Climate Impacts, Science 307.
109

Explaining landfill emissions – why do models
and in-situ measurements differ?
*C.

Sánchez, A. Narros, I. Del Peso, M. De la Fuente, E. Rodríguez

Department of Chemical and Environmental Engineering
*(carlos.sanchezf@upm.es)

Abstract
Fugitive emissions from the surface of landfills constitute an important source of carbon dioxide and methane that are emitted to the atmosphere and
contribute to the greenhouse effects. Quantifying those emissions can give valuable information, not only, on the amount of those gases which are
released into the atmosphere but on their environmental consequences. They can also help to evaluate another aspects related to the landfill
management like the seal efficiency or the gas recovery. Quantifying fugitive emissions is not an easy task, due to the heterogeneity of the waste into the
landfills, their huge dimensions and the influence of others factors like the site meteorology. Several measurement methods as well as prediction models
for determine this type of emissions can be found in the bibliography. In this study an approach to the method described on the Guidance on monitoring
landfill gas surface emissions (EA 2010), will be followed in order to obtain the fugitive emissions of several landfill sites in Spain. Some preliminary results
obtained in two landfills near Madrid show differences between the emissions measured and the values calculated using theoretical models.

Material and methods
Walkover survey
The procedure used to cover this part of the study has
been to make a sweep walk from the surface of both
landfills with a methane portable analyzer (PMD)
equipped with a probe to sample the air at ground
level (figure 1). This allows to determine, from the
methane concentration in each sampled point, the
main sources of emission such as surface cracking and
fissures. There are other specific areas where it is
common to find high concentrations of methane like
gas collection wells, landfill edges or side slopes. The
amount and distribution of the most significant
sources of emission (figure 2) is used as qualitative
data to determine the sampling points for the next
step of the measure process: the flux box campaigns.
Figure 2. Walkover survey results for landfill A

Figure 1. Walkover survey sampling

Flux box campaign
The method of the flux box consists in
accumulating inside a closed container the
gases emitted by a given surface and
analyze the evolving gas concentration
inside it. The scheme in figure 3-1 shows
Figure 3-2. Measuring with a flux box
the main components of a flux box. Very
economical and easy commercially available materials have been used for
making these flow chambers as can be seen in figure 3-2.
After placing the flux box and sealed against the surface of the landfill,
data from carbon dioxide and methane concentration at regular intervals
were taken. The representation of this data (figure 4) results in a line that
determines the rate of emission of these gases per unit of time and area.
2000

Figure 3-1. Flux box components scheme
CH4 (ppm)
CO2
y = 96,72x + 413,58
R² = 0,9953

CO2 (ppm)
Concentration (ppm)

1500

Results
Measured data of landfill emissions are of the same order of magnitude than the estimated
data in the inventory nevertheless there are significant differences in the values obtained for
landfill B. In this case the model gives an emission value which is twice the measured
emission. This difference cannot be justified with the available data and some additional
campaigns are planned, even in other landfill sites, to confirm if the IPCC model
overestimates the landfill emissions. The following table shows the annual methane
emission inventoried by the municipality of Madrid for A and B landfills in tons. The result
for 2015 has been calculated with the data obtained in the flux box campaign.

1000
CH4
y = 110,6x + 143,33
R² = 0,9993
500

0
0

2

4

6

8
Time (min)

10

12

14

16

Figure 4. Representation of data collected with a flux box

Acknowledgements

Year
Landfill A
Landfill B

2009
7.587,06
15.233,01

2010
6.799,29
16.397,40

2011
5.366,61
17.708,84

2012
5.303,77
18.677,42

2013
3.914,03
19.674,89

2015*
1.681,92
11.300,40

This study was developed in the scope of the project “Optimización de la gestión de residuos municipales” (CTQ 2013-48280-C3-2R) funded by the
Spanish Ministry of Economy and Competitiveness.

110

HIGH RESOLUTION EMISSION ESTIMATION IN
HOT-SPOTS OF MADRID (SPAIN)
*C.

Quaassdorff, R. Borge, D. de la Paz, J. Pérez, J.M. de Andrés,
J. Lumbreras
Laboratory of Environmental Modelling. Chemical and Environmental
Engineering Department. Technical University of Madrid.
*christina.quaassdorff@etsii.upm.es

Abstract
This work aims at obtaining high resolution NOx and PM10 emissions from
road traffic at hot-spots in Madrid (Spain). For that, 12 1-hour
representative scenarios are simulated with the traffic microsimulation
model VISSIM. Measured traffic data (fluxes and fleet composition) are used
as input for the model to obtain speed-time profiles for each vehicle.

These profiles are used to predict representative emission factors for different
vehicle classes in the VERSIT+micro model through the ENVIVER interface.
Emission factors are compared with the ones of COPERT 4, a widely used
average-speed model, as a preliminary model assessment. The results are
strongly influenced by low average speeds due to saturated traffic situations.

Introduction
Since pollution levels exceed the legal limits in specific traffic-related urban locations it is necessary to
develop additional emission reduction measures on hotspots and highly polluted micro-environments
mainly in urban areas where traffic represents one of the major contribution to emissions (Borge et al.,
2012). On these specific points finer-scale tools are needed because of the complexity of the processes
that define emissions from mobile sources (Borge et al., 2014). Therefore, there is a need to test
microsimulation models that may reproduce with great detail traffic activity in small areas and may
provide reliable emission able to feed CFD microscale air quality models (Santiago et al., 2013) and
support
supp
pport the definition of effective abatement options.
op

a)
Fig2. Video cameras deployed to characterize
traffic fluxes composition and detailed routes

Fig3. General flowchart of the modelling system

Methodology
and
Results
M
h d l
dR
l
Fig1.
Fig1
Fi
g1. Real
g1
Real ttra
traffic
raff
ffic
ff
ic n
net
network
etwo
et
work
rk im
imag
image
agee fr
from
om FL
FL (a)
(a) vs.
vs
simulated network with the VISSIM model (b)

b)

Scenario E1

Scenario E2

The first selected hot-spot is Fernández Ladreda (FL), a roundabout with complex geometry,
Th
high traffic flow and a freeway crossing through a tunnel in Madrid (Fig1 a). An intensive field
campaign with cameras was carried out to obtain accurate traffic data (Fig2). 12 representative
1-hour length scenarios from a weekly pattern are simulated with the VISSIM model (Fig1 b).
Resulting speed-time profiles are fed to the emission model VERSIT+micro and the different
vehicle classes are assigned through the ENVIVER interface. This methodology allows to
compute emission distributions with a resolution of 5m x 5m aggregated to 1-hour and also the
total emission in the area for the different scenarios. The results are strongly influenced by
average speeds in the road network which are affected by traffic intensity and congestion
(Fig4). Scenarios with low traffic intensity show fluid traffic conditions presenting high
emissions only in the vicinity of traffic lights. This methodology is validated comparing the
emission factors with the ones of the average-speed emission model COPERT 4.
Scenario E1
Scenario E2
PM (g/h)
NO (g/h)

NOx (g/h)
x

PM10 (g/h)
10

45.0 - 65.0

1.500 - 2.500

30.0 - 45.0

1.000 - 1.500

23.0 - 30.0

0.900 - 1.000

18.0 - 23.0

0.700 - 0.900

15.0 - 18.0

0.600 - 0.700

12.0 - 15.0

0.500 - 0.600

10.0 - 12.0

0.400 - 0.500

8.0 - 10.0

0.350 - 0.400

6.0 - 8.0

0.300 - 0.350

5.0 - 6.0

0.250 - 0.300

4.0 - 5.0

0.200 - 0.250

3.0 - 4.0

0.160 - 0.200

2.5 - 3.0

0.120 - 0.160

2.0 - 2.5

0.100 - 0.120

1.5 - 2.0

0.080 - 0.100

1.0 - 1.5

0.060 - 0.080

0.7 - 1.0

0.040 - 0.060

0.5 - 0.7

0.025 - 0.040

0.2 - 0.5

0.010 - 0.025

0.0 - 0.2

0.000 - 0.010

Fig4. NOx and PM10 emission distribution aggregated to 1h for free flow conditions (Scenario E1) and saturated traffic conditions (Scenario E2) with 5 x 5 m resolution

Conclusions
A suitable combination of traffic and emissions micro-simulation models is needed to accurately define the emissions in hot-spots. NOx and PM10
emissions are up to 27 and 23 times larger respectively during peak hours than those of free-flow conditions, non-rush hours. Differences in both total
emissions and specific emission factors (by travelled distance) highlight the potential of local measures in traffic hot-spots. The results are in agreement
with the ones of COPERT 4 and are promising as inputs for CFD models that may be used to design and test microscale air quality abatement measures.

Acknowledgements
Funded by the Madrid City Council and the
project TECNAIRE-CM (S2013/MAE-2972).
Traffic modelling system VISSIM available
by PTV AG and emission modelling system
VERSIT+micro/ENVIVER available by TNO.

References
Borge, R., et al. 2012. Comparison of road traffic emission models in Madrid (Spain). Atmos. Environ.
62, 461-471.
Borge, R., et al. 2014. Emission inventories and modeling requirements for the development of air
quality plans. Application to Madrid (Spain). Sci. Total Environ. 466-467, 809-819.
Santiago, J.L., et al. 2013. A computational fluid dynamic modelling approach to assess the
111 of urban monitoring stations. Sci. Total Environ. 454-455, 61-72.
representativeness

IMPACT OF HALOGENS CHEMISTRY ON THE AIR
QUALITY OF URBAN COASTAL AREAS
aM.

Muñiz, aA. Saiz-López, bR. Borge and bD. De la Paz

aAtmospheric

Chemistry and Climate group, Institute of Physical-Chemistry “Rocasolano” –
CSIC, Madrid, Spain (mmuniz@iqrf.csic.es).
bEnvironmental Modelling Laboratory. Department of Chemical & Environmental Engineering,
Technical University of Madrid (UPM), Madrid, Spain.

Abstract
Recent measurements of speciated halogen species with advanced instrumentation have confirmed the presence of an oceanic halogen emission source.
The sea-air flux and associated chemistry of chlorine-, bromine- and iodine-containing compounds affects new particle formation, mercury cycling,
oxidative capacity, and O3 mixing ratio of the marine atmosphere. These halogen species undergo photolysis and react with oxidants to release chlorine,
iodine or bromine, which can then catalytically react with O3 to reduce or increase its levels in the marine athmosphere. With the increasing focus on
background O3 levels, marine halogen sources/chemistry have been the subject of several recent laboratory, field, and modeling studies. Despite the
demostrated impact of marine halogen emissions/chemistry on O3 mixing ratios, these processes are currently not accounted for in most regional air
quality models1. The objective of this project is to study the impact that can generate such emissions in the atmosphere of coastal cities performing
simulations of air quality models. The Community Multiscale Air Quality (CMAQ) modelling system will be used to perform the corresponding simulations
and in the first instance we will focus our reasearch on the city of Los Angeles (USA), located on the eastern Pacific.

Halogen chemistry in the marine troposhere
Ozone destruction and generation cycles
Chlorine cycles2

Bromine and Iodine cycles3 (X = I, Br)

Methodology
Model description
The Community Mustiscale Air Quality (CMAQ) modeling system is a comprehensive multi-scale regional air quality model accounting for interactions
among major atmospheric processes. CMAQ is an active open-source development project of the U.S. EPA Atmospheric Science Modeling Division that
consists of a suite of programs for conducting air quality model simulations. CMAQ is supported and distributed by the CMAS Center.4
TEST CASE:
•The CB05TUCl chemical mechanism that integrates chlorine chemistry with Carbon
Bond mechanism will be used.
•Two simulations will be carried out. The first simulation will be completed using
CB05TUCl mechanism without halogen chemistry. The second one will be completed
using CB05TUCl mechanism and halogen chemistry .
•The simulations for the city of Los Angeles will be performed for a month, August of
2006.
•Simulations using different domains (36x36 km2, 12x12 km2) will be performed to
provide suitable boundary conditions for the a high resolution (4x4 km2) domain (Fig
1).
•SMOKE model has been used to build the emission inputs from the US National
Emission Inventory (NEI) and the regional inventory from the California Air Resources
Board (ARB) .
•SA Surrogate Tool has been used to generate the data needed to spatially allocate
emissions from area sources.
Fig 1. Modeling domain of Los Angeles (4x4 km2):
'LA_4M'
'LAM_40N97W' -2088000.0 -612000.0 4000.0 4000.0 81 72 1

•All halogen and biogenic emissions are calculated on-line.
References:
(1) Sarwar et al., Environ.Sci.Technol., 49(15), 9023-9211, 2015.
(2) Sarwar et al., Atmos. Chem. Phys., 12, 6455-6473, 2012.
(3) Simpson et al., Chem. Rev., 115(10), 4035-4062, 2015.
(4) Byun
112 and Schere, App. Mech. Rev., 59 (2), 51–77, 2006.

Impact of WRF urban parameterizations in the
performance of CMAQ on 1 km2 resolution
annual runs in Madrid (Spain)
aDavid

Tar-industrial
-------------------------------Tecnologías Ambientales y
Recursos industriales
http://tarindustrial.etsii.upm.es

de la Paz, aRafael Borge, bAlberto Martilli

a

Chemical & environmental engineering department. (Technical University of Madrid,
Spain. (dpaz@etsii.upm.es)
b CIEMAT (Research Centre for Energy, Environment and Technology), Madrid, Spain

Abstract
Eulerian 3D mesoscale models can consistently describe a wide range of spatial scales, from continental to urban scale. However, urban areas present
features that are usually missed by land-surface and PBL modules commonly implemented in those models. Meteorological models such as the Weather
Research and Forecasting model (WRF) incorporate urban parameterizations to take into account changes in albedo, roughness length and thermal
properties imposed by buildings. In this contribution, two different urban canopy models implemented within WRF are tested in Madrid and the impact on
high-resolution annual air quality simulations through the Community Air Quality Model (CMAQ) is assessed.

Methodology

Lambert conformal projection (α=20°N, β=60°, ϒ=3°W)
Lambert Conformal projection (α=20ºN, β=60ºN, γ=3ºW)

Four nested domains were used for the WRF (Skamarock and Klemp, 2008) simulations, with a resolution up
to 1 km2 over the Madrid metropolitan area (Figure 1) with the general model set-up used in Borge et al.
(2008). The urban parameterizations tested are the default urban model within the Noah Land Surface
Model (BULK) (Liu et al., 2006) (a bulk-transfer scheme with increased surface roughness length and
reduced evapotranspiration for urban surfaces) and a more complex multi-layer canopy parameterization
that takes into account the urban drag force, heating and turbulent kinetic energy production and
dissipation induced by the urban canopy, the Building Energy Parameterization (BEP) (Martilli et al., 2002).
Models outputs were compared with observations from 6 meteorological and 36 air quality stations
throughout the Madrid urban area, representative of different urban morphologies. Different land use
Figure 1. WRF model domains and urban classes
covers were processed to produce the urban classes considered in the parameterization (Figure 1).
D4 WRF – 1 Km

Colmenar Viejo

Alcobendas

Torrejon
de Ardoz

Majadahonda

Madrid

Leganes

D3 WRF – 4 Km

Getafe

CMAQ – 1 Km
K

D2 WRF – 16 Km

D1 WRF – 48 Km

Air quality

Meteorology
A complete annual run was performed with both, BEP parameterization
and BULK scheme. Some of the most influential variables from the air
quality point of view (such as temperature and wind speed) were
compared with representative measurements (Figure 2).

WRF outputs were used to feed the CMAQ chemical-transport model. To
assess the implications of WRF configuration in air quality, the
corresponding outputs were compared with observations of NO2 and PM2.5
from 26 monitoring stations throughout the modelling domain (Figure 3).

Evaluation

URBAN [BEP] – BASE [BULK]

a

b

a

b

NO2

Temperature(°C)

Evaluation

URBAN [BEP] – BASE [BULK]

PM2,5

Wind speed (m/s)

1

1

Figure 2. a) Differences T2, WSpeed; b) Evaluation with observations
§ T2m. BEP yields higher surface
temperature (0.5 to 1.2K), mostly
due to higher predictions in winter
and nightime. BEP predictions are
worse in all cases with an overal
bias of 1.7K (0.7K for the BULK
reference model)

§ Wind Speed. Wind speed is
reduced by 0.8 m/s as an average in
the city centre and up to 3 m/s in
the city outskirts. BEP brings about
a clear improvement of wind fields
(up to 1.6 m/s compared to those of
the BULK parameterization).

Conclusions
§ BEP application significantly improves wind speed predictions in the city.
§ Wind speed can be pointed out as a key variable for AQ modelling in
urban areas, since this improvement has a strong positive effect on CMAQ
predictions (NO2 , O3 and PM2.5)
§ A realistic representation of the interaction between the urban canopy
and the atmosphere improves meteorological forecasting and substantially
improves the skills of Eulerian 3D air quality models

Acknowledgements
§ Madrid City Council for providing the meteorological
and air quality data.
§ The TECNAIRE-CM scientific programme is funded by
the Directorate General for Universities and Research of
the Greater Madrid Region (S2013/MAE-2972)

Figure 3. a) Differences NO2, PM2.5; b) Evaluation with observations
§ NO2 BEP brings about an increase
of 10-18 µg/m3 in the annual mean
within the city. Average NO2 bias of
the model is reduced to 1 μg/m3.
Better IOA is achieved for most of
the monitoring stations, mainly
those in high density urban areas.

§ PM2.5 Improvements up to 2
µg/m3 in the annual mean are
observed in the high-density
innermost part of the city. Despite
improving biases and errors, also a
better index of agreement.

References
§ Borge, R., Alexandrov, V., del Vas, J.J., Lumbreras, J., Rodríguez, M.E.,
2008. A comprehensive sensitivity analysis of the WRF model for air
quality applications over the Iberian Peninsula. Atmospheric Environment
42, 8560–8574.
§ Liu, Y., Chen, F., Warner, T., Basara, J., 2006. Verification of a mesoscale
data assimilation and forecasting system for the Oklahoma city area
during the joint urban 2003 field project. Journal of Applied Meteorology
45, 912–929.
§ Martilli, A., Clappier, A., Rotach, M.W., 2002. An urban surface exchange
parameterisation for mesoscale models. Boundary Layer Met. 104, 261-304.
§ Skamarock, W.C. and Klemp, J.B., 2008. A time-split non-hydrostatic

113atmospheric model. Journal of Computational Physics 227, 3465–3485.

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ŝŵƉƌŽǀĞŵĞŶƚŽĨƵƌďĂŶĂŝƌƋƵĂůŝƚLJ;dE/ZͲDͿ
ĂZ͘ 

ŽƌŐĞ͕Ă͘EĂƌƌŽƐ͕ď&͘DĂƌƚşŶ͕ď͘ƌƚşŹĂŶŽ͕Đ͘ zĂŐƺĞ͕Ě͘ ^ĂŝnjͲ
>ſƉĞnj͕ ď&͘:͘'ſŵĞnjͲDŽƌĞŶŽ͕Ă͘ ĚĞůĂWĂnj͕Ă͘ YƵĂĂƐƐĚŽƌĨĨ͕Ă:͘
>ƵŵďƌĞƌĂƐ͕Ă:͘WĠƌĞnj͕Ă:͘D͘ĚĞŶĚƌĠƐ͕Ă͘ 'ĂƚſŽ͕Ă͘ZŽĚƌşŐƵĞnj

Ă>ĂďŽƌĂƚŽƌLJ

ŽĨŶǀŝƌŽŶŵĞŶƚĂůDŽĚĞůůŝŶŐ͘ŚĞŵŝĐĂůĂŶĚŶǀŝƌŽŶŵĞŶƚĂůŶŐŝŶĞĞƌŝŶŐ 
ĞƉĂƌƚŵĞŶƚ͘dĞĐŚŶŝĐĂůhŶŝǀĞƌƐŝƚLJŽĨDĂĚƌŝĚ͕^ƉĂŝŶ
;ƌďŽƌŐĞΛĞƚƐŝŝ͘ƵƉŵ͘ĞƐͿ
ďĞƉĂƌƚŵĞŶƚŽĨŶǀŝƌŽŶŵĞŶƚ͕/Dd;ZĞƐĞĂƌĐŚĞŶƚƌĞĨŽƌŶĞƌŐLJ͕ŶǀŝƌŽŶŵĞŶƚ
ĂŶĚdĞĐŚŶŽůŽŐLJͿ͕DĂĚƌŝĚ͕^ƉĂŝŶ
ĐĞƉĂƌƚŵĞŶƚŽĨ'ĞŽƉŚLJƐŝĐƐĂŶĚDĞƚĞŽƌŽůŽŐLJ͕hŶŝǀĞƌƐŝƚLJŽŵƉůƵƚĞŶƐĞ ŽĨDĂĚƌŝĚ͕
&ĂĐƵůƚLJŽĨWŚLJƐŝĐĂů^ĐŝĞŶĐĞƐ͕DĂĚƌŝĚ͕^ƉĂŝŶ͘
ĚƚŵŽƐƉŚĞƌŝĐ ŚĞŵŝƐƚƌLJ ĂŶĚůŝŵĂƚĞ ŐƌŽƵƉ͕/ŶƐƚŝƚƵƚĞ ŽĨWŚLJƐŝĐĂůͲŚĞŵŝƐƚƌLJ
͞ZŽĐĂƐŽůĂŶŽ͟ʹ ^/͕DĂĚƌŝĚ͕^ƉĂŝŶ 

ďƐƚƌĂĐƚ
dE/Z ;ŝŶŶŽǀĂƚŝǀĞ ƚĞĐŚŶŽůŽŐŝĞƐ ĨŽƌ ƚŚĞ ĂƐƐĞƐƐŵĞŶƚ ĂŶĚ ŝŵƉƌŽǀĞŵĞŶƚ ŽĨ ƵƌďĂŶ Ăŝƌ ƋƵĂůŝƚLJͿ ŝƐ Ă ƐĐŝĞŶƚŝĨŝĐ ƉƌŽŐƌĂŵŵĞ ĨƵŶĚĞĚ ďLJ ƚŚĞ ŝƌĞĐƚŽƌĂƚĞ 'ĞŶĞƌĂů
ĨŽƌ hŶŝǀĞƌƐŝƚŝĞƐ ĂŶĚ ZĞƐĞĂƌĐŚ ŽĨ ƚŚĞ 'ƌĞĂƚĞƌ DĂĚƌŝĚ ZĞŐŝŽŶ ;^ϮϬϭϯͬDͲϮϵϳϮͿ͘ dŚŝƐ ƌĞƐĞĂƌĐŚ ƉƌŽũĞĐƚ ƵůƚŝŵĂƚĞůLJ ĂŝŵƐ ƚŽ ƐŽůǀĞ Ăŝƌ ƋƵĂůŝƚLJ ŝƐƐƵĞƐ ŝŶ ƚŚĞ
'ƌĞĂƚĞƌ DĂĚƌŝĚ ZĞŐŝŽŶ ;DͿ ďLJ ďƌŝĚŐŝŶŐ ƚŚĞ ŐĂƉƐ ĂŵŽŶŐ ƚŚĞ ŵŽĚĞůůŝŶŐ ĂŶĚ ŵĞĂƐƵƌŝŶŐ ƚĞĐŚŶŝƋƵĞƐ ƚŽ ĐŽŶƐŝƐƚĞŶƚůLJ ĂƐƐĞƐƐ Ăŝƌ ƋƵĂůŝƚLJ ŝŶ ƵƌďĂŶ ĞŶǀŝƌŽŶŵĞŶƚƐ͘
dŚĞ ĞdžƉĞĐƚĞĚ ŽƵƚƉƵƚ ĨƌŽŵ ƚŚŝƐ ƌĞƐĞĂƌĐŚ ĞĨĨŽƌƚ ŝƐ Ă ƐŝŐŶŝĨŝĐĂŶƚ ĐŽŶƚƌŝďƵƚŝŽŶ ƚŽ ĂƚŵŽƐƉŚĞƌŝĐ ƐĐŝĞŶĐĞ ǁŝƚŚ Ă ĚĞĐŝĚĞĚ ĨŽĐƵƐ ŽŶ ƉƌŽǀŝĚŝŶŐ ƵƐĞĨƵů ŝŶĨŽƌŵĂƚŝŽŶ ĂŶĚ
ƚŽŽůƐ ƚŽ Ăŝƌ ƋƵĂůŝƚLJ ŵĂŶĂŐĞƌƐ ĂŶĚ ĚĞĐŝƐŝŽŶͲŵĂŬĞƌƐ͕ ƐŽ ƚŚĂƚ ƚŚĞ ƉƌŽũĞĐƚ ŝƐ ĂůƐŽ ƌĞůĞǀĂŶƚ ƉŽůŝĐLJͲǁŝƐĞ͕ ďƌŝŶŐŝŶŐ ďĞŶĞĨŝƚƐ ĨƌŽŵ ƚŚĞ ĞĐŽŶŽŵŝĐ ĂŶĚ ƐŽĐŝĂů ƉŽŝŶƚ ŽĨ
ǀŝĞǁ͘ dŚĞ ĐŽŶƐŽƌƚŝƵŵ ŝƐ ŝŶƚĞŐƌĂƚĞĚ ďLJ Ɛŝdž ƌĞƐĞĂƌĐŚ ŐƌŽƵƉƐ ĨƌŽŵ ƚǁŽ ƉƵďůŝĐ ƵŶŝǀĞƌƐŝƚŝĞƐ ĂŶĚ ƚǁŽ ƉƵďůŝĐ ƌĞƐĞĂƌĐŚ ŝŶƐƚŝƚƵƚŝŽŶƐ ĂƐ ǁĞůů ĂƐ ƚǁŽ ƉƵďůŝĐ
ĂĚŵŝŶŝƐƚƌĂƚŝŽŶƐ͕ ƚĞŶ ĐŽůůĂďŽƌĂƚŽƌ ĐŽŵƉĂŶŝĞƐ ĂŶĚ Ă ƐĞƌŝĞƐ ŽĨ ĂƐƐŽĐŝĂƚĞĚ ŝŶƚĞƌŶĂƚŝŽŶĂů ƌĞƐĞĂƌĐŚĞƌƐ ĨƌŽŵ ĚŝĨĨĞƌĞŶƚ ŝŶƐƚŝƚƵƚŝŽŶƐ ǁŽƌůĚǁŝĚĞ͘ dŚŝƐ ĐŽůůĂďŽƌĂƚŝǀĞ
WƌŽŐƌĂŵŵĞ ŝŶƚĞŶĚƐ ƚŽ ĚĞǀĞůŽƉ ƚĞĐŚŶŽůŽŐŝĞƐ ŚĞůƉĨƵů ƚŽ ƚĂĐŬůĞ ůŽĐĂů Ăŝƌ ƋƵĂůŝƚLJ ŝƐƐƵĞƐ ďƵƚ ŝƚ ĂůƐŽ ƉƌĞƚĞŶĚƐ ƚŽ ďĞ ƚŚĞ ĨŝƌƐƚ ƐƚĞƉ ŝŶ ƚŚĞ ĞƐƚĂďůŝƐŚŵĞŶƚ ŽĨ Ă
ƚĞĐŚŶŽůŽŐŝĐĂů ĂŶĚ ƐĐŝĞŶƚŝĨŝĐ ŶĞƚǁŽƌŬ ƌĞůĞǀĂŶƚ ŝŶƚĞƌŶĂƚŝŽŶĂůůLJ ŝŶ ƚŚĞ ĨŝĞůĚ ŽĨ Ăŝƌ ƋƵĂůŝƚLJ͘

hƌďĂŶĂŝƌƋƵĂůŝƚLJŝƐƐƵĞƐ 
ĐĐŽƌĚŝŶŐ ƚŽ ƚŚĞ tŽƌůĚ ,ĞĂůƚŚ KƌŐĂŶŝnjĂƚŝŽŶ ;t,KͿ͕ ŽƵƚĚŽŽƌ Ăŝƌ ƉŽůůƵƚŝŽŶ ĐĂƵƐĞƐ ϯ͘ϳ ŵŝůůŝŽŶ ƉƌĞŵĂƚƵƌĞ ĚĞĂƚŚƐ ĂŶŶƵĂůůLJ͕ ŵŽƐƚ ŽĨ ƚŚĞŵ ŝŶ ƵƌďĂŶ ĂƌĞĂƐ
ǁŚĞƌĞ ďŽƚŚ͕ ĞŵŝƐƐŝŽŶ ƐŽƵƌĐĞƐ ĂŶĚ ƉŽƉƵůĂƚŝŽŶ ĐŽŶĐĞŶƚƌĂƚĞ͘ dŚĞƌĞĨŽƌĞ͕ ƚĂĐŬůŝŶŐ ƵƌďĂŶ Ăŝƌ ƋƵĂůŝƚLJ ĐŽŶƐƚŝƚƵƚĞƐ Ă ƉƌĞƐƐŝŶŐ ƉƌŝŽƌŝƚLJ ĨƌŽŵ ƚŚĞ ƐŽĐŝĂů ĂŶĚ ƉŽůŝƚŝĐĂů
ƉŽŝŶƚ ŽĨ ǀŝĞǁ͘ ,ŽǁĞǀĞƌ͕ ƚŚĞƌĞ ŝƐ Ɛƚŝůů Ă ůĂĐŬ ŽĨ ŵŽŶŝƚŽƌŝŶŐ ĂŶĚ ŵŽĚĞůůŝŶŐ ƚĞĐŚŶŽůŽŐŝĞƐ ĚĞƚĂŝůĞĚ ĞŶŽƵŐŚ ƚŽ ĂƐƐĞƐƐ ĞŵŝƐƐŝŽŶ ĂďĂƚĞŵĞŶƚ ƉŽůŝĐŝĞƐ ĂŶĚ ŵĞĂƐƵƌĞƐ
ĐŽŶƐŝĚĞƌŝŶŐ Ăůů ƚŚĞ ƌĞůĞǀĂŶƚ ĂƚŵŽƐƉŚĞƌŝĐ ƉƌŽĐĞƐƐĞƐ ĂŶĚ ŵƵůƚŝͲƐĐĂůĞ ƉŚĞŶŽŵĞŶĂ ŝŶǀŽůǀĞĚ ŝŶ ƵƌďĂŶ Ăŝƌ ƋƵĂůŝƚLJ͘ dŚŝƐ ŝƐ ŵŽƌĞ ĞǀŝĚĞŶƚ ŝŶ ƉĂƌƚŝĐƵůĂƌ ƵƌďĂŶ ŵŝĐƌŽͲ
ĞŶǀŝƌŽŶŵĞŶƚƐ ;ƐƋƵĂƌĞƐ͕ ũƵŶĐƚŝŽŶƐ͕ ĞƚĐ͘Ϳ ŝŶ ƚŚĞ ĐŝƚŝĞƐ ǁŝƚŚ ƉĂƌƚŝĐƵůĂƌůLJ ŚŝŐŚ ĂŵďŝĞŶƚ Ăŝƌ ĐŽŶĐĞŶƚƌĂƚŝŽŶƐ ŽĨ ƉŽůůƵƚĂŶƚƐ ƐƵĐŚ ĂƐ EKϮ Žƌ WDϮ͘ϱ͕ ŐĞŶĞƌĂůůLJ
ĂƐƐŽĐŝĂƚĞĚ ƚŽ ŚŝŐŚ ƚƌĂĨĨŝĐ ŝŶƚĞŶƐŝƚLJ͕ ƵƐƵĂůůLJ ƌĞĨĞƌƌĞĚ ƚŽ ĂƐ ŚŽƚͲƐƉŽƚƐ͘ dŚĞ ĐŚĂƌĂĐƚĞƌŝnjĂƚŝŽŶ ŽĨ ƉŽůůƵƚŝŽŶ ĚLJŶĂŵŝĐƐ ŝŶ ƐƵĐŚ ŚŽƚͲƐƉŽƚƐ ƉŽƐĞƐ Ă ŵĂũŽƌ ƐĐŝĞŶƚŝĨŝĐ
ĐŚĂůůĞŶŐĞ͘ ƵŝůĚŝŶŐƐ ĂŶĚ ŽƚŚĞƌ ŽďƐƚĂĐůĞƐ ŽĨ ƚŚĞ ƵƌďĂŶ ůĂŶĚƐĐĂƉĞ ĂŶĚ ƚŚĞ ŵŽǀĞŵĞŶƚ ŽĨ ǀĞŚŝĐůĞƐ ďƌŝŶŐ ĂďŽƵƚ ǀĞƌLJ ĐŽŵƉůĞdž ĚŝƐƉĞƌƐŝŽŶ ƉĂƚƚĞƌŶƐ ƚŚĂƚ ŐĞŶĞƌĂƚĞ
ƐƚƌŽŶŐ ĐŽŶĐĞŶƚƌĂƚŝŽŶ ŐƌĂĚŝĞŶƚƐ ŝŶ ƚŝŵĞ ĂŶĚ ƐƉĂĐĞ ƚŚĂƚ ĂƌĞ ǀĞƌLJ ŚĂƌĚ ƚŽ ĚĞƉŝĐƚ ǁŝƚŚ ƚŚĞ ĐƵƌƌĞŶƚ ŵŽŶŝƚŽƌŝŶŐ ĂŶĚ ŵŽĚĞůůŝŶŐ ƚĞĐŚŶŝƋƵĞƐ͘

dŚĞƉƌŽũĞĐƚ
dŚĞ ƌĞƐĞĂƌĐŚ ĂĐƚŝǀŝƚŝĞƐ ĂƌĞ ĚŝƐƚƌŝďƵƚĞĚ ŝŶ ƐĞǀĞŶ ǁŽƌŬŝŶŐ ĂƌĞĂƐ Žƌ KďũĞĐƚŝǀĞƐ͘ &ŝƌƐƚůLJ͕ Ă ƐĞƌŝĞƐ ŽĨ ĞdžƉĞƌŝŵĞŶƚĂů ĨŝĞůĚ
ĐĂŵƉĂŝŐŶƐ ǁŝůů ďĞ ĐĂƌƌŝĞĚ ŽƵƚ ;KďũĞĐƚŝǀĞ ϭͿ ŝŶ ƐĞǀĞƌĂů ƉůĂĐĞƐ ŽĨ ƚŚĞ DĂĚƌŝĚ ĐŝƚLJ͕ ƌĞƉƌĞƐĞŶƚĂƚŝǀĞ ŽĨ ĚŝĨĨĞƌĞŶƚ ƚLJƉĞƐ ŽĨ
ƵƌďĂŶ ŚŽƚͲƐƉŽƚ͘ KďƐĞƌǀĂƚŝŽŶĂů ĚĂƚĂ ĨƌŽŵ ƚŚĞƐĞ ĐĂŵƉĂŝŐŶƐ ǁŝůů ďĞ ƵƐĞĚ ƚŽ ĨĞĞĚ ĂŶĚ ǀĂůŝĚĂƚĞ ƚŚĞ ŵŽĚĞůůŝŶŐ ƚĞĐŚŶŝƋƵĞƐ
ƚŽ ďĞ ĚĞǀĞůŽƉĞĚ ŝŶ dE/Z͘ ŽŶǀĞŶƚŝŽŶĂů ŵŽŶŝƚŽƌŝŶŐ ƚĞĐŚŶŝƋƵĞƐ ĂƌĞ ƵŶĂďůĞ ƚŽ ƉƌŽǀŝĚĞ ƚŚĞ ŝŶĨŽƌŵĂƚŝŽŶ
ƌĞƋƵŝƌĞŵĞŶƚƐ ŽĨ ƚŚĞƐĞ ŵŽĚĞůƐ͕ ƐŽ ĂůƚĞƌŶĂƚŝǀĞ ŵĞĂƐƵƌĞŵĞŶƚ ŵĞƚŚŽĚƐ͕ ŝŶĐůƵĚŝŶŐ ŵŝĐƌŽƐĞŶƐŽƌ ŶĞƚǁŽƌŬƐ͕ ǁŝůů ďĞ ƚĞƐƚĞĚ
ƵŶĚĞƌ KďũĞĐƚŝǀĞ Ϯ͘
dƌĂŶƐƉŽƌƚ ƉĂƚƚĞƌŶƐ ǁŝůů ďĞ ƌĞƉƌŽĚƵĐĞĚ ďLJ ƚŚĞ ĂƉƉůŝĐĂƚŝŽŶ ŽĨ ŵŝĐƌŽƐĐĂůĞ Ăŝƌ
ƋƵĂůŝƚLJ ŵŽĚĞůƐ ďĂƐĞĚ ŽŶ ŽŵƉƵƚĂƚŝŽŶĂů &ůƵŝĚ LJŶĂŵŝĐƐ ;&Ϳ ŵĞƚŚŽĚƐ
;KďũĞĐƚŝǀĞ ϱͿ͘ ĞƐŝĚĞƐ ŚŝŐŚ ƚĞŵƉŽƌĂů ĂŶĚ ƐƉĂƚŝĂů ƌĞƐŽůƵƚŝŽŶ ŽďƐĞƌǀĂƚŝŽŶƐ͕
ƚŚĞ ĚĞǀĞůŽƉŵĞŶƚ ĂŶĚ ĂƉƉůŝĐĂƚŝŽŶ ŽĨ & ŵŽĚĞůƐ ĨŽƌ ƵƌďĂŶ ŚŽƚͲƐƉŽƚƐ
ƌĞƋƵŝƌĞ ĞƋƵĂůůLJ ƌĞƐŽůǀĞĚ ;ŵĞƚĞƌƐ͕ ƐĞĐŽŶĚƐͿ ŵŝĐƌŽƐĐĂůĞ ĞŵŝƐƐŝŽŶ
ŝŶǀĞŶƚŽƌŝĞƐ͘ ,ŝŐŚ ƌĞƐŽůƵƚŝŽŶ ĞŵŝƐƐŝŽŶ ŵŽĚĞůƐ ǁŝůů ďĞ ĐŽƵƉůĞĚ ƚŽ
ŵŝĐƌŽƐĐĂůĞ ƚƌĂĨĨŝĐ ƐŝŵƵůĂƚŝŽŶ ŵŽĚĞůƐ ĨŽƌ ƚŚŝƐ ƉƵƌƉŽƐĞ ;KďũĞĐƚŝǀĞ ϰͿ͘ 
ŽƵŶĚĂƌLJ ĐŽŶĚŝƚŝŽŶƐ ĐŽŶƐƚŝƚƵƚĞ ĂŶŽƚŚĞƌ ĐƌƵĐŝĂů ŝŶƉƵƚ ĨŽƌ Ăŝƌ ƋƵĂůŝƚLJ
ŵŝĐƌŽƐĐĂůĞ ŵŽĚĞůůŝŶŐ͘ Ŷ ĞĨĨĞĐƚŝǀĞ ůŝŶŬĂŐĞ ďĞƚǁĞĞŶ ŵŝĐƌŽƐĐĂůĞ ĂŶĚ
ŵĞƐŽƐĐĂůĞ͕ ƵƌďĂŶ ůĞǀĞů Ăŝƌ ƋƵĂůŝƚLJ ƉƌŽĐĞƐƐĞƐ ŵƵƐƚ ďĞ ŵĂĚĞ ďLJ ŐĞŶĞƌĂƚŝŶŐ
ĚLJŶĂŵŝĐ ďŽƵŶĚĂƌLJ ĐŽŶĚŝƚŝŽŶƐ͕ ďŽƚŚ ĨŽƌ ƚŚĞ ĐŚĞŵŝĐĂů ĐŽŵƉŽƐŝƚŝŽŶ ŽĨ ƚŚĞ
ĂƚŵŽƐƉŚĞƌĞ ĂŶĚ ƚŚĞ ƌĞůĞǀĂŶƚ ŵĞƚĞŽƌŽůŽŐŝĐĂů ƉĂƌĂŵĞƚĞƌƐ͘ dŚĞƌĞĨŽƌĞ͕ Ă
ŚŝŐŚůLJͲĚĞƚĂŝůĞĚ ĂŶĚ ƐƉĞĐŝĨŝĐ ŵĞƐŽƐĐĂůĞ Ăŝƌ ƋƵĂůŝƚLJ ŵŽĚĞůůŝŶŐ ƐLJƐƚĞŵ ǁŝůů
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WƌŽŐƌĂŵŵĞ ;KďũĞĐƚŝǀĞ ϲͿ ďĂƐĞĚ ŽŶ ĐŽŶǀĞŶƚŝŽŶĂů ƚĞĐŚŶŝƋƵĞƐ͕ ƐĞŶƐŽƌƐ ĂŶĚ
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ĐŽŶƚƌŝďƵƚŝŽŶƐ ŽĨ ƚŚĞ ŵĂŝŶ ĞŵŝƐƐŝŽŶ ƐŽƵƌĐĞƐ ĂŶĚ ŝŶĨůƵĞŶĐĞƐ ĨƌŽŵ ĚŝĨĨĞƌĞŶƚ
ƐĐĂůĞƐ ƐŽ ƚŚĞ ƌĞƐƵůƚƐ ĨƌŽŵ ĞdžƉĞƌŝŵĞŶƚĂů ĐĂŵƉĂŝŐŶƐ ĐĂŶ ďĞ ďĞƚƚĞƌ
ƵŶĚĞƌƐƚŽŽĚ ĂŶĚ ƚŽ ǀĂůŝĚĂƚĞ ƚŚĞ ĚŝĨĨĞƌĞŶƚ ŵŽĚĞůƐ ŝŶǀŽůǀĞĚ ŝŶ ƚŚŝƐ ƌĞƐĞĂƌĐŚ
;KďũĞĐƚŝǀĞ ϳͿ͘
&ŽƌŵŽƌĞŝŶĨŽƌŵĂƚŝŽŶ͕ƉůĞĂƐĞǀŝƐŝƚŽƵƌǁĞďƐŝƚĞ͗

114
www.tecnaire-cm.org

Local scale air pollution forecasting by artificial
intelligence techniques and assess the pollutionrelated social effects
aBing

Gong, aJoaquín Ordieres

aUniversidad

Politécnica de Madrid (bing.gong@alumnos.upm.es)

Abstract
Since the air pollution can cause serious health problem, the concerns about forecasting air pollution timely
and accurately arise by researchers in order to alert the public avoiding high level pollution and help the
government make decisions. In our research, we take Hong Kong (finished research) and the cities in Mexico
(finishing) and Mainland China (starting), especially the high pollutant areas such as Mexico City and Beijing,
as study cases. Meanwhile, various types of artificial intelligence techniques are employed to achieve the
goals. Furthermore, we also extent our research from forecast pollution to assess the air pollution – related
social effects, for example health impact and its economic loss, which are also the concerned by public and
the governments.

115

New Exploration of Comparative Advantage
Theoretical Model for International Trade in the
Context of Global Carbon Emissions Reduction
a,bGuo

Qing, a Shuai Chuanmin

of Economics and Management, China University of Geosciences,
Wuhan, Hubei 430 074 China(qingguovip@gmail.com)
b Industrial Engineering Department, Technical University of Madrid, Madrid 28006 Spain

a ISchool

Abstract
With the increasing world’s greenhouse gas (GHG) emissions and pressing global warming, the Earth’s ecological environment for human beings survival is
ever more threatened by the carbon dioxide (CO2), which is caused by the production and livelihood of the human beings themselves. Therefore, it is
essential for the whole world to take strong measures for carbon emissions reduction. Under such circumstances, the traditional comparative advantage
theory of international trade is bound to be challenged. Based on the classic comparative advantages of international trade and H-O theoretical model, this
paper constructs a new Ricardian model and H-O theoretical model in combination of the carbon factor, using methodologies of theoretical deduction and
comparative analyses. The results indicate: (1) considering the carbon factor, the original comparative advantage of international trade will disappear, and
the original direction of trade flow changes. What is more, the country that has a comparative advantage in the production of certain products turns into
the country that has the disadvantage; (2) in the case of remaining the same nature of factors, when taking the carbon factor into account, the original
comparative advantage of international trade will be reversed. Based on the results of these analyses, this paper proposes relevant suggestions.
Key words : carbon factor; theory of comparative advantage; H-O theory; international trade

The value/impact of the research:
(1) Academic Impact
It is the first to establish a theoretical model of international comparative trade advantages under the background of global carbon emissions, enriching
the theory of comparative advantage, it is another major leap forward in the history of the theory of comparative advantage.
(2) Reality Significance
The new theoretical model of international trade comparative advantages were analyzed and built. It revealed a new change of comparative advantage
of different countries’ export products under background of the global climate change and carbon emissions; it lead and nurture developing country
production and export the low-carbon products; Thus achieving global carbon emissions and protecting the environment. So, the text has an important
practical significance.

116

Sustainability of photocatalytic technologies on
urban pavements: from laboratory tests to in field
compliance criteria (LIFE-PHOTOSCALING)
aJ.M.

Cordero, aR. Borge, aA. Narros, bM. Castellote, bM. Sapiña,
cE. Martínez,aJ. Lumbreras, aE. Rodríguez
aETSII

Industriales, Chemical and Environmental Engineering Department (jmcordero@etsii.upm.es)
Eduardo Torroja Institute for Construction Science
cThe City Council of Madrid
bIETcc-CSIC,

Abstract
The European Directive 2008/50/EC (AQD) states that harmful pollutant emissions for the human health and the environment should be avoided,
prevented or reduced, and establishes thresholds values for air contaminants, including nitrogen oxides (NOx). The AQD sets up a NO2 annual limit value
(LV) for the protection of human health of 40 ʅg/m3 and an hourly limit value of 200 ʅg/m3 (not to be exceeded more than 18 times per year). These
threshold values are often unaccomplished in urban areas, mainly due to road traffic. The PHOTOSCALING Project (co-funded by the European LIFE
instrument) focuses on reducing NO2 airborne concentration by demonstrating the feasibility of the photocatalytic technology (including the assessment
of both direct and indirect possible deleterious effects of nanoparticles) in urban areas and creating the instruments for scaling up this technology from
the laboratory-scale tests to a real world-scale in our cities overcoming the barriers that nowadays hinder its applicability (efficiency, safety and durability).

Introduction

NO22 Enero-Diciembre
annual mean (ʅg/m
NO
20153)

In Madrid, despite recent efforts made (Madrid City Council, 2012),
there are still problems meeting the LV set for NO2 (e.g. the annual LV
shown in Fig. 1). Road traffic is the main contributor to both emissions
and ambient air concentration (Borge et al., 2014).

Fig. 1. 2015 annual
mean NO2
concentration recorded
in different air quality
monitoring stations in
Madrid. The horizontal
red line represents the
annual LV.

70
60
50
40
30
20
10
0

The Photocatalytic Process
TiO2-based nanoparticles receive the sunlight radiation. This radiation,
within the range of UVA wavelength, produces the promotion of
electrons from the valence band to the conduction band, leaving
positive holes. These pairs hole-electron promote redox reactions that
produce OH radicals with a high oxidation potential. To summarize, the
adsorbed O2 captures the electrons from the conduction band, whereas
the hydroxyl radicals are produced by the interaction of adsorbed H2O
with the holes. Then the OH radicals oxidize the NO to NO2, and finally
to NO3-, which eventually leachates with water. The TiO2-based
photocatalysts can be contained into urban pavements, behaving as a
photocatalytic material able to oxidize NOx, VOCs, soot and other
pollutants, as shown in Fig. 2.

Conduction
n Band

O2

eUV


hv

Band Gap

O2OH

NOx

h+

H2O

Valence
e Band

The PHOTOSCALING project

NO3-

Fig. 2. Diagram of the TiO2-NOX photocatalytic process.

The proposed project aims at develop the methodological basis for scaling up photocatalytic technology and demonstrate its potential and applicability to
the industrial level. The project timetable spans from late 2014 to mid 2019 and the main stages are:
• Construction of two demonstration photocatalytic platforms (Fig. 3-4) at pilot plant technical scale, one in the IETcc facilities and other in Arganda del
Rey to test eight representative combination of construction materials and photocatalytic commercial products (2015).
• Developing prototypes for measuring in situ the photocatalytic efficiency in a well-controlled real life urban environment and the effect of frictional
interaction with tires and simulation of accelerating ageing under real-life conditions (2015-2017).
• Development of indicators of the photocatalytic efficiency, durability of the material and unwanted deleterious effects (2017-2018).
• Modelling of the photocatalytic process coupled with environmental actions (2016-2019).
• Development of a decision support tool, to undertake the sustainability of each particular solution including a life cycle assessment (LCA) (2017-2018).
• Validation of the tool developed in real –full scale- conditions. A surface of 4000 m2 of a real street of Madrid will be covered with the optimal
photocatalytic material (2018-2019).
Water conductions

PLATFORM 1-IETcc

Bank of Proofs 1:
Natural conditions
Water collection points

30 m

Bank of Proofs 2:
A meteorological station records the
variables: RH, wind speed, precipitation,
Temperature

Ageing real urban life
Leaching

2m

2m
Bank of Proofs 3:
Frictional aspects
Emisions of particles

Without Photocatalysts

Fig. 3. Construction of the demonstration platforms.

References

30 m

Fig. 4. Diagram of the IETcc demonstration platform. There are four 8-slab banks of proofs
for performing different kinds of tests, including a bank with the same materials without
photocatalysts for reference blank.

• Borge et al. (2014). Emission inventories and modeling requirements for the development of air quality plans. Application to Madrid (Spain).
Science of the Total Environment 466-467, 809-819.
• Madrid City Council, 2012. Madrid's Air Quality Plan 2011–2015. GD of Sustainability, Government Division of Environment, Safety and Mobility .

Acknowledgements

117with the contribution of the LIFE financial instrument of the European Union.
LIFE-PHOTOSCALING has been funded

Life cycle assessment as effective tool to supply
sustainable products and services
aJ.

Pérez, bM. Vedrenne, aJ. Lumbreras, aE. Rodríguez

aDepartment of Chemical and Environmental Engineering.
Technical University of Madrid, José Gutiérrez Abascal 2, 28006- Madrid.
(javier.perez@etsii.upm.es)
bRicardo-AEA, Air & Environment Quality, 55 Bryanston Street, W1H 7AA London, UK

Abstract
The Life Cycle Assessment (LCA) is a methodology used to quantify the potential environmental impacts of products and services. It can be used as a
corporate or governmental strategic planning instrument, especially oriented to design, supply and promote sustainable products and services (ecofriendly). This paper contains three examples of LCA studies carried out in the TAR-Industrial research group, in order to show the usefulness of LCA
methodology as an effective tool in decision-making process. All these cases were developed according to the International Standards Organization (ISO)
14040 and 14044 regarding life cycle assessment standards, data reductions and allocation procedures.

Renovation of Madrid taxi fleet

Urban waste containers

Objective: to evaluate the environmental impact of the municipal taxi fleet renovation in four
scenarios (figure 1): BAU (“business as usual”), AQP (expected scenario at the end of the Madrid Air
Quality Plan 2015), ADI (a conservative “all-diesel” scenario), and AEC (an optimistic “all-ecologic”
vehicles scenario). System boundaries: fuel life cycle (well-to-tank, WtT, and tank-to-wheel, TtW)
and vehicle life cycle (manufacturing and transportation). Functional unit: one vehicle · kilometre
(veh·km). LC impact assessment methodology: ILCD 2011 Midpoint V1.01. Environmental impacts
evaluated: acidification (AC), climate change (CC), particulate matter (PM), photochemical ozone
formation (PO) and terrestrial eutrophication (TE). Software: SimaPro 7.03 and Copert 4.10.
Inventory data: Ecoinvent 2.0, producers, EmiTRANS & GlobalTRANS database, Madrid City Council.

Objective: to evaluate the environmental impact
associated to municipal solid waste (MSW)
containers, and to analyse the differences between
Madrid districts. System boundaries: raw materials
extraction and processing and container
production. Functional unit: one litre of container
capacity per year. LC impact assessment
methodology: ILCD 2011 Midpoint+ V1.06; all
impact categories. Software: SimaPro 8.0.5.13.
Inventory data: Ecoinvent 3.1, container
manufacturers, Madrid City Council. Figure 4
shows an example of inventory data used:
available capacity collection by district in Madrid
(rest and paper fractions, in grey and blue colour,
respectively) and effectiveness (expressed in kg
collected per unit of capacity
ty collection).
)

Fig. 1. Fleet composition in each scenario

Fig. 2. Comparison between scenarios. PO

Results (figures 2-3): ADI has the largest
impacts associated, followed by BAU, AQP and
AEC. Ecologic alternatives reduce impacts,
especially those related to CC and PO:
reductions of 35% (CC) and 69% (PO) were
observed for AEC against BAU; 36% (CC) and
71% (PO) against ADI. TtW is the dominant
phase of the life cycle for CC. For AC, PM and TE
the vehicle and fuel transportation phases also
exert a considerable influence. In the AEC
scenario, vehicle transportation has the highest
contribution to AC, PM, PO and TE, due to the
large distance travelled by ship (hybrid vehicles
considered = Toyota Prius).

Fig. 3. Contribution of the LC stages

litres / inhab.

litres / inhab.

Fig. 4. LCI data. Capacity coll. and effectiveness
Figure 5 shows an example of the results
obtained; impact in CC associated to the available
containers by district in Madrid.

Wine carbon footprint
Objective: to determine the carbon footprint of
a brand of ecological wine. Functional Unit: a
bottle of wine. System boundaries: cultivation,
wine production (including bottles, casks,
labels, caps, etc.) and final distribution. LC
impact assessment methodology: IPCC 2007.
Environmental impacts evaluated: climate
change (CC). Software: SimaPro 7.03 and
Copert 4.10. Inventory data: wine producer
and Ecoinvent 2.0.

Fig. 6. Wine carbon footprint
Figure 6 shows a scheme of the obtained results. The main contributions are associated to the glass
bottle (production and transport) and the wine distribution to consumers (mainly international).

Acknowledgements

CC
Impact / ton coll.
kg CO2 eq / yr / t

CC
Impact per litre
kg CO2 eq / yr / l

CC
Impact per capita
kg CO2 eq / yr / inhab.

Municipal mean
3,907 t CO2 eq / year
26.6 g CO2 eq / litre
3.59 kg CO2 eq / tMSW·year
1.22 kg CO2 eq / inhab·year

Fig. 5. CC impact by district

The authors thank to the Madrid City Council, which provides the municipal information, the Ministry of Economics and Competitiveness, which finances
the research project called “Optimization of municipal solid waste”, whose118
results are partially showed in this work, and the Vihucas winery.

Waste gasification. A versatile technology for
energy and raw materials production
Juan Manuel de Andrés, Elena Roche, Adolfo Narros, Encarnación Rodríguez
Department of Chemical & Environmental Engineering (jdeandres@etsii.upm.es)

Abstract
Waste management is a worldwide environmental problem that can be partially solved by recovery technologies which are able to obtain energy from
waste. Among the different Waste-to-Energy options currently available, gasification is proposed as an interesting alternative to conventional combustion
plants. Gasification is the thermal process by which the carbonaceous content of waste is converted to combustible gas and ash in a reducing atmosphere.
The gas produced (syngas) can be burnt in gas engines and turbines to produce electricity and thermal energy, as well as used as a raw material in
methanol synthesis or in the production of synthetic fuels via the Fischer–Tropsch process. However, for most applications, the syngas must be cleaned to
reduce the content of dust and tar (complex mixture of high molecular weight condensable hydrocarbons). In fact, one of the major issues in waste
gasification is dealing with tar production. Tar can condense in fuel lines and filters, cause problems in the engines and turbines in which the syngas is
burnt, can deactivate catalysts, etc. In this context, over the last years, the Research Group of Tecnologías Ambientales y Recursos Industriales
(TARINDUSTRIAL) has been devoted major efforts investigating on the gasification conditions which optimize the production and heating value of the
syngas and the performance of some primary catalyst in tar removal.

Investigation lines
Gasification tests: laboratoy scale plant
All the experiments were conducted in a laboratory scale plant consisting
mainly of a compressor, a stainless steel fluidised bed reactor, a cyclone
and a micronic filter, a condensation system to collect tar and water, a
micro gas chromatograph to determine gas composition and a mass flow
meter to record gas production.
Gasification conditions
Temperature (ӑC): 750, 800, 850
Equivalence ratio (ER): 0.2, 0.3, 0.4
Steam-biomass ratio (S/B): 0.0, 0.5, 1.0
Throughput (TR, kg·h-1·m-2): 110, 215, 322

Fig. 1: laboratory scale plant coupled to a Micro GC

Performance of primary catalysts in tar production and composition
The works carried out deal with the influence of three different primary catalysts – olivine, alumina and dolomite – on sewage sludge gasification products.
To this end, analyses of the gas composition, tar production and composition (with GC/MS), cold gas efficiency and carbon conversion were carried out for
different gasifying agents (air and air-steam mixtures), several temperatures, and different ER, S/B and TRs.

Fig. 2: Tar production with different catalysts. T=850ºC, ER=0.3
Fig. 3: GC-tar composition in the presence of dolomite

Activated carbon from waste

Modelling waste gasification

Waste can be used as precursor
in the production of activated
carbon. Sludge-based activated
carbons (chemical activation with
KOH and NaOH) were investigated
for
their
gaseous
adsorption characteristics using
CO2 as adsorbate. Moreover, the
solid waste of sludge gasification
was also used as activated carbon
for
liquid
adsorption
of
methylene blue
Fig. 4: Chemical activation of pyrolysed sludge

ASPEN Plus can be used to simulate waste gasification in a fluidised bed
gasifier in order to predict the gasification products obtained under
different operating conditions

Fig. 5: ASPEN Plus flowsheet for gasification process

Publications
- Roche et al. (2014). Air and air-steam gasification of sewage sludge. The influence of dolomite and throughput in tar production and composition. Fuel.115,54-61.
- de Andrés et al. (2013). Carbon dioxide adsorption in chemically activated carbon from sewage sludge. J Air Waste Manage.63(5)557-564.
- de Andrés et al. (2011). Behaviour of dolomite, olivine and alumina as primary catalysts in air-steam gasification of sewage sludge. Fuel.90(2)521-527.
119
- de Andrés et al. (2011). Air-steam gasification of sewage sludge in a bubbling bed reactor: Effect of alumina as a primary catalyst. Fuel Process Technol.92(3)433-440.

Assessment of the by-products obtained from olive oil
extraction for animal feed
aPaloma

García-Rebollar, a Carlos de Blas, bCarlos Rodríguez-Monroy

aETSIA
bETSII

– UPM. Paloma.grebollar@upm.es
– UPM. crmonroy@etsii.upm.es

Abstract
The production and the disposal of olive oil mills waste are difficult problems for the olive oil productive regions given the environmental, social and
economic repercussions. Olive oil mills wastes contain also many inorganic components (nitrogen, phosphorous, sodium, potassium, iron, etc). Even if
these inorganic components are not toxic, their relatively high concentration and the periodically repeated disposal can cause problems in the
environment. The objective of this research is to determine the most adequate alternatives for the use of this waste from the environmental, economic
and social perspectives.

Characteristics of olive oil mills wastes
Olive oil mills wastes constitutes an important pollution factor for the
olive oil-producing regions but also a significant problem to be solved
for the agricultural industry. The main reasons are:
1. The large amounts of waste produced in a relatively small time interval,
which should, ideally, be processed or be disposed of with safety for the
environment before the beginning of the next productive period.
Although the produced waste volumes depend on several factors, such s
the variety of olive-crop, the stage of maturity, the storage before
processing, the time of segregation of olive oil from the crop, the
available water for processing and its cost, in general lines, for each 100
kg of olive-crop 100-120 kg of humid waste are produced, while the
medium daily production per mill varies between 15 and 20 tons.
2. The physico-chemical waste characteristics; some of them may cause
significant problems to the recipients, where they are disposed (e.g.
eutrophication, toxic phenomena to the aquatic fauna, phytotoxicity
and aesthetic degradation).
3. The substantial high organic load, which is constituted by
compounds/substances that can be easily decomposed (e.g. sugars,
organic acids, amino-acids, proteins) and by substances that are
decomposed with difficulty (e.g. fats, polyphenols). Wastes contain a
very high concentration of polyphenols, which may cause the
appearance of bio-toxic phenomena in the recipients.
l

Research objectives
1. Development and dissemination of innovative, environment friendly, low cost technologies for the integral use of olive oil mill waste.
2. Establishment of an knowledge-base system to assess environmental impacts from olive oil mill waste in the Mediterranean region.
3. Design, implementation and support a monitoring system for the assessment of the soil and water quality affected directly or indirectly from oil mill
activities in relation to factors, pressures and responses.
4. Identification of potential uses in the agricultural sector of olive oil mill waste and its possible contribution to agricultural production through byproducts.

Conclusions
Management of olive oil mills waste is one of the biggest problems associated with the agricultural industry. The environmental devastation caused by the
accidentally or non-accidentally release of non-treated wastes that periodically occurs, is now being addressed aggressively by all major producing nations
of which Spain is by far the leading oil producer and exporter. In this ongoing research the different alternatives to optimize the management of the byproducts derived from the olive oil mill waste are analyzed in an environmentally friendly, economically attactive and socially aceptable way. The Food
Quality Engineering Research Group is collaborating with companies in the agrifood industry and with other research institutions in order to develop
efficient processes that can be highly profitable for the agricultural sector in particular due to the elaboration of by-products susceptible to be used for
animal feed.

References
[1] M. Niaounakis and C.P. Halvadakis.2006. Olive processing wastes management-Literature review and patent survey. 2nd edition. Elsevier.
x[2] V. Oreopoulou, W. Russ. 2007. Utilization of by-products and treatment of waste in the food industry. Springer.
x[3] V. Kavvadias, M.K. Doula, K. Komnitsas, N. Liakopoulou. 2010. Disposal of olive oil mill wastes in evaporation ponds: Effects on soil properties" Journal of
Hazardous Materials (Vol. 182, pp. 144-155).
x[4] D. Arapoglou, M. Doula, V. Kavvadias, D. Ikonomou, S. Theocharopoulos, P. Tountas " Monitoring of Phenols concentration in soil of olive oil mill waste
disposal sites" Proceedings of the 2nd International Conference on Hazardous and Industrial Waste Management, 5-8 October, 2010, Chania-Crete, Greece,
pp 477-479.

120

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Advanced laser-based metallization proceses
for PV and flex electronics
aY.Chen,

D.Muñoz, M.Morales, C. Molpeceres

aCentro

Láser, Universidad Politécnica de Madrid, Alan Turing 1, 28038 Madird, Spain
(yu.chen@upm.es)

Abstract
Laser-induced forward transfer (LIFT) is a direct-write laser technique, capable of transferring a number of materials (solid materials, conductive inks,
biomaterials, living cells,...) in high resolution patterns onto flexible substrates in planar geometry. Attractive features of LIFT process such as easy setup,
high flexibility in choice of printing contents and cost-effectiveness even make it feasible for industrial printing of advanced materials. In this work, a
commercial silver paste (DuPont PV17F) for solar cell metallization is printed by LIFT with a ns-pulsed laser (Explore Spectral-Physics).

LIFT method
The silver paste is deposited onto microscope slides,
which act as donor substrates, using a commercial
coater. The donor substrate is then placed at a gap
distance (~tens of microns) over an acceptor substrate,
using Kapton tape.

LIFT metallization lines
LIFT process parameters
Wavelength

532 nm

Pulse duration

14 ns

Frequency

20 kHz

Pulse energy

8-40 µJ

LIFT donor preparation using Kapton® tapes

Experimental setup and scheme of the LIFT process

Spot size

25 µm

Silver paste
thickness

30-80 µm

Gap

15-100 µm

Speed

0.05-2 m/s

LIFT silver paste line obtained with state-ofart laser machines available at industrial
velocities (2 m/s).

Different large-area grid patterns printed by LIFT for solar cell metallization

LIFT for flexible solar cells
Conclusions
Ø Metallization of solar cells using LIFT of commercial silver pastes
has been achieved.
Ø A large volume of material per laser pulse (>300 pL) has been
transferred using this approach.
Ø Long lines with large aspect ratio can be printed on the solar cell.
Ø Complex metallization patterns can be directly printed on the
solar cell with large velocity (2 m/s).
Ø This approach can be applied to both to c-Si and flexible solar
cells

ACKNOWLEDGEMENTS
Work supported by the Spanish MINECO projects SIMLASPV (ENE2011-23359), HELLO (ENE2013-48629-C4-3-R) and EUROPEAN COMISSION APPOLO FP7123
2013-NMP-ICT-FOF. 609355

DEVELOPMENT OF BIO-INSPIRED SELF-CLEANING
METALLIC SURFACES BY ns LASER PROCESSING
R. Jagdheesh, D. Huerta, J. Cardoso, J.L. Ocaña
UPM Laser Centre (r.jagdheesh@upm.es)

Abstract
Inspired by the “lotus effect” artificial superhydrophobic surfaces have been fabricated on Aluminium and tested for demonstrating the self cleaning
property. Lotus effect corresponds to the removal of contamination on the surface by rolling or bouncing water droplets. Flat aluminum sheets of thickness
100 µm were laser machined with ultraviolet laser pulses of 30 ns with different laser parameters to optimize the process parameters. The samples
produced at the optimum conditions with respect to contact angle measurement were subjected to microstructure and geometrical analysis. The laser
patterned microstructures exhibited superhydrophobicity with a maximum contact angle of 180° for the droplet volumes in the range 8-12µL. The ultrahydrophobic surface exhibited self cleaning effect by cleaning the edible sugar particles.

I. Experimental

A

Fig. 3.
Fig. 1.

AB

A) µ-channels

B) µ-pillars

Experimental workstation equipped with ns pulse UV DPSS laser
used for the reported experiments at UPM Laser Centre

Laser Power, PL (mW)
Spot diameter, D (µm)
Fluence, F (J/cm²)
Repetition Rate, R (kHz)
Scan Speed, v (mm/s)
Pitch, P (µm)

b

a

Table I. Process Parameters
300
15
1.6
100
40
10, 15, 20, 25

II. Results

Fig. 4.

a) Static contact angle for µ-channels and µ-pillars
b) µ-cell formation on top of µ-pillars

Fig. 5.

Snapshots of aggregating removal process

Conclusions
Fig. 2.

CLSM 3D image for the µ-channels and pillars fabricated with,
PL = 300mW, scan speed 40 mm/s and repetition rate 100 kHz for
four different P values: A) 10 µm; B) 15 µm; C) 20 µm; D) 25 µm.

• Modified wettability properties have been induced on metallic surface
by ns and ps laser micro/nanostructuring. A combination of laser
melting/ablation is observed in the laser patterned structures.
• The formation of µ-pillars seems to be an optimum way to generate
superhydrophobic surface conditions.
• The generated ultra-hydrophobic surfaces exhibited self cleaning effect
by cleaning the edible sugar particles.

Acknowledgements
The authors are thankful to BSH Electrodomésticos España S.A., for their support in executing this work.

References
R. Jagdheesh, Fabrication of a superhydrophobic Al2O3 surface using picosecond laser pulses. Langmuir 30 (40) (2014) 12067-12073.
R. Jagdheesh, B. Pathiraj, E. Karatay, G.R.B.E. Romer, A.J. Huis in‘t Veld, Laser-induced nanoscale superhydrophobic structures on metal surfaces. Langmuir 27 (2011) 8464-8469.
R. Jagdheesh, J. J. García-Ballesteros and J. L. Ocaña, Appl. Surf. Sci., 2015, DOI: http://dx.doi.org/10.1016/j.apsusc.2015.06.104

124

ESTIMATION OF THE EFFECT OF DIFFERENT CURING CONDITIONS IN THE
INTERFACIAL BEHAVIOR OF GRAPHENE-EPOXI NANOCOMPOSITES BY MEANS
OF DYNAMIC MEASUREMENTS: IMPROVEMENT OF STIFFNESS
aGuillermo

Fernández Zapico, bArcángel Mínguez Anchuelo,
cJuan Manuel Muñoz Guijosa,
ag.fzapico@alumnos.upm.es, barcangel.minguez.anchuelo@alumnos.upm.es, cJMguijosa@etsii.upm.es,

ABSTRACT
Nowadays graphene is a promising material and its potential applications are large. Polymer matrix can be mixed with nanoparticles such as graphene
enhacing its mechanical and electrical properties. In this poster we show the results of the effect of different curing conditions on graphene-epoxy
nanocomposites on their mechanical properties, focusing on the Young´s modulus, E, and internal damping, ξ, obtained from forced vibration tests. The
results show how the addition of graphene improves this mechanical properties of polymeric nanocomposites.

STATE OF ART

THEORICAL BACKGROUND

Graphene is a carbon allotrope with a sp2
hibridation. It is considered a 2D material as
it is only a layer of carbon atoms thick. The
carbon atoms are distributed forming a
honeycomb matrix. Its excelent mechanical
[1], electrical and optical properties make
graphene a promising material in the near
future. Its applications goes from the
electronic devices to the enhacement of
material´s mechanical properties. In this
case of study we will focus on the
nanocomposites field, studying the improve
of its mechanical properties [2] [3].

Accurate calculation of the damping ratio from the
transmisibility.
!,"#$

=

1+

1
4 ξ&

(1)

1 + 8 ξ& − 1
'*-.á/ =

(2)

From the corrected natural frequency, it can be
obtained the Young´s modulus:

6&
: ; ℎ>
35 =
2 7 9 12 ? ℎ ;

Fig. 1 Graphene layer

FORCED VIBRATION TEST

$
&

CLAMPING TOOL

(3)
SPECIMEN

EXCITER

Young modulus and internal
damping approximation by
measuring
specimen’s
amplitude and frequency for
induced oscilations
with
different clamping lengths. The
whole test body consist in an
exciter, the clamping tool, the
specimen and a micrometer

Fig. 2 Clamping tool

Fig. 3 Forced vibration test machine

RESULTS AND CONCLUSIONS
Young´s Modulus

MICROMETER

Internal damping

3,00E+09

0,135
0,13

2,50E+09

0,125
2,00E+09
0,12
1,50E+09
0,115
1,00E+09
0,11
5,00E+08

• Graphene enhaces
Young´s modulus.

polymer´s

• Different
curing
means
different
properties.

conditions
material

0,105

0,00E+00

0,1
No graphene

Cure Condition 1

Cure Condition 2

Cure Condition 3

Cure Condition 1

Cure Condition 2

Cure Condition 3

REFERENCES
[1] Fukushima, H.y Drzal, L.T. Graphite nanocomposites: structural and electrical properties. Proceedings of the 14th international conference on
composite materials (ICCM-14), San Diego, 2003.
[2] R. Andrews, M.C. Weisenberger. Carbon nanotube polymer composites. Current Opinion in Solid State & Materials Science 8 (2004) 31-37.
[3] Jonathan N. Coleman, Umar khan, Werner J. Blau, Yurii K, Gun’ko. Small but strong: A review of the mechanical properties of carbon nanotubepolymer composites. Carbon 44 (2006) 1624-1652.
125

EXPERIMENTAL STUDIES ON THE INDUCTION OF
COMPRESSIVE RESIDUAL STRESSES IN METALLIC
MATERIALS BY LASER SHOCK PROCESSING
D. Peral, J.A. Porro, M. Díaz,
L. Ruiz de Lara, J.L. Ocaña
UPM Laser Centre (davidperal@alumnos.upm.es)

Abstract
Laser shock processing (LSP) is an effective technology for the improvement of surface and mechanical properties of metallic alloys and is being developed
as a practical process amenable to production engineering. The main acknowledged advantage of the laser shock processing technique consists on its
capability of inducing a relatively deep compression residual stresses field into metallic alloy pieces allowing an improved mechanical behaviour, explicitly,
the life improvement of the treated specimens against wear, crack growth and stress corrosion cracking in direct competence with other established
technologies as, i.e. shot peening. After a description of the experimental methods developed by the authors for the experimental implementation of LSP
treatments, results on the residual stress profiles and associated surface properties modification successfully reached in typical materials under different
LSP irradiation conditions are presented.

III. Experimental Results

I. LSP Experimental Setup at CLUPM

Fig. 3. Typical results of in-depth maximum and minimum principal
residual stresses induced in two representative materials

Uncertainty Reduction Methods
Laser

Mirror
Test Piece

Lens

Fig. 1.

Water
Supply

Schematic representation and photographic view of the LSP
irradiation experimental setup used in experiments at CLUPM

II. RS’s Experimental Determination

Fig 4. Comparison of the maximal residual stresses and resulting
uncertainties obtained in a typical material using different
optimized distributions of in-depth evaluation points

Conclusions

CEA -XX-062UM -12 0

Fig. 2.

EA -XX-062RE-1 2 0

Residual Stresses Measurement Equipment
(According to ASTM E837-13)

The induction of in-depth profiles of compressive residual stresses
fields by Laser Shock Processing has been experimentally
demonstrated. Profiles reaching 1 mm in compression have been
obtained in technologically relevant materials as stainless steels and Al
and Ti alloys.

The problem of experimental determination of residual stresses is
critical for the appropriate evaluation of the treatment effects. Original
work on the assessment and improvement of measurement
uncertainties associate to the ASTM E837-13 standard has been
contributed by the authors.

Acknowledgements
Work performed under Spanish MINECO funding (Project MAT2012-37782).

References
Ocaña, J.L., Morales, M., Molpeceres, C., Torres, J., 2004. Numerical simulation of surface deformation and residual stresses fields in laser shock processing experiments. Appl.
Surface Science, 238, 242–248.
Peral, D., De Vicente, J., Ocaña, J.L., 2016. Uncertainty analysis of non-uniform residual stresses by the hole drilling strain gage method. Submitted to Experimental Mechanics.

126

INTEGRATION OF EXPERIMENTAL CHARACTERIZATION
METHODS FOR THE ASSESSMENT OF THE LSP
TREATMENT OF METALLIC MATERIALS
L. Ruiz de Lara, M. Díaz, J.A. Porro, D. Peral,
J.A. Santiago, J.L. Ocaña
UPM Laser Centre (leonardo.ruizdelara@upm.es)

Abstract
The effects induced by LSP in metallic materials are numerous. It is therefore necessary to find a set of parameters whose characterization helps to explain
how phenomena such as fatigue, wear and corrosion can be counteracted. Taking this into account, an integrated system of characterization has been
developed using as a study case the stainless steel AISI 316L, an austenitic steel placed in many industrial sectors, and two different LSP treatments: 900
and 1600 pulses/cm2.

I. Integrated Evaluation Methodology

Residual Stresses
a)

Fig. 3.
Fig. 1.

b)

Principal RSs máxima and minima for material treated with 900
pulses/cm2 (a) and 1600 pulses/cm2 (b).

Hardness
Ha

Integrated Methodology developed for the characterization of
LSP effects. Represented in colours the phenomena that LSP
attempts to counteract; represented in white the properties
characterized in order to explain the effect of the laser treatment.

a)

b)

II. Properties Characterization
Surface Composition
Table I. Surface composition of stainless steel AISI 316 LSP before and
after laser treatments.
Fig. 4.

a) Hardness measurements.

b) Dislocations per unit area

g and Wear
III. Results: Fatigue
Microstructure

Fig. 2.

b)

Microstructure of stainless steel AISI 316L after LSP treatment.

Roughness
Table II.

a)

Roughness of stainless steel AISI 316L as received and treated.

Acknowledgements

Fig. 5.

Global LSP results obtained for fatigue life (a) and wear rate (b).

Conclusions

A integrated characterization methodology has been developed able
to asses the improvements induced in LSP treated materials. Thanks to
results obtained from the application of integrated system, it is
possible to explain the results of fatigue, corrosion and wear tests.

The fatigue limit significantly increased with respect to the material as
received. The wear rate is also reduced. Electrochemical tests also
show an improvement on corrosion resistance.

Work performed under Spanish MINECO funding (Project MAT2012-37782).

References
Ocaña, J.L, Porro, J.A., Díaz, M., Ruiz de Lara, L., Correa, C., Gil-Santos, A., Peral, D., "Induction of Engineered Residual Stresses Fields and Enhancement of Fatigue Life of High
Reliability Metallic Components by Laser Shock Processing", Proc. of SPIE Vol. 8603 86030D-8, 2013.
Ocaña, J.L, Correa, C., García Beltrán, A., Porro, J.A., Ruiz de Lara, L., Díaz, M., “Computer-Aided Development of Thermo-Mechanical Laser Surface Treatments for the Fatigue
Life Extension of Bio-Mechanical Components”. Bioinspired Computation in artificial Systems.
127 Springer International Publishing, p. 429-438, 2015.

EVALUATION OF THE CHANGES IN ELECTROCHEMICAL
BEHAVIOUR INDUCED IN MATERIALS SUBJECT TO
LASER SHOCK PROCESSING
J.A. Santiago, M. Díaz, L. Ruiz de Lara,
J.A. Porro, J.L. Ocaña
UPM Laser Centre (jasv1906@gmail.com)

Abstract
The influence of Laser Shock Processing (LSP) on the electrochemical behaviour of the aluminum alloy AA2024-T3 in a chloride environment was
evaluated. The modifications induced by LSP on the surface topography, on the microstructure (including the induction of a compressive residual stresses
field), and in the passive film formed in chloride electrolytes were investigated, as they seem to have beneficial effects on the corrosion behaviour.
Electrochemical behaviour was studied by means of cyclic polarization (CP) and electrochemical impedance spectroscopy (EIS). CP measurements were
used to characterize the generalized and localized attack for this material and EIS analysis allowed us to develop an understanding of passive film
behaviour for this material in the as-received state, as well as after laser shock processing.

I. LSP Modifications
a)

III. Results
b) 7

a)

b)

6

Ra (Pm)

5
4
3
2
1
Base Material

Fig. 1.

LSP 1600

Fig. 4. a) Open circuit potential (OCP) evolution during 72 h for bare and
LSP-treated specimens immersed in 0.5M NaCl solution. b)
Polarization curves for 2024-T3 alloy in 0.5 M NaCl solution at
aerated condition for untreated, LSP 900 and LSP 1600.

a) Residual stresses vs depth from peened surface in LSP treated
AA2024 specimens. b) Arithmetic roughness in untreated and
treated material.
b)

a)

Fig. 2.

LSP 900

c)

Table I. Summary of parameters obtained from the cyclic polarization

SEM images of untreated (a), LSP 900 (b) and LSP 1600 (c)
samples prior to corrosion experiments.

test
te
stss in 0.5M
st
0.5
5M NaCl
NaCl solution.
solu
so
luti
lu
tion
ti
on.
on
tests
a)
b).

c)

II. Experimental Methods
b)

a)

Fig. 5. Nyquist plots for untreated and LSP-treated specimens after 1 h
(a), 24 h (b) and 72 h (c).

Conclusions
Fig. 3.

a) Electrochemical cell and (b) AUTOLAB® PGSTAT 30 potentiostat
employed in the corrosion tests. A three-electrode arrangement
was used at a constant temperature (T= 23ºC) in aerated
conditions. The reference electrode was Ag/AgCl (3M KCl), the
counter electrode was a stainless steel bar and a 0.5M NaCl
solution was employed as electrolyte.

Acknowledgements

In a LSP treatment, the chemical composition of the surface of the
substrate is altered. For the case of Al2a24-T351 alloy, an oxide layer is
formed during the laser treatment, which shifts the corrosion
potentials to more anodic values and reduces the current densities in
cyclic polarization tests. Therefore, a higher level of corrosion
protection is achieved

The compressive residual stress field induced by LSP has proven to be
an important factor on corrosion behaviour, especially as time passes
and medium conditions are more adverse.

Work performed under Spanish MINECO funding (Project MAT2012-37782).

References
Trdan, U, Grum, J.: Evaluation of corrosion resistance of AA6082-T651 aluminium alloy after laser peening by means of cyclic polarization and EIS methods, Corrosion Science,
59 (2012) 324-333.
Santiago, J.A, Ruiz-de-Lara, L., Porro, J.A., Díaz, M., Ocaña, J.L. 2016. Influence of High Intensity Laser Shock Processing on the Corrosion Behaviour of AA2024-T351 alloy.
Submitted to Applied Surface Science.

128

HIGH SPATIAL ACCURACY BEAM DELIVERY SYSTEM FOR
THE CUSTOMIZED LASER SURFACE HARDENING OF
CONVOLUTED GEOMETRY COMPONENTS
a P.

Sancho, a J. Domínguez , b F. Cordovilla
b A. García-Beltrán, b J.L. Ocaña
a IKERGUNE A.I.E. (psancho@ikergune.com)
b UPM Laser Centre (francisco.cordovilla.baro@upm.es)

Abstract
This work proposes a method to control accurately the heat distribution under a laser track, in the laser surface hardening process, with the aim of
optimize the shape and size of the heat-affected zone. This is based on a completely innovative approach in the handling of the laser beam to get it with a
predefined spatial energy distribution, enabling the capability to treat complex components to be available for the industry, promoting, hence, the spread
of the laser hardening to applications where its usage was not available up to now. This is the case of the treatment of large areas through consecutive and
overlapped laser tracks, where a convenient control of the region in which metallurgical transformations happen allows the process to be optimized.

I. Problem Definition

III. Equivalent Power Source

I

In the surface laser hardening process, when consecutive laser tracks are
overlapped, the heat affected zone of the second track destroys part of
the martensite generated in the previous one: Softening

Fig. 1.

Fig. 3.

Scanner with two galvanometric mirrors producing a very fast
movement of a small laser beam generating the same effect as an
static source of power because of the thermal inertia.

Fig. 4.

Equivalent sources of power (right) generated by a small size
laser beam (left), scanned along an established pattern (center).

Fig. 5.

Equivalent sources of power and the hardening profile obtained.

Numerical prediction of the hardened region under a laser track
and the heat-affected zone. It highlights the larger area in which
the heat spreads, in comparison with the size of the region
effectively treated by the process.

II. Softening prevention strategy
Track Separation

a)
b)
c)
Fig. 2.

A good strategy to reduce the softening consists in maximizing as
much as possible the distance between consecutive tracks (up).
From a conventional strategy , a), an ideal situation can be
deduced, b), which leads to the strategy propose in this work, c).

Acknowledgements

Conclusions

An innovative strategy has been presented to create equivalent
power source to control shape and spread of the hardening zone
for the avoidance of hardness softening in laser track overlapping
procedures.

Constant depth hardening regions in a single track allows the
distance between tracks to be increased, thus avoiding extensive
softening regions.

Work developed under the LEIA project funded by CDTI (Spain Project; IDI-111198).

References
R.S. Lakhar, Y.C. Shin, M.J.M. Krane, Predictive modeling of multi-track laser hardening of AISI 4140 steel, Mater. Sci. Engineering A 480 (2008) 209-217.
H. Hagino, S. Shimizu, H. Ando, et al, Design of a computer-generated hologram for obtaining a uniform hardened profile by laser transformation hardening with a high-power
diode laser, Precis. Engineering 30 (2010) 446-452.
129

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NUMERICAL MODELLING OF THE EFFECT OF LASER
SHOCK PROCESSING ON THE RESIDUAL STRESSES FIELDS
OF HIGH RELIABILITY MATERIALS
I. Angulo, A. García-Beltrán, C. Correa,
J.A. Porro, J.L. Ocaña
UPM Laser Centre (jlocana@etsii.upm.es)

Abstract
With the aid of the calculational system developed by the authors (Ocaña et al., 2004) an account is provided on the application of calculational methods
for the simulation of residuals stresses and deformations induced by LSP treatments. In particular, the analysis of the problem of LSP treatment for
induction of residual stress fields for fatigue life enhancement in relatively thin sheets in a way compatible with reduced overall workpiece deformation
due to spring-back self-equilibration has been envisaged. Numerical results directly tested against experimental results have been obtained confirming the
critical influence of the laser energy and irradiation geometry parameters

I. Problem Definition

Fig. 1.

III. In-Depth Residual Stresses Fields

Practical geometry considered in the LSP simulations in which the
residual stresses reference axes are attributed.

Fig. 3. Representation of x and y components of the RSs fields in a
treated specimen under the B set of parametric conditions.

Table I. Summary of laser irradiation parameters for two characteristic
LSP treatments applied to thin Al2024-T351 specimens

II. RS’s Parametric Analysis
Fig. 4. Complete through-thickness experimental residual stresses
measurement results compared to corresponding numerical
simulation results showing the effect of double-side treatment.

Conclusions
Fig. 2.

Variation of surface average value of x and y components of RS’s
ŝŶĂƚƌĂŶƐǀĞƌƐĞƉƌŽĨŝůĞ;LJĚŝƌĞĐƚŝŽŶͿĨŽƌĚŝĨĨĞƌĞŶƚǀĂůƵĞƐŽĨTоĚ
parametric space combinations (uncertainty bars indicate
oscillations around average value).

With the aid of the calculational system developed by the authors, the
analysis of the problem of LSP treatment for induction of residual
stress fields for fatigue life enhancement in relatively thin sheets has
been succesfully analyzed and experimentally validated.

LSP treatment parameter regimes able to provide experimentally
supported through-thickness compressive residual stresses fields at
levels compatible with an effective fatigue life enhancement have
been found. Double side treatments can additionally improve these
fields.

Acknowledgements
Work performed under Spanish MINECO funding (Project MAT2012-37782) with partial support of AIRBUS ESASMG.

References
Ocaña, J.L., Morales, M., Molpeceres, C., Torres, J., 2004. Numerical simulation of surface deformation and residual stresses fields in laser shock processing experiments. Appl.
Surface Science, 238, 242–248.
Ocaña, J.L., Correa, C., García-Beltrán, A., Porro, J.A., Díaz, M., Ruiz-de-Lara, L., Peral, D., 2015. Laser Shock Processing of thin Al2024-T351 plates for induction of throughthickness compressive residual stresses fields. Journal of Materials Processing Technology,
131 223, 8–15.

NUMERICAL-EXPERIMENTAL ANALYSIS OF THE EFFECT
OF SURFACE OXIDATION ON THE LASER
TRANSFORMATION HARDENING OF CR-MO STEELS
a F.

Cordovilla, b P. Sancho, b J. Domínguez ,
a A. García-Beltrán, a J.L. Ocaña
a UPM Laser Centre (francisco.cordovilla.baro@upm.es)
b IKERGUNE A.I.E.

Abstract
Laser surface hardening is a technology that enables important advantages to be obtained in comparison with conventional techniques. Nevertheless, the
development of realistic and flexible models has to be fulfilled in order to control the effects of every set of process conditions. This work analyzes the
problem of oxide formation at the external surface using kinetic relations, whose parameters have been related with the process variables, considering
non-equilibrium conditions. Then, the oxide thickness was associated with a value of absorption through an innovative formula that considers the path of
the laser radiation in the interface oxide-base material. The thermal calculations have allowed phase changes to be predicted using Avrami law.

I. Thermo-oxidation coupled model

II. Avrami Law for phase change
Avrami Law

fA

>

1  exp  (b ˜ t ) n

@

b(T ) C ˜ exp> 'H /(V ˜ T )@

Fig. 1.

Fig. 2.

Schematic representation of the workflow in the model. It takes
into account the oxide growing linked to the temperatures
evolution , and associates the oxide thickness with an increase of
the absorption of laser radiation.

Fig. 4.

Austenization happens in far from equilibrium conditions. Critical
temperatures from the binary diagram are no longer a reliable
reference and kinetic calculations have to be done.

III. Results

Different situations of surface oxidation after processing the
components in a non-protective atmosphere (air). The conditions
of the laser processing strongly influence the kinetic of the
chemical reaction.

y
Kp

K p ˜t

F f ˜ exp( Ea / RT ) / U 2

Ea

M1 (dT / dt )

Ff

M 2 [ I (t ), Ea ]
Fig. 5.

Temperature evolution for several points equally spaced from the
top of the part and surface oxidation evolution (up), and
comparison numerical/empirical of the transformation profile.

Conclusions
AT

Fig. 3.

A temperature/oxidation coupled model has been developed. It takes
into account the increase of absorption associated with the
development of an oxide layer in a dynamic way. The oxidation
reaction is considered to happen in far from equilibrium conditions.

Phase changes have also been predicted by the use of a kinetic time
adaptive Avrami relation. It provides again a non-equilibrium approach
for the transformations induced by laser processing.

0
AF (T 90
) ˜ AI ( y )
0
1  R F (T 90
) ˜ P R ( y)

The increase of absorption is calculated considering the travel of
the laser light in the interface oxide-base material

Acknowledgements
Work developed under the LEIA project funded by CDTI (Spain Project; IDI-111198).

References
F. Cordovilla, A. García-Beltrán, J. Domínguez, et al, Numerical-experimental analysis of the effect of surface oxidation on the laser transformation hardening of Cr–Mo steels,
App. Surf. Sci. 357 (2015) 1236-1243.
H. Pantsar, V. Kujanpää, Effect of oxide layer growth on diode laser beam transformation
132hardening of steels, Surf. Coat. Technol. 200 (2006) 2627-2633. DOI:

PREDICTIVE ASSESSMENT OF THE DIRECT LASER
FORMING OF THIN METAL SHEETS
C. Correa, A. García-Beltrán,
F. Cordovilla, J.L. Ocaña
UPM Laser Centre (agarcia@upm.es)

Abstract
Direct Laser Forming (DLF) is a thermo-mechanical process wherein the controlled deposition of laser energy induces internal stresses in the material,
producing permanent deformations. The final result is a deformation of the material according to a 2D or 3D geometry, similarly to results obtained by
traditional forming processes. The development of fundamental knowledge about DLF technique represents a scientific and technological improvement in
the production of low series and sheet metal prototypes. The laser typical variables determine the energy transfer rate and resulting deformations. In this
paper, we present a numerical model to simulate the process which permits to analyze the influence of the characteristic variables.

I. Problem Definition

Fig. 1.

IV. 2D Forming

Temperature Gradient Mechanism (TGM) of direct laser forming
(DLF)

Table I. Mechanical and thermal properties of AISI 304 stainless steel and
their temperature dependency

Fig. 3. Temperature distribution (left) and thermal gradient (right)

II. Targeted Experimental Conditions
Table I. Rofin-Sinar Nd:YAG continuous laser parameters applied to AISI
304 stainless steel thin sheets

Fig. 4. Node displacement distribution (left) and bending along the path
and perpendicular to the path (right)

V. 3D Forming

III. Numerical Model
Simulations were performed using the commercial FEM software
ABAQUS/Standard
Fig. 5. Laser beam trajectory (left) and temperature field (K) in four
different instants (right)

Conclusions
Fig. 2.

Optimized mesh with reduced elements (8 C3D8T nodes in
ABAQUS) in the nearest of the irradiated zone (left) and
120x120x2mm geometry and path definition (right)

Acknowledgements

The developed model can simulate different laser irradiation strategies
for achieving 2D and 3D forming.

The model allows to analyze the temperature field in the entire workpiece volume and the state of the generated stresses and strains in the
material during and after the process. It should also be emphasized
the cooling rate analysis under different convection conditions.

Simulation results were compared with experimental results showing a
good approximation between them. Maximum error value (-14%) is
less than maximum error found in other references.

This work was performed under ISF2G project (PID_560300_2009_11)

References
Correa, C., García-Beltrán, A., Ocaña, J. L., 2016, Thermomechanical modelling of direct laser forming, DYNA, Vol. 91-1, 88-95

133

THERMAL MODELING OF POWDER LAYER BASED
SELECTIVE LASER MELTING PROCESSES
a F.

Cordovilla, b A. Muñoz, b M. Garzón, c J. Díaz,
a A. García-Beltrán, a J.L. Ocaña
a UPM Laser Centre (francisco.cordovilla.baro@upm.es)
b PM Tech
c IKERGUNE A.I.E.

Abstract
This work focuses on the theoretical aspects of the Selective Laser Melting Process. In this context, a thermal finite element model has been developed to
study the space-time evolution of the temperatures when a layer of powder on a metallic base is irradiated with a moving laser beam. The fusion of the
powder is analyzed and the adhesion phenomenon with the metallic base, to ensure the success of the process. Different effects have to be considered,
like the heat transfer in a porous media where a phase change is expected, the thermal contact between powder and base, which determines the heat
transfer from a medium to the other, and also, the melting under the surface of the base material, in the first microns, to guarantee cohesion. Several
experimental test have been carried out, showing a good agreement with the results predicted by the model.

I. Selective Laser Melting modeling

III. Thermal contact powder-substrate
Moving
thermal
source

Powder
Bed

Symmetry
plane
Fig. 2.

Metallic
Base

The conduction of the heat in the interface powder-substrate is a
key point for a successful modeling of the process. This contact is
characterized by the properties of both materials.

IV. Results
Fig. 1.

Simulation in course of a laser beam traversing a powder bed on
a substrate (up), and modeling of the spatial energy distribution
of the laser beam (down).

Laser
power
(W)

Process
speed
(mm/min)

Beam
diameter
(mm)

Powder
thickness
(µm)

Power
material

Substrate
material

1000

300

2.97

200

Inconel

AISI-316L

II. Heat Transfer in a porous media
Two energy balances are considered:
a)

Energy conservation in a solid phase (powder):

1  M ˜ UCP S ˜ wTS
wt

b)

(1  M )’ N S ’TS  1  M ˜ qS'''

Energy conservation in a fluid phase (air):

M ˜ UC P F ˜

wTF
* 
UC P ˜ v ˜ ’TF
wt

M ˜ ’ N F ’TF  M ˜ qF'''

If there is local thermal equilibrium, TS=TF and:

UCP M

wT
*
˜ 
UC P ˜ v ˜ ’TF
wt

’ . M ’T  q

Fig. 3.
'''
M

Temperatures at the basis of the powder (Inconel) and in the
substrate (AISI 316L) to check fusion of the material and
cohesion. Experimental result confirms the predictions.

With thermo-physical properties averaging those of the solid and the air:

UCP M
qM'''

NM

(1  M ) ˜ pC P S  M ˜ UC P F

Conclusions

(1  M ) ˜ qS'''  M ˜ qF'''

(1  M ) ˜ N S  M ˜ N F

Acknowledgements

A model to study space-time temperature evolution has been
proposed. It considers the heat conduction in a two-phase model
(porous media), where a phase change is expected.

Results of the simulations provided by the model shows a good
agreement with experimental results, in the absence of a big
campaign of tests to check all the possibilities of process variables.

Work developed under the CIEN-FRACTAL project funded by CDTI.

References
A. Bandyopadhyay, S. Bose, Additive Manufacturing. First ed. CRC Press. United States (2015).
L. Loh, C. Chua, W. Yeong, J. Song, M. Mapar, S. Sing, Z. Liu, D. Zhang. Numerical investigation and an effective modelling on the Selective Laser Melting (SLM) process with
aluminum alloy 6061, International Journal of Heat and Mass Transfer, 80 (2015) 288–300.

134

TRANSITION FROM STATIC TO DYNAMIC REGIME IN THE
LASER WELDING OF THIN STAINLESS STEEL SHEETS
A. Tur, L. Ruiz de Lara,
F. Cordovilla, J.L. Ocaña
UPM Laser Centre (alejandro.tur@upm.es)

Abstract
The relation between the power, the welding time and the geometry of the fusion bath in the laser welding is very important to reduce the energy used
and optimize the welding in terms of mechanical and corrosion resistance. However, due to the high number of parameters that affect the result, it is
difficult to predict the relative influence of each parameter in the fusion zone. By conducting experiments in a static position, the correlation between
energy and time to the welded diameters and penetration can be obtained and then translated into a dynamic welding regime. The objective is to acquire
some fundamental pulsed laser welding insight by approaching each single welding pulse as a unit that can be extrapolated into a welding bath of pulses.

I. Problem Definition
•From the energy used in the Laser welding, only a portion is expended in
the fusion bath, the rest will create the heat affected zone (HAZ).
•When increasing the energy density, the welding mode will change from
a heat conduction mode into a keyhole mode, where the plasma appears.
•Controlling effect of the Laser parameters in static pulses, will lead to a
better understanding of the dynamic pulsed Laser welding.

Fig. 1.

III. Dynamic Mode

Fig. 5.

Schematics of the test done in static pulsed Laser welding.

Fig. 6.

Transition of the static pulse into a dynamic pulse for same
energy pulses but keyhole mode (top-left) and conduction mode
(bottom-right). Influence of speed in the back diameter (right).

Geometrical differences of the fusion zone, HAZ and profilometry,
between the conduction and keyhole mode for the same energy.

II. Static Mode

Fig. 2.

Fig. 3.

Schematics of the test done in static pulsed Laser welding.

Theoretical (top) and practical analysis (bottom) of the fusion
bath, when increasing the pulse energy by increasing the time
(l t) and the power
p
( ght)
(left)
(right).

III. Optimization of the pulsed mode

Fig. 7.

Schematics of the adjustment of the pulsed Laser welding for
negative overlapping factor (left) and positive (right), based on
the geometrical feedback obtained from the test in single pulses.

Fig. 8.

Comparison of continuos and optimized pulsed Laser welding.

Conclusions

Fig. 4.

Evolution of the diameter in the studied samples, with the
increase of energy (left) and power (right).

Acknowledgements

The pulsed Laser welding allows a higher control of the energy needed
during the welding process, to achieve the fusion of the bath. But
depending on the pulse energy, speed and power density, the
transition between different welding modes may occur.

To optimize the welding, a study of the effect in single static pulses has
been done. After this, the transition into dynamic pulses will be used
to define the position of the pulsed parameters (fequency , duty cycle
and speed).

Work performed under BSH Hausgeräte GmbH funding in the installations of the CLUPM (Madrid).

References
J. Ruiz-Hervias, M. Iordachescu, V. Luzin, M. Law, D. Iordachescu, J. L. Ocaña. “Residual Stress Distributions in Bi-Metal (Ferritic to Austenitic Steel) Joints Made by Laser
Welding”. Materials Science Forum, 772, 81-85 (2011).
OM. Iordachescu, D. Iordachescu, E. Scutelnicu, J. Ruiz-Hervias, A. Valiente and L. Caballero. “Influence of heating source position and dilution rate in achieving overmatched
dissimilar welded joints”. Science and Technology of Welding and Joining, 5, 378-385 (2010).
135

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DEFENSE AND AEROSPACE MAJOR PROJECTS: THE
BEST MANAGEMENT PRACTICES FOR SUCCESS
BASED ON THEIR CHARACTERISTICS
aEnrique

Rodriguez Segura, bIsabel Ortiz Marcos, cJavier Tafur Segura

aTechnical University of Madrid (ersegura@navantia.es)
bTechnical
cESCP

University of Madrid (isabel.ortiz@upm.es)
EUROPE (jtafur@escpeurope.eu)

Abstract
The classification of project success or failure is a multidimensional construct that depends on many factors. Also the critical success factors (CSF´s) are
those inputs to the management system that lead directly or indirectly to the success of the project or business. Additionally, the behaviors of projects
differ and every type needs a specific approach. One specific sector with special interest is the aerospace and defense industries, which involves such
specific characteristics as a high level of technological development, large budgets (millions of dollars), long lead times (several years) and closely
regulated control processes that customers monitor. These characteristics and the stakeholders’ involvement are essential for success when developing
projects. The research has the objective to stablish which are the factors more adequate to define the success in these projects types, and which are the
CFS´s with highest influence in the success by project type. Based on the results to develop models that relate project types with CFS´s, in order to suggest
the best practices through these CSF´s, to apply to each project type. The research method is based on the analysis of 29 international projects and
considers a wide range of aspects that can have influence in the project success, by collecting data from primary and secondary sources and
complemented with interview to participants in some of them to make a triangulation of results. The research uses Fuzzy analysis (fsQCA) methodology.

Methodology:
The research is developed in four stages. In the first stage, the goal is to understand from the literature review the
success factors and the critical success factors that are most significant to categorize defense and aerospace
projects. The second stage develops a selection of significant projects for the research and collect all necessary
information. The third stage consists of two analyses by FsQCA methodology to establish the significant success
criteria that determine the success of a project and the critical success factors of greatest influence. The fourth and
final stage analyzes the results and provides recommendations for project management practices in the defense and
aerospace fields
Stage 1
Understand the Success Factors,
Critical Success Factors and
Classifications from Literature.
Select
the
framework
of
reference.

Significant success factors, critical
success factors and classifications

Stage 2
Documents analysis

Interviews

Triangulation

Sample selection of significant
projects. Data collection.

Stage 3
Analyze finding and make sense
of data.
Stage 4

Significant success factors, critical success
factors and classifications after the analysis.

Recommendations

Proposals to improve project
management practices.

Statistical analysis
This research uses a configurational comparative method, a fuzzy-set qualitative comparative analysis (fsQCA).
This method is suitable for analyzing complex and nonlinear relationships among variables and it leads to suggest
a cause-effect of the conditions and expected results.

Results
At this moment the full statistics analysis is been elaborated. And the first results and conclusions will be
presented in a paper to de GIKA Conference (Global Innovation and Knowledge Academy) in March 2016.
139

LeadershipOrientedTowardsProcessInnovation
aAntonio
aTechnical

LópezͲRamos, bCarlos RodríguezͲMonroy

University ofMadrid,UPM(a.lopez@bssi.es)
ofMadrid,UPM

bTechnical University

Abstract
Error management is considered a source of learning and its main barrier is the fear of failure or making mistakes. Fear of error influences in the
activity of any organization, in their performance, in their capacity for innovation and in other related variables such as leadership and climate. The aim of
this study is to analyze through the behaviors´ directors of a sample of Spanish companies, the relationship between fear of failure, innovation capacity
and
d performance
f
i their
in
h i organizations.
i i
W use a structurall equation
We
i analysis
l i in
i accordance
d
with
i h the
h organizational
i i
l assessment model
d l proposed
d by
b Stuart
S
Kotze. Although the results can not be extrapolated to the whole Spanish companies because the limitation of the sample, the importance of this work is
due to determines a new and wider field of academic study and at the same time a lookout for managers to monitor the influence of fear of failure in their
organizations.

TheoreticalApproachandAssumptions
An intrapsychic variable is a psychological trait that influences individuals´ behaviour. According to that, fear of failure (FF) is an intrapsychic
variable that is defined as the tendency to avoid failure due to the shame felt when a mistake is made. Besides, FF produce narcissistic behaviours such as ,
individualism,, arrogance,
g
, beingg p
political correct and manipulation.
p
These behaviours are easyy to observe at anyy organization.
g
Due to the fact that FF is
presence in any person, it becomes a component of the corporate culture of any company that is also related to leadership. Similarly, since climate is a
manifestation of culture, the FF would influence the climate of the company as well. Also, there is a strong positive correlation between transformational
leadership, innovation and performance in general. According to these facts a research is going to be conducted to contrast the causal relationships
between daily performance DP, the influence of the narcissistic behaviours associated to FF already described, and the innovative capacity IC in an
organization. The research aim is to study the following hypothesis:
H1. There is a positive relationship between FF and the Innovation Capacity of a company
H2. There is a positive relationship between Daily Performance and IC

M th d l
Methodology
For this, it has been performed an analysis of the covariance structure of the data obtained from a sample of Spanish executives through the
completion of the MͲCPI questionnaire developed by StuartͲKotze. As an information gathering technique they used the selfͲadministered questionnaire
MͲCPI. With respect to the sample size, they looked for a number of 300 individuals according to the Method of Maximum Likelihood (ML) and regarding
to exploratory factor analysis. The required feature was that managers have coͲworkers. The MͲCPI online questionnaire was applied. The questionnaire
consists of 132 items, (264 behaviours), with a Likert response scale with 6 levels of response (0Ͳ5). Regarding the degree of participation, from a sample of
350 managers contacted, a total of 286 questionnaires were suitable for the project. For data analysis twoͲstep procedure were followed. To assess the
psychometric properties of the measurement model, we first conducted an exploratory factorial analysis, that allows checking the properties of the items
and
d selecting
l i a set off homogeneous
h
ones and
d a confirmatory
fi
f
factorial
i l analysis
l i (CFA)
(
) off second
d order.
d Secondly,
S
dl the
h proposed
d structurall relationships
l i hi
between the latent variables were added, being analysed by Structural Equation System. IBM SPSS statistical software IBM SPSSͲAMOS V.20 was used in
both case.

Discussion and Conclusions
In the fist step, the exploratory factor analysis, showed that daily performance DP is split into DOP (performance oriented to planning, made up by
9 items) and DORT (performance oriented to people and activity, made up 11 items), what means that both activities are seemed as different and no
linked. Actually, the final model does not consider DOP. This nonͲinclusion of DOP in the SEM DP structure, leads us to consider that this lack of planning in
DP is the cause of management by putting out fires,
fires something common in many Spanish companies.
companies Since our outcomes indicate that the problem is not
the lack of planning but a question of not being aware that strategic planning should be related with the daily tasks.
DORT
DORT•11•
11behaviours

DORT
DORT
0,6

DOP
DOP•9•
9behaviours

IC
CI•12•
12behaviours

H1CONFIRMED
CI
IC

-0,529

FactorialExploratory
Analisys outcome
Analisysoutcome

FF
(ME)

Reactive
Innovation

H2CONFIRMED

-0,162

FF
ME•5•
5behaviours

Hyphotesys

FactorialConfirmatory
Analysis outcome
Analysisoutcome

LatentPotential

Othersoutcomes

Secondly, the first hypothesis, causal link between FF (made up by 5 items) and IC (made up by 12 items), is corroborated. This result is consistent
with the literature because of the leader narcissistic behaviours have a negative impact on the climate and the organization disposition to generate change
initiatives. The second hypothesis has been corroborated as well. On the one hand, executives use their changing behaviours to prevent errors in
performing DP. These types of behaviours are aimed to build a climate for trust and security that allows initiative, coordination and development of new
processes. This outcome would explain the correlation between FF and DP, where FF motivate executives IC to prevent errors in order to assurance the
efficiency in DP. So innovation happens as a reaction to fail. This reactive innovation is always less effective than proactive innovation that looks for best
practices and efficacy.
Besides the improvements implementation would be a responsibility delegated into employees,
Besides,
employees but without taking into account their own
initiatives to avoid errors, something that may be out of the management control. In this way, change is always a management decision. Yet, the benefit of
the leaders changing behaviours that is building a good climate is only used to assure the daily performance. Since good climate is a critical requirement
for promoting change initiatives, this lack of vision leads to hold employees IC as a latent potential. Besides, the lack of coͲworkers participation in
generating innovation initiatives will erode their motivation, which will act against the good climate that executives are trying to develop. Even though the
limitation of our sample prevents us from a general extrapolation, the importance of reducing the FF in managers is evident from the benefits that can
result in the organizations. When their innovative potential is released employees participate in the whole innovation process, what in turn improve
climate, error prevention, teamwork and transformational leadership, which enhances the company intellectual capital as well.

140

LEAN PRACTICES IMPLEMENTATION, THEIR CRITICALITIES AND
THEIR RELATIONSHIPS WITH OPERATIONAL RESPONSIVENESS
AND FIRM PERFORMANCE
a

Ilaria De Sanctis a Filippo E. Ciarapica b Joaquìn Ordieres

a

Univestità Politecnica delle Marche, DIISM (i.desanctis@univpm.it)
Universidad Politécnica de Madrid- E.T.S. DE INGENIEROS INDUSTRIALES.
INGENIERÍA DE ORGANIZACIÓN, ADMINISTRACIÓN DE EMPRESAS Y ESTADÍSTICA
b

Abstract
In the last few years, at European Union level, companies are facing many obstacles due to macroeconomic instability. In order to stay competitive and
survive in the present world turmoil, companies must seek to new ways of reducing costs, increase the quality of the products and meet the ongoing
changes in the market. Driven by the success performed by Toyota and several other organizations worldwide, a growing number of firms have been
adopting Lean manufacturing practices to fulfill market needs, reduce costs, and gain competitive advantages over competitors.
But, although many firms report large benefits from Lean implementation, Lean is not a panacea. Through an overview of Lean strategy implementation in
Italian manufacturing industries, and a classification in “low”/”medium” and “high lean performers” we are able to see whether lean thinking could be a
way for improving operational performance.
Moreover, combining field interviews with the literature review, theoretical connections have been developed among Lean manufacturing techniques,
operational responsiveness and firm growth performances. A conceptual model has been proposed and represented in the left side of Figure 1. The aim is
investigating the network of influences among lean best practices (supplier practices, workforce practices, production efficiency practices and quality
practices), operational responsiveness (Product mix variety, Product innovation and Time effectiveness) and firm growth performances. Final model is
reported on the right side of Figure 1.
Finally, the organizations are usually reluctant to admit that the Lean implementation has failed, not to mention giving an exact reason for the failure.
Hence, Lean implementation failures and obstacles have been collected. Through a structured survey, a model investigating the link between Enterprise
information and the main difficulties in Lean implementation has been developed and detailed in Figure 2.
The survey is available to the following link:
https://www.p2ml.org/encuestas/index.php/survey/index/sid/248749/token/ENG/lang/en/newtest/Y

PM_2
PM_1

LEAN BEST
PRACTICES

WF_3

-.226***
-.318***

WORKFORCE

WF_2

PROD_MIX
INN_1

.332***

WF_1

INNOVATION

Q_3

INN_1

QUALITY
Q_2

.935**
-.988**

.031

Q_1

.144
SUPPLIER
SU_4

TE_3

.413**

.194

INNOVATION

TE_2

TE_1
GROWTH_PERF
SU_3

GP_3

.130

SU_2

GP_2

SU_1

PROD_EFF
GP_1

PE_3
PE_2
PE_1

Figure 1. Conceptual model and final results.

Figure 2. Model investigating the link between Enterprise information and the main difficulties in Lean implementation.

141

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142

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MODELFORSTRENGTHENINGPERSONAL
COMPETENCIESOFPROJECTMANAGERS
THROUGHCOACHINGTOOLS
aBallesteros

PMQ

Sánchez,LuisI., aOrtiz Marcos,Isabel.

a UniversidadPolitécnicadeMadrid(luisignacio.ballesteros@upm.es)

Abstract
The Project Manager is more and more a key agent in the development of business, growth and capabilities of organizations, particularly in a changing,
complex and challenging environment (PMI, 2007; PMI, 2013). He has the responsibility of assisting needs related to project team management, ensuring
that results and quality of the project meet requirements and stakeholders satisfaction. Having a critical role in the organizations, to be an effective Project
Manager requires a grate understanding of different fields that must be coordinated, as well as strong personal skills (Ahsan & Ho, 2013).
Since personal competencies has demonstrated to be better predictor of successful Project Managers (Clarke, 2010; Muller & Turner, 2010; Skulmoski &
Hartman, 2010), the academic research has focused on understanding what are these personal competencies. However, less research has been developed
to better understand how these competencies can be strengthened. Executive coaching has gained popularity during last decade as a tool for developing
better behaviors and attitudes in the workplace, but there is still an important need to enrich the theoretical framework and better understand how it
works, specially in the context of project management.
The aim of this research is to develop an specific project management coaching model, which will provide a baseline for applying coaching to strengthen
personal competencies of Project Managers. The model will be validated by conducting an experiment with active Project Managers to analyze the
effectiveness of this approach, success factors and the impact of coaching on different competencies.

ProjectManagementCoachingModel
ProjectManagementCompetencies
Literature on Project Management suggests that the main areas of
competencies for an effective Project Manager are:
• Business and Technical Knowledge: technical competence in a specific
field (i.e..: Construction, Engineering, Information Technologies) and
business knowledge related to the project and the organization.
• Project Management Processes: knowledge and capabilities in the
use of processes, methods and tools regarding Project Management
(i.e..: Scope management, Risk and Quality management)
• Personal Competencies: behaviors, attitudes, and core personality
characteristics that contribute to a person’s ability to manage projects

¿WhatdoesthePMCoachingModelinclude?

Figure1.ProjectManagementCompetencies:PersonalCompetencies

• A coaching process design with objectives description, inputs, steps, activities, tools, templates and outputs.
• A definition of key personal competencies: for both the Project Manager and the Project Coach.
• A set of good practices: based on success models in Project Management.
• Definitions and principles of PM Coaching

DesignoftheExperiment
Sample
• 30 Project Manager (15 Experiment + 15 Control)
• From different industries: Aeronautical, NGO
Information Technologies, Construction, Consultancy.
• 7 coaching sessions for each Project Manager.

DataCollection
• Surveys (before an after the process)
• Participant Observation (>120 sessions)
• Interviews

PreliminaryResultsofPMCoaching

Figure2.COmpetence DEvelopment processsteps(CODE)

COACH
Creative
Questions
Active
Listening

• Strengthening of: Oral communication,
Project leadership, Assertiveness, Creativity,

Rapport

Uncertainty management, SelfͲmotivation,

Feedback

Cognitive ability, Time management, SelfͲconfidence.

References

Intuition

P.MANAGER

PMCoachingSessions

Improvement

Objectives
Awareness
Responsibility
SelfͲbelief
ActionPlans
andresults

Figure3.ProjectManagementCoachingSessions
Ahsan, K., & Ho, M. (2013). Recruiting project managers: A comparative analysis of competencies. Project Management Journal, 44(5)
Clarke, N. (2010). Emotional intelligence and its relationship to transformational leadership. Project Management Journal, 41(2)
Müller, R., & Turner, J. R. (2007). Matching the project manager’s leadership style to project type. International Journal of Project Management, 25(1)
PMI (2007). Project manager competency development framework (2nd edition) Project Management Institute.
PMI (2013). A guide to the project management body of knowledge: PMBOK guide. Newton Square (Pennsylvania): Project Management Institute.
Skulmoski, G. J., & Hartman, F. T. (2010). Information systems project manager
143 soft competencies. Project Management Journal, 41(1)

THE WAY TO THE EMPATHY IN THE UNIVERSITY
Human capital, science, technology and its role in innovation
aAna

García Laso, bDomingo Alfonso Martín Sánchez

aUnit

on Social Entrepreneurship, Ethics and Values in Engineering (UESEVI from its name in
Spanish) (ana.garcia.laso@upm.es)
bSchool of Mining and Energy (ETSIME from its name in Spanish) – Technical University of
Madrid

Abstract
Technical University of Madrid, within the Spanish context, has profited of the introduction of a System of Internal Quality Assurance to build a road on the
grounds of previous work on the culture of ethics in engineering. This way may drive the students training to incorporate in their curricula instruments
leading to the recognition and acquisition of social responsibility. The road is paved with various educational elements, either mandatory such as the
Mentoring project (aiming to minimize the gap in the transit between high school and university from a logistical point of view), or optional such a set of
three: Monitoring (a system of academic support for improving the performance of in the students in their learning outcomes when face difficulties),
Service Learning and Social Entrepreneurship, Ethics and Values in Engineering. This strategy combined with the convergence to the European Higher
Education Area allows the selection of students able to integrate in their professional assets the idea and the commitment of making the human
development more sustainable.

Background
The reflection on how to build the ETSIME strategy started by looking at
the milieu conditions and the essential role played by the System of
Internal Quality Assurance (SIQA) under the framework of the European
Higher Education Area (EHEA).

The Spanish Case vs. Other European Countries
Figure 1. Some European Quality Agencies: Names, Founding Dates and their
Ownership. Source: Compiled from the website of the ENQA and Michavila &
Zamorano, (2007)

Social Dimensions: UESEVI
The Mentor and Monitor Projects
The Mentor and Monitor Project have become not only instruments for
the orientation initiatives but also have evolved to become the beginning
of a strategy aiming at introducing the trainees from the onset of their
admission in the knowledge of social competencies.
Figure 3. Mentor and Monitor Structure. Source: UESEVI

Figure 4. Mentor and Monitor Objectives. Source: UESEVI

Development of social skills through a
system of internal quality assurance
School of Mining and Energy (ETSIME) - Technical
University of Madrid (UPM)
In order to cope with the specific case of SIQA at the School of Mining
and Energy of the UPM, the strategy established a set of guidelines to
address the verification processes of the curricula with regard to the
teaching and assessment of specific and transversal skills. Besides, a
minimum of activities to promote the development of social skills,
connected to technical skills (specific) was required as a practical
procedure (or exercise).
Figure 2. Social Entrepreneurship Projects presented by the students of the UESEVI
program. Source: UESEVI

Conclusion
Figure 5. From Quality Assurance to
Social Intelligence through
Integrative Learning. Source: UESEVI

The examples provided in this poster
show the integration of the teaching
on ethics and the actions oriented to
facilitate the adaptation of the new
students of Mining and Engineering
(an outcome of the quality objective)
with the successful application of
Social Entrepreneurship, creative
innovation and Service Learning. This
integration represents a first and
important evidence of the good
results provided by the integrative
learning trajectory. And thus leads to
the incorporation of the ETSIME
teaching program in the aims of
social intelligence.

NOTE: This poster is a summary of the work entitled “Integrative learning toward social responsibility in teaching engineering”, chapter in Handbook of
Research on Quality Assurance and Value Management in Higher Education", (García Laso. A. et. al., April 2016). Co-Editors Nuninger W. & Chatelet J.M,
Handbook in the Advances in Educational Marketing, Administration, & leadership (AEMAL) Book144
Series, IGI Gobal. DOI : 10.4018/978-1-5225-0024-7.

For more
information,
please
visit this
QR-code

USE OF QUALITY MANAGEMENT TOOLS IN
PROJECTS. DO THEY IMPROVE PROJECT SUCCESS?
Silvia Martínez Perales, Isabel Ortiz Marcos, Jesús Juan Ruiz
Departamento de Ingeniería de Organización, Administración de empresas y estadística. Grupo
de investigación Project Management and Quality. Escuela Técnica Superior de Ingenieros
Industriales UPM.
silvia.martinez.perales@alumnos.upm.es
isabel.ortiz@upm.es, jesus.juan@upm.es

Abstract
The project management literature agrees to identify two kind of elements regarding project success: project success factors and project success criteria.
Project success factors refer to “elements of a project that can be influenced to increase the likelihood of success”, while success criteria are “measures by
which we judge the successful outcome of a project”. In other words, success factors refer to how success is achieved, and success criteria refer to what
success means. Quality Management (QM) in Project Management (PM) is considered both a success criteria and a success factor, which is an indicator of the
significant role of QM in PM. Key questions to be explored around QM in PM are scope, implementation and impact on performance and project success.
These four aspects motivate a research on Quality Management in Project Management, which is part of the Project Management and Quality research line at
DIO (Doctorado en Ingeniería de Organización).

PROJECT
MANAGEMENT
QUALITY
(PMQ)

Quality best practices (Basu)
1) Quality Management systems and procedures
2) Quality audit and compliance
3) Performance management
4) Organisation effectivenes (top management
commitment, sales and operations planning, single
set of numbers, skills of using tools and techniques,,
performance management, knowledge
management and continuous learnin,
communication and teamwork culture, self
assesment)

PROJECT
SUCCESS
SS
(PS)
(PS

PS factors (Westerveld)
1. Leadership and team
2. Policy and strategy
3. Stakeholder management
4. Resources
5. Contra cting
6. Project management
bud
b
udge
ud
get,
ge
t,
(scheduling, budget,
organisation, quality,,
organisation,
information,
n, risks)
ris
isks
is
ks))
ks

Is there a
relationship?

HOW

HOW

Eight Quality attributes (Geraldi)
1) Commitment to quality
2) Enabling capability
3) Completeness & clarity
4) Integration
5) Adaptability
6) Compliance
7) Meeting requirements
8) Value adding

PS criteria
ria (Westerveld)
1. Project
Proj
Pr
ojec
oj
ectt results
ec
re
(time, costs,
costs
quality, scope)
qu
sc
2. Ap
Appreciation
Appr
prec
pr
ecia
ec
iati client
ia
lient
3. Appreciation project
p
personnel
4. Apprec
preciation users
Appreciation
5. Appr
Appreciation contracting
partners
6. Appreciation stakeholders

WHAT

WHAT

Research conceptual framework

Scope (what)

Impact on project success

A dual literature review (researchers approach, relevant standards) on the scope of
QM in PM has ben performed. Conclusion is that there is a lack of a unique clear
definition for the Quality Management in Project Management and its scope, which
is identified by some authors as a possible cause for project failure. Contribution to
be done is the design of a model including dimensions of QM in the PM
environment.

A database containing data from over 5000 technological and R+D
projects has been provided by CDTI. This information is being
processed and analysed with the objective of accepting (or
rejecting) a relationship between the existance of quality
accreditations or certifications and the project success.

Implementation (how)
Quality Management system is extensively used as the principal tool for Quality Management at an organizational level. A complete set of tools is proposed
by PMBoK for the three main quality processes (planning, assurance, control). A preliminary study reveals that project-oriented companies make an
unsatisfactory low level use of these tools and techniques in a significant percentage. This noteworthy result may be interpreted as a lack of adaptation of the
tools recognized as Quality Management tools to the Project Management nature.
COST-BENEFIT ANALYSIS

EXCELLENT

EXCELLENT

37%

SATISFACTORY

10%

20%

30%

40%

50%

60%

10%

20%

30%

145

34%

UNSATISFACTORY

32%

0%

48%

SATISFACTORY

41%

UNSATISFACTORY

15%

0%

EXCELLENT

27%

SATISFACTORY

48%

UNSATISFACTORY

QUALITY AUDITS

DOE

40%

50%

18%

0%

10%

20%

30%

40%

50%

60%

A model for developing social responsibility
competences in the engineering curriculum
aRafael
aETSI
bETSI

Miñano Rubio, bAna Moreno Romero, bJulio Lumbreras Martín

Sistemas Informáticos. Universidad Politécnica de Madrid (rafael.minano@upm.es)
Industriales. Universidad Politécnica de Madrid

Abstract
The importance of engineering impacts is increasing in our global society and professionals shall assume the responsibility associated to their expertise
and the consequences of their actions. This poster presents the first steps of a research aimed at designing a model for integrating social, environmental
and ethical issues into the engineering degree programs. The challenge is to do it in an holistic, comprehensive, systematic and effective way. The goal is to
make our students aware about the global impacts of the engineering, and competent to develop their professional activities in a responsible way.

Conceptual framework

Current status

We are considering as competences for social responsibility (C4SR) for
engineering “the knowledge, skills and attitudes needed to integrate the
social, environmental and ethical issues concerning the engineering
professional activities in a responsible and balanced way”.
It is based on the literature review from different academic fields:
engineering ethics, sustainability, social responsibility
and recommendations and guidelines from various references:

- C4SR’s visibility in national and international policies has increased.
- Many governments are integrating C4SR into education.
- Many higher education institutions are applying their teaching and R&D
towards sustainability and socially responsible solutions (see the Figure).
- Businesses recognize the value of having a skilled workforce that can
contribute to developing greener and more socially responsible
economies.
Status of Education for Sustainability in Higher
Education. Source: UNESCO

BUT, while many engineering
programs state objectives and
learning outcomes in these
areas, few have developed
effective teaching and learning
strategies that holistically and
systemically address them.

Research question

40%

23%

20%

23%

9%
3%
Emerging
Interest

In
Progress

4%

9%
3%

Significant
Progress

Completely
Integrated

Methodology
1. Literature review in different academic fields: engineering education,
education for sustainability, social responsibility, engineering ethics.
2. Exploratory and descriptive research on the inclusion of the C4SR into
engineering degree programs. Mapping Spanish universities and case
study.
3. Design of an effective model of curriculum integration of C4SR.

Goals
• To know how the Spanish engineering degrees are integrating the C4SR
into their programs.
• To design a model for the integration of the C4SR into engineering
degree programs.
• To check the model's effectiveness in different academic contexts.
• To develop an action plan for the effective integration of the model in
the engineering degree programs at UPM.

4. Action research in two academic context, to validate and refine the
model.

Project-based course:
INGENIA at ETSII-UPM

Mandatory course:
Ethical & Social Issues at ETSISI-UPM

INGENIA courses’s students have to
Conceive-Design-Implement & Operate an
engineering project.

We have a comprehensive strategy that includes knowledge, skills,
teaching methodologies and formative assessment. The model focuses on
three basic aspects of engineering ethics:
Analyze

2015

30%

Not
Included

Considering the current Spanish academic context of engineering
degrees, how can the C4SR be integrated into their programs in an
holistic, comprehensive, systematic and effective way?

Identify

2013

Throughout the whole process,
they have to consider sustainability
criteria and to raise reflections and
assessments about the related
impacts of their projects.
We provide them some guidelines
based on the holistic framework
showed in the figure:

Decide

Knowledge and use of
ethical principles & deontological codes
We have checked the
effectiveness of this model
in two semesters of the
2013-14 academic year, as
we have found a statistically
significant students’ progress.

Results in 2014-15:

FIRST SEMESTER

students highlight that they have become more aware about
sustainability as an important and key part of the engineering work,
expanding their global vision of their future profession,

the bias towards environmental awareness had diminished, increasing
the knowledge of social impacts,

students emphasize the usefulness of the learning acquired in the
sustainability module,

students perceive they are more competent for analysing social
impacts and enhancing the positive impacts of an engineering project.

SECOND SEMESTER

We are now adapting the model to the holistic
approach of C4SR by adding the knowledge of
both social and environmental impact’s categories,
LCA, CSR principles, technology assessment, etc.
Moreover we are introducing these topics into the
Final Degree Project.

146

HOW TO SUCCESSFULLY IMPLEMENT A SOCIAL
RESPONSIBILITY PROJECT IN THE UNIVERSITY
USING STAKEHOLDER THEORY
a

Susana Yáñez b Ana Moreno, c Julio Lumbreras.

a

Technical University of Madrid (susana.yanez@upm.es)
Technical University of Madrid

b, c

Abstract
Social Responsibility (SR) is not an initiative exclusive for enterprises. In order to achieve a sustainable development, all economic actors should promote
SR practices, and especially Higher Education Institutions (HEI). Universities have a main role because they traditionally have been drivers for change,
centres of knowledge and innovation generators, and they have a great potential to spread SR values.

Research Purpose:
Transparency and stakeholder inclusiveness are essential to build social responsibility organizations. Through the case study analysis of ETSII-UPM, this
research identifies key factors to engage stakeholders with the objective of successfully implement a strategic social responsibility management that
permeates sustainability values through the main university activities (teaching, researching, societal impact and management).

Theoretical Framework: Stakeholder Theory (ST)
-

For an organization, stakeholder is any group or individual who can affect or is affected by the achievement of the organization’s objectives.
Stakeholder mindset: Business can be understood as a set of relationships among groups which have a stake in the activities of the organization.
ST is focused on stakeholders, not society. It is necessary to delimit the network of stakeholder involved in value creation activities.
The primary responsibility of top managers is to create as much value as possible for stakeholders.
Stakeholder theory does not mean that representatives of these groups must sit on the governing boards. It does imply that the interests of these groups
are joint to make decisions that create value for all of them, the organization and society.

Methodology: ETSII-UPM Case Study:
This institution is implementing a sustainability project since 2008, which is supported by four pillars: the commitment of the Top Managers and strategic
areas, the strength of stakeholder relationships, the inclusion of the improvements identified in the management system procedures, and the development
of a sustainability report using Global Reporting Initiative (GRI) methodology (available at: www.globalreporting.org).
The figure shows how GRI guidelines has been adapted to the ETSII-UPM to measure, understand and communicate ETSII-UPM economic, social and
environmental performance.

Conclusions:
Key factor 1:

Top management support is
necessary. In the case of university, deans and
vice deans must be convinced.

Key factor 10:

Feedback is
needed to prove the commitment
of the organization with the
project, showing the results
achieved. This increases the
participants
engagement,
realizing that their opinions have
been heard and have an impact in
the decision making of the
organization. It also promotes
their participation in the next
cycle of the project.
SR Reports can be a way of giving
feedback .

Key factor 2:

It is important
to create a coordination position
or department in charge for the
sustainability project to maintain
the change project alive.

Key factor 3: It is vital to raise

Project Start
Report
Communication

School
Committee
Approval

Planning &
Implementation

agents of change (champions) in
the strategic areas of the
organizations.

Work
Structure

Report

Connect

Stakeholders
Identification

Key factor 9:

The
managers must take into
account all the information
to plan win-win actions that
generate value for all of
them and the organization.

Key factor 5:

Define
Management
Integration

Communication
Plan
Material
Issues

Identification
of
Expectations

The training of
the champions is necessary to
achieve SR knowledge throughout
the university and to internalize
SR values. The champions change
their way of thinking including SR
principle in their decisions.

Initial
Diagnosis

Prepare

Monitor

Key factor 4:

It is crucial to identify the
organization stakeholders and which are the
relevant ones.

Key factor 6: It is important to know the
proper channels to communicate and
establish two-way relationships with relevant
stakeholders.

Key factor 7:

It is essential to generate participation mechanisms that allow relevant stakeholders communicate
their needs and expectations. Moreover, they must distinguish material issues, aspects that are relevant for them.

Key factor 8:

It is important to analyze the relationships between different stakeholders, and to promote them.
The better the stakeholders know the needs and expectations of the others and the organization limitations, the more
alignment would be obtained between their aspirations and the organization mission. In this way, it would be easier
for the top management to make win-win decisions and to implement more realistic actions.

147

RESEARCH AREAS OF INTEREST IN THE FIELD
D
OF ENTREPRENEURIAL ECOSYSTEMS
Alberto Arenal, Cristina Armuña
UPM (a.arenal@alumnos.upm.es , cristinaag@alumnos.upm.es)

Abstract
Entrepreneurship is a key activity in the current economic context, and entrepreneurs create value in form of new businesses ventures, and generate new
jobs by mobilizing economic resources, which in combination has a positive impact in terms of increasing productivity and economic growth, among other
effects (IEG World Bank, 2013). International institutions like the United Nations (United Nations University, 2011) or the Organization for Economic
Cooperation and Development (OECD, 2014) agree on the importance of innovation and entrepreneurship in sustainable economic growth and material
and non-material welfare. According to the literature reviewed, different frameworks (ANDE 2013) display a comprehensive representation of the context
in which entrepreneurship is developed in a certain area. However, it is not enough as they do not provide a structured analysis of the interactions among
ventures and the rest of the ecosystem along time. In this sense, the present poster attempts to address some of the most relevant research gaps on the
entrepreneurial ecosystem modelling.

Research areas of interest in the field of entrepreneurial ecosystems
Entrepreneurship definition:

OECDEurostat EIP(2008) defines the entrepreneurial
activity as the “human action in pursuit of the
generation of value, through the creation or
expansion of economic activity, by identifying and
exploiting new products, processes or markets”
(Ahmad and Hoffmann)

Entrepreneurial Ecoystem

2

5

8

Entrepreneurial ecosystem: is defined as
a set of individual elements that appropriately
combined and nurtured can result in a successful
milieu for innovation. It illustrates the impact of
framework conditions, such as public policies,
culture or access to finance, to promote or
disincentive innovative risky initiatives in a given
place and time (Isenberg 2010)
10

11

9

6

Startup: defined as "a temporary
organization designed to search for a
repeatable and scalable business model" (Blank
2010), in which it is implicitly assumed the
necessity of technological bases (Graham
2012).

Literature review conducted on entrepreneurial ecosystems shows an
increasing coincidence among authors to point out three relevant elements to
consider in its study and understanding:
• The conceptualization of ecosystems as a dynamic evolution of agents
that interact, cooperate and compete in a given place.
• The startup as a central actor that evolves along a path of growth
through different stages that take place in one or more ecosystems.
• The evolution of relationships along the startup lifecycle among the
startup and the rest of agents that form the ecosystem.
In this context the present poster presents the previous elements in
combination with specific research areas of particular interest that will
presumably bring new insights of the behaviour of startups and agents within
the ecosystem in their pursuit of socio-economic gains at given place (the
ecosystem location).

Feasibility

Startup life-cycle
1

12

5

3
4

3

4

3
4

3

13

7
14

9

2
3

8
4
11

1

4

Agents of the ecosystem

2

5

12 6

1

4

5

3
1

7

2

3

Feasibility

13

9
14

148

Impact

1

Dynamics

8

Location

2

Preconditions

9

Human Capital

3

Background Founders

10

Environmental Factors

4

Internal Factors

11

Measuring models

5

Output: Economic Impact

12

Serendipity

6

Input: Policy Impact

13

Funding process

7

Accelerators/Incubators

14

Education hubs

THEMYTHOFSUSTAINABILITYINLUXURY
FASHIONSUPPLYCHAINS
aHakanKaraosman, bGustavoMoralesͲAlonso,cAlessandro
aUniversidadPolitecnicadeMadrid/PolitecnicodiMilanoͲ

Brun

hakan.karaosman@polimi.it

bUniversidadPolitecnicadeMadrid
cPolitecnicodiMilano

Abstract
The global fashion companies are often held responsible for social and environmental records of their entire supply chains /(SCs). Capabilities of both
buying fashion firms and their upstream suppliers are critical since they could improve or hinder not only sustainability but also business performance. In
this vein, it is vital to examine how sustainability management related capabilities could be developed and deployed in luxury fashion SCs to generate
positive performance outcomes. Using a case study method with a total number of seven (including first and second level) suppliers and three global
luxury fashion companies, practical and interactive sustainability management capabilities (SMCs) were represented. Through several interfaces, buying
firms’ strategies and regulatory compliance emerged as the main driver for the development and deployment of the SMCs. Furthermore, it was found that
the consequences of the SMCs were positively and directly associated with organizational and operational performance outcomes. Synergistic linkages
occurred for fashion SCs to support stakeholder relations, resource procurement, and capability development as well as performance improvements. An
integrative model, which was created by blending together elements of capability development, sustainability practices, buyerͲsupplierͲsupplier relations’
management and performance outcomes, is provided to show how to take an environmental and social impact free stance to achieve enhanced results.
Keywords: Sustainable supply chain management, Luxury fashion industry, Dynamic capabilities, Social issues, Environmental issues, Regulations

TheoreticalFoundation

Methodology

IndustrialFacts

The luxury fashion industry has faced several critical
environmental and social challenges in the areas of
biodiversity, hazardous material substitution, raw material
sourcing, and product safety as well as labour conditions. We
adopted the grounded theory building approach through case
study research.

Personal luxury good industry reached €223 billion in 2014,
three times its size 20 years ago. Nonetheless, this growth
jeopardizes numerous patterns. For instance, cotton
production is estimated to account for more than 10% of all
synthetic pesticides used globally every year (Achabou &
Dekhili, 2013). Similarly, one ton of fabric pollutes 200 tonnes
of water (Nagurney & Yu, 2012). Dyeing process also produces
a considerable amount of toxic emissions. Thus, with today’s
global economic uncertainty, globalization and growing
business complexity, a renewed focus to sustainability is
required.

*At this stage, seven cases with upstream suppliers have been finalized,
while three cases with buying firms are currently examined. Further, new
cases (up to 5) from new buying firms will be incorporated.

Preliminary results are depicted below.
PracticalSMCs
Ͳ Pollutionprevention
Ͳ Emissionandwastereduction
Ͳ Certification
Ͳ Removinghazardousmaterials
Ͳ Assessingproducts’impact

Organizationaloutcomes
Ͳ Improvedcorporateculture
Ͳ Employeeloyalty
Ͳ Regulatorycompliance
Ͳ Responsiblegovernance

To fill in the research gaps the following research questions were
formulated.

2.

3.

Operationaloutcomes
Ͳ Improvedproductquality
Ͳ ImprovedSCrelations
Ͳ Innovationcapabilities
Ͳ Customersatisfaction

The following research propositions could be addressed:
Proposition 1: Internal commitment coming from the top
management is positively associated with the development of
practical and interactive SMCs in the upstream SCs

Research Gaps

1.

InteractiveSMCs
Ͳ Healthandsafetypractices
Ͳ Auditingtheupstreampartners
Ͳ Establishingpartnerships
Ͳ Developingcomplianceplans
Ͳ Organisingtrainingactivities

Proposition2:PracticalandinteractiveSMCsmustbedeveloped
simultaneouslytoresultinpositiveperformanceoutcomes

What are the significant drivers to develop and deploy the
sustainability management capabilities (SMCs)?
What are the patterns of behaviours that could be utilized to
conceptualize an integrated model of sustainability at fashion
SCs?
What are the consequences of the SMCs on operational
performance?

Proposition3A:ThedevelopmentanddeploymentofSMCsare
directlyandpositivelyassociatedwithoperationalperformance
improvementsintermsofproductquality,innovationcapabilities
andcustomersatisfaction

149

Proposition3B:ThedevelopmentanddeploymentofSMCsare
directlyandpositivelyassociatedwithorganizational
performanceimprovementsintermsofcorporateculture,
employeeloyaltyandregulatorycompliance

TOWARDSENTREPRENEURIALUNIVERSITY:howtomake
technicaleducationtoaccomplishwithitssocialresponsibility
aGustavo

MoralesͲAlonso, aAna M.VargasͲP.,bIciar PabloͲLerchundi

aAdministración
bInstituto

deEmpresas.ETSIIͲUPM(gustavo.morales@upm.es)
deCienciasdelaEducación(ICE).UPM

Abstract
Technical universities have the social responsibility of fostering entrepreneurial intention of their students. Moreover, it has been posited that modern
universities should shift from their traditional primary role as educational providers and scientific knowledge creators to a more complex entrepreneurial
university model that incorporates the additional role of the commercialization of knowledge and active contribution to the development of private
enterprises in their local economy (Etzkowitz et al., 2000). Within technical education, an entrepreneurial university should be able to provide society with
graduates with twoͲfolded career expectations, that is, either work as an engineer for a multinational company, or being an entrepreneur. The actual
distribution of career expectations within Spanish graduates is quite different, as stated in a survey by the Complutense University of Madrid (UCM, 2013):
only 11% of respondents want to be selfͲemployed. In contrast, 31.4% prefer to work in a private firm, and 32.4% prefer a career as a civil servant.
The scope of the present research work is to analyze if engineering subjects related with Industrial Management can trigger entrepreneurial intentions of
engineering students. To that end, last year master students from the ETSIIͲUPM have been surveyed. They belong to three different tracks, namely (i)
Industrial Management (“Organización Industrial”), (ii) Mechanical Engineering (“resto de especialidades de Ingeniero Industrial”) and (iii) Chemical
Engineering (“Ingeniero Químico”). Results obtained support that receiving a deeper entrepreneurial and business administration education fosters both
entrepreneurial intention and its determinants (MoralesͲAlonso et al., 2015; PabloͲLerchundi et al., 2015).
Keywords – entrepreneurial university, technology based companies, theory of planned behavior, career expectations, attitudes toward work
Attitudetoward
thebehavior

Theoreticalframework
In this research we rely on the Theory of Planned Behavior (Ajzen, 1991),
see fig. 1. Ajzen proposed that the intention is determined by three socioͲ
cognitive factors: attitude towards performing the behavior, subjective
norms concerning action, and a belief in one’s ability to perform the
behavior successfully. Of these, the two former represent the desirability of
the behavior, while the latter stands for feasibility. A questionnaire including
items for measuring the three aforementioned triggers of intentions and
also the entrepreneurial intention itself has been developed.

Subjectivenorm

Entrepreneurial
intention

Entrepreneurial
behavior

Perceived
behavioral
control
Figure1.TheTheoryofPlannedBehavior(Ajzen,1991).

SampleandResults
Sampleandmeasures
A total of 458 last year master students from ETSIIͲUPM were surveyed during
the winter semester 2014. The distribution of students among degrees was 96
(21%) in Industrial Management, 209 (45%) in Mechanical Engineering and
153 (33%) in Chemical Engineering. Regarding gender, the sample is
composed of 61% of men and 32% of women, being the average age of 22.6
years old. Of the surveyed students, 419 (91%) were born in Spain, stating
that the incidence of temporary exchange students in the sample is small. A
sevenͲpoint Likert scale has been used to measure all the items.

Results
Students from Industrial Management rank higher in attitude, perceived
behavioral control and entrepreneurial intention, being this result significant
for the two last ones, (t=2.68;p<.01 and t=1.97;p<.05) Contrarily, subjective
norm, which stands for family and social support towards entrepreneurship
shows no significant differences across the degrees under study, which
suggests that it is not influenced by the university degree.

Conclusions
The results obtained suggest that studying a degree with a strong background
in entrepreneurship and business administration is determinant for having
higher perceived control for creating a new venture, and more importantly, a
Figure2.StudentsfromtheIndustrialManagementdegree.
higher entrepreneurial intention. On the contrary, the degree in which a
student is enrolled does not determine how family and society affect his
entrepreneurial intention. Hence, universities willing to evolve towards
entrepreneurial university, should foster Industrial Management related
References
subjects.
Ajzen, I. (1991). The theory of planned behavior. Organizational Behavior and Human Decision Processes, 50, 179–211. doi:10.1016/0749Ͳ5978(91)90020ͲT
Etzkowitz, H., Webster, A., Gebhart, C., Terra, B. R. C. (2000). The future of the university and the university of the future: Evolution of ivory tower to
entreprenenurial paradigm. Research Policy, 29 (2), pp. 313–330.
MoralesͲAlonso, G., PabloͲLerchundi, I., NúñezͲdelͲRío, M.C. (2015). Entrepreneurial intention of engineering students and associated influence of contextual
factors . Revista de Psicología Social, DOI: 10.1080/02134748.2015.1101314
PabloͲLerchundi, I., MoralesͲAlonso, G., GonzálezͲTirados, R.M. (2015). Influences of parental occupation on occupational choices and
professional values. Journal of Business Research 68 pp. 1645–1649

150

Universidad Complutense de Madrid (2013). Barómetro Universidad Ͳ Sociedad 2013.

GeospatialCoveragePatternsofBankingStrategicGroupsin
Venezuela
aSandra

FloresͲMárquez,bCarlos RodríguezͲMonroy,cJosé FloresͲGutiérrez

aETSII

– UPM.sandralizbethflores@gmail.com
– UPM.crmonroy@etsii.upm.es
cUNELLEZ.joseovidioflores@gmail.com
bETSII

Abstract
The objective of this research is to determine the Patterns of Geospatial Coverage (PGC) of Strategic Groups (SGs) in the Venezuelan banking sector. In
order to achieve this objective three years (2008Ͳ2010) characterized by financial instability were considered. This period culminated in the bankruptcy
and intervention of 21 banks. The results indicate that, at least in Venezuela, banking sector SGs adopt a geographic coverage strategy consistent with their
strategy off scope and
d commitment
i
off resources.

VariablesandMethodology
Of all banks that existed in Venezuela for years to study the institutions
that did not publish their financial statements in the Banking Association
of Venezuela and outliers in any of the variables Outreach Strategy or
uncommitted resources were excluded. Therefore, the sample was
integrated for 2008 by 58 entities,
entities for 2009 by 52 banks and for 2010 by
39 institutions.
The variables used by Flores et al. [1] were used for defining the SGs and
the procedure described by these authors to identify the strategy and
the commitment of resources that distinguish one group from another
was applied, rendering the same number of SGs.
In order to assess the PGC the number of offices of each SG was
registered into a GIS containing information on the boundaries of all the
municipalities of Venezuela. The Spearman Rho test was used to analyze
the coverage of SGs in the municipalities classified according to the
degree of attractiveness for investment and poverty ranking [2] [3] [4].

PGCoftheSGobtained
• Retail banking (SG1): It was very risky in its assets strategy because more than a third of its loan portfolio had no collateral. However, the PGC focused
on the best markets (concentrated more than 60% of its banking network in the less poor municipalities and in the most attractive to invest in and
excluded, from the geographical point of view, the least populated municipalities and the poorest). This allowed the SG1: 1) To reduce the costs and risks
associated with the poorest regions, 2) To be efficient in assessing the risk of the loan portfolios.
• Microenterprise banking (SG2): In 2008, it specialized in targeting entrepreneurs in the formal economy loan portfolio, establishing its banking network
in the municipalities where the bank provides the bulk of credit to microͲentrepreneurs. In 2009, although the SG2 no longer specialized in the loan
portfolio, loans were continued being granted to microͲentrepreneurs, encompassing 35 municipalities corresponding to 70% of the total loans to microͲ
entrepreneurs from the whole Venezuelan banking system [5]. In 2010 it implemented again the same active strategy as the one in 2008, maintaining its
hedging strategy focused on microͲentrepreneurs.
• Small corporate banking (SG3): Every bank in this SG had only one office in Venezuela and it was oriented, more intensely than other groups, to
interbank loans. It was located only in the contiguous municipalities of Chacao and Libertador. However, for this SG it is not necessary to expand
geographically in order to implement its unique strategy of interbank transactions, but its location in the Chacao and Libertador municipalities is very
important since it is here where the financial district of the country is located.
important,
located
• Corporate public banks (SG4): It is oriented to the portfolio. It showed the highest geographical coverage of all SGs but had only less than 32% of the
branch network of the largest group. Its banking network included the less populated and the poorest municipalities. In addition, the average population
in which it placed at least one office was the lowest of all SGs. Although it also included the less poor and more attractive municipalities for investment,
it did not do so aggressively because they only concentrated there less than 43% of its banking network. Thus, the PGC of SG4 is to distribute its banking
network in as many municipalities as possible showing the social approach of public banks.
• High risk banks (SG5): It was high risk for three reasons: 1) The investment in the loan portfolio increases the risk and cost compared with other asset
strategies, 2) It obtained resources through savings accounts and term deposits which in Venezuela are more expensive instruments of attracting
liabilities than current accounts and 3) It presented high financial leverage.

Conclusions
In Venezuela SGs tend to be located in certain municipalities according to their strategies of scope and commitment of resources. The financial strategy is
closely related to the geographical coverage of which two basic patterns were detected in this research: the strategy for SG concentration implemented by
private banks, which tend to focus on the most attractive geographic markets to invest and the strategy of dispersion practiced by public banks, in which a
smaller branch network tends to cover more municipalities than their private counterparts. Due to this fact the latter is better suited to the new principles
of Corporate Social Responsibility in the banking industry that promote the fight against geographic financial exclusion because it operates in several of the
less populated and poorest municipalities in the country.

References
[1]FloresS,RodríguezͲMonroyC,FloresJ,2015.Identificaciónyevolucióndelosgruposestratégicosdelaindustriabancariavenezolana,Interciencia40(3).
[2] Roche J, Giménez C, Fernández J, Noguera C, Torres C, Di Bonaventura E, Barrot B, Correa G, 2002. Caracterización, Tipología y Clasificación Municipal de
Venezuela: Una Medición del Desarrollo Humano a Nivel Municipal, INEͲPrograma de las Naciones Unidas para el Desarrollo, Caracas.
[3] CepalͲUnicef, 2006. Condiciones de vida: la pobreza en Venezuela, en: www.unicef.org/Venezuela/spanish/cap7.pdf.
[4]Conapri,2009y2011.Ciudadesmásatractivasparainvertir,VIediciónyVIIedición,CONAPRI,Caracas.
[5]Sudeban,2011.Estadísticas delSectorBancario 2009,Caracas.
151     

          

    
      

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Monclús, Miguel; Molina, Jon; Wennberg,
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154

BIODEGRADATION BEHAVIOUR OF PLLA/PVDF/INTWS2 NANOCOMPOSITES
Raquel Cañadas, Mohammed Naffakh, Ana M. García, Diego A. Moreno
ETSI Industriales, Universidad Politécnica de Madrid (mohammed.naffakh@upm.es)

Abstract
The development of new polymer nanocomposites (PNCs) by incorporation of well-dispersed inorganic fullerene-like nanoparticles (IFs) and nanotubes
(INTs) into thermoplastic polymers is opening new routes to multifunctional high-performance composites that exhibit unique thermal, mechanical and
tribological performance [1]. In particular, our research team is actively developing a number of novel systems based on biopolymeric materials (e.g.
PHBV, nylon 11, PEEK) [2,3], and in the present investigation we explore an alternative strategy to prepare novel melt-processable bionanocomposites
based on poly(L-lactic acid) (PLLA), polyvinylidene fluoride (PVDF) and tungsten disulfide inorganic nanotubes (INT-WS2). The main objective is the
analysis of the biodegradation behaviour of these novel nanocomposites systems.

Endo >

Before biodegradation tests

Figure 2. DSC cooling data of different formulations based on PLLA, PVDF
and INT-WS2 obtained after 3 months of fungal and bacterial incubation
in liquid medium. H=A. niger, B=P. aeruginosa and m=months.

Aspergillus niger

Control sample

PLLA-INT
80/20
80/20-INT

Heat flow (J/g)
40

PLLA

Crystallinity (%)

PLLA is well positioned as a key material for the substitution of
petroleum-based polymers. It exhibits multifunctional properties such as
biodegradability (hydrolytic) and biocompatibility, good transparency,
excellent tensile strength, and tensile modulus. However, PLLA also
exhibits some disadvantages. The crystallization rate of PLLA is very slow,
resulting in the long processing cycle time and low production efficiency
of products in the melt processing and molding. Therefore, improving
the crystallization ability of PLLA has been the fundamental purpose of
many practical works. As an example, Figure 1 shows the cooling
thermograms from the melt of raw PLLA, PLLA/PVDF and
PLLA/PVDF/INT-WS2 nanocomposites at a rate of 10 ºC/min. As can be
seen the non-isothermal crystallization can be easily observed in the
PLLA/HA blends, whereas for pure PLLA at the same rate of
crystallization the exotherm is hardly observed, indicating that this rate
is too fast for pure PLLA to crystallize during non-isothermal meltcrystallization, leading to a low crystallinity value (PLLA=4%,
80/20=59%). In the same way, in the case of PLLA/PVDF-INT systems, the
remarkable increase in the crystallization temperature and crystallinity
of PLLA indicates that INT-WS2 act as efficient nucleating agents in the
PLLA matrix under non-isothermal conditions.

Crystallization temperature (ºC)

Results and discussion

60/40
60/40-INT

30 Pm

100 Pm

Cooling at 10ºC/min
60

80

100 120 140 160 180 200 220
Temperature (°C)

Figure 1. DSC thermograms of non-isothermal crystallization of
different formulations based on PLLA, PVDF and INT-WS2 .
Biodegradation of new Bio-PNCs was performed on compression films at
25ºC and 35ºC, by putting them in contact with fungal (Aspergillus niger)
and bacterial (Pseudomonas aeruginosa) microorganisms, respectively,
at different incubation times (0-3 months). As an example, Figure 2
shows the evolution of the crystallization temperature (Tc) and
crystallinty (1-O) obtained from the DSC cooling thermograms for
different formulations of PLLA, PVDF and INT-WS2. All samples exhibit a
considerable surface degradation, this being more evident for the 80/20INT nanocomposites (Figure 3).

Conclusions
In view of the biodegradation tests, it can be concluded that the
degradation rate of PLLA tend to considerably decrease with the
addition of PVDF and INT-WS2, as a result of the large increase of the
crystallinity. However, advanced PLLA/PVDF/INT-WS2 exhibit relatively
higher degradation rate compared to PLLA/PVDF blends. On the other
hand, bacterium P. aeruginosa is found to be more effective to degrade
the PLLA/PVDFHA/INT-WS2 nanocomposites than fungal A. niger.

Pseudomonas aeruginosa

Figure 3. SEM images of
PLLA/PVDF(80/20)-INT after 3
months of fungal and bacterial
incubation in liquid medium .

30 Pm

References
1. M. Naffakh, A. M. Díez-Pascual, C. Marco, G. Ellis, M. A. Gómez-Fatou.
Opportunities and challenges in the use of inorganic fullerene-like
nanoparticles to produce advanced polymer nanocomposites. Prog.
Polym. Sci. 2013, 8, 1163-1231.
2. M. Naffakh, Peter S. Shuttleworth, G. Ellis. Bio-based polymer
nanocomposites based on nylon 11 and WS2 inorganic nanotubes. RSC
Adv. 2015, 5, 17879-17887.
3. M. Naffakh, A. M. Díez-Pascual. Nanocomposite biomaterials based on
poly(etherether-ketone) (PEEK) and WS2 inorganic nanotubes. J. Mater.
Chem. B 2014, 2, 4509-4520.

Acknowlegments. This work was supported by the Spanish Ministry Economy and Competitivity (MINECO), Project MAT2013-41021-P. MN would
also like to acknowledge the MINECO for a ‘Ramón y Cajal’ Senior Research 155
Fellowship.

BIODETERIORATION OF CULTURAL HERITAGE:
CONSERVATION AND PREVENTION
Ana M. García, Diego A. Moreno
ETSI Industriales, Universidad Politécnica de Madrid (ana.garcia.ruiz@upm.es)

Abstract
The Historical and Cultural Heritage is the legacy we have received from the past, what we live today, and what we´ll pass on to future generations. It
includes all property, both tangible and intangible, accumulated over time. The protection of intangible heritage (language, customs, music, etc.) is
very vulnerable because of its ephemeral nature. The tangible heritage (monuments, cultural landscapes, buildings, manuscripts, documents,
scientific collections, recordings, photographs) comprises a wide range of highly heterogeneous materials: stone, paper, wood, silk, metals, polymers.
All these materials have a natural tendency to deteriorate. In addition, living organisms, especially microorganisms, are able to grow on these
materials modifying their properties and contributing to their biodeterioration. Knowledge of these biodeterioration processes is what enables the
development of strategies for the conservation and prevention of the tangible heritage in order to extend its life and preserve it for posterity.

Our experience
The BIO-MAT Group research lines are focus on finding solutions to
problems related to the interaction between materials and
microorganisms. Regarding the Cultural Heritage, we characterize the
materials, identify the microorganisms and study the biodeterioration
mechanisms to establish the most appropriate measures of treatment,
prevention and control.

Buildings and Monuments

A

Our contribution in this area began with the Spanish Cultural Heritage
Institute. We studied the biodeterioration of the Lions Fountain at the
Alhambra Palace (Granada, Spain) (Figure 1). Biofouling of the fountain
and the water supply system were analyzed. The stone material and the
corrosion products were characterized by different techniques (XRD,
SEM-EDX, microscopy) [1]. The recommendations we made to the
Council of the Alhambra were fulfilled, which led to the complete
restoration of the fountain.
In collaboration with the University of La Plata (Argentine) we carried
out studies to assess the biofouling mechanisms of funerary crypts at
La Plata Cemetery. Lichens, fungi and bacteria were identified as
responsible for the aesthetic and biochemical biodeterioration [2].

B

Figure 2. A) Paint of a hind at Covalanas Cave. The technique employed for the
representation is the inkpad, which consists of the construction of lines by
juxtaposition of dots. B) Hand stencil of Maltravieso Cave, negative image formed by
placing the hand against a surface and blowing paint around it.

Cinematographic Films
The biodeterioration state of films from the Cuban Institute for
Cinematographic Industry and Arts was evaluated [4]. The films are
made of a cellulose support and a sensitive layer of gelatin, both
susceptible to microbial degradation. A significant fungal colonization
was found on both sides of the films (Figure 3) mainly from Aspergillus
sp. and Cladosporium sp. Epifluorescence microscopy demonstrated
that fungi were still alive so the films under study were at risk of further
deterioration due to the storage under inappropriate conditions.

~ 1 mm

~ 300 Pm

~ 50 Pm

Figure 3. Scanning electron microscopy micrographs showing the colonization of a
cinematographic film by fungi.

REFERENCES

Figure 1. Photograph of the Lion Fountain at the Alhambra Palace before restoration.

1. M.I. Sarró, A.M. García, V.M. Rivalta, D.A. Moreno, I. Arroyo. Biodeterioration
of the Lions Fountain at the Alhambra Palace, Granada (Spain). Building and
Environment, 2006, 41, 12, 1811-1820.
2. P.S. Guiamet, V. Rosato, S. Gómez de Saravia, A.M. García, D.A. Moreno.
Biofouling of crypts of historical and architectural interest at La Plata
Cemetery (Argentina). Journal of Cultural Heritage, 2012, 13, 3, 339-344.
3. V.M. Rivalta. Análisis comparativo de las poblaciones microbianas de las
cuevas con pinturas rupestres de Covalanas y La Haza (Ramales de la
Victoria, Cantabria), 2008. Tesis Doctoral.
4. I. Vivar, S. Borrego, G. Ellis, D.A. Moreno, A.M. García. Fungal biodeterioration
of color cinematographic films of the cultural heritage of Cuba. International
Biodeterioration and Biodegradation, 2013, 84, 372-380.

Cave Paintings
Paintings in Paleolithic caves such as Covalanas and La Haza (Ramales
de la Victoria, Cantabria) [3] and the Cave of Maltravieso (Cáceres) are
some good examples of the priceless heritage that must be preserved
for future generations (Figure 2). In these cases the stone can be
colonized by bacteria, fungi, lichen, or even small vascular plants,
causing deterioration and erosion of the artwork and loss of reliefs and
pigments. Our studies of molecular biology in these unique sites led to
identify the main types of bacteria and fungi involved in the
biodeterioration process.

156

Feasibility study of mechanical recycling of
poly(lactic acid) and its nanocomposites
a,bF.R.Beltrán, aH.Bernabeu, aJ.Moreno, aS.Lorenzo, aE.Ortega, aL.Jiménez,
aA.M.Solvoll, bV.Lorenzo,c,bM.U.

de la Orden,dA.Molina,a,bJ. Martínez.

aDIQUIMA,

ETSII–UPM, Madrid, Spain. (f.beltran@alumnos.upm.es)
Characterization and Applications Research Group (U.A of ICTP-CSIC), Madrid, Spain.
CDepartamento de Química Orgánica I, UCM, Facultad de Óptica y Optometría, Madrid, Spain.
dEcoembes España.
bPolymers,

Abstract
Poly(lactic acid) (PLA) is a very important bioplastic. Until now, the management of PLA waste has not been considered as a problem, due to the moderate
usage of this polymer, and because it is considered biodegradable and compostable. However, it is expected that the volume of PLA wastes to increase in the
following years, and furthermore, most of commercial PLA grades can not be considered as compostable. This work analyses the current alternatives for the
management of PLA wastes, especially the mechanical recycling. To that end, it is important to compare the properties of the virgin and recycled material. In
this work we analyze the effect of the mechanical recycling and washing on the optical and mechanical properties, and on the intrinsic viscosity of PLA and
some of its nanocomposites.

Introduction
Poly(lactic acid) (PLA) is one of the most promising bioplastics, and its main application is the manufacture of packaging products for the food industry. It is
expected that PLA global production will grow from 205,000 tons in 2014 to around 450,000 tons in 2019.1 This continuous growth of the production of PLA
causes a great increase in the demand of the agricultural products used in its production, which could threaten the health and sustenance of poor
countries.2 . This paradox causes an interest in studying the potential of enlarging the service life of PLA and its nanocomposites, by means of mechanical
recycling of discarded products.3 The main objective of this work was to study the effect of a simulated recycling process on the properties of PLA and its
nanocomposites.

Materials and Methods
A commercial PLA grade designed for packaging applications (Ingeo 2003D,
NatureWorksTM) was used. A commercial organically modified
montmorillonite (Cloisite 30BTM) (C30) was used as reinforcement of the
polymer matrix. Virgin and recycled materials were obtained by melt
compounding, and then characterized following the process summarized in
the next diagram:

r-PLA, r-PLA-2%C30
Compression
molding

Washing
4,5
Virgin
Recycled
Washed

Reprocessing

4,0

80

80

Transmittance (%)

100

Characterization:
Intrinsic
viscosity
FTIR-ATR
UV-Vis
spectroscopy
Mechanical
properties
Thermal
stability

100

Virgin
Recycled
Washed

120
Young Modulus (GPa)

Intrinsic Viscosity (mL/g)

Reprocessing
rw-PLA, rw-PLA-2%C30

Results and discussion
140

v-PLA, v-PLA-2%C30

Extrusion

3,5

3,0
0,5

60

40

20

5
0
PLA

PLA-C30
Sample

Fig 1. Intrinsic viscosity of the samples
It can be seen in Fig.1 that for both samples, the
recycling processes cause a decrease in the
intrinsic viscosity of the polymer. This effect is
sharper in the materials subjected to a washing
step. The reduction in the in the intrinsic
viscosity is related with a decrease in the
molecular weight of PLA, as a consequence of
the recycling processes.

Virgin
Washed

0

0,0
PLA

Sample

PLA-C30

Fig 2. Young Modulus of the samples
Fig. 2 shows that, despite the degradation that
took place during the washing and recycling
processes, the changes in the Young modulus of
the materials were small, and thus, do not affect
the potential applicability of the recycled
materials.

Conclusions

250

350

450
550
Wavelength (nm)

650

750

Fig 3. UV-Vis transmission spectra of the samples
Fig. 3 compares the UV-Vis transmission spectra
of virgin and washed PLA. It can be seen that the
washed material presents an absorption peak
around 275 nm, which is related to the
degradation of PLA. However, there are no
significant differences in the transmission in the
visible region of the spectra, thus, the optical
clarity of the materials is not affected by the
recycling processes.

The recycling processes caused the degradation of PLA, however, the decrease in the molecular weight is only important for the materials subjected to a
washing step. Nevertheless, the degradation of the polymer have only a moderate effect on the mechanical properties and no impact on the optical
properties. These results may indicate that the mechanical recycling does not compromise the potential applicability of PLA, however, further research is
needed.

Acknowledgments

We acknowledge the financial support of Mineco-Spain (Project MAT2013-47972-C2-2-P), project UPM RP 160543006 and Ecoembes (España).

References
1. Aeschelmann, F.; Carus, M. Industrial Biotechnology 2015, 11, 154.
2. Araujo, A.; Botelho, G. y.; Oliveira, M.; Machado, A. V. Appl .Clay .Sci .
2014, 88-89, 144.

3. Soroudi, A.; Jakubowicz, I. European Polymer Journal 2013, 49, 2839.

157

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158

NOVEL BIOPOLYMER NANOCOMPOSITES BASED ON
INORGANIC NANOTUBES
Mohammed Naffakh
ETSI Industriales, Universidad Politécnica de Madrid (mohammed.naffakh@upm.es)

Abstract
The aim of this presentation is to highlight the latest findings on the use of WS2 inorganic nanotubes in the development of novel biopolymer composite
materials with enhanced thermal, mechanical and tribological properties. Particular interest has been devoted to the analysis of the influence of INT-WS2
on the structure, morphology and properties of biodegradable and renewable thermoplastics, such as poly(3-hydroxybutyrate) (PHB) and poly(L-lactic acid)
(PLLA) [1,2]. The property improvements enabled by these nanostructures have resulted in their use with other inorganic micro-particles (hydroxyapatite:
HA) to tailor more sophisticated poly(L-lactic acid)/hydroxyapatite hybrid composite biomaterials [3]. The surprising properties of these layered metal
dichalcogenides such as high impact resistance and superior tribological behavior open up a wide variety of opportunities for applications in, for example,
the automotive and aerospace industries, electronics and medical technology and, more particularly, in the field of polymer nanocomposites [4].

Results and discussion
It is well-known that the dispersion of nanoparticles within a polymer
matrix can have a significant influence on the final properties of the
material. Figure 1 shows the morphologies of the cryogenically-fractured
surface of PLLA/INT-WS2 and PLLA/HA/INT-WS2 obtained by meltprocessing [3,4]. This strategy yields a good dispersion of INT-WS2 that
are almost completely debundled into individual tubes within the PLLA
matrix by the shear force encountered during melt-blending. Promising
INT-WS2 have also been successfully integrated into PHB, using a simple
solution
blending
method
[2].
Ternary
PLLA/HA/INT-WS2
nanocomposites were also successfully prepared. Morphological analysis
indicates that the incorporation of INT-WS2 into PLLA/HA improves the
dispersibility of the HA microparticles and reduces their mean size,
resulting in larger interfacial area [4]. It is important to point out that the
INT-WS2 did not require any special exfoliation or modification methods,
making it possible to obtain new bionanocomposite formulations
without the complexity and processing costs associated with such
treatments.
PLLA-INT
1 Pm

More importantly, the ternary PLLA/HA/INT-WS2 nanocomposites
showed a strong improvement in mechanical properties (storage
modulus, glass transition temperature, stiffness, strength, toughness)
and tribological properties (coefficient of friction and wear rate) in
comparison to those of the neat PLLA and PLLA/HA blends, and
maintained higher stiffness and strength under biological conditions due
to their slower hydrolytic degradation rate [4].
BN
Thyamine
Į-CD
Melamine
Lignine
Tal c

32
28
18
16
12

PHB

10

MWCNT
GO
INT-WS2

6
9
36

MWCNT
GO
HA/INT-WS2
INT-WS2

12

PLLA

5

29
21

0

10

20

ѐT (ºC)

30

40

Figure 2. Increment in the crystallization temperature peak ;ȴdͿ of
PLLA and PHB systems containing different kinds of fillers obtained
during cooling at 10 ºC/min.

Conclusions
PLLA/HA (60/40)-INT

2 Pm

The use of WS2 inorganic nanotubes has been demonstrated to be a very
efficient strategy
to produce
advanced biopolymer-based
nanocomposite using advantageously traditional melt processing
technique. The results obtained from the thermal, mechanical and
tribological experiments, along with the good materials processability,
economic and sustainability benefits, encourage further investigations in
order to evaluate the full potential of these new bionanocomposites for
their potential use in eco-friendly and medical applications.

References
Figure 1. SEM images of melt-processable PLLA/INT-WS2 and
PLLA/HA/INT-WS2 nanocomposites .
The major issue in expanding commercial opportunities for PLLA, PHB
and related polymer materials (PHBV) is their crystallization behavior. As
an example, the overall crystallization rate, final crystallinity and
subsequent melting behaviour of PLLA were controlled by both the
incorporation INT-WS2 and variation of the cooling rate. In particular, it
was shown that INT-WS2 exhibits much more prominent nucleation
activity on the crystallization of PLLA than other specific nucleating
agents or nano-sized fillers (Figure 2). These features are advantageous
for the enhancement of mechanical properties and processability of
PLLA-based materials.

Acknowlegments.

1. M. Naffakh, C. Marco, G. Ellis. Inorganic WS2 Nanotubes that Improve
the Crystallization Behavior of Poly(3-hydroxybutyrate). CrystEngComm
2014, 16, 1126-1135.
2. M. Naffakh, C. Marco, G. Ellis. Development of novel melt-processable
biopolymer nanocomposites based on poly(L-lactic acid) and WS2
inorganic nanotubes. CrystEngComm 2014, 16, 5062-5072.
3. M. Naffakh, A.M. Díez-Pascual. WS2 inorganic nanotubes reinforced
poly(L-lactic acid)/hydroxyapatite hybrid composite biomaterials. RSC
Adv. 2015, 5, 65514-65525.
4. M. Naffakh, A.M. Díez-Pascual, C. Marco, G. Ellis, M.A. Gómez-Fatou.
Opportunities and challenges in the use of inorganic fullerene-like
nanoparticles to produce advanced polymer nanocomposites. Prog.
Polym. Sci. 2013, 8, 1163-1231.

This work was supported by the Spanish Ministry Economy and Competitivity (MINECO), Project MAT2013-41021-P. MN would
also like to acknowledge the MINECO for a ‘Ramón y Cajal’ Senior Research159
Fellowship.

Organo-silanol modified clays for polymer
nanocomposites
León, a Diana Mena, bMª Ulagares de la Orden, aJoaquín
Martínez Urreaga

aSalvador
aGrupo
bDpto.

de Investigación ‘‘POLímeros: Caracterización y Aplicaciones”, E.T.S.I.I., U.P.M.
de Química Orgánica I, E. U. Óptica, Universidad Complutense de Madrid

Abstract
A systematic study on the organic modification of clays by silanization is presented. The aim of this approach is to allow the insertion of polymer chains to
produce polymer nanocomposites. Different silane-modified clays have been prepared and characterized by experimental techniques (FTIR, TGA, XRD) and
molecular simulation. One particular silane-derivative (3-AminoPropylTriEthoxySilane, APTES), has produced clays with an increase in the intersheet
spacing of up to 1,96 nm). In addition, molecular dynamics simulations suggest that the aggregation of modifier molecules in the intersheet space can play
a role in the intercalation process and intersheet separation.

Objectives
Polymer-clay nanocomposites attract great interest due to their improved properties (higher modulus, better chemical and thermal resistance, lower gas
permeability and inflammability, higher biodegradabality).
To obtain a good dispersion, organic modification of the clay hydrophillic sheets is usually needed. Here, we propose the use of organo-silanol derivatives,
consisting on both inorganic and organic groups. It is expected that this dual nature can enhance the compatibility between the inorganic clay and the
organic polymer.

Clay: Montmorillonite
Modified clay

Polymer Nanocomposite

Modifier: Silanol
Organic

Polymer: Polycarbonate

Inorganic

Results
Clay modification. Characterization
CLNa
CAPTES

1,2

CLNa
CAPTES

OEt

CH2

CH2 NH2

APTES

Absorbance

CH2

Si

Intensity

OEt
EtO

1,0
0,8
0,6
0,4
0,2
0,0

0

Molecular dynamics

5

10

15

20

25

3000

2500

2000

1500

1000

500

Density functional calculations
DFT calculations are being carried out on model compounds
to estimate changes on the IR spectra.

3

50

2

40

CLNa
CAPTES

1
0
-10 -8 -6 -4 -2 0

2

4

6

Intensity

Density Profile

3500

-1

Si
N
C

4

4000

35

Wavenumber (cm )

Simulations on periodic interlamellar spaces suggest a trend
for aggregation of the modifier molecules.

5

30

2q

8 10

Distance (Å)

30
20
10
0
4000

3500

3000

2500

2000

1500
-1

160

Frequency (cm )

1000

500

Packing of athermal polymers in the bulk and
under confinement
1Pablo Ramos, 2Katerina Foteinopoulou, 2Nikos
1ISOM
2ISOM

Ch. Karayiannis and 2Manuel Laso

& ETSI Caminos, Canales y Puertos (pm.ramos@alumnos.upm.es)
& ETSI Industriales

Abstract
Atomic and particulate packing is closely related to processes and applications in material, polymer and colloidal
sciences, mathematics, engineering and biology. Our aim is to study the structure, packing ability and phase
behavior of athermal polymers in the bulk and under confinement. Polymers exhibit unique mechanical, dynamical
and rheological properties due to the presence of topological constraints (entanglements) between chains. Chain
motion of entangled polymers is sluggish [1].
Questions to be addressed in the present work: a) How does the maximally random jammed (MRJ) state [2] of
polymers compare with the one of monomers?, b) How does chain connectivity affect crystallization?, c) How do
macromolecular dimensions and entanglement statistics scale with packing density and confinement?

161

PLA COMPOSITION IMPACT ON PET
MECHANICAL RECYCLING
aAcosta
aPOLCA

J., Aguinaco T., Ochoa A., Fonseca C., Lorenzo V.

(POLimeros, Caracterización y Aplicaciones) (polca@upm.es)

Abstract
In the last decade, biodegradable polymers applications have resulted a great increase in the use of these materials, specially PLA in packaging and
containers field.
This has generated an increase of this material in the PET recycling streams, obtaining as consequence a material of lower qualities.
The objective of the research work is to conclude the influence of PLA inclusion in the mixtures with recycled PET. Tests have shown that the addition of
small amounts of PLA in the stream of post-consumer PET, results in deterioration of the properties of PET.

Materials & Methods
Table 1. Raw materials and PET/PLA blends of different compositions

Ø

Ø

Ø
Virgin PLA and post-consumend PET are the reference materials.

Ø

Intrinsic viscosities of PET were performed with an Ubbelohde
viscometer at 25ºC in a mixture of phenol and tetrachloroethane (60/40,
w/w). The intrinsic viscosity of PLA was measured used Chloroform as
solvent.
Melt flow behavior was measured using a ROSAND capillary extrusion
rheometer. The tests were carried out at 210ºC and 285ºC, and at
apparent shear rate ranging from 10 to 4000 s-1.
Thermogravimetric analysis (TGA) measurements were performed with
TA Instruments 2050 thermobalance. Samples were heated from 30 to
600°C at 10°C/ min.
Tensile properties were measured on a tensile testing machine
HOUNSFIELD Model H10K. A crosshead speed of 1 and 50 mm/min was
used. At least five specimens were used for each PLA/recycled PET blend.

Results
Thermal Properties

Intrinsic Viscosity
Table 2. Intrinsic Viscosity measurements of PET/PLA blends

Considering 1% of PLA in the blend, the viscosity decreases 9% with
respect P-0, and for 2% of PLA the viscosity is reduced about 20%. This
could be due to a process of degradation in the preparation of blends,
when the PLA is subjected to processing temperatures of PET.

Melt Flow Behavior

Figure 2. Thermogravimetric curves for PET/PLA blends
PLA 210
PLA 285

The presence of PLA affects slightly the thermal stability of PET.
Indeed, the temperature of maximum rate of mass loss, decreases
by increasing the content of PLA.

Mechanical Properties
Table 3. Elastic Modulus of PET/PLA
T/
blends

Figure 1. Flow curves of PLA at different temperatures
The elastic modulus decreases until 12% when 2% of PLA is added.
This behavior could indicate incompatibility between the two
materials and also likely chain break due to a possible degradation.

Rheological tests performed at PLA indicate a significant reduction in
viscosity when working at processing temperature of PET (285ºC).

Conclusion
Tests have shown that the addition of small amounts of PLA in the stream of post-consumer PET results in deterioration of the properties of PET,
possibly because degradation reactions during the processing.

References
• Awaja F. , Pavel D. Recycling of PET. European Polymer Journal 41 (2005). 1453-1477.
• La Mantia F.P, Botta L., Morreale, Scaffaro M. Effect of small amount of PLA on the recycling of PET bottles. Poly. Degr . &Stab. 97 (2012). 21-24.

Acknowledgments
The authors thank ECOEMBES for their financial support of this work.

162

Diamond-like carbon nanostructured materials
for energy applications
J.A. SANTIAGO1,2*, M. Monclús2, J. Molina2, A. Wennberg3, I. Fernández3,
P. Díaz1, A. Rivera1, J.M. Perlado1, R. González-Arrabal1
de Fusión Nuclear, 2IMDEA Materiales, 3Nano4Energy S.L.
E-mail address: joseantonio.santiago@nano4energy.eu
1Instituto

Abstract
Diamond-Like Carbon (DLC) coatings have been recognized as one of the most valuable engineering materials for various industrial
applications including manufacturing, transportation, biomedical and microelectronics. Among its properties, DLC has excellent
frictional behaviour combined with high surface hardness, offering an extraordinary protection against abrasive wear. Nevertheless, DLC
is temperature-sensitive, its sp3-sp2 structure undergoes a graphitization process at high temperature that deteriorates both hardness
and coefficient of friction. The aim of this research is to improve both properties and to extend the lifetime of components by
restructuring DLC materials at the nanoscale.

From graphite to diamond

Versatility of carbon materials arises from the strong dependence of their physical properties on the sp3-sp2 ratio. Diamond-like carbon
(DLC) is an amorphous carbon (a-C) or hydrogenated amorphous carbon (a-C:H) thin film material with a high fraction of sp3 bonding.

Methods & Innovations
PVD methods, including novel technologies such as HiPIMS, are used
to synthetize DLC films. These techniques together with laser
processing allow to generate nanostructures such as
nanocomposites with adaptive tribomechanical properties.
Nanocomposite coatings represent a new generation of materials
composed of at least two separated phases with nanocrystalline
and/or amorphous structures. In this case, small nanocrystalline
carbide phases are embedded on carbon matrix to maintain or even
to enhance tribomechanical properties of coatings while extending
their thermal stability.
Argon plasma glow in a sputtering discharge for DLC synthesis

Applications
DLC can offer outstanding frictional behavior in both
lubricated and dry conditions. This makes DLC ideal for
cutting, food and medical technology. In addition, DLC is
produced at low temperature, uniquely suited for mold
materials and automotive wear parts.

Family
a-C
a-C:H
WC-C

H (GPa)
25
30
25

E (GPa)
220
260
250

μ
0.1
0.05
0.25

Tserv (oC)
300
250
>300

High temperature tribomechanical performance of DLC is an
unexplored area that is also investigated in this work.
Nanoindentation and pin-on-disk tests are carried out from room
temperature up to 400oC to evaluate the deterioration of DLC films
in different environments as a function of hydrogen content, sp3-sp2
ratio or nanocomposites phases.

Participants

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164

Numerical discrete simulation improving new
refractory designs for ultraclean steels
aCristina
a
b

Ramírez-Aragón, aJoaquín Ordieres-Meré, bFernando Alba-Elías

ETSII, Universidad Politécnica de Madrid (cristina.ramirez.aragon@gmail.com)
ETSII, Universidad de La Rioja

Abstract
The research on refractory materials has been increased in the last years due to the fact that the metallurgical industry imposes more and more exacting
specifications. On the other hand, an interesting way to work with composite materials is the powder technology. This technique consists in producing
solid and resistant pieces from powder material. There are two methods to apply this technique: the first method consists in producing the piece by hot
pressing and the second method consists in a sintering process after the compaction of the powder. The aim of this work is the generation of a discrete
element model that allows to simulate the sintering process of a refractory material. After the model has been adjusted, this is used to look for other
mixtures that improve the properties of the sintered pieces. The analyzed process consists in compacting a powder to obtain a green body. After that, the
body is subjected to high temperatures to increase the mechanical strength of the piece. Therefore, the compaction and sintering processes are separately
studied.

Method
The EDEM® software is used to simulate the process through the discrete element method.
The simulations are carried out in two stages: simulation of compaction process and simulation of sintering process.
Green body sintering

Powder compaction

Powder

Sintered piece

Green body
Simulated processes.

Powder compaction process

Stage I

To simulate the compaction
process a contact model with
bonding is used. The created
bonds make the particles remain
united forming a solid body.

Powder compaction process.
At this model, a set of particles is created inside a die and then an upper
puncheon goes down until the green body has the desired height. At the
end, the puncheon goes up and the piece is pulled out of the die.

Simulated green body.

Green body sintering process

Stage II

To simulate the sintering process a contact model is implemented. This consists in increasing the sintering
force each timestep. Thereby, the overlap between particles augments as the sintering force is increased. This
overlap simulates the neck growth between particles during the sintering.

In this simulation, the green body that was
generated during the compaction process is
placed over a horizontal surface and remains
at rest while the sintering force is acting.

Overlap between particles produced in simulations.

Improvement of the sintered pieces

Stage III

Finally, the mechanical properties
of the sintered piece are analyzed
and solutions that improve those
properties are sought.

Refractory bricks.

165

Ladle in a casting process.

Obtaining the cumulative distribution function of fracture
stress for brittle materials. Application to silicon wafers
a Josu

Barredo, b Alberto Fraile, c Covadonga Alarcón, d Lutz Hermanns

Project sponsored by:

a,b,d Departamento
c Departamento

de Ingeniería Mecánica, ETSII-UPM (jbarredo@etsii.upm.es)
de Ingeniería de Materiales, ETSIM-UPM

(Ref: ENE2014-56069-C4-2-R)

Abstract
The large scatter in the strength values of brittle materials requires the use of cumulative distribution functions (cdf) to adequately describe the fracture
stress. The three-parameter Weibull distribution function is widely used for this purpose. The failure probability of a loaded specimen expressed by this
function depends on the size of the specimen (the so-called size-effect) and is valid for a uni-axial and uniform stress state. For the estimation of the
parameter values of the cdf the process is just reversed i.e. the three parameters are estimated by using the calculated failure stresses of a series of
destructive laboratory tests. The size-effect must be considered and, depending on the test employed, multi axial stress states can be found in the
specimens before failure. An iterative algorithm to determine the three parameters is proposed. The size effect as well as the multi axial stress case is
considered. This procedure is applied to determine the strength of crystalline silicon wafers. Due to the particularities of the specimens (i.e. very low
thickness), non-linear behaviour during the tests must be taken into account. This leads to a wider field of applications of the proposed method.

Crystalline silicon wafers
Samples characteristics

Obtaining the three parameters of the Weibull cdf
Weibull Model

Anisotropy of mono-crystalline silicon:
c11= 165.6 GPa; c12= 63.9 GPa; c44= 79.5 GPa

Sample and test dimensions

s
sqq + s

Test

Non-uniform stress
Equivalent area of test i:

Multi-axial stress state
Finite Element Model (shell elements)

Principle of Independent Actions (PIA):

Anisotropy; Large displacements; Contact

Iterative procedure to obtain the three parameters of the Weibull cdf
1. Assignation of experimental failure
probability (N tests):
s

Fitting of test results-FE Model

5. (smax,i ;Pf,i,DA) ! Three-parameter Weibull cdf
(m su s0) referred to DA
6.

2. (smax,i ;Pf,i) ! Fitting to a three-parameter
Weibull cdf using the least square method
(m su s0) “experimental”
3. Calculation of the equivalent area of each
test:

4. Calculation of the failure probability of test
i referred to a differential area DA

Stress state of all samples before
failure is reached
166

NO

YES

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169

Incorporation of human knowledge to the
stock markets for improving forecasts
aSwarnava

Mitra , bJoaquin Ordieres Mere

a,b

Universidad Politécnica de Madrid, Department of Industrial Engineering, Business
Administration and Statistics (swarnava.mitra@upm.es)

Abstract This thesis attempts to explore the possibility to model human behavior and how it guides financial markets. According to
Behavioral Finance theory the stock market ecosystem is influenced by the decision making of the individuals trading in it. The traders are
heterogeneous in nature, with each group having their own belief and expectation. This thesis tries to answer the question Can human
behavior and its responses to macroeconomic events be modelled and used as an indicator to predict price directions? To answer the
former question, the research has delved deep into exploring human behavior guiding financial markets. Different exogenous variables
representing stock broker behavior has been explored. These variables are derived from market data of local markets like the Madrid Stock
Exchange, and also from micro blogging sites and website visit statistics. A local market microstructure is guided mostly by its local players
and macroeconomic events. Where as more global stock markets are more guided by global macroeconomic events. This research
constructs exogenous variables which effect the small stock exchanges and bigger stock exchanges alike. In this research different data set
are constructed from web search volumes, sentiment scores of Twitter posts to page visit statistics of Wikipedia articles. The exogenous
time series constructed is then used as a predictor variable for different supervised and unsupervised machine learning algorithms for
future price predictions. In this research different categories of machine learning algorithm were used from simple tree based ensemble
learning models to SVM (support vector machine) and kernel based models to more complex Deep Learning algorithms. The implication of
the research is that it will help financial managers and traders use these correlations with social sentiment indexes to predict financial
markets with certain accuracies. It will also provide them with early warnings of market downturns risk and indication of crisis.

Keywords: Social Media Analytics, Stock Market Prediction, Machine Learning

170

Relevant framework for social applications of
IoT by means of Machine Learning techniques
aXiaochen
aTechnical

Zheng (PhD researcher), aJoaquín Ordieres (Professor)

University of Madrid (xiaochen.zheng@alumnos.upm.es)

Abstract
With the rapid development of Internet of Things (IoT) technology, billions of smart devices are being connected into a whole network and streaming out a
huge amount of data every moment. Unimaginable potential value can be mined from these data with the help of “Cloud Computing” and “Machine
Learning” techniques. The target of our research is to address the benefits of IoT in social applications, especially in healthcare area, by developing a
multilayer framework. Low cost data collection, efficient data transfer, flexible data management and accurate data analysis mechanisms will be included
in the framework. A Smart Decision Support System is supposed to be developed on the basis of this framework.

Figure 1 Overal framework of social applications on the basis of Internet of Things

Figure 2 An example of the data collection and management system

171

Relevant contributions of Internet of Things and Data Science
to the Insurance Business by means of Machine Learning
techniques
LIU YANG
Professor ˖Joaquin, Ordieres
yang.liu00@alumnos.upm.es j.ordieres@upm.es
Industrial Organization, Business Administration and Statistics
Business Intelligence

Introduction
From its earliest days, the insurance industry has been data-centric. In the past, insurance companies relied on
historical data from policy administration solutions, claims management applications and billing systems. Today, the
explosion of new data is turning the insurance business model on its head. The growth in Quantified-Self products
has had an especially large influence. Insurance has become a data industry .The factor of accelerated aging,
deterioration of the living environment, Improvement of living standards are affecting people's lives. More and more
people attach importance to their own health and they will pay attention health insurance.
The main method of Quantified-Self are data collection , data visualization, make a Business decisions . Wearable
devices can collect the body data, analysis fitness of each policyholder. And to grasp the data of the human data from
social network. The Data collection can do so by facilitating the discovery of risk factors for disease at population and
individual levels, and by improving the effectiveness of interventions to help people achieve healthier behaviors in
healthier environments. The wearable devices will provide the basic layer of continuous data stream to integrate with
those coming from the smartphone in order to derive specific features along the time. Thus, trends can be estimated
for different type of factors and human related factors can be mixed to establish online clustering to be processed
against the accidents by a survival analysis. The concept behind this proposal is to be behind this first layer of
application which consists in gather continuous data, but designing learning processes capable from knowing data
sets and their evolution, in such a way that forecasting can benefit users as they will be informed about potential risks
of specific actions, including causal patterns for biometric behavior.
Many opponents to the introduction of in Quantified-Self products have expressed concerns in regarding of
privacy and insurance companies’ abilities to track their insured customers. Through the sensor, insured customers
are more aware of how their premiums are calculated, and they’ll know that their health status and attitudes are
recognized by The idea of using data to generate personalized pricing and provide meaningful risk information
appears simple. This research will necessitate discovery it helps people to successfully modify their risk behaviors and
reduces healthcare costs.

The figure1 ,-The structure map
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173

Short-term forecasting of electric load in Spain
aEduardo

Caro, aJesús Juan, aJavier Cara

aLaboratory

of Statistics - Technical University of Madrid
(eduardo.caro@upm.es – jesus.juan@upm.es – javier.cara@upm.es)

Abstract
In this work, a short-term electric load forecasting method is developed, using as an explanatory variable the temperature forecasts from an external
agent. A regression-spline model has been designed to implement the relationship between temperature and energy demand. The proposed method is
general and can be implemented in any real-time electricity energy system.
To check the method's performance, a real data set from the Spanish electricity system has been used and the developed algorithm has been tested
employing the MSE as the performance metric. Results denote that the forecasting method is both accurate and computationally efficient.

For any transmission system operator, it is important to have a proper
prediction for the short-term future consumption. This is particularly
valuable in the electric power framework: since the electricity cannot be
efficiently stored, the electricity system operator must meet generation
and demand on a real-time basis.
The aim of this work is to enhance the quality of the short-term load
forecasts, based on a more accurate temperature model.

Temperature influence
As it can be observed from Fig. 1, there is a non-linear relationship
between temperature and electric load. Specifically, there is a negative
correlation among these two variables for winter months (a lower
temperature causes a higher demand), and a positive relationship for
summer months (a higher temperature provokes a higher demand).

Temperature

Fig. 1. Relationship between ambient temperature and the electric load
(Blue: weekdays, Green: Saturdays, Red: Sundays, Black: public holidays)

Temperature modelling

0%

Influence over the load

Spanish Electric Load

Motivation and aim

In order to model properly the relationship between ambient temperature
and the Spanish electric load, a spline-regression additive model has been
employed.

-1 %

-2 %

Figure 2 provides an illustrative example of an application of this model,
using three nodes and Tmin = 5ºC and Tmax = 37 ºC, resulting the equation
below:

-3 %

!

-4 %
-5 %

10

20

30

Temperature
Fig. 2. Spline-regression additive model applied to temperature.

40

= "# + "$ · %! + "& · ' %! , ($ + ") · ' %! , (& + "* · ' %! , () ···

The following geographical locations have been employed for computing
the daily Ti value using AEMET weather forecasts:
ü
ü
ü

ü
ü
ü

ü
ü
ü

Results

As an illustrative example, Fig. 3 provides the forecasted (green line) and the actual load
demand (blue line), denoting accurate results.

4 a.m.
Influence over the load

The spline-based temperature model has proved to be accurate and reliable. The
resulting relationship between load and temperature is provided in Fig. 4, denoting that
this relation significantly varies among hours.

ü

8 a.m.

+ 10%

+ 10%

+5%

+5%

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0

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0

10

20

Influence over the load

4 p.m.
+ 10%

+5%

+5%

0

0

-5%

-5%
10

20
Temperature

Fig. 3. Real and forecasted electric load for a recent week using the developed
174 model.

30

40

40

8 p.m.

+ 10%

0

30

+1

0

10

20

30

Temperature

Fig. 4. Resulting model for several representative hours.

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176

Characterization of human activities on structures
a Javier

Fernández, a Alberto Fraile, a Lutz Hermanns, a Enrique Alarcón

a Departamento

Project sponsored by:

de Ingeniería Mecánica, ETSII-UPM (jfernandezm@etsii.upm.es)
(Ref: BIA2014-59321-C2-1-R)

Abstract
The interest for modelling of human actions acting on structures has been recurrent since the first accidents on suspension bridges in the nineteenth
century like Broughton (1831) in the U.K. or Angers (1850) in France. The use of new materials allowing the design of slender structures, the simultaneous
interest in the structural serviceability performance and accidents such as during the opening ceremony of the London Millenium Footbridge made it
mandatory to carry on and in-depth analysis of the equivalent actions to be used in the numerical analysis of structures.
In this work, some studies have been carried out in order to compare the existing load models used to simulate periodic jumping and develop a new load
model. Tests have been performed on a structure designed to be a gymnasium, which has natural frequencies within that range of the excitation
frequencies. In addition, a finite element model of the structure has been developed. The load models have been applied on this model to calculate
predictions of the structural response. Test results have been compared with predictions based on the load modelling alternatives.

Jumping load models

Methodology

Model 1. Steel Construction Institute

Structure monitoring

• Periodic loads

• Fourier coefficients (group effect
4

ETSII gymnasium

!)

"(#) = $ · %& + ' *+ · ,-.(/ · + · 0 · 12 · # + 3+ )5
+=&

Modal Identification and numerical model
• Operational Modal Analysis (OMA)
• Finite Element Model

Model 2. Oxford University (Sim)
• Randomness in the phase lag among individuals
67,8

Experimental
Freq. (Hz)

Numerical
Freq. (Hz)

Error (%)

Floor Bending

5.74

5.71

0.6

2st Floor Bending

6.75

6.59

2.3

Mode

• Statistical model
#7,8
=
· /0
9:

; =
6

#̅7
· /0
9

1st

3st

Floor Bending

8.52

8.20

3.8

4st Floor Bending

10.85

10.89

0.4

Jumping tests
• Jumping area: 12 m2
• Up to 30 jumpers
• Occupyng densities: 0.5, 1, 1.5, 2, 2.5 p/m2
• Jumping frequencies: 1.5, 2, 2.5 Hz

Model 3. Proposed model
• Force plate tests

Numerical-experimental comparison

F(t) = A1cos2 (w1 (t-t1 ))+A2cos2 (w2 (t-t 2 ))

• Least squares fitting
• Statistical post-processing

Running RMS: Models 1 and 2
underestimate and model 3 (proposed)
overestimate the experimental values

177

PSD diagram: Model 3 (proposed) fits
better to the test results for frequencies
higher than 10 Hz

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&ƌĂĐƚƵƌĞWƌŽďĂďŝůŝƚLJ 

ŽĂdžŝĂůŽƵďůĞ ZŝŶŐdĞƐƚ͘Zŝ ϵϬŵŵ͖ZĞ ϭϮϬŵŵ͖ƌĞĨ ϮϱϰϳŵŵϮ 

& 

,d 
>Ͳ,&Ds
,d& 
>ͲdDs
d 
ůͲ&Ds

Ϭ͘ϲ 

>ͲDs 
ůͲ,Ds

Ϭ͘ϰ
Ϭ͘Ϯ

ϬϱϬϭϬϬϭϱϬϮϬϬϮϱϬϯϬϬϯϱϬ
^ƚƌĞƐƐ΀DWĂ΁
ϱϬ

ϭϬϬ

ϭϱϬ

ϮϬϬ

ϮϱϬ

ϯϬϬ

ϯϱϬ

WƌŽƉŽƐĞĚĞƐƚŝŵĂƚŝŽŶƉƌŽĐĞĚƵƌĞĨŽƌƚŚĞĨƌĂĐƚƵƌĞƐƚƌĞƐƐĐƵŵƵůĂƚŝǀĞĚŝƐƚƌŝďƵƚŝŽŶĨƵŶĐƚŝŽŶ
ϭ͘Ϭ 
ŶŶĞĂůĞĚ 

ŶŶĞĂůĞĚ
ǁŝƚŚ &ŝůŵ

&ƌĂĐƚƵƌĞWƌŽďĂďŝůŝƚLJ

Ϭ͘ϴ

,ĞĂƚ dĞŵƉĞƌĞĚ
ǁŝƚŚ &ŝůŵ

Ϭ͘ϲ
Ϭ͘ϰ

dĞŵƉĞƌĞĚ

,ĞĂƚ
dĞŵƉĞƌĞĚ

Ϭ͘Ϯ

&WĨŽďƐĞƌǀĂĚŽ
Ɖ ŽďƐĞƌǀĞĚ
&WĨ/ƚĞƌĂĐŝſŶ/ŶŝĐŝĂů
Ɖ ŝŶŝƚŝĂů ŝƚĞƌĂƚŝŽŶ

Ϭ͘Ϭ

&Ɖ ĨŝŶĂůŝƚĞƌĂƚŝŽŶ
WĨ/ƚĞƌĂĐŝſŶ&ŝŶĂů

ϱ

ϭϱ
Ϯϱ 
džŝĂů>ŽĂĚ΀ŬE΁ 

ŽŶĐůƵƐŝŽŶƐ

ϯϱ

&ŝŐƵƌĞ ĨƌŽŵ ƚŚĞ ůĞĨƚ ƉƌĞƐĞŶƚƐ ƚŚĞ
ƌĞƐƵůƚƐ ŽĨ ƚŚĞ ĨĂŝůƵƌĞ ůŽĂĚ
ƉƌŽďĂďŝůŝƚLJ ŽďƚĂŝŶĞĚ ĨƌŽŵ͗
Ͳ ƚŚĞ ƚĞƐƚ͖
Ͳ &D ǁŝƚŚ ŝŶŝƚŝĂů ĐƵŵƵůĂƚŝǀĞ
ĚŝƐƚƌŝďƵƚŝŽŶ ĨƵŶĐƚŝŽŶ ĨŽƌ ƚŚĞ
ĨƌĂĐƚƵƌĞ ƐƚƌĞƐƐ͖ ĂŶĚ
Ͳ &D ǁŝƚŚ ĨŝŶĂů ĐƵŵƵůĂƚŝǀĞ
ĚŝƐƚƌŝďƵƚŝŽŶ ĨƵŶĐƚŝŽŶ͘
/ƚ ĐĂŶ ďĞ ŽďƐĞƌǀĞĚ ƚŚĂƚ ƚŚĞ
ǀĂůƵĞƐ ĐĂůĐƵůĂƚĞĚ ǁŝƚŚ ƚŚĞ
ƉƌŽƉŽƐĞĚ ŵĞƚŚŽĚ ƉƌĞƐĞŶƚƐ Ă
ďĞƚƚĞƌ ĂƉƉƌŽĂĐŚ͘
WƌŽƉŽƐĞĚ ŵĞƚŚŽĚ ŝƐ ďĂƐĞĚ ŝŶ ƚŚĞ
ĞƐƚŝŵĂƚŝŽŶ ŽĨ ĞĨĨĞĐƚŝǀĞ ĂƌĞĂ ĨŽƌ
ĞĂĐŚ ƐƉĞĐŝŵĞŶ͘

$N1
36 

$)N1
36 

dŚĞ ĐŽŶƚŽƵƌƐ ŽĨ ƐƵƌǀŝǀĂů ƉƌŽďĂďŝůŝƚLJ ŝŶ ƚŚĞ &D ŽĨ Ь ŽĨ
ƉůĂƚĞ͕ ǁŝƚŚ ƚŚĞ tĞŝďƵůů͛Ɛ ƉĂƌĂŵĞƚĞƌƐ ĨŽƌ ĂŶŶĞĂůĞĚ ŐůĂƐƐ
;Ϳ͕ ƚŚĞ ƚŽƚĂů ƐƵƌǀŝǀĂů ƉƌŽďĂďŝůŝƚLJ ŝƐ Ϭ͘Ϭϱ ĨŽƌ ƚŚĞ
ĂŶŶĞĂůĞĚ ŐůĂƐƐ ǁŝƚŚ Ĩŝůŵ ;&Ϳ͕ ƐƵƌǀŝǀĂů ƉƌŽďĂďŝůŝƚLJ
ŽďƚĂŝŶĞĚ ŝƐ ŽĨ Ϭ͘ϯϱ͘ ^ŝŶĐĞ ƐƚƌĞƐƐ ĚŝƐƚƌŝďƵƚŝŽŶ ŝƐ
ƉƌĂĐƚŝĐĂůůLJ ƚŚĞ ƐĂŵĞ͕ ĚŝĨĨĞƌĞŶĐĞ ŝƐ ŝŶ ƚŚĞ ĚŝƐƚƌŝďƵƚŝŽŶ
ĨƵŶĐƚŝŽŶ ĨŽƌ ƚŚĞ ĨƌĂĐƚƵƌĞ ƐƚƌĞƐƐ͘ 

ŵĞƚŚŽĚ ƚŚĂƚ ĂůůŽǁƐ ƚŽ ĐŽŵƉĂƌĞ ƚŚĞ ƌĞƐƵůƚƐ ŽĨ ĐƵŵƵůĂƚŝǀĞ ĚŝƐƚƌŝďƵƚŝŽŶ ĨƵŶĐƚŝŽŶ ŽĨ ŐůĂƐƐ ĨƌĂĐƚƵƌĞ ƐƚƌĞƐƐ ŽďƚĂŝŶĞĚ ŚĂƐ ďĞĞŶ ƉƌŽƉŽƐĞĚ͘ ĂƐĞ ŽŶ ƚŚĂƚ͕
ĚŝĨĨĞƌĞŶƚ ŚLJƉŽƚŚĞƐĞƐ ĐĂŶ ďĞ ƐƚƵĚŝĞĚ͖ ĨŽƌ ĞdžĂŵƉůĞ͕ ƚŚĞ ƉƌĞĐŝƐŝŽŶ ůĞǀĞů ŝŶ ƚŚĞ ĂƉƉůŝĐĂƚŝŽŶ ŽĨ ƚŚĞ ůŽĂĚ ĂŶĚ ƉƌĞƐƐƵƌĞ ĂŶĚ ƚŚĞ ƌĞůĂƚŝŽŶ ǁŝƚŚ ƚŚĞ ĂƐƐŝŐŶĞĚ
ĨƌĂĐƚƵƌĞ ƐƚƌĞƐƐ͕ ƚŚĞ ŵĞƚŚŽĚ ŽĨ ƐƚƌĞƐƐ ĐŽŵďŝŶĂƚŝŽŶ Žƌ ƚŚĞ ĞĨĨĞĐƚ ŽĨ ƚŚĞ ŵĞŵďƌĂŶĞ
178 ƐƚƌĞƐƐ ƚŚĂƚ ĂƉƉĞĂƌƐ ŝŶ ƚŚĞ ŶŽŶ ůŝŶĞĂƌ ĐĂƐĞƐ͘

>D/Ed'>^^,s/KhZ'/E^d
,hDE/DWd

WƌŽũĞĐƚƐƉŽŶƐŽƌĞĚďLJ 

/ϮϬϭϭͲϮϴϵϱϵͲϬϮͲϬϮ

Ă:ŽƐĠ 

͘WĂƌƌĂͲ,ŝĚĂůŐŽ͕ď:ĞƐƷƐ ůŽŶƐŽ͕ď:ĂĐŽďŽ ^ĄŶĐŚĞnj͕
ďŶƚŽŶŝĂ WĂĐŝŽƐͲůǀĂƌĞnj͕ďDǐŽŶƐƵĞůŽ,ƵĞƌƚĂ
Ă

ď 

d^//Ͳ hWD;ũŽƐĞĂŶƚŽŶŝŽƉĂƌƌĂŚŝĚĂůŐŽΛŐŵĂŝůͿ 
d^//Ͳ hWD 

ďƐƚƌĂĐƚ

dŚŝƐ ƉĂƉĞƌ ƐŚŽǁƐ ƚŚĞ ƌĞƐƵůƚƐ ŽĨ ĂŶ ĞdžƉĞƌŝŵĞŶƚĂů ƚĞƐƚ ĐĂŵƉĂŝŐŶ ŽŶ ĚŝĨĨĞƌĞŶƚ ŐůĂƐƐ ƐůĂďƐ ŽĨ ƚŚĞ ƐĂŵĞ ĚŝŵĞŶƐŝŽŶƐ ;ϴϳϲ ŵŵ džϭϵϯϴ ŵŵͿ ƵŶĚĞƌ ŚƵŵĂŶ ŝŵƉĂĐƚ
ůŽĂĚŝŶŐ ĂĐĐŽƌĚŝŶŐ ƚŽ hEͲE ϭϮϲϬϬ͗ ƚĞŵƉĞƌĞĚ ;dϭϬͿ ĂŶĚ ĂŶŶĞĂůĞĚ ůĂŵŝŶĂƚĞĚ ;>ϱϱͿ ƐĂĨĞƚLJ ŐůĂƐƐĞƐ͘ dŚƌŽƵŐŚ Ă ŵŽĚĂů ƚĞƐƚ͕ Ă ĐůĂƐƐŝĐĂů ĂƉƉƌŽĂĐŚ ĂŶĚ ĂŶ
ŽƉĞƌĂƚŝŽŶĂů ŵŽĚĂů ƚĞƐƚ ƵƐŝŶŐ ŚƵŵĂŶ ŝŵƉĂĐƚ ƚĞƐƚ͕ ŝƚ ĐĂŶ ďĞ ƐŚŽǁŶ ŚŽǁ ƚŚĞ ďĞŚĂǀŝŽƌ ŽĨ ůĂŵŝŶĂƚĞĚ ŐůĂƐƐ ĐĂŶ ďĞ ŵŽĚĞůĞĚ ĂƐ ŵŽŶŽůŝƚŚŝĐ͕ ĨŽƌ ƚŚŝƐ ƉŚĞŶŽŵĞŶĂ͕
ǁŚĞŶ ƚŚĞ ŝŶĨůƵĞŶĐĞ ŽĨ ƚŚĞ ƚĞŵƉĞƌĂƚƵƌĞ ŝƐ ŶĞŐůĞĐƚĞĚ͘

DĂŝŶŽďũĞĐƚŝǀĞƐ

‡ dŽ ƉƌĞƐĞŶƚ ƚŚĞ ƐƚƌƵĐƚƵƌĂů ďĞŚĂǀŝŽƌ ŽĨ ŐůĂƐƐ ƉůĂƚĞƐ͕ ĂŶŶĞĂůĞĚ ůĂŵŝŶĂƚĞĚ ;ǁŝƚŚ Ϭ͘ϯϲ ŵŵ Ws ŝŶƚĞƌůĂLJĞƌͿ ĂŶĚ ƚĞŵƉĞƌĞĚ
ŵŽŶŽůŝƚŚŝĐ͕ ƚŚƌŽƵŐŚ ƐĞǀĞƌĂů ĚLJŶĂŵŝĐ ƚĞƐƚƐ͕ ŵŽĚĂů ƚĞƐƚ͕ ĂŶĚ ŚƵŵĂŶ ŝŵƉĂĐƚ ƚĞƐƚ͘
‡ dŽ ƉƌŽǀĞ ƚŚĞ ƚLJƉŝĐĂů ĂƉƉƌŽĂĐŚ ŽĨ ŵŽŶŽůŝƚŚŝĐ ďĞŚĂǀŝŽƌ ĨŽƌ ůĂŵŝŶĂƚĞĚ ŐůĂƐƐ ĨŽƌ ĚLJŶĂŵŝĐ ƚĞƐƚ ;ĨƌĞƋƵĞŶĐLJ ŚŝŐŚĞƌ ƚŚĂŶ ϱ ,njͿ͕
ŝŶĐůƵĚŝŶŐ ŶŽŶůŝŶĞĂƌ ĞĨĨĞĐƚ ŽŶ ŚƵŵĂŶ ŝŵƉĂĐƚ͕ ĂƐ ǀĂůŝĚ͘
‡ dŽ ƵƐĞ ƌĞƐŽƵƌĐĞƐ ŽĨ KƉĞƌĂƚŝŽŶĂů DŽĚĂů ŶĂůLJƐŝƐ ĨŽƌ ďŽƚŚ͗ ƚŽ ĚĞĨŝŶĞ ƚŚĞ ĨƌĞƋƵĞŶĐLJ ƌĞƉƌĞƐĞŶƚĂƚŝŽŶ͕ ĂŶĚ ƚŽ ĞƐƚŝŵĂƚĞ ƚŚĞ
ĨƌĞƋƵĞŶĐLJ ĂŶĚ ĚĂŵƉŝŶŐ͘ 

džƉĞƌŝŵĞŶƚĂůƌĞƐƵůƚƐ

^ƚĞƉϯ͘,ƵŵĂŶŝŵƉĂĐƚƚŝŵĞŚŝƐƚŽƌLJdϭϬǀƐ>ϱϱ

ϭ͘нϭ
ϭ͘нϬ
ϭ͘Ͳϭ
dϭϬ
>ϱϱ

ϭ͘ͲϮ

Ϭ

ϭϬϬ
&ƌĞƋƵĞŶĐLJ;,njͿ

ϮϬϬ

ϯϬϬ

^ƚĞƉϮ͘&Z&ƐƵƉƉŽƌƚĐŽŶĚŝƚŝŽŶƐdϭϬǀƐ>ϱϱ

DŽĚĂů
ƉĂƌĂŵĞƚĞƌƐ͗
ƚŚĞ ƉƌĞǀŝŽƵƐ ĂŶĚ
ƉŽŝŶƚ ŵŽĚĂů ƐƚŝĨĨŶĞƐƐ
ŽŶ ƚŚĞ ŵŝĚĚůĞ ŽĨ ƚŚĞ
ƉůĂƚĞ͘ dŚĞ ĚŝĨĨĞƌĞŶĐĞ
ŝŶ ĨƌĞƋƵĞŶĐLJ ďĞƚǁĞĞŶ
>ϱϱ ĂŶĚ dϭϬ ŝƐ Ϭ͘ϴй ͕
ĂŶĚ ŝŶ ƐƚŝĨĨŶĞƐƐ ŝƐ
ϴ͘ϳй͘ ĂŵƉŝŶŐ ŝƐ
ĐůĞĂƌůLJ ĚŝĨĨĞƌĞŶƚ͗ ф
Ϭ͘ϴй ĨŽƌ dϭϬ͕ ĂŶĚ
Ϯ͘Ϭй ĨŽƌ >ϱϱ͘ 

ĐĐĞůĞƌĂƚŝŽŶͬ&ŽƌĐĞ;ŵͬEƐϮͿ

ϭ͘нϮ
ϭ͘нϭ
ϭ͘нϬ
ϭ͘Ͳϭ
ϭ͘ͲϮ
ϭ͘Ͳϯ

dϭϬ
>ϱϱ

Ϭ

ϮϬ

ϰϬ
ϲϬ
&ƌĞƋƵĞŶĐLJ;,njͿ

ϴϬ

/ƚ ŝƐ Ă ŐƌĞĂƚ ƐŝŵŝůĂƌŝƚLJ
ďĞƚǁĞĞŶ ƚŚĞ ƚǁŽ
ƉůĂƚĞƐ͘ dŚĞ ŵĂŝŶ
ĚŝĨĨĞƌĞŶĐĞ ŝƐ ĨŽƵŶĚ ŝŶ
ƚŚĞ ƉĞĂŬ ƐŚĂƉĞƐ͖ ĨŽƌ
ůĂŵŝŶĂƚĞĚ ŐůĂƐƐ͕ ĂƌĞ
ƐŽĨƚĞŶĞĚ ĚƵĞ ƚŽ ŝƚƐ
ŚŝŐŚĞƌ
ĚĂŵƉŝŶŐ
ƉƌŽĚƵĐĞĚ ďLJ ƚŚĞ Ws͘
DŽĚĂů ƉĂƌĂŵĞƚĞƌƐ͗
ŶĂƚƵƌĂů ĨƌĞƋƵĞŶĐŝĞƐ
ĂŶĚ ĚĂŵƉŝŶŐ͘

ϭϬϬ

,ƵŵĂŶŝŵƉĂĐƚŝƐĐŚĂƌĂĐƚĞƌŝƐĞĚďLJĨƌĞƋƵĞŶĐŝĞƐƐŵĂůůĞƌƚŚĂŶϭϬϬ,nj͘

W W W

ϭϱϬ 

ŽŶĐůƵƐŝŽŶƐ 

ϯ͕ϯϬϬ
Ϯ͕ϲϬϬ

ͲϱϬ

ͲϭϱϬ

ϭ͕ϵϬϬ

ϯ

W

ϯ͘ϰ

dϭϬWůĂƚĞĐĐ
dϭϬWĞŶĚĐĐ
>ϱϱWůĂƚĞĐĐ
>ϱϱWĞŶĚĐĐ
ϰ͘Ϯ
dϭϬ,ʅƐƚƌĂŝŶ
dϭϬsʅƐƚƌĂŝŶ
>ϱϱ,ʅƐƚƌĂŝŶ
>ϱϱsʅƐƚƌĂŝŶ

ϯ͘ϴ

ͲϮϱϬ
ͲϯϱϬ

ϭ͕ϮϬϬ
ϱϬϬ
ͲϮϬϬ

dŝŵĞ;ƐͿ 

ĐĐĞůĞƌĂƚŝŽŶƐ ;ƵƉƉĞƌ ŐƌĂƉŚͿ ĂŶĚ ƐƚƌĂŝŶ ;ůŽǁĞƌ ŐƌĂƉŚͿ ƌĞŐŝƐƚĞƌƐ͘ dŚĞ ƉůĂƚĞ
ďĞŚĂǀŝŽƌ ĐĂŶ ďĞ ƵŶĚĞƌƐƚŽŽĚ ďLJ ůŽŽŬŝŶŐ Ăƚ ƚŚĞ ƚŝŵĞ ŚŝƐƚŽƌŝĞƐ͘ dŚĞ ďĞŚĂǀŝŽƌ
ŽĨ ďŽƚŚ ƉůĂƚĞƐ ŝƐ ƋƵŝƚĞ ƐŝŵŝůĂƌ͕ ĞƐƉĞĐŝĂůůLJ ĚƵƌŝŶŐ ƚŚĞ ŝŵƉĂĐƚ͘
sĞƌƚŝĐĂů ůŝŶĞƐ ĐŽƌƌĞƐƉŽŶĚƐ ǁŝƚŚ ŬĞLJ ƉŽŝŶƚƐ͗ ƚϭ ŝƐ ƚŚĞ ďĞŐŝŶŶŝŶŐ ŽĨ ƚŚĞ
ĐŽŶƚĂĐƚ͕ ƚϮ ƚϮΎ ĂŶĚ ƚϯ ĐŽƌƌĞƐƉŽŶĚƐ ǁŝƚŚ ĚŝĨĨĞƌĞŶƚ ĚĞĨŝŶŝƚŝŽŶƐ ŽĨ ƚŚĞ ŝŵƉĂĐƚ
ĚƵƌĂƚŝŽŶ͕ ƚϰ ŝƐ ǁŚĞŶ ƚŚĞ ƉĞŶĚƵůƵŵ ƌĞƐŝĚƵĂů ĂĐĐĞůĞƌĂƚŝŽŶ ŝƐ ŶĞĂƌ njĞƌŽ ĂŶĚ
ƚϱ ŝƐ ǁŚĞŶ ƚŚĞ ŐůĂƐƐ ǀŝďƌĂƚŝŽŶ ŝƐ ĨƌĞĞ͘ dŚĞ ĐŽŶƚĂĐƚ ďĞŐŝŶƐ͕ ĂŶĚ ĨƌŽŵ ϱϬŵƐ
;ƚϭͲƚϮͿ ĂƉƉƌŽdžŝŵĂƚĞůLJ͕ ƚŚĞ ƉĞŶĚƵůƵŵ ĂŶĚ ƉůĂƚĞƐ ŝŶƚĞƌĂĐƚ ƚŽŐĞƚŚĞƌ ǁŝƚŚ
ŶŽŶůŝŶĞĂƌ ĞĨĨĞĐƚ ĚƵĞ ƚŽ ƚŚĞ ůĂƌŐĞ ĚŝƐƉůĂĐĞŵĞŶƚ͘ >ŽƐŝŶŐ ƚŚĞ ĐŽŶƚĂĐƚ
ƉƌŽĚƵĐĞƐ Ă ŶĞǁ ŶŽŶůŝŶĞĂƌ ďĞŚĂǀŝŽƌ ƚŚĂƚ ŝƐ ƌĞĨůĞĐƚĞĚ ŽŶ ƚŚĞ ƉůĂƚĞ
ĂĐĐĞůĞƌĂƚŝŽŶ͕ ƚŚĂƚ ƉƌĞƐĞŶƚƐ ƚŚĞ ĐŽŶƚƌŝďƵƚŝŽŶƐ ŽĨ ƐĞǀĞƌĂů ŵŽĚĞƐ ;ƚϰͿ͘ ^ŽŵĞ
ŵŝůůŝƐĞĐŽŶĚƐ ĂĨƚĞƌ ;ƚϱͿ͕ ƚŚĞ ƌĞƐƉŽŶƐĞ ĐŽƌƌĞƐƉŽŶĚƐ ǁŝƚŚ Ă ĨƌĞĞ ǀŝďƌĂƚŝŽŶ ŽĨ
ƚŚĞ ƉůĂƚĞ͘ 

A 

§
· 
¨
¸
m ˜Z  © k  m ˜ Z   i ˜ c ˜ Z ¹ k 

dϭϬdϭ
dϭϬdϮ
>ϱϱdϭ
>ϱϱdϮ

ϭ͘Ͳϯ

W^ŝŵƉĂĐƚϮϬϬŵŵʹ dϭϬǀƐ͘>ϱϱ

ϭ͘Ͳϱ 
ĐĐĞůϮ ͬ&ƌĞƋ;ŵϮͬƐϰ,njͿ 

ƵƌŝŶŐ ƚŚĞ ŝŵƉĂĐƚ ŝƚ ŝƐ ŶŽƚ ƉŽƐƐŝďůĞ ƚŽ ŽďƚĂŝŶ ƚŚĞ &Z& ďĞĐĂƵƐĞ ŶŽ ĨŽƌĐĞ ŵĞĂƐƵƌĞŵĞŶƚ ŝƐ
ĂǀĂŝůĂďůĞ͘ dŚĞ WŽǁĞƌ ^ƉĞĐƚƌĂů ĞŶƐŝƚLJ ;W^Ϳ ŝƐ ƐĞůĞĐƚĞĚ ĨŽƌ ƚŚĞ ĨƌĞƋƵĞŶĐLJ ƌĞƉƌĞƐĞŶƚĂƚŝŽŶ ŽĨ
ƚŚĞ ƉŚĞŶŽŵĞŶĂ͘ dŚĞ W^ ĐŽƌƌĞƐƉŽŶĚŝŶŐ ƚŽ dϭ ;ƚϱ ʹ ƚϭͿ ĂŶĚ dϮ ;ƚϱ ʹ ƚϮΎͿ ĂŶĚ dϰ ;ƚϱ ʹ ƚϯͿ ĂƌĞ
ƐĞůĞĐƚĞĚ ƚŽ ĐŽŵƉĂƌĞ ƚŚĞ ďĞŚĂǀŝŽƵƌ ŽĨ dϭϬ ĂŶĚ >ϱϱ ƉůĂƚĞƐ͘ 
ƵĞ ƚŽ ƚŚĞ ĚŝĨĨŝĐƵůƚŝĞƐ ŝŶŚĞƌĞŶƚ ƚŽ ƚŚĞ ŶŽŶůŝŶĞĂƌ ďĞŚĂǀŝŽƵƌ ƚŚĞ ĐŽŵƉƵƚĞĚ W^͕ ŝƚ ŝƐ ĚŝĨĨŝĐƵůƚ ƚŽ
ŽďƚĂŝŶ ƚŚĞ ŵŽĚĂů ĐŚĂƌĂĐƚĞƌŝƐƚŝĐƐ ǁŝƚŚ ƚŚĞ ƵƐƵĂů ĂƉƉƌŽĂĐŚ͘  ƐŝŵƉůŝĨŝĞĚ ŵĞƚŚŽĚ ŝƐ ƵƐĞĚ ƚŽ
ĂĚũƵƐƚ ƚŚĞ ƉĂƌĂŵĞƚĞƌƐ ŽĨ ƚŚĞ ĨŝƌƐƚ ŵŽĚĞ͘ dŚĞ ĨƌĞƋƵĞŶĐLJ͕ ŵĂƐƐ͕ ĚĂŵƉŝŶŐ ŽĨ ƚŚĞ ĨŝƌƐƚ ŵŽĚĞ ĂŶĚ
ƚŚĞ ƌĞƐŝĚƵĂů ĐŽŶƚƌŝďƵƚŝŽŶ ŽĨ ƚŚĞ ŽƚŚĞƌ ŵŽĚĞƐ ĂƌĞ ƚŚĞ ĚĞƐŝŐŶ ǀĂƌŝĂďůĞƐ ŽďƚĂŝŶĞĚ ǁŝƚŚ
ŽƉƚŝŵŝnjĂƚŝŽŶ ƉƌŽĐĞƐƐ͕ ŵŝŶŝŵŝnjŝŶŐ ƚŚĞ ŵĞĂŶ ƐƋƵĂƌĞ ĞƌƌŽƌ ŽĨ ƚŚĞ W^͘ ƋƵĂƚŝŽŶ ϭ ŝƐ ƵƐĞĚ ĨŽƌ
ƚŚĞ W^ ĂŶĚ ƚŚĞ ŝŶŝƚŝĂů ǀĂůƵĞƐ ĨŽƌ ƚŚĞ ƉĂƌĂŵĞƚĞƌƐ ĂƌĞ ĞƐƚŝŵĂƚĞĚ ǁŝƚŚ ĐůĂƐƐŝĐĂů ĂƉƉƌŽĂĐŚ͘ 

W

ϱϬ

KƉĞƌĂƚŝŽŶĂůŵŽĚĂůĂŶĂůLJƐŝƐǁŝƚŚŝŵƉĂĐƚƚĞƐƚĚĂƚĂ

H Z

W

ʅƐƚƌĂŝŶ

ϭ͘нϮ 

ĐĐĞůĞƌĂƚŝŽŶ;ŵͬƐϮͿ 

ĐĐĞůĞƌĂƚŝŽŶͬ&ŽƌĐĞ;ŵͬEƐϮͿ

^ƚĞƉϭ͘&Z&ĨƌĞĞͲĨƌĞĞĐŽŶĚŝƚŝŽŶƐdϭϬǀƐ>ϱϱ

ϭ͘Ͳϳ
ϭ͘Ͳϯ

dϭϬdϰ
>ϱϱdϰ

ϭ͘Ͳϱ
ϭ͘Ͳϳ
ϭ͘Ͳϵ

Ϭ

Ϯϱ

ϱϬ

ϳϱ

ϭϬϬ

&ƌĞƋƵĞŶĐLJ;,njͿ

KŶ ĨƌĞĞͲĨƌĞĞ ĐŽŶĚŝƚŝŽŶƐ͕ dϭϬ ĂŶĚ >ϱϱ ƐƉĞĐŝŵĞŶƐ ƉƌĞƐĞŶƚ ĂůŵŽƐƚ ƚŚĞ ƐĂŵĞ ĨƌĞƋƵĞŶĐŝĞƐ ďƵƚ ĚŝĨĨĞƌĞŶƚ ĚĂŵƉŝŶŐ ĚƵĞ ƚŽ ƚŚĞ Ws͘ KŶ ŝŵƉĂĐƚ ƚĞƐƚ ďŽƵŶĚĂƌLJ
ĐŽŶĚŝƚŝŽŶƐ͕ ƚŚĞ ĨŝƌƐƚ ŵŽĚĂů ĨƌĞƋƵĞŶĐLJ ĂŶĚ ƐƚŝĨĨŶĞƐƐ ĂƌĞ ƚŚĞ ƐĂŵĞ͕ ǁŚŝůĞ ƚŚĞ ŵŽĚĂů ĚĂŵƉŝŶŐ ŝƐ ƐŝŐŶŝĨŝĐĂŶƚůLJ ĚŝĨĨĞƌĞŶƚ͘ dŝŵĞ ŚŝƐƚŽƌŝĞƐ ŽĨ ƚŚĞ ŚŽƌŝnjŽŶƚĂů ĂŶĚ
ǀĞƌƚŝĐĂů ŵŝĐƌŽƐƚƌĂŝŶƐ ĂŶĚ ƉĞŶĚƵůƵŵ ĂĐĐĞůĞƌĂƚŝŽŶ ĂƌĞ ƉƌĂĐƚŝĐĂůůLJ ƚŚĞ ƐĂŵĞ͘ Ŷ ŝŶ ĚĞƉƚŚ ƐƚƵĚLJ ŽĨ ƚŚĞ ĞǀŽůƵƚŝŽŶ ŽĨ WŽǁĞƌ ^ƉĞĐƚƌĂů ĞŶƐŝƚLJ ĚƵƌŝŶŐ ƚŚĞ ŝŵƉĂĐƚ
ƐŚŽǁƐ Ă ŐƌĞĂƚ ĐŽƌƌĞƐƉŽŶĚĞŶĐĞ ŽĨ ƌĞƐƵůƚƐ͘ ůĂƐƐŝĐĂů ĂŶĚ ŽƉĞƌĂƚŝŽŶĂů ŵŽĚĂů ƉƌŽǀĞ ƚŚĂƚ ůĂŵŝŶĂƚĞĚ ŐůĂƐƐ ďĞŚĂǀĞ ůŝŬĞ ŵŽŶŽůŝƚŚŝĐ ŽŶĞ ƵŶĚĞƌ ŚƵŵĂŶ ŝŵƉĂĐƚ͘

179 

^/'EEDEh&dhZK&KDW>y'KDdZ/^
dKtZ^WZKhd^t/d,sE&hEd/KE>/d/^
ĂĚƌŝĄŶ

ĚĞůĂƐZŽŵĞƌŽ͕ĂŶĚƌĠƐ şĂnj>ĂŶƚĂĚĂ

ĂWƌŽĚƵĐƚ 

ĞǀĞůŽƉŵĞŶƚ >Ăď͕DĞĐŚĂŶŝĐĂů ŶŐŝŶĞĞƌŝŶŐ ĞƉĂƌƚŵĞŶƚ ;ĂĚŝĂnjΛĞƚƐŝŝ͘ƵƉŵ͘ĞƐͿ 
d^//ŶĚƵƐƚƌŝĂůĞƐ͕dĞĐŚŶŝĐĂů hŶŝǀĞƌƐŝƚLJ ŽĨDĂĚƌŝĚ 

ďƐƚƌĂĐƚ
ZĞĐĞŶƚ ĂĚǀĂŶĐĞƐ ŝŶ ƚŚĞ ĨŝĞůĚ ŽĨ ĐŽŵƉƵƚĞƌͲĂŝĚĞĚ ĚĞƐŝŐŶ ĂŶĚ ŝŶ ƚŚĞ ĂƌĞĂ ŽĨ ŵĂŶƵĨĂĐƚƵƌŝŶŐ ƚĞĐŚŶŽůŽŐŝĞƐ ďĂƐĞĚ ŽŶ ĂĚĚŝƚŝǀĞ ŵĂŶƵĨĂĐƚƵƌŝŶŐ ƉƌŽĐĞƐƐĞƐ
;ĐŽŵŵŽŶůLJ ϯ ƉƌŝŶƚŝŶŐͿ ŚĂǀĞ ĞŶĂďůĞĚ ŶĞǁ ǁĂLJƐ ŽĨ ĐŽŶƚƌŽůůŝŶŐ ŵĂƚƚĞƌ ĂŶĚ ŽďƚĂŝŶŝŶŐ ƉƌŽĚƵĐƚƐ ǁŝƚŚ ĐŽŵƉůĞdž ŐĞŽŵĞƚƌŝĞƐ͕ ǁŚŝĐŚ ƉƌŽŵŽƚĞ ƚŚĞ ŝŶĐŽƌƉŽƌĂƚŝŽŶ
ŽĨ ĂĚǀĂŶĐĞĚ ĨƵŶĐƚŝŽŶĂůŝƚŝĞƐ͘ ƵƌƌĞŶƚůLJ ƚĞĐŚŶŽůŽŐŝĞƐ ďĂƐĞĚ ŽŶ ƉŚŽƚŽͲƉŽůLJŵĞƌŝnjĂƚŝŽŶ ƉƌŽǀŝĚĞ ƚŚĞ ďĞƐƚ ƌĞƐƵůƚƐ ŝŶ ƚĞƌŵƐ ŽĨ ƉĂƌƚ ƋƵĂůŝƚLJ ĂŶĚ ŽĨ ĂƚƚĂŝŶďůĞ
ƉƌĞĐŝƐŝŽŶ͘ /Ŷ ƚŚŝƐ ǁŽƌŬ ǁĞ ƉƌĞƐĞŶƚ ƚŚĞ ĚĞǀĞůŽƉŵĞŶƚ ŽĨ ĐŽŵƉůĞdž ŐĞŽŵĞƚƌŝĞƐ ďLJ ŵĞĂŶƐ ŽĨ ůŝƚŚŽŐƌĂƉŚLJͲďĂƐĞĚ ĐĞƌĂŵŝĐ ŵĂŶƵĨĂĐƚƵƌĞ͕ Ă ƚĞĐŚŶŽůŽŐLJ ǁŚŝĐŚ
ƌĞƐŽƌƚƐ ƚŽ ƚŚĞ ĂĚĚŝƚŝǀĞ ƉŚŽƚŽƉŽůLJŵĞƌŝnjĂƚŝŽŶ ŽĨ ƐůƵƌƌŝĞƐ ǁŝƚŚ ŚŝŐŚ ĐŽŶƚĞŶƚ ŽĨ ĐĞƌĂŵŝĐ ƉŽǁĚĞƌ͕ ƚŽǁĂƌĚƐ ĨŝŶĂů ĐĞƌĂŵŝĐ ĐŽŵƉŽŶĞŶƚƐ ĂĨƚĞƌ ĚĞďŝŶĚŝŶŐ ĂŶĚ
ƐŝŶƚĞƌŝŶŐ ƉŽƐƚͲƉƌŽĐĞƐƐĞƐ͘ 

ƉƉůŝĐĂƚŝŽŶ ƚŽ ĐŽŵƉůĞdž ƉŽƌŽƵƐ ĂŶĚůĂƚƚŝĐĞ ŐĞŽŵĞƚƌŝĞƐ͗

ͲŝŽŵŝŵĞƚŝĐƚŝƐƐƵĞ ĞŶŐŝŶĞĞƌŝŶŐ ƐĐĂĨĨŽůĚƐ ĨŽƌ ĂƌƚŝĐƵůĂƌƌĞƉĂŝƌ ĂŶĚŝŶǀŝƚƌŽďŽŶĞ ŵŽĚĞůŝŶŐ 
ŽŶĞ ƌĞƉĂŝƌ ŝƐ Ă ǀĞƌLJ ƌĞůĞǀĂŶƚ ĂŶĚ ĐŚĂůůĞŶŐŝŶŐ ĂƌĞĂ ĨŽƌ ƚŚĞ ĞŵĞƌŐŝŶŐ ĨŝĞůĚƐ ŽĨ ƚŝƐƐƵĞ ĞŶŐŝŶĞĞƌŝŶŐ ĂŶĚ ďŝŽĨĂďƌŝĐĂƚŝŽŶ ĚƵĞ ƚŽ ƚŚĞ ǀĞƌLJ ĐŽŵƉůĞdž ƚŚƌĞĞͲ
ĚŝŵĞŶƐŝŽŶĂů ƐƚƌƵĐƚƵƌĞƐ ŽĨ ŚƵŵĂŶ ďŝŽŵĂƚĞƌŝĂůƐ͕ ǁŚŝĐŚ ƚLJƉŝĐĂůůLJ ŝŶĐůƵĚĞ ŝŵƉŽƌƚĂŶƚ ǀĂƌŝĂƚŝŽŶƐ ŽĨ ƉŽƌŽƐŝƚŝĞƐ ĂŶĚ ŵĞĐŚĂŶŝĐĂů ƉƌŽƉĞƌƚŝĞƐ͘ ǀĞŶ ƚŚŽƵŐŚ ƐĞǀĞƌĂů
ƉƌŽĐĞƐƐĞƐ ŚĂǀĞ ďĞĞŶ ĚĞǀĞůŽƉĞĚ ĨŽƌ ƚŚĞ ŵĂŶƵĨĂĐƚƵƌĞ ŽĨ ďŝŽŵŝŵĞƚŝĐ ƉŽƌŽƵƐ ŵĂƚĞƌŝĂůƐ͕ Ă ƉĞƌĨĞĐƚ ƐŽůƵƚŝŽŶ ŚĂƐ ŶŽƚ LJĞƚ ďĞĞŶ ĨŽƵŶĚ͕ ĚƵĞ ƚŽ ƚŚĞ ƚLJƉŝĐĂůůLJ
ƌĂŶĚŽŵ ƌĞƐƵůƚƐ ŽĨ ĂǀĂŝůĂďůĞ ŝŶĚƵƐƚƌŝĂů ƉƌŽĐĞƐƐĞƐ ĂŝŵĞĚ Ăƚ ŽďƚĂŝŶŝŶŐ ƉŽƌŽƵƐ ŵĂƚĞƌŝĂůƐ͘ dŚĞ ĐŽŵďŝŶĞĚ ƵƐĞ ŽĨ ĐŽŵƉƵƚĞƌͲĂŝĚĞĚ ĚĞƐŝŐŶ ƌĞƐŽƵƌĐĞƐ ƚŽŐĞƚŚĞƌ ǁŝƚŚ
ŵŝĐƌŽͲŵĂŶƵĨĂĐƚƵƌŝŶŐ ƚĞĐŚŶŽůŽŐŝĞƐ ďĂƐĞĚ ŽŶ ĂĚĚŝƚŝǀĞ ƉƌŽĐĞĚƵƌĞƐ ŝƐ ĐƵƌƌĞŶƚůLJ ƚŚĞ ƐƚƌĂƚĞŐLJ ŽĨ ĐŚŽŝĐĞ ĨŽƌ ĚĞǀĞůŽƉŝŶŐ ďŝŽŵŝŵĞƚŝĐ ŬŶŽǁůĞĚŐĞͲďĂƐĞĚ ƉŽƌŽƵƐ
ƐĐĂĨĨŽůĚƐ ĨŽƌ ƚŝƐƐƵĞ ƌĞƉĂŝƌ ĂŶĚ ƌĞŐĞŶĞƌĂƚŝŽŶ͘

ͲdŽǁĂƌĚƐ ŬŶŽǁůĞĚŐĞͲďĂƐĞĚ ĨƵŶĐƚŝŽŶĂůůLJ ŐƌĂĚĞĚ ƉŽƌŽƵƐ ĐĞƌĂŵŝĐ ŵŽĚĞůƐ
>ŝƚŚŽŐƌĂƉŚLJͲďĂƐĞĚ ĐĞƌĂŵŝĐ ŵĂŶƵĨĂĐƚƵƌĞ͕ ǁŽƌŬŝŶŐ ŽŶ ĂŶ ĂĚĚŝƚŝǀĞ ĂƉƉƌŽĂĐŚ͕ ƵƐŝŶŐ ĐĞƌĂŵŝĐ ŵĂƚĞƌŝĂůƐ͕ ǁŝƚŚ ďŝŽĐŚĞŵŝĐĂů ƉƌŽƉĞƌƚŝĞƐ ƌĞƐĞŵďůŝŶŐ ƚŚŽƐĞ ŽĨ
ďŽŶĞ͕ ĂĚĞƋƵĂƚĞ ĨŽƌ ŝŶ ǀŝƚƌŽ ŝŶƚĞƌĂĐƚŝŽŶ ǁŝƚŚ ĐĞůůƐ͕ ĂŶĚ ĞŶĂďůŝŶŐ ŵŝĐƌŽͲĨĞĂƚƵƌĞƐ͕ ŝƐ ĞdžƚƌĞŵĞůLJ ǁĞůů ƐƵŝƚĞĚ ĨŽƌ ƚŚĞ ĚĞǀĞůŽƉŵĞŶƚ ŽĨ ƐƵĐŚ ďŝŽŵŝŵĞƚŝĐ
ŬŶŽǁůĞĚŐĞͲďĂƐĞĚ ƉŽƌŽƵƐ ƐĐĂĨĨŽůĚƐ ĨŽƌ ŚĂƌĚ ƚŝƐƐƵĞ ;ďŽŶĞͿ ƌĞƉĂŝƌ ĂŶĚ ƌĞŐĞŶĞƌĂƚŝŽŶ͘ &ƵŶĐƚŝŽŶĂů ŐƌĂĚŝĞŶƚƐ ŽĨ ƉƌŽƉĞƌƚŝĞƐ ĐĂŶ ďĞ ĐŽŶƚƌŽůůĞĚ ǁŝƚŚ ƐƚĂƚĞͲŽĨͲƚŚĞͲ
Ăƌƚ ĐŽŵƉƵƚĞƌͲĂŝĚĞĚ ĚĞƐŝŐŶ ƌĞƐŽƵƌĐĞƐ ĂŶĚ ŵƵůƚŝͲƐĐĂůĞ ĂƉƉƌŽĂĐŚĞƐ ĂƌĞ ƉŽƐƐŝďůĞ͕ ǁŚŝĐŚ ŚĞůƉ ƚŽ ŵŝŵŝĐ ƚŚĞ ĨĞĂƚƵƌĞƐ ŽĨ ƌĞĂů ďŽŶĞ͕ ĂƐ ƐŚŽǁŶ ŝŶ ƚŚĞ ƉƌŽǀŝĚĞĚ
ĨŝŐƵƌĞƐ͘ dŚŝƐ ƚĞĐŚŶŽůŽŐLJ ŽƉĞŶƐ ŶĞǁ ŚŽƌŝnjŽŶƐ ĨŽƌ ŝŶ ǀŝƚƌŽ ďŽŶĞ ŵŽĚĞůƐ ĂŝŵĞĚ Ăƚ ƐƚƵĚLJŝŶŐ ĐĞůů ďĞŚĂǀŝŽƌ ĂŶĚ ƚŚĞ ƉŽƚĞŶƚŝĂů ĞĨĨĞĐƚƐ ŽĨ ĚƌƵŐƐ͘ 

ƉƉůŝĐĂƚŝŽŶ ƚŽ ŵŝĐƌŽͲƚĞdžƚƵƌĞĚ ŵĂƚĞƌŝĂůƐ ĂŶĚĚĞǀŝĐĞƐ͗
ͲĞƌĂŵŝĐƉĂƌƚƐĂŶĚĂƉƉůŝĂŶĐĞƐǁŝƚŚĚĞƐŝŐŶͲĐŽŶƚƌŽůůĞĚƐƵƌĨĂĐĞƚĞdžƚƵƌĞ
DĂƚĞƌŝĂů;ĂŶĚĚĞǀŝĐĞͿƐƵƌĨĂĐĞƚŽƉŽŐƌĂƉŚLJŚĂƐĂĚŝƌĞĐƚŝŶĨůƵĞŶĐĞŽŶƐĞǀĞƌĂůƌĞůĞǀĂŶƚƉƌŽƉĞƌƚŝĞƐ͕ůŝŶŬĞĚƚŽƚŚĞĨŝŶĂůƉĞƌĨŽƌŵĂŶĐĞ͕ ƐƵĐŚĂƐĨƌŝĐƚŝŽŶĐŽĞĨĨŝĐŝĞŶƚ͕
ǁĞĂƌƌĞƐŝƐƚĂŶĐĞ͕ƐĞůĨͲĐůĞĂŶŝŶŐĂďŝůŝƚLJ͕ďŝŽĐŽŵƉĂƚŝďŝůŝƚLJ͕ŽƉƚŝĐĂůƌĞƐƉŽŶƐĞ͕ƚŽƵĐŚƉĞƌĐĞƉƚŝŽŶ͕ŽǀĞƌĂůůĂĞƐƚŚĞƚŝĐĂƐƉĞĐƚĂŶĚĞǀĞŶĨůĂǀŽƌ͘,ĞŶĐĞ͕ƚŚĞƉŽƐƐŝďŝůŝƚLJŽĨ
ŵĂŶƵĨĂĐƚƵƌŝŶŐƚĞdžƚƵƌĞĚŵĂƚĞƌŝĂůƐĂŶĚĚĞǀŝĐĞƐ͕ǁŝƚŚƐƵƌĨĂĐĞƉƌŽƉĞƌƚŝĞƐĐŽŶƚƌŽůůĞĚĨƌŽŵƚŚĞĚĞƐŝŐŶƐƚĂŐĞ͕ŝŶƐƚĞĂĚŽĨďĞŝŶŐƚŚĞƌĞƐƵůƚŽĨŵĂĐŚŝŶŝŶŐƉƌŽĐĞƐƐĞƐ
ŽƌĐŚĞŵŝĐĂůĂƚƚĂĐŬƐ͕ŝƐĂŬĞLJĨĂĐƚŽƌĨŽƌƚŚĞŝŶĐŽƌƉŽƌĂƚŝŽŶŽĨĂĚǀĂŶĐĞĚĨƵŶĐƚŝŽŶĂůŝƚŝĞƐƚŽĂǁŝĚĞƐĞƚŽĨŵŝĐƌŽƐLJƐƚĞŵƐ͘>ŝƚŚŽŐƌĂƉŚLJͲďĂƐĞĚĐĞƌĂŵŝĐ
ŵĂŶƵĨĂĐƚƵƌĞ͕ǁŽƌŬŝŶŐŽŶĂŶĂĚĚŝƚŝǀĞĂƉƉƌŽĂĐŚ͕ĚŝƌĞĐƚůLJĨƌŽŵĐŽŵƉƵƚĞƌͲĂŝĚĞĚĚĞƐŝŐŶĂŶĚǁŝƚŚŵŝĐƌŽͲŵĞƚƌŝĐƉƌĞĐŝƐŝŽŶ͕ŝƐƚŚĞƚĞĐŚŶŽůŽŐLJŽĨĐŚŽŝĐĞĨŽƌ
ĐŽŶƚƌŽůůŝŶŐƚŚĞƐƵƌĨĂĐĞƚŽƉŽŐƌĂƉŚLJŽĨĐĞƌĂŵŝĐŵĂƚĞƌŝĂůƐ͕ĂƐĐĂŶďĞƐĞĞŶĨƌŽŵƚŚĞƚĞƐƚƉƌŽďĞƐŝŶĐůƵĚĞĚŝŶƚŚĞĨŝŐƵƌĞ͘

ͲdŽǁĂƌĚƐŵŝĐƌŽͲƚŽƉŽŐƌĂƉŚŝĞƐĨŽƌƐƚƵĚLJŝŶŐĂŶĚĐŽŶƚƌŽůůŝŶŐĐĞůůďĞŚĂǀŝŽƌĂŶĚĨĂƚĞ

dŚĞ ŚŝŐŚ ƉƌĞĐŝƐŝŽŶ ŽĨ ůŝƚŚŽŐƌĂƉŚLJͲďĂƐĞĚ ĐĞƌĂŵŝĐ ŵĂŶƵĨĂĐƚƵƌĞ ĂůůŽǁƐ ƚŚĞ ĚĞǀĞůŽƉŵĞŶƚ ŽĨ ŵŝĐƌŽͲƚĞdžƚƵƌĞƐ ĨŽƌ ŝŶƚĞƌĂĐƚŝŶŐ Ăƚ Ă ĐĞůůƵůĂƌ ůĞǀĞů ĂŶĚ ĚƌŝǀŝŶŐ ĐĞůů
ďĞŚĂǀŝŽƌ ĂŶĚ ĨĂƚĞ͘ dŚĞ ŝŵĂŐĞƐ ĨĞĂƚƵƌĞ Ă ĐŽƵƉůĞ ŽĨ ŵŝĐƌŽƐLJƐƚĞŵƐ ǁŝƚŚ ĐĞůů ĐƵůƚƵƌĞ ƉŽŽůƐ ĐŽŶŶĞĐƚĞĚ ďLJ ĐŚĂŶŶĞůƐ ŽĨ ĚŝĨĨĞƌĞŶƚ ƌŽƵŐŚŶĞƐƐ ĐŽŶƚƌŽůůĞĚ ĨƌŽŵ ƚŚĞ
ĐŽŵƉƵƚĞƌ ĂŝĚĞĚ ĚĞƐŝŐŶ͘ ĞůůƐ ĐƌĂǁů ĨƌŽŵ ŽŶĞ ƉŽŽů ƚŽ ĂŶŽƚŚĞƌ ďĂƐĞĚ ŽŶ ŐƌĂĚŝĞŶƚƐ ŽĨ ŶƵƚƌŝĞŶƚƐ͕ ŐƌŽǁƚŚ ĨĂĐƚŽƌƐ͕ ďŝŽĐŚĞŵŝĐĂů ĐƵĞƐ Žƌ ƉĂƚŚŽŐĞŶƐ͘ dŚĞ ĚŝĨĨĞƌĞŶƚ
ƚĞdžƚƵƌĞƐ ůĞĂĚ ƚŽ ǀĂƌŝĞĚ ǀĂůƵĞƐ ŽĨ ĐĞůů ǀĞůŽĐŝƚLJ͕ ĂĨĨĞĐƚŝŶŐ ĂůƐŽ ƚŚĞŝƌ ďĞŚĂǀŝŽƌ͕ ŐĞŶĞ ĞdžƉƌĞƐƐŝŽŶ ĂŶĚ ĚŝĨĨĞƌĞŶƚŝĂƚŝŽŶ ŝŶƚŽ ƌĞůĞǀĂŶƚ ƚŝƐƐƵĞƐ͘ ^ƵĐŚ ŵŝĐƌŽƐLJƐƚĞŵƐ ĐĂŶ
ďĞ ƵƐĞĚ ĨŽƌ ĂƐƐĞƐƐŝŶŐ ƚŚĞ ĂĚĞƋƵĂƚĞ ƐƵƌĨĂĐĞ ƚŽƉŽŐƌĂƉŚLJ ĨŽƌ ĂŶ ŝŵƉůĂŶƚ͕ ĨŽƌ ĞǀĂůƵĂƚŝŶŐ ƚŚĞ ĞĨĨĞĐƚƐ ŽĨ ĚƌƵŐƐ ŽŶ ĐĞůůƵůĂƌ ƌĞƐƉŽŶƐĞ ĂŶĚ ĨŽƌ ƐƚƵĚLJŝŶŐ ĚŝĨĨĞƌĞŶƚ
ĞƉŝŐĞŶĞƚŝĐ ĐƵĞƐ ŽŶ ĐĞůů ĨĂƚĞ͘

WƌĞƐĞŶƚƌĞƐĞĂƌĐŚǁĂƐƐƵƉƉŽƌƚĞĚďLJƚŚĞ͞dŽŵĂdž͗dŽŽůͲůĞƐƐŵĂŶƵĨĂĐƚƵƌĞŽĨĐŽŵƉůĞdžŐĞŽŵĞƚƌŝĞƐ͟ƉƌŽũĞĐƚ͕ĨƵŶĚĞĚďLJƚŚĞhŽŵŵŝƐƐŝŽŶƵŶĚĞƌŐƌĂŶƚ
ĂŐƌĞĞŵĞŶƚŶƵŵďĞƌϲϯϯϭϵϮͲ ,ϮϬϮϬͲ&Ž&ͲϮϬϭϰͲϮϬϭϱͬ,ϮϬϮϬͲ&Ž&ͲϮϬϭϰ͕ůĞĚďLJWƌŽĨ͘ƌ͘:ƺƌŐĞŶ ^ƚĂŵƉĨů ĨƌŽŵdhtŝĞŶ͘WƌŽƚŽƚLJƉĞƐĐŽƵƌƚĞƐLJŽĨ>ŝƚŚŽnj 'ŵď,͘

180

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WK/Ed hdd/E' WZK^^ h^/E'  ^Z/>ͲWZ>>>
D,/E dKK>
Ă&ĂũĂƌĚŽ͕DĂƌĐĞůŽ͖ ď>ſƉĞnjͲƐƚƌĂĚĂ͕>ƵŝƐ͖ĐsŝnjĄŶ͕ŶƚŽŶŝŽ
ĂhWDͲd^//Ͳ 

ĞƉĂƌƚŵĞŶƚŽĨDĞĐŚĂŶŝĐĂůŶŐŝŶĞĞƌŝŶŐ͘;ŵĂƌĐĞůŽĨĂũĂƌĚŽƉƌƵŶĂΛŐŵĂŝů͘ĐŽŵͿ 
ĞƉĂƌƚŵĞŶƚŽĨDĞĐŚĂŶŝĐĂůŶŐŝŶĞĞƌŝŶŐ͘;ŝŵƚ͘ůƵŝƐ͘ůŽƉĞnjΛŐŵĂŝů͘ĐŽŵͿ
ĐhWDͲd^//Ͳ ĞƉĂƌƚŵĞŶƚŽĨDĞĐŚĂŶŝĐĂůŶŐŝŶĞĞƌŝŶŐ͘;ĂǀŝnjĂŶΛĞƚƐŝŝ͘ƵƉŵ͘ĞƐͿ
ďhWDͲd^//Ͳ 

ďƐƚƌĂĐƚ
/Ŷ ƚŚŝƐ ƉŽƐƚĞƌ ƚŚĞ ďĞŚĂǀŝŽƌ ŽĨ Ă ƐŝŶŐůĞͲƉŽŝŶƚ ĐƵƚƚŝŶŐ ƚŽŽů ŝŶ Ă ŶĞǁ ŵŝĐƌŽͲŵĂĐŚŝŶŝŶŐ ƉƌŽĐĞƐƐ ŝƐ ƉƌĞƐĞŶƚĞĚ ;&ŝŐƵƌĞ ϭͿ͘  ƐĞƌŝĂůͲƉĂƌĂůůĞů ŵĂĐŚŝŶĞ ƚŽŽů
ĐŽŵƉŽƐĞĚ ďLJ Ă ϯͲWZ^ ŵĞĐŚĂŶŝƐŵ ĂŶĚ Ă ůŝŶĞĂƌ yzͲdĂďůĞ ŝƐ ƵƐĞĚ͘ dŚĞ ƐĞƌŝĂůͲƉĂƌĂůůĞů ŵĞĐŚĂŶŝƐŵ ƉŽƐŝƚŝŽŶƐ ƚŚĞ ƚŽŽů ƚŝƉ ŝŶ ƚŚĞ ǁŽƌŬƐƉĂĐĞ͕ W с ΀dž͕ LJ͕ nj͕ ɲ͕ ɴ͕
ɶ΁d ͖ ƚŚĞ ϯͲWZ^ ŵĞĐŚĂŶŝƐŵ ƉŽƐŝƚŝŽŶƐ ƚŚĞ ƚŽŽů ŝŶ  ĂŶĚ ƚŚĞ ƌŽƚĂƚŝŽŶ ŝŶ ɲ͕ ɴ͘ dŚĞ ůŝŶĞĂƌ ƚĂďůĞ ƉƌŽǀŝĚĞƐ ƚŚĞ ŵŽǀĞŵĞŶƚƐ ŝŶ ƚŚĞ y ĂŶĚ z ĂdžĞƐ͕ ŝŶ ĂĚĚŝƚŝŽŶ͕ ƚŚĞ
ĐƵƚƚŝŶŐ ƚŽŽů ĐĂŶ ƌŽƚĂƚĞ ĂƌŽƵŶĚ ŝƚƐ ůŽŶŐŝƚƵĚŝŶĂů ĂdžŝƐ͘ 
ĞĐĂƵƐĞ ŽĨ ƚŚĞ ƉĂƌƚŝĐƵůĂƌ ƐƚƌƵĐƚƵƌĞ ŽĨ ƚŚĞ ŵĂĐŚŝŶĞ ƚŽŽů ŝƚ ŝƐ ĞƐƐĞŶƚŝĂů ƚŽ ŬŶŽǁ ƚŚĞ ĚLJŶĂŵŝĐ ƌĞƐƉŽŶƐĞ ŽĨ ƚŚĞ ĐƵƚƚŝŶŐ ƚŽŽů ĂŶĚ ƚŚĞ ĚLJŶĂŵŝĐ ŵĂĐŚŝŶĞ ƚŽŽů͕
ƐŝŶĐĞ ƚŚŝƐ ŝƐ ĐŽŶĚŝƚŝŽŶĞĚ ďLJ ƚŚĞ ďĞŚĂǀŝŽƌ ŽĨ ƚŚĞ ƐƚƌƵĐƚƵƌĞ ĚƵƌŝŶŐ ƚŚĞ ĐƵƚƚŝŶŐ ƉƌŽĐĞƐƐ͘ ƵƌŝŶŐ ƚŚĞ ĐƵƚƚŝŶŐ ƉƌŽĐĞƐƐ ƚŚĞ ŐĞŽŵĞƚƌLJ ŽĨ ƚŚĞ ƐƚƌƵĐƚƵƌĞ ĂŶĚ ŝƚƐ
ĐŚĂƌĂĐƚĞƌŝƐƚŝĐƐ ĐŚĂŶŐĞ͕ ĂůƐŽ ƚŚĞ ĐƵƚƚŝŶŐ ĨŽƌĐĞƐ ŽŶ ƚŚĞ ƚŽŽů ƚŝƉ ĐŽƵůĚ ďĞ ŽƌŝĞŶƚĞĚ ŝŶ ĂŶLJ ĚŝƌĞĐƚŝŽŶ͘

DĞƚŚŽĚŽůŽŐLJ
WƌŽĐĞĚƵƌĞ

Žƌ 

džƉĞƌŝŵĞŶƚĂů

dŚĞ ĞdžƉĞƌŝŵĞŶƚ ŝƐ ĐĂƌƌŝĞĚ ŽƵƚ ŝŶ ƚŚĞ ŵĂĐŚŝŶĞ ƚŽŽů ŽĨ ĨŝŐƵƌĞ ϯ͘ dŚĞ ǁŽƌŬ
ƉŝĞĐĞ ŝƐ ĨŝdžĞĚ ŝŶ yͲz dĂďůĞ͘ /Ŷ ŽƌĚĞƌ ƚŽ ƐƚƵĚLJ ƚŚĞ ƌĞƐƉŽŶƐĞ ŽĨ ĐƵƚƚŝŶŐ
ƚŽŽů͕ Ă ƐĞƚ ŽĨ ĨŽƵƌ ϯͲĐŽŵƉŽŶĞŶƚ ĨŽƌĐĞ ƐĞŶƐŽƌ </^d>Z ŝƐ ůŽĐĂƚĞĚ ŽŶ
ŵŽďŝůĞ ƉůĂƚĨŽƌŵ ƚŽ ƌĞĂĚ ƚŚĞ ŵĂĐŚŝŶŝŶŐ ĨŽƌĐĞƐ͘ dŚĞ ŵŽĚĂů ƉĂƌĂŵĞƚĞƌƐ
ŽĨ ŵĂĐŚŝŶĞͲƚŽŽů ĂƌĞ ŽďƚĂŝŶĞĚ ƚŚƌŽƵŐŚ ƚŚĞ &Z& ĨƵŶĐƚŝŽŶƐ ŽĨ ĞĂĐŚ ůŝŵď
ďLJ Ă ƉĞĂŬ ƉŝĐŬŝŶŐ ĞdžƉĞƌŝŵĞŶƚ͘ ĂƚĂ ŽďƚĂŝŶĞĚ ĂƌĞ ƉƌŽĐĞƐƐĞĚ ƚŽ ŐĞƚ ƚŚĞ
ĚLJŶĂŵŝĐ ƌĞƐƉŽŶƐĞ͘ ŝĨĨĞƌĞŶƚ ŵĂĐŚŝŶŝŶŐ ĐŽŶĚŝƚŝŽŶƐ ĂƌĞ ƚĞƐƚĞĚ ƚŽ
ĐŚĂƌĂĐƚĞƌŝnjĞ ƚŚĞ ƉƌŽĐĞƐƐ͘
&ŝŐƵƌĞϭ͘ DŝĐƌŽŵĂĐŚŝŶŝŶŐƉƌŽĐĞƐƐ

/ŶƚƌŽĚƵĐƚŝŽŶ
/Ŷ ŵŝĐƌŽŵĂĐŚŝŶŝŶŐ ƉƌŽĐĞƐƐĞƐ ƚŚĞ ĚLJŶĂŵŝĐ ďĞŚĂǀŝŽƌ ŽĨ ƚŚĞ ƐLJƐƚĞŵ ŚĂƐ
ĐŽŶƐŝĚĞƌĂďůĞ ŝŶĨůƵĞŶĐĞ ŝŶ ŵĂĐŚŝŶŝŶŐ ƋƵĂůŝƚLJ ĂŶĚ ĞĨĨŝĐŝĞŶĐLJ ;&ŝŐƵƌĞ ϮͿ͘
^ƵƌĨĂĐĞ ĨŝŶŝƐŚŝŶŐ ĂŶĚ ĚŝŵĞŶƐŝŽŶĂů ĂĐĐƵƌĂĐLJ ŽĨ ƚŚĞ ǁŽƌŬ ƉŝĞĐĞ ĂƌĞ
ĂĨĨĞĐƚĞĚ ďLJ ďĞŚĂǀŝŽƌ ŽĨ ĐƵƚƚŝŶŐ ƚŽŽů ĚƵƌŝŶŐ ƚŚĞ ƉƌŽĐĞƐƐ͘ /Ŷ ŽƌĚĞƌ ƚŽ
ŽďƚĂŝŶ Ă ŚŝŐŚ ƉƌĞĐŝƐŝŽŶ ƉƌŽĐĞƐƐ ƚŚŝƐ ĞĨĨĞĐƚ ŵƵƐƚ ďĞ ƐƚƵĚŝĞĚ ƚŽ Ă ƐƉĞĐŝĨŝĐ
ĐŽŶĨŝŐƵƌĂƚŝŽŶ ĂŶĚ ƉĞƌĨŽƌŵĂŶĐĞ ŽĨ ŵĂĐŚŝŶĞ ƚŽŽů͘

&ŝŐƵƌĞϯ͘ DŝĐƌŽŵĂĐŚŝŶŝŶŐϲͲĂdžŝƐŵĂĐŚŝŶĞƚŽŽů͘ 

ŽŶĐůƵƐŝŽŶƐ 
LJŶĂŵŝĐ ďĞŚĂǀŝŽƌ ŚĂƐ Ă ŐƌĞĂƚ ŝŶĨůƵĞŶĐĞ ǁŚĞŶ ƚŚĞ ŽƉĞƌĂƚŝŽŶ ƐƚĂƌƚƐ ĂŶĚ
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181

Influence of micro-machining process conditions on the
wear of a single point cutting tool using a 4 axis machine.
a López-Estrada
a UPM-ETSIIb UPM-ETSII-

Luis, b Vizán Antonio

Department of Mechanical Engineering. (imt.Luis.lopez@gmail.com)
Department of Mechanical Engineering. (avizan@etsii.upm.es)

Abstract
The new technologies of micro-machining have a very important role in different fields of engineering , such as , electronics , bio-medics , manufacturing
of mechanical components and some others that require a high precision machining process.
In this work a new method of micro-machining is presented, which its main characteristic is the use of a single-point cutting tool. This process competes
directly with micro-milling, with the advantage of using a simpler tool.
The process is developed in a special 4-axis machine capable of placing the velocity of cutting tangentially along the tool trajectory during the machining
process.
Also, a new model of micro-machining for single-point cutting is presented, this model links the input parameters of the process such as velocity, tool
geometry, surface machining conditions and others, with the cutting forces. This model takes into account the influence of the dimensions of the cutting
section over the specific pressure coefficients.

The new technologies of micro-machining have a very important
role in different fields of engineering that require a machining
process capable of obtaining small factor shapes.

The process is developed in a special 4-axis machine capable of
placing the velocity of cutting tangentially along the tool
trajectory during the machining process.

Emphasis of the simplicity of the single point cutting process as an
alternative to micro-milling.

4 Axis single point machine for micro-cutting
Given the nature of the procedure, it is difficult to measure in real
time the different variables that influence the cutting of the
material.

Capable of moving the tool tangentially to the path of the cut.

It is important to build a function in terms of the cutting force, the
specific cutting pressure (Ks). and the area of the cutting section
(!").
With special equipment to measure the wear of the tool and
include it in the single point cutting function.

Height of the pyramids and cutting tool

Prismatic shapes

The height of the prismatic shapes are in the order of 15 micrometers.

Small pyramids have been made in order to measure the capabilities of the
techniques used in the process.

182

Modeling, simulation and testing of
tribological contacts
Alejandro Sánchez, Javier Echávarri, Enrique Chacón,
Eduardo de la Guerra, Irene Bellón, Jaime Travesí
Departamento de Ingeniería Mecánica

Abstract
Modeling, simulation and testing of the main tribological contacts. Surface textures are created to improve the lubrication performance
and reduce friction and wear. On the other hand, numerical simulations of models developed are performed and experimentally
validated, in order to increase our understanding of lubricated contacts (friction, temperature, film-thickness, lubricants rheology…).

Friction optimization with surface texturing
Textured surface
“Untextured” surface

Boundary

Friction coefficient, μ

Mixed

1

Fluid film

Manufacturing
process

Textured surfaces enlarge the fluid film
zone, reducing friction and wear

UV light source

2

Simulation of the
optimum texturing

Virtual mask

3

Friction coefficient, μ

Specific film thickness

Experimental curves: friction reduction

4

Optimum

0,035
0,033

Elliptical 150x300
Elliptical 150x600
Elliptical 150x900
Circular R=50
Untextured

0,031
0,029
0,027

5

0,025
0,023

Measurement of
textures created

0,021
0,019

Measuring friction
on a tribometer

0,017
0,015

100

250

500

1000

1500

2000

2500

3000

3500

Average velocity

S
Simulation
of lubricated contacts
Pressure distributions and Von Mises stresses in the contact

Contact
model

Pressure

Film thickness

h0

Rough contact

(Pa)

Ball

Pressure

Shear stress

Film thickness

Lubricants characterization
Inlet temperature distribution

Friction
coefficient

Viscosity-pressure

X (m)

Experimental measurements

!"#$ = 41%

Viscosity

&'() *+',-./00 = 522 .)
Y (m)

183

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Advanced cross-section libraries with uncertainty
quantification for simulation of challenging
accidental scenarios in nuclear reactors
aS.

Sánchez-Cervera, N. García-Herranz

Ciencia y Tecnología de Sistemas Avanzados de Fisión Nuclear
a(santiago.sanchezcervera@upm.es)

Abstract
An accurate analysis of nuclear reactor transients requires coupled neutronics/thermal-hydraulics calculations based on 3D kinetics methods. It is the case
of main steam line break events or rod ejection scenarios. The 3D kinetics core simulators available nowadays to perform those best-estimate analyses are
based on diffusion theory, which employs as input data pre-generated cross-section libraries. In addition, there has been an increasing concern for the
identification of the sources of uncertainties along with the quantification of their impact on coupled calculations. In this work advanced cross-section
libraries including their uncertainties have been generated and their impact on some transients studied.

Advanced simulation of LWR

Full core calculation

Advanced simulation tools result useful for the community
involved in numerical simulation of nuclear reactors for safety
purposes. More accurate modeling of physical phenomena
involved in present nuclear reactors requires a multi-physics
and multi-scale approach.
In order to apply modern pin-by-pin or nodal methods to LWR
cores in a successful way two main elements are required:

Self-shielding

• Efficient and accurate diffusion codes for full core
calculations, such as COBAYA
• Methodologies to produce adequate multigroup equivalent
parameters to be used by core simulators. These parameters
are mainly few-group homogenized cross-sections and
discontinuity factors which are stored in libraries for
combinations of state variables.

Advanced cross-section libraries
Advanced cross-section (xs) libraries should include
uncertainties in the parameters. Neutronics-related
uncertainties are one of the main contributors when modeling
LWR transients.

Origin of uncertainties to be propagated
ü Basic nuclear data
ü Methods and modeling approximations utilized to:
• Derivate multigroup microscopic xs
• Collapse and homogenize few-group macroscopic xs
• Compute xs values in the 3D core calculation
ü Fuel/assembly manufacturing
Optimization procedure for cross-section
libraries

Lattice calculation

Effects on control rod ejection accidental scenario
Different cross-section libraries have been used in order to assess the impact of generation
and optimization of nodal libraries in a transient analysis. A provided benchmark library
(LIB-A), an own-generated library with the same mesh (LIB-B) and an own-generated
library with an optimized mesh (LIB-C)

Computing xs from the libraries during the 3D core calculations
yields to uncertainties. A procedure to optimize the
distribution of grid points for tabulated libraries has been
developed. Optimality is considered in the sense of building a
non-uniform point distribution with the minimum number of
grid points for each state variable satisfying a given target
accuracy in k-effective [1]

Conclusions
Methodologies to obtain advanced cross-section libraries including uncertainties have
been developed. Those uncertainties arise not only from the nuclear data, but also from
the formalism of cross-sections. Uncertainties are propagated to final results in 3D
coupled calculations. An analysis for a rod ejection transient with three different libraries is
performed and results show that interpolation errors are a non-negligible source of
uncertainties [2]

References
[1] Sánchez-Cervera, S. et al. Optimization of multidimensional cross-section tables for
few-group core calculations. Annals of Nuclear Energy, 69: 226-237, 2014.
[2] Sánchez-Cervera, S. et al. Effects of cross-sections tables generation and optimization
on rod ejection
187 transient analyses. Annals of Nuclear Energy, 73: 387-391, 2014.

Best estimate analysis of transients with in-house
COBAYA code within NURESIM European platform
A.Sabater, D.Cuervo
Ciencia y Tecnología de Sistemas Avanzados de Fisión Nuclear
adrian.sabater.alcaraz@alumnos.upm.es
d.cuervo@upm.es

Abstract
One of the most important aspect of the nuclear safety is the study of the evolution of different accidents to estimate the behavior of the reactor.
Computational simulation is the way to perform this study. COBAYA4 UPM in-house code is a neutronic diffusion code that solves 3D full core problem for
different kind of analysis, steady state or transient, different geometry, hexagonal geometry or cartesian geometry at different level, nodal analysis or pin by
pin analysis. This code has been developed through different European Projects beginning with NURESIM and actually with NURESAFE. Within these
projects UPM collaborates with different institutions, laboratories, companies and universities to develop the European Reactor Simulation Platform,
NURESIM.
Picture on the bottom represent the
power evolution of Main Steam Line
Break. In this case the transient starts
• COBAYA4 is an in-house UPM neutronic diffusion code. COBAYA4 solves the diffusion equation for
at Hot Zero Power, at 25 seconds the
steady state calculations and transient calculations.
reactors returns to power.
• COBAYA4 solve different geometry problems. Cartesian geometry for the PWR and hexagonal
geometry for the VVER.

COBAYA4

Power
600,

Power(MW)

450,
300,
150,
0,
0,

75,

150,

225,

300,

Time(s)

• With different resolution level, nodal analysis or pin by pin analysis. In the nodal analysis, the fuel
assembly(FA) is usually divided in 1 or 4 nodes. On the other hand, in the pin by pin analysis each
fuel rod of the FA is modeled as an homogeneous cell.

Picture on the left, each fuel assembly
has 264 fuel rods and 25 guide tubes.
Total 289 nodes for each layer. There
are 25 FA including the reflector. All
the domain has 231200 nodes. In full
core with same configuration of this
case and 193 FA, The domain is
constituted by 1896418nodes.

Analysis of a MSLB transient
Main Steam Line Brake transient is a reactor accident where the steam circuit
(secondary side) brakes what produces a fast cooling of the primary side and sudden
increase of power. Using COBAYA4 we can analyze the behavior of the reactor in the
transient and check different parameters. COBAYA4 works coupled with a TH code, in
our case COBRATF. COBRATF calculates the Doppler temperature, moderator
temperature and moderator density. COBAYA4 calculates the cross sections using this
values. This allows to check where the values of these parameters are too high, so it
can affect the integrity of the reactor.

Nuclear Reactors European Simulation Platform NURESIM
All this work has been developed within the European Platform NURESIM integrated
by codes simulating different physical aspects of the reactor and developed by
different laboratories, universities and companies.
This work started 10 years ago, with NURESIM project continuing with NURISP and
NURESAFE and including every time new and more detailed characteristics.
The goal of the project was to generate a platform to integrate different codes and
couple them together in order to be able of produce a better simulation of the
reactor behaviour. It includes neutronic codes, core simulation codes, thermohydraulic codes, system simulation codes, thermo-mechanic codes and uncertainty
codes.
This platform allow to the users coupled different codes, through python script and
make different analysis, or analyze the different evolution of the different codes for
the same transient.

Acknowledgments
This work is founded within the Euratom FP7 for Nuclear Research and Training Activities (2007–2011) under the contract NURESAFE-323263. The author acknowledges the
188 y Visualización de Madrid (CeSViMa)
computer resources and technical assistance provided by the Centro de Supercomputación

Methodology for the implementation of passive systems for
improving safety against hydrogen release in Light Water Reactor
(LWR)
aEmma

López-Alonso, bGonzalo Jiménez

aUniversidad
bUniversidad

Politécnica de Madrid (emma.lconty@upm.es)
Politécnica de Madrid

Abstract
The hydrogen production, distribution and combustion in a post-accident scenario represent one of the most significant hazards to the containment and
equipment integrity. During a severe accident in a Light Water Reactor (LWR), large quantities of hydrogen could be generated and released into the
containment atmosphere. In order to develop strategies to control the hydrogen concentration inside the containment in case of severe accident (SA)
scenarios, investigation are performed with the aim to quantify the hydrogen and determine its behaviour inside the containment. The study presented
herein established a methodology for location and sizing of the Passive Autocatalytic Recombiner (PAR) to be installed in the containment to minimize the
risk arising from a hydrogen release generated during a SA and its distribution in the containment building.

Methodology for PAR implementation and location
The proposed methodology presented herein for PAR installation analysis is followed four steps: the identification
of the most limiting scenarios to be simulated with MAAP4 in order to obtain the mass and energy source term
(step 1); the hydrogen distribution analysis in containment and drywell with a GOTHIC 3D model (step2 and 3);
and the PAR sizing and location analysis (step 4). The optimized PAR configuration for a BWR Mark III and a Konvoi
(PWR) containment types were obtained, analysing the size, location and number of the PARs capable to minimize
the combustion risk, which arises from a hydrogen release generated during a severe accident and its distribution
in containment building. In figure the methodology diagram showing the chronology of each step.

Step 1:
The mass and energy sources releases are analysed with severe accident code. The most limiting scenarios
chosen were, for example: Station Blackout (SBO); Total Loss of Feed Water (TLOFW); Loss of Coolant Accident
(LOCA), etc.

Step 2:

Step 3:

As an example of a 3D
model is the BWR
containment model
performed with GOTHIC
8.1 code [1].

The hydrogen preferential pathways and the accumulation points
were studied and identified on the basis of a base case scenario
without any mitigation measure taken in both containment. In
figure, the H2 path for the BWR containment.

Step 4:
The PARs implementation process starts by choosing the size of the recombiner attending to the
recombination rate and the size of the PAR according to the space available within the containment.
The PAR performance is based on the hydrogen oxidation by the oxygen presented in the containment
atmosphere with the use of metals as catalysts. There are several experiment of the PAR performance
validated with CFD codes. In figure, for instant, the H2 mole fraction contour for simulation performed for
REKO facility for inlet H2 mole fraction 2% [2]; or, the H2 fraction fields for the validation of the H2-PAR
model by Kali-H2 experiments [3].

Conclusions

The PAR location is based on the more likely
hydrogen pathways extracted thanks to the 3D
model from step 2&3. Example of PAR
configuration in the Konvoi (PWR) containment is
depicted in the figure [4].

The PAR configuration offers an improvement in the chosen accidental scenario; decreasing the possibility of
hydrogen combustion and leading to concentration values below the flammability limit (hydrogen
concentration below 7%), in all the containment compartments for both model, in figure Konvoi results. [4].

References

189

[1] Jiménez, G et al. BWR Mark III containment analyses using a
GOTHIC 8.0 3D model. Annals of Nuclear Energy, 2015 .
[2]Gera, et al. CFD Analysis of Passive Autocatalytic Recombiner,
2011.
[3]Mimouni, et al. CFD Recombiner Modelling and Validation on
the H2-Par andKali-H2 Experiments, 2011.
[4] Lopez-Alonso, E. et al. Evaluation of Passive Autocatalytic
Recombiner (PAR) Implementation in a Konvoi NPP Containment
Type. 41 Reunión annual SNE, 2015.

THE ROLE OF NUCLEAR DATA AND THERMAL-HYDRAULIC
UNCERTAINTIES IN DESIGN, OPERATION AND SAFETY
OF LIGHT WATER REACTORS
E. Castro, N. García-Herranz
Ciencia y Tecnología de Sistemas Avanzados de Fisión Nuclear
emilio.castro@upm.es

Abstract
Uncertainty propagation methodologies have been implemented in the COBAYA diffusion code, developed at UPM, following two approaches:
deterministic and sampling-based. In this work, the implementation schemes of each methodology are discussed and applied to assess the role of the
nuclear data and thermal-hydraulic uncertainties in different scenarios.

Statement of the problem
Worldwide nuclear regulatory authorities demand safety analysis for the design and operation of
nuclear power plants. Those analysis require the calculation of a set of magnitudes that must fulfill
the regulatory acceptance criteria and can be categorized as conservative or realistic.
• Conservative: based on pessimistic models and scenarios; uncertainties are not required as they
are covered by the conservative assumptions and larger safety margins
• Best Estimate Plus Uncertainty (BEPU): based on realistic models and assumptions, but the
uncertainties in the input data must be propagated to the results.
For BEPU analysis, methodologies to propagate uncertainties must be implemented in core
simulators. Nuclear data, technological parameters, boundary conditions and methodologies are the
most important sources of uncertainty.

Approaches
Two solutions have been implemented in the 3D diffusion code COBAYA to propagate uncertainties

Deterministic approach

Nuclear Data
Covariances

Input
libraries

• Based on first order perturbation theory
• Forward and adjoint fluxes required for each response

Forwad Flux
Computation

• Limited number of responses, only steady-state
• Fast but inaccurate with large input uncertainties

Adjoint Flux
Computation

Sensitivity
Coefficients
Calculation

Uncertainty
propagation
to keff

Sampling-based approach
• Based on random sampling of the input data
• Any input parameter and response can be studied
• More accurate

COBAYA
simulations

N random input
data libraries

• Higher CPU time consumption

Statistical Analysis
N Results

Mean Values
Standard Deviations

• Applicable to transients

Results for steady-states

Results for transients

Uncertainty in power distribution and k-eff due to cross section data

Uncertainty (1σ) in the total power due to TH
parameters in a Main Steam Line Break (MSLB) accident

(radial cut at z=182.5 cm)

Method

keff

σ (%)

TSUNAMI 3D
(reference)

1.35520

0.4588

COBAYA
deterministic

1.34915

0.4336

COBAYA
sampling

1.34931

0.4343

Conclusions
New developments have been made in COBAYA core simulator to assess the role of nuclear data and thermal-hydraulics uncertainties during steady-states
and transients of LWR. Two approaches have been implemented: deterministic and sampling-based. Both provide similar uncertainties in the calculation of
the eigenvalue (keff), and only the sampling-based approach can be used to predict the uncertainty in the rest of responses, such as power distributions or
other transient parameters.

Acknowledgements
This work is supported by Consejo de Seguridad Nuclear (CSN) in the framework of the agreement with Universidad Politécnica de Madrid in the area of
190
Propagation of Uncertainties for Neutronic Calculations (P110530207)

Atomistic simulations of optical materials
under irradiation for nuclear fusion power
plants
aA.

Prada, bE. Bringa, cM.J. Caturla, aJ.M. Perlado, aA. Rivera

aInstituto

de Fusión Nuclear, Universidad Politécnica de Madrid, Spain (alexpradav@yahoo.es)
and Facultad de Ciencias Exactas y Naturales, UNCuyo, Mendoza, Argentina
cDepartamento de Física, Universidad de Alicante, Spain
bCONICET

Abstract
The irradiation of silica with high electronic excitation ions produces the formation of nanometer sized tracks around the ion trajectory with marked
permanent changes in physical, chemical and structural properties. In addition, irradiation produces an important volume loss due to electronic sputtering.
In order to quantify these effects, we have developed and experimentally validated an atomistic model based on molecular dynamics which is able to
predict experimental results. In fact, we are able to explain the crater formation, the sputtering yield dependence with the energy and angle of the
incident ion and the final atomic distribution typical of a thermal process. In short, we will discuss the mechanisms for permanent modification of silica
based on a high density of electronic excitations, which leads to a sudden temperature raise inducing a huge thermal gradient followed by a shock wave
and an ultrafast cooling process, all of that determining the final atomic rearrangement.

Introduction
Ø Final lenses in inertial fusion power plants receive irradiation of different nature (neutron, light ions, heavy ions,…).
Ø High electronic excitation ion irradiation (higher than 0.1 MeV/amu) produces electronic sputtering, density changes, color center formation,...
Ø Electronic excitation is not well understood. It consists of a complex energy transfer mechanism from the electron system to the lattice.
Ø We developed an atomistic model based on molecular dynamics (MD), to analyze the surface thermal effects, describing the mechanism responsible
of atoms displacements, crater formation and the sputtering yield.
Bath (300 K)
Thermal evolution
Ø Simulation boxes 60 × 30 × 10 nm3, > 1×106 atoms
Ø Simulation times around 100 ps
Ø Non-periodic boundary conditions
Ø Parallel code MDCASK
Ø Inter-atomic potential ZBL+Feuston-Garofalini (silica)[1]
Ø Supercomputer MAGERIT-CESVIMA UPM
Ø Typically 512 processors, 20-30 hours per simulation
IHC = 3.5 nm Se = 8 keV/nm
Initial Hot Cylinder

Methodology

12

Temperature (x10 K)

ɸ

α

8
6
4
2
0

a = 20 [2]
a = 25
a = 30

600

a = 45
a = 60
a = 70
a = 90

500
400
300
200
100
0

b

Fit : y = A cos (j)

-80 -60 -40 -20 0 20 40 60 80
Polar emission angle (degree, j)

14

MD - Se = 18 keV/nm - a0 = 3.5 nm

12

MD - Se = 7.7 keV/nm - a0 = 4.0 nm

10

Au 200 MeV [2]
-d
Cu 50 MeV [3] Fit: y = C sin (a)

8
6
4
2
0
0 10 20 30 40 50 60 70 80 90
Incidence angle (degree, a)

3

700

Sputtering yield (x10 at/ion)

Au 200 MeV - Se = 18 keV/nm - a0 = 3.5 nm

3

Diff. sput. yield (at/degree.ion)

x

y

Sputtering yield (x10 at/ion)

z

3

ϕ

3 ps (1 ps)
4 ps (2 ps)
7 ps (4 ps)
11 ps (8 ps)
13 ps (10 ps)
43 ps (50 ps)
68 ps (100 ps)
100 ps (200 ps)

10

0

2
4
6
8 10 12
Distance to the origin (nm)

4.0
3.5
3.0

MD - a = 90 - a0 = 3.5 nm
MD - a = 90 - a0 = 4.0 nm

Matsunami et al. [4, 5]
Arnoldbik et al. [3]
Au 200 MeV [2]
2.0
Assmann et al. [2]
1.5 Fit: y = E Sf
e

2.5

1.0
0.5
0.0
0
4
8
12
16
20
Electronic stopping power (Se, keV/nm)

Results

Conclusions

Ø We obtained a differential sputtering yield with a thermal dependence
of the polar emission angle (ϕ) and independent of the azimuthal emission
angle (Ɵ).
Ø The sputtering yield as a function of the incident angle (α) increases with
the affected area.
Ø The sputtering yield as function of the electronic stopping power
increases with the deposited energy.
Ø Experimental results validate the model.

Ø We analyzed the surface effects of high electronic excitation ion
irradiation in silica by an atomistic model based in molecular dynamics.
Ø Three mechanisms are identified: ejection, shock and flow.
Ø Atom evolution is described by a thermal process, which explains the
ejection and final shape of the track.
Ø In laser fusion power plants heavy ions with high stopping power are
expected. Despite they will produce severe damage, the resulting
sputtering yield will be low. Other applications may be more affected.

Acknowledgement
We acknowledge Spanish MINECO for financial support through projects MAT-2012-38541-C02, AIC-A-2011-0718. EMB thanks support form PICT 20090092 and a SeCTyP grant. The author acknowledges the computer resources and technical assistance provided by the Centro de Supercomputación y
Visualización de Madrid (CeSViMa) CESVIMA-MAGERIT.

References
[1] Feuston and Garofalini J. Chem Phys. 89 (1988) 5818
[2] Assman et al. Sputtering Part. Bombard. 401 (2007)

[3] Arnoldbik et al. NIMB 203 (2003) 151
[4] Matsunami
et al. NIMB 193 (2002) 830
191

[5] Matsunami et al. NIMB 209 (2003) 288

BIOREMEDIATION OF RADIOACTIVE WATER IN
NUCLEAR POWER PLANTS
aJulio

A. Belinchón, bAna M. García, bDiego A. Moreno
aIberdrola
b d l

bETSI

Generación
ió S.A., Cofrentes,
f
Valencia
l i
Industriales, Universidad Politécnica de Madrid (diego.moreno@upm.es)

Abstract
Previous studies in the Cofrentes Nuclear Power Plant showed that microorganisms from radioactive water are able to form biofilms on metallic
materials submerged in the water and that these biofilms could retain radionuclides. In the present study a bioremediation process to decontaminate
the water was designed and the microorganisms forming the biofilms were identified using culture-independent techniques. Additionally, we
assessed that the bioremediation process could be economically profitable.
profitable

Bioremediation of radioactive water

10 µm

Figure 2. Scanning electron microscopy micrograph showing filamentous
bacteria biofilm on stainless steel submerged
g in ultrapure
p
and radioactive
water for 186 days. This biofilm is able to retain radionuclides.

The radioresistant organisms identified belong to the phylogenetic
groups Alpha-proteobacteria, Gamma-proteobacteria, Actinobacteria,
Deinococcus-Thermus and Bacteroidetes. The capability of these
biofilms to retain radionuclides was also determined by gamma
spectrometry. Biofilms essentially retained activation radionuclides.
Sometimes the sum of Co-60 and Mn-54 reached 97% (Figure 3).
Furthermore, Cr
Cr-51,
51, Co
Co-58,
58, Fe
Fe-59,
59, Zn
Zn-65
65 and Zr
Zr-95
95 were also retained.

Bq//g

The existence of microorganisms in spent nuclear fuel pools has been
demonstrated recently in nuclear power plants by using conventional
microbial techniques [1]. Subsequent studies have revealed that those
microorganisms are able to colonize the stainless steel pool walls
forming biofilms. Moreover, it has been observed the ability of these
biofilms to retain radionuclides, which suggests the possibility of its use
for radioactive water decontamination purposes. This thesis [2]
presents deeper knowledge of microbial biofilms biodiversity by using
molecular biology techniques such as cloning, and develops a
decontamination system on a pilot scale, in order to assess whether
the process is scalable to an industrial level. Thus, two stainless steel
bioreactors were designed and manufactured, both compatible with
seismic and radiation protection standards in the controlled zone of a
nuclear plant. These bioreactors were installed in the Cofrentes
Nuclear Power Plant ((Valencia)) next to the spent
p
nuclear fuel p
pools
(Figure 1) and preceding (upstream) ion exchange resins. This
configuration allowed the bioreactors to receive water directly from
the pools allowing in situ analysis of radiation removal.

Immersion days

Figure 3. Radionuclide accumulation with time in the biofilms on stainless
steels submerged in ultrapure and radioactive water.

10 µm

An economic survey was performed, confirming that the scalable
process using stainless steel balls is profitable.

Figure 1. Spent nuclear fuel pool at the Cofrentes Nuclear Power Plant
(Cofrentes, Valencia, Spain).

References

Stainless steel and titanium balls were introduced into these
bioreactors and were removed after different time periods, up to 635
days for stainless steel and 309 days for titanium.
titanium Biofilms developed
on the balls (Figure 2) were analyzed by scanning electron microscopy
and epifluorescence microscopy. DNA was extracted from the biofilms,
cloned and then the microorganisms were identified by cultureindependent techniques.

1. M.I. Sarró, A.M. García, D.A. Moreno. Biofilm formation in spent nuclear
fuel pools and bioremediation of radioactive water. International
Microbiology 2005, 8, 223-230.
2. J.A. Belinchón. Diseño y evaluación de un procedimiento on-line para la
biorremediación de aguas radiactivas en centrales nucleares. 2016. PhD
Thesis.

Acknowlegments. We are grateful to Iberdrola Generación S.A. and the Spanish Ministry of Science and Innovation (Ministerio de Ciencia e Innovación for their
financial support (CTM2004-05579/TECNO).

192

MANUFACTURING PROCESS IMPACT ON THE
DIELECTRIC PROPERTIES OF ALUMINA
CERAMICS FOR FUSION APPLICATIONS
a.bDarío
aCIEMAT

Cruz, aRafael Vila, aBegoña Gómez-Ferrer

- National Fusion Laboratory, Madrid, Spain (darioandres.cruz@ciemat.es)
Politécnica de Madrid - ETSII, Madrid, Spain.

bUniversidad

Abstract
Materials for radio frequency (RF) windows and different antenna supports and insulators for the heating systems and for diagnostics are still an
unresolved issue in future fusion machines such as DEMO. Alumina ceramic (Al2O3) is one of the main candidate materials for these systems. The dielectric
properties, such as electrical permittivity (ε) and loss tangent (tan δ), determine its power losses. Therefore, tan δ values need to be low, between 10-6 and
10-3 depending on the application. However, due to the crucial role of the manufacturing process in determining its final dielectric properties, there is the
need to undertake a joint effort with the industry in order to validate a standard manufacturing route that ensures a supply of ceramic material with
homogeneous and standardized dielectric properties for the fusion machines.
In this work, the studied alumina samples were provided by NANOKER, a high-performance ceramics manufacturer. Different manufacturing routes were
used for each batch of samples to systematically test the effect on the loss tangent. The dielectric properties were measured using two different resonant
methods, depending on the frequency range. These combined methods have the advantage of covering the very broad range of frequencies required for
alumina applications in fusion (from kHz to GHz) and giving the best accuracy for very low losses.
Results revealed that the samples have the desired dielectric properties but depending on the manufacturing route, they have better performance at
different frequency ranges. Besides, the different routes presented quite different deviations in the measured dielectric loss between samples from the
same batch. Uniformity in the loss tangent values is also an important parameter when choosing the best manufacturing process in order to obtain a
reference material. Therefore, assuring the reproducibility of the samples has become the next goal.

MEASURING METHODS

SAMPLES
•Supplier -> Nanoker Research S.L., industrial
partner.

•1kHz to 100MHz
-> Half-power-gap variation method (Japan
DPMS 1000) [3]
-> room temperature, N2 atmosphere
(eliminate surface moist)

•Same initial powder mixture.

•10 to 20 GHz
-> closed cylindrical resonant cavity.

• Different manufacturing routes
-> Spray Dried
-> Spray Dried New Route
-> Slip Casted

•The dielectric properties are obtained
from the comparison of the characteristics
of the resonance with and without the
sample inside the resonator.

•Each set of samples are cut out from a single
rod.
•Circular samples of 2mm and 1 mm thick and
30mm diameter are used.

•Tan d (and ε) values at each frequency.

•Samples have to be properly parallel polished.

RESULTS

It can be seen that changes in the manufacturing route substantially modified the dielectric properties of the ceramic. The samples have the desired
dielectric properties but depending on the manufacturing route, they have better performance at different frequency ranges. For the tested routes there
is still not enough uniformity of the dielectric properties between the samples from the same batch.

FUTURE WORK
•Continue the dielectric characterization of alternative
manufacturing routes and emphasize on sample traceability.
•Irradiate the samples with electrons and neutrons at different
fluences to analyze relevant radiation-induced effects (RIC, tan δ
degradation) [4][5]
•Establish an industrial manufacturing route that complies with
the requirements for fusion applications.

REFERENCES
[1] R Vila, M González, J Mollá, A Ibarra, J. Nucl. Mater., 253 (1998) 141-148
[2] J. Mollá, R. Heidinger, A. Ibarra, J. Nucl. Mater., 212 (1994) 1029-1034
[3]A. Kakimoto, A. Etoh, K. Hirano, S. Nonaka, Rev. Sci. Instr. 58 (1987) 269
[4 ]G.P. Pells, R. Heidinger, A. Ibarra, H. Ohno, R.H. Goulding, J. Nucl. Mater.,
535 (1992), 191–194
[5]R Vila, E.R Hodgson, J. Nucl. Mater, 283–287, (2000) 903-906

193

Conceptual Design of Silica Transmission Final
Lenses for Laser Fusion Chambers
aA.

R. Páramo, a,bF. Sordo, , aD. Garoz. cB. Le-Garrec, cJ.M. Perlado, cA.Rivera

a

Instituto de Fusión Nuclear - UPM. c/ José Gutiérrez Abascal, 2 - 28006 Madrid, Spain
(angel.rodriguez.paramo@upm.es)
b ESS-Bilbao. Edificio Cosimet. Paseo Landabarri, 2 1ª planta - 48940 Leioa, Spain
c Institute of Physics, Academy of Sciences, Prague, Czech Republic

Abstract
The development and fabrication of final focusing components is one of the technological developments needed to build a laser fusion power plant. These
components are key elements for the plant operation as because the target compression and ignition depends on the laser power delivery through the
final focusing components. Final focusing components face hostile irradiation conditions which hinder its operation.
We have developed a conceptual design of final focusing components based on silica transmission lenses. Neutron irradiation will lead to a non-uniform
steady state temperature profile along the final lenses leading to aberrations. A temperature control system is necessary to correct these effects. Our
design is based on a heat transfer fluid that keeps the temperature profile smooth and constant in all the operation phases.

Introduction

Temperature Requirements for the Lens

In this work [1], we study the dependence of the lens focusing on
temperature, both during the start-up and normal operation.

The temperature of the lenses has to be controlled for the correct focusing
of laser beamlets:

The solution adopted in HiPER [2] for the final optical assembly (FOA) is a
scheme with 48 laser beams using. Different laser beamlets are used for the
different stages of ignition (foot, compression and shock) to obtain a
zooming effect [3]. In order to adapt for the different beamlets the final lens
is divided 4 x 4 quadrangles.

•Temperature limits: higher than 800 K to anneal colour centres from
neutron irradiation [4-6] and below 1223 K to avoid mechanical failure
[7].

We study the aberrations in the focal spot through the illumination
uniformity level (σ) and efficiency(η)*. To guarantee that the illumination
uniformity is suitable for ignition σ should be kept below 1 % with η > 90 %

• Uniform temperature: due to the lens profile (thicker at its centre) a
temperature profile appears, that causes optical aberrations.

Proposal of Temperature Control System
In order to fulfil the temperature requirements for the HiPER silica
transmission final lenses, a temperature control system must be designed.
We chose a temperature control system based on a heat-transfer fluid.
For
F the design of the system we
have studied the flow pattern
(counter-flow), the fluid pressure
(100 kPa), pressure drop (1 kPa),
windows thickness, gas formation
and retention, possible fluids,
optimal channel width and
operational regimes (start-up and
normal,).

•Constant temperature: during the start-up, partial regime or normal
operation, only a small temperature deviation (!20 K) is acceptable.

Lens Distance to Target
Finally we study if the distance from the target could be reduced from our
base scenario of 16 m. Placing the lens at 12 m we observe how the
temperature variation increases, however with an adequate control
operation could be possible. Placing the lenses nearer (8 m) would not be
possible as the temperature variation is too high.
Summarizing, a pre-commercial scenario for the HiPER project has been
studied. In this scenario final lenses must be placed at a distance of ! 16 m,
in order to control the temperature a heat-transfer fluid system is proposed.
proposed

We conclude that operation
would be possible using He or CO2
with channel widths larger than !
6 mm.

References
R
f
[1] Páramo A. R. et al., Nucl. Fusion 54 123019, 2014
[2] Le Garrec B. et al., Proc. SPIE 8080 80801V, 2011.
[3] Canaud B. and Garaude F., Nucl. Fusion 45 L43, 2005.
[4] Páramo A. R. et al., J. Nucl. Mater. 444 46974, 2014
[5] Marshall C.D. et al., J. Non-Cryst. Solids 212 5973, 1997
[6] Latkowski J.F. et al., Fusion Sci. Technol. 43 54058, 2003
[7] Heraeus Quarzglas Quartz Glass for Optics: Data and Properties
* The

illumination uniformity level (σ) is defined as the laser intensity root mean deviation. The
efficiency (η) is defined as the ratio of power deposited in the target to the laser power.

194

Hydrogen irradiation in tungsten for nuclear
fusion reactors: an OKMC study
aG.

Valles, bI. Martin-Bragado, a,cC. González, aJ.M. Perlado, aA. Rivera

aInstituto

de Fusión Nuclear, UPM. Madrid, Spain (gonzalovallesalberdi@hotmail.com)
Materials Institute. Madrid, Spain
cDepartamento de Electrónica y Tecnología de Computadores. Granada, Spain
bIMDEA

Abstract
The influence of grain boundaries (GBs) on the radiation-induced defects evolution as well as on hydrogen (H) retention in nanostructured tungsten (W) at
300 K were studied by computer simulation. Nanostructured tungsten was implanted with hydrogen and carbon (C), at energies of 170 keV and 665 keV
respectively. Three different irradiation conditions were studied: (i) H single implantation, (ii) C and H co-implantation and (iii) C and H sequential
implantation. Computer simulations were performed with the MMonCa code, based on Object Kinetic Monte Carlo (OKMC) technique. The results show
that GBs have a clear influence on the amount of vacancies. H retention is highly influenced by both the GBs themselves and the vacancy concentration. H
is retained in monovacancies, in the great majority. From the comparison between the computational results and the experimental ones, it can be inferred
that GBs act as preferential paths for H diffusion.

Introduction

Object Kinetic Monte Carlo (OKMC)

• Tungsten is proposed as first wall material in Inertial Fusion Confinement
(IFC) reactors due to its good refractory propierties, low activacion rate
and low tritium retention

• Simulations were performed with the MMonCa code [2]
• MMonCa was parameterized with in –house DFT data [3] as well
as with values from Literature [4]

• However, W will be irradiated by H ions at energies high enough to
produce Frenkel pairs (FPs)

• Simulation box: 50 × 50 × 1000 nm3

• H is retained in vacancies (Vs), which may grow into bubbles causing
surface blistering and exfoliation

• The four lateral surfaces act as perfect sinks, in order to

• Nanostructured W is being investigated due to its influence on the
distribution of both FPs and H atoms [1] and its „self-healing“ behaviour

• Damage cascades were calculated with the SRIM code [5]

simulate the effect of GBs on defects and H atoms
• C (665 keV) and H (170 keV) irradiation in three different
conditions: (i) H single implantation (NW-H), (ii) C and H

H

H

i
o
n
s

i
o
n
s

200 nm

• In NW-H case, the peak is far
less pronounced

Conclusions

10

10
0
0

200

400 600
Depth (nm)

800

1000

30

MMonCa profiles 30

20

20

10

0
0

NW-H
NW-Co-CH
NW-Seq-CH
200 400 600
Depth (nm)

10

0
800

1000

• Regarding the H retention, our simulations are in very good agreement
with the experimental results: not only the total H concentration but also
H distribution in depth
• GBs have a clear influence on FP annihilation and on H concentration

• Only defects in the interior of the
grain are considered. Thus, defects
trapped at GBs are not taken into
account in the results
• There is a very good agreement
between OKMC and experimental
results
• Vacancies cannot migrate in W at
300 K due to their large migration
energy (Em(V) = 1.66 eV) [4]
• Self-interstitial atoms migrate very
fast to the GBs (Em(I) = 0.013 eV) [4]
•H
atoms
are
retained
in
monovacancies, in the great majority

2.0

NW-H

1.5

Exp. [1]
OKMC

1.0
0.5
0.0

[H] (at. %)

20

• The region between 0-150 nm was
not considered in the results. The
high H retention observed in the
experiments is releated to surface
contamination [1]

[H] (at. %)

-3
14

30

20

0

Concentration per H ion x10 (cm )

30

40

-3

V (C irr.)
H (H irr.)
V (H irr.)

16

-3

40 SRIM profiles

2.0

NW-Co-CH

1.5

Exp. [1]
OKMC

1.0
0.5
0.0
NW-Seq-CH
Exp. [1]
OKMC

2.0
1.5
[H] (at. %)

• V concentration peaks are
smoother than those calculated
by SRIM

• C and H fluence: 5 × 1016 cm-2

20

• MMonCa takes into account
anihilation between Vs and selfinterstitial atoms (Is)

V
H

• C and H flux: 2.78 × 1012 cm-2 s-1

Vacancy concentration x10 (cm )

• Almost no V production at
depths higher than 800 nm

Concentration per C ion x10 (cm )

• H produces 2.3 Vs per H ion

implantation (NW-Seq-CH)

• Irradiation time: 5 h

-3

• C produces 365 Vs per C ion

co-implantation (NW-Co-CH) and (iii) C and H sequential

• Temperature: 300 K

19

• SRIM calculates V and H
profiles due to C and H
irradiation.
Clear
vacancy
concentration
peaks
are
observed

V
SIA
H
200 nm

Vacancy concentration x10 (cm )

Results

Grain
boundary

1.0

• Clusters up to H6V1 are observed

0.5

• The total H concentration is
approximately the same in both
experiments and OKMC results

0.0
0

200

400 600 800 1000
Depth (nm)

• From the comparison between experimental and OKMC results, it can be
inferred that GBs act as preferential paths for H diffusion

References

Acknowledgements

[2] Martin-Bragado et al. Comput. Phys. Commun. 184 (2013) 2703

[1] Gonzalez-Arrabal et al. J. Nucl. Mater. 453 (2014) 287-295

Part of the work was financed by MINECO (Spain) under the projects
[3] C. González et al. Nucl. Fusion 55 (2015) 113009
RADIAFUSS ENE-2012-39787-CO6, MATFUSLA AIC-A-2011-0718 and by the
[4] Becquart et al. J. Nucl. Mater. 403 (2010) 75-88
EUROfusion Consortium under the project AWP15-ENR-01/CEA-02. Authors
[5] Ziegler et al. Nucl. Instrum. Methods. Prhys. Res. Sect. B Beam Interact.
acknowledge Ramón y Cajal Fellowship (RyC-2012-10639), Junta de
Andalucía and the European Commission ( the 7th Framework co-funding) 195 Mater. At. 268 (2010) 1818-1823

Hydrogen retention in nanostructured tungsten as
compared with coarse grained tungsten
aM.

Panizo-Laiz, aR. González-Arrabal, aN. Gordillo, bE. Tejado, cF. Munnik,
nik,
aA. Rivera, aJ. M. Perlado
aInstituto

de Fusión Nuclear, UPM, Madrid, Spain (miguel.panizo.laiz@Gmail.com)
de Ciencia de Materiales, ETSI Caminos, Canales y Puertos, UPM, Madrid, Spain
cHelmholtz-Zentrum Dresden-Rossendorf, Dresden, Germany
bDepartamento

Abstract
The lack of plasma facing materials (PFM) able to withstand the severe radiation conditions expected in fusion reactors is the actual bottle neck for fusion to
become a reality. Nowadays W is one of the most promising options for PFM in a fusion reactor. However, some limitations such as the light species retention
have been found for standard coarse-grain W (CGW).
Nanostructured materials (NM) have demonstrated to present a higher radiation and swelling resistant due to the influence of the grain boundaries in the:

Radiation-induced damage ] Self-healing behaviour.

Light species retention
] Light species are pinned at the grain boundaries (GB) and they act as effective diffusion channels.

THE POTENTIAL OF NANOSTRUCTURED W AS PFM IS BEING INVESTIGATED.

Objetives

Light species implantation

Study the stability of the nanostructures under implantation.
q
Characterization of blistering if happen in CGW and NW.
Compare the microstructure of the samples prior to and after implantation:
Study the hydrogen depth distribution in W as a function of:

NW-pristine

H Ion Range
C Ion Range
H Vacancies 5
C Vacancies

3

(at/cm )

-20

16
14

4

12
10

x100

2

6
4

1

2
0

1 µm

CGW-H

NW-H

CGW-Se-CHA400

ü

RT

ü/û

T (ºC)

C coimplanted
ü/û

T (ºC)

CGW-H

Coarse grained

ü

RT

NW-Seq-CH

Nano

ü

RT

ü

RT

CGW-Seq-CH

Coarse grained

ü

RT

ü

RT

NW-Co-CH

Nano

ü

RT

ü

RT

CGW-Co-CH

Coarse grained

ü

RT

ü

RT

NW-Seq-CH400

Nano

ü

400

ü

RT

CGW-Seq-CH400

Coarse grained

ü

400

ü

RT

a-W (110)

NW-Se-CHA400

CGW-Pristine
CGW-H

NW-Seq-CH
NW-Co-CH
NW-Seq-CHA400

NW-Pristine
NW-H

1 µm

a-W (200)

1 µm

300 nm

1000

T (ºC)

Nano

a-W (211)

a-W (200)

a-W (110)

a-W (220)

I (au)

NW-Seq-CHA400

600
800
Depth (nm)

ü/û
NW-H

C sequentially
implanted

All the studied samples are polycrystalline and mono-phase (stable bcc
α-W phase).
Absence of secondary phases upon implantation.

q
1 µm

400

STRUCTURE

Microstructure of the samples
q

200 nm

200

0
1200

SAMPLE CODE

CGW-Seq-CH
CGW-Co-CH
CGW-Seq-CHA400
a-W (211)

a-W (220)

I (au)

NW-H

1 µm

3

8

0

200 nm

H
implantation

6

20

Ion range x 10

CGW-pristine

Implantations performed at the Helmholtz-Zentrum Dresden-Rossendorf.
Implantation dose was selected to be 5x1016 cm-2.

18

Shape and average size of nanocolumns are preserved after implantation.
No blistering either in CGW or in NW after implantation

NW-pristine

Co-implantation of C (665 keV) and H (170 keV).

q
q

Morphology of the samples
q
q

At Room Temperature (RT).
At 400 ºC.

o
o

-3

Sample microstructure [ NW / CGW
Implantation conditions:
o
Single implantation / Double implantation.
o
Sequential implantation /Co- implantation.
o
Implantation temperature.

Single implantation of H at 170 keV and Room Temperature (RT)
Sequential implantation of C (665 keV) and H (170 keV):


-23


NW and CGW samples were implanted with different conditions:

Vacancies x 10 (cm )

q
q
q
q

1 µm

NW-Seq-CH

CGW-Se-CH

NW-Se-CH

30

30 35 40 45 50 55 60 65 70 75 80 85 90
2q (º)

40

50

60
2q (º)

70

80

90

Hydrogen depth distribution

1,8
1 µm

200 nm

1,6

1 µm

2,0

NW-H
12
NW-Se-CH
NW-Se-CHA400
10
NW-Co-CH

Conclusions
q
q
q
q
q
q
q

[H] (at.%)

1,2
1,0

1,6

8
6

CGW-H
12
CGW-Se-CH
CGW-Se-CHA400
10
CGW-Co-CH

1,4

3

1,4

1,8

3

2,0

(at/cm )

q

1,2
1,0

8
6

-20

NW-Co-C-H

H depth distribution was measured at the Helmholtz-Zentrum DresdenRossendorf (HZDR).
Hydrogen depth profiles were obtained by Resonance Nuclear Reaction
Analysis (RNRA) using the H1(N15,α g)C12.

[H] x10

CGW-Co-CH

q

-20

NW-Co-CH

1 µm

[H] x10 (at/cm )
[H] (at.%)

1 µm

200 nm

0,8
0,8
Nanostructures are stable under the studied implantations conditions.
4
0,6
4
0,6
Phase composition of all the samples is preserved after implantation
0,4
0,4
2
2
H behaviour in NW is dominated by its large density of defects (i.e. grain
0,2
0,2
0,0
0
boundaries).
0
0,0
0
200
400
600
800
1000
1200
0
200
400
600
800
1000
1200
Depth (nm)
H retention is larger in NW than in CGW.
Depth (nm)
Synergistic effects have a large influence on H retention in CGW samples
but do not in NW samples.
None of the studied samples present H retention when the hydrogen [1] R. Gonzalez-Arrabal et al. / Journal of Nuclear Materials 453 (2014) 287–295
implantation is carried out at 400ºC.
[2] N. Gordillo et al. / Applied Surface Science 316 (2014) 1–8
NW shows a promising behaviour in radiation environments.
196[3] P.M. Piaggi et al. / Journal of Nuclear Materials 458 (2015) 233–239

References

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Modelling of High Energy Density Physics
a M.

Cotelo, a E. Oliva, a A. González y a P. Velarde

a Instituto

de Fusión Nuclear
Escuela Técnica Superior de Ingenieros Industriales, UPM
email: manuel.cotelo@upm.es

Abstract
The High Energy Density Physics studies systems with pressures above 1 Mbar (millions of atmospheres) [1]. At this regime ordinary solid matter become
compressible and the material will definitely be a ionized medium, a plasma [2]. Such conditions can be achieved in nowadays high-power laser facilities
like PALS (Prague Asterix Laser System), OMEGA (Rochester, US) or National Ignition Facility (Livermore, US). In this facilities we can produce strong shock
waves (over 10 km/s) that converts ordinary matter into High-Energy-Density matter [3].
Our contribution to the High Energy Density Matter research (which includes several fields like Warm Dense Matter, X-ray lasers or Laboratory
Astrophysics) consists in the development of a multiphysics simulation code for laser-created plasmas. This kind of simulations plays a fundamental role in
this research area for two reasons: the experimental setup can be improved and optimized and simulations can help us to explain the physical phenomena
observed. In this work we present the application of the plasma simulation code to three fields where High Energy Density systems appears.

1.3 Supernovae remnants

1.Laboratory Astrophysics
One can reproduce astrophysical phenomena at a reduced scale in the
laboratory using some physical scaling laws. The laser irradiation will
produce a strong shock wave that will bring matter to High Energy
Density conditions. That compressed states are equivalent to the states
tes
that one can find in astrophysical objects.

1.1 Radiative Shocks [4,5]
Study of the interaction of a supernovae remnant with the companion star
in a stellar binary system. The material ejected by the supernovae reaches
the companion star and tear off part of the star atmosphere.

2. Inertial Confinement Fusion
2.1 Fast Ignition

The laser (AUX) illuminates a plastic
foil and creates a shock wave going
down. This shock then goes through a
tube filled with Xe.

A laser illuminates a plastic
semi-sphere with a gold cone
inserted.
The capsule is compresed to
several times the initial
density to achieve the fusion
conditions.

Radiation produced by the shocked
Xe preheats the gas ahead of the
shock wave.
The coupling between hydrodynamics
and radiation transport is essential to
reproduce the radiative shock.

Right: temperatura, eV
Left: density, kg/m3

3.1 Laser-created plasmas

1.2 Plasma jets [6]
Production of plasma
flows at very high Mach
number

1ns

2.5 ns
Left: density, kg/m3
Right: temperatura, eV

3. X-ray secondary sources

4 ns
Time-dependent atomic physics: this models can obtain the
properties of a plasma out of equilibrium. This can occur when a
plasma is heated up very quickly with an ultrafast laser pulse.

References:
[1] “Frontiers in High-Energy-Density Physics: the X-games of Contemporary Science”, National Research Council, The National Academies Press 2003.
[2] “High-Energy-Density Physics: Fundamentals, Inertial Fusion, and Experimental Astrophysics”, R. P. Drake, Springer 2006
[3] “High Power Laser-matter Interaction”, P. Musler, D. Bauer, Springer 2010
[4] “New probing techniques of radiative shocks”, C. Stehlé et al. Optics Communications 285, 1
[5] “Simulation of radiative shock waves in Xe of last PALS experiments”, M. Cotelo et al. High Energy Density Physics (2014)
[6] “Desarrollo de un método numérico para flujos multimaterial en 2D en ARWEN”, D. Portillo, Tesis Doctoral.

198

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ActivecrustaldeformationoftheElSalvadorFaultZone
(ESFZ)usinggeodeticdata:Implicationsinseismic
hazardassessment
aAlejandra

Staller,BelénBenito,JorgeGasparEscribano,SandraMartínezͲ
Cuevas,YolandaTorres,SandraRuizͲBarajas,LigiaͲElenaQuirós,Pouye Yazdi
aDepartamento

deIngenieríaTopográficayCartografía.ETSITopografía,GeodesiayCartografía.
UniversidadPolitécnicadeMadrid(a.staller@upm.es)

Abstract
The current work aims at understanding active crustal deformation of the El Salvador Fault Zone through kinematic model. The results provide significant
information to be included in a new estimation of seismic hazard taking into account the major structures in ESFZ.

I.SEISMOTECTONICSETTING

II. GPS VELOCITY FIELD

El Salvador Fault Zone (ESFZ) is a
deformation band that extends
across the whole country within
the Salvadorian volcanic arc
(MartínezͲDiaz et al., 2004) and is
responsible
for
frequent
earthquakes, some of high
magnitude, as the February 13,
2001 earthquake with Mw 6,6.
The ESFZ continues westward and
is relieved by the Jalpatagua Fault
in Guatemala. Eastward ESFZ
becomes less clear disappearing
at Fonseca Gulf.

GPSDATA
In2007we established 23newGPScampaign stations that together
with previous 7stations (Alvaradoetal,2011)forming the ZFESNet
(Stalleretal.,2016).ThemainaimoftheZFESNetisquantifythe
currentinterseismicdeformationassociatedwithESFZ.Wehave
carriedout4GPScampaignsoftheZFESNetfrom2007to2012.The
processingoftheregisteredobservationswasdoneusingtheBernese
5.0software(Dach etal.,2007).

INTERSEISMICVELOCITYFIELD

The ESFZdeforms and
offsetquaternary deposits
with aright lateral
movement inits main
segments (Cortietal.,
2005).Five segments have
been proposed for the
whole fault zone,from the
Jalpatagua Fault tothe
FonsecaGulf (Canoraetal.,
2010).

We have estimated velocities andtheir uncertainties for each station
referred toITRF2008andCaribbeanplatefixed.Theinterseismic
velocityfieldshowsatypicaldeformationpatternofastrikeͲslipfault
fullycoupled,withdextralstrikeͲsliptectonicsalongtheESFZ.

III.MODELINGOFCRUSTALDEFORMATION
WeusedathreeͲdimensional
elasticdislocationmodelby
integratinggeodetic(GPS),
geologicalandseismological
data (McCaffrey,2002)
Modelingresultsrejectthe
existenceofasimplestructure
withasingleslipzonealong
thevolcanicarcinElSalvador,
suggestingthenecessityto
introducetwointermediate
blocksbetweentheCaribbean
andforearcmainblocks.

Additionally,theSalvadoranvolcanicarcfaultsarealmosttotallyblocked.
Finally,modelingresultsconfirmthatthedegreeofcouplingattheinterface
ofthesubductionzoneofftheSalvadorancoastispracticallynull.

IV.IMPLICATIONSINSEISMICHAZARD
Theresultsobtainedhelprefiningthedefinitionandcharacterizationof
seismogenicsourcesusedfortheseismichazardassessmentofElSalvador,
allowingtheintroductionofsomefaultsasindependentforhazard
calculations.
Differentseismic
hazardmapsare
computed
consideringonlyfault
sources,predicting
maximumPeak
GroundAcceleration
(PGA)valuesof0,6g
inthevicinityof
somefaults.

V.CONCLUSIONS
Wehavepresentedthepreliminaryresults,conclusionsandimplicationsobtainedbasedontheGPSdatacompiledoverthis5Ͳyear period,whichhavebeen
essentialtounderstandingandlearningaboutthekinematicsinthisarea.
Thedeformationfieldobtainedfromtheoriginaldata,theestimatesoflockingdepth,strikeͲslipratesanddegreeofcouplingandtherecurrenceperiods
obtainedforcharacteristicearthquakesareallimportantandessentialstepstowardslearningaboutthisfaultsystemandseismichazardinElSalvador.
ResultssuggestthattheboundarybetweentheSalvadoranforearc andCaribbeanblocksisadeformationzonethatvariesfromwesttoeastalongtheESFZ.A
longͲtermvelocityoftheSalvadoranforearc of13,5± 1mm/awith~NOdirectionisestimatedconsideringtheCaribbeanplateasthereferenceframe.
ThestraindistributionalongtheESFZconfirmsthetransferofdeformationfromthewesternsegmentsofESFZtoextensionalstructuresdistributedovera
largeareaontheeasternendofthefaultzone.
TheresultsobtainedimproveestimatesofseismichazardinElSalvadorbyintroducingmodeledfaultsasindependentlyestimated
seismogenic sources.
203

Does the Spatial Analysis of 2012 Ahar-Varzeghan Seismic
Sequence Corroborate the Tectonic Interpretations?
Pouye Yazdi, Jorge M. Gaspar-Escribano, Alejandra Staller, M. Belén Benito, Sandra Martínez-Cuevas,
Yolanda Torres, Sandra Ruiz Barajas, Ligia-Elena Quirós

Earthquake
Engineering
Research
Group UPM

Filiation: Earthquake Engineering Research Group UPM (p.yazdi@alumnos.upm.es)

Abstract
On 11 August 2012, two destructive shallow earthquakes Mw=6.4 and Mw=6.2 occurred within distance of about 6 km and time lag of 11 minutes in
Northwestern Iran between the small cities of Ahar and Varzeghan with no previously well known active fault or significant seismicity. The following
aftershock sequence remained strongly active during four months with more than 3500 events registered by the Iranian Seismological Center in an area
within a radius of 50 km. The magnitude distribution of the sequence gives a b-value of 0.97 for cutoff magnitude Mw=2.0.
An observed surface rupture which starts
Figure 2)
Relative
2
at 4 km west of the first mainshock
location of the fault
1
continues
about
8
km
westward.
Most
rupture geometries
probably
the
rupture
was
due
to
the
first
considered in this
mainshock mainly because the rupture
study, including a
smoothed
elliptical
orientation and focal mechanism of the
source model for the
Figure 3) Surface rupture location
second shock do not agree.
slip on the fault.

Figure 1) Location of the
sequence in Northwestern
Iran

Strike, Dip, Rake
(source)
Depth to Top
Epi (lat, long)
Hypo Depth
Fault Size

1) Re-localization

1st Shock Mw=6.4 2nd Shock Mw=6.2
267, 81, -175
7, 51, 21
(IRSC)
(IRSC)
0 km
11 km
38.39 N, 46.84 E
38.42 N , 46.77 E
6 km
13 km
22 x 12 km
15 x 9 km

2) CFS Changes Due To The First Mainshock
The coulomb stress change because of the first mainshock was studied in
order to see if it has triggered the second mainshock. Considering the
epicenter given by Donner et al. 2015 and with the mentioned geometry
for the fist mainshock, it is more likely that the second shock had
happened at a hypocentral depth lower than the edge of the first fault.
using a smoothed elliptical source model the slip was weighted over the
fault plane considering the released energy. A fiction coefficient of 0.4 was
considered since the faulting is strike slip.

a

The seismicity since August 2012 to the end of November 2012 has been
re-localized using double difference algorithm of Waldhauser and
Ellswarth (2000).
The maximum distance of 200 km
was considered between a pair and
station and maximum distance of
15 km for each pair of events. The
principal cluster has over 600
events with centroid at ! 38.42N,
!46.74E and !13.40 Km depth. For
the velocity model the result of
Figure 4) Gap between the re-located
study by Donner et al.(2015) was sequence and the location of the
used . (7 layers and Vp/Vs ratio 1.7)
faults

3) CFS Changes Due To The Doublet
Regional stress: looking at the regional stress map If we consider a mean
angle of 135 for maximum horizontal stress in the area on the and
assume an approximately zero plunge then the optimum strike slip
faulting will be on vertical planes that have angle of"#=(2β)’ with the
maximum horizontal stress. It means an angle of 169 for left lateral and
101 for a right lateral planes for !=0.4.
Coulomb Failure Stress Changes: For strike, dip and rake of 101,90 and
180 the change of CFS due to both mainshocks and for frictional
coefficient 0.4 and 0.6 for the strike slip and strike slip with inverse
components respectively were calculated. The main focus was on depths
between 11 to 17 km and the result shows high density of the events on
the positive stress change areas. The CFS changes for optimum rives and
normal planes was also calculated.

b

Figure 5) CFS (bar) due to the 1st shock with 267-81-(-175) with smoothed elliptical
weighting to the slip amount and for the 2nd shock with 7-57-21 on a horizontal
plane with a) 12 Km depth and b) 13 Km depth. Slip was calculated using Wells
and Coppersmith (1994) empirical relation for average slip and Hanks and
Kanamori (1979) relation for released energy.

4) Conclusions
Based on our knowledge from previous works investigating the
mechanism of the faulting for the doublet of Ahar-Varzeghan, we tried to
find the best explanation using the changes in the coulomb failure stress
and the aftershock sequence spatial distribution in different depths. The
results for the assumption of North-South orientation plane for the
second mainshock at lower depth in respect to the first shock’s fault, was
presented in this study. This assumption made us to be able to justify the
spatial distribution of the sequence coming during 4 months and improve
our understanding about the source placement. The agreement between
the spatial distribution of more than 500 relocated data at the mean
depth of 14 km with the CFS changes for the optimum strike slip faulting
(as the most probable regional mechanism) leads us to accept that the
doublet most likely occurred on a perpendicular structure and
corroborate with the result of previous studies.

Figure 6) CFS changes at a depth of 12 km
and events with depth between 11-13 km :
75 % in the positive stress changes area

Figure 7) CFS changes at a depth of 14 km
and events with depth between 13-15 km :
72 % in the positive stress changes area

Figure 8) CFS changes at a depth of 16 km
and events with depth between 15-17 km :
55 % in the positive stress changes area
-5 bar

+5 bar

5) References
qA. Copley et al. 2014, “The 2012 August 11 Ahar earthquakes: consequences for tectonics and earthquake hazard in the Turkish–Iranian Plateau”, Geophysics Journal International 196, 15–21
qS. Donner et al. 2015, “The Ahar-Varzeghan Earthquake Doublet (Mw 6.4 and 6.2) of 11 August 2012: Regional Seismic Moment Tensors and a Seismotectonic Interpretation”, BSSA, Vol. 105, No. 2a
qM. Faridi et al. 2012, “The Ahar-Varzeghan Earthquake Doublet (Mw 6.4, 6.2, Iran) ”, Geological Survey of Iran
qM. Mahood et al. 2014 “Simulation of the first earthquake August 11, 2012 Ahar-Varzaghan using stochastic finite fault method”, Iranian Journal of Earth and Space Physics, Vol 40, No.2

204

Remote Sensing andEarthquake Engineering:seismic vulnerability
assessment based on LiDAR,orthoͲphoto andsatellite image analysis
aY.Torres, aS.

MartinezͲCuevas,aA. Haghi,aL.E.Quiros, aJ.GasparͲ
Escribano,aB.Benito,aA. Staller,aS. RuizͲBarajas,aP. Yazdi.

aEarthquake

EngineeringResearchGroup(y.torres@upm.es)

Abstract
Seismic risk assessment usually involves the characterization and analysis of
an exposed building stock according to vulnerabilityͲrelevant attributes and
integrates it with the outcomes of a seismic hazard analysis of the same area
to compute expected damage distributions. The collection of exposure and
vulnerability data frequently turns into a challenging task due to:
(1) Traditional sources, such as cadaster, is not always available, accessible,
updated, or complete
(2) Field campaigns are timeͲ and resourceͲ consuming.

Hence new techniques for exposure and vulnerability assessment that are
able to cope with the high urbanization rate of cities need to be
developed. The analysis of remotely sensed data, such as satellite and
aerial multiͲspectral images or LiDAR points, can provide valuable
information about the buildings, to be used in a vulnerability assessment.
In this poster we present a holistic procedure for exposure and
vulnerability estimation, that combines traditional with novel techniques
to create an exposure database of the built environment.

Exposureandvulnerabilitydatabase

How to create this database?

To be usable for vulnerability allocation, the exposure database should have
at least the following fields with information about the buildings of a city :
construction materials; number of stories; area; date of construction.

By following the next procedure:
ShantyͲtown

Expert knowledgeand
fieldwork

Urban

MultiͲfamilybuilding

Buildingtypesinthecity

ObjectͲbasedsatelliteimage
analysis+machinelearning
Residential

ColonialͲstylehouse

Urban sprawl dates
Satelliteimagetimeseries
analysis+changedetectioninGIS

Urban patterns

Building footprints

Age:
1979
1989
1999
2009
2015

LiDAR on roofs
LiDARpoint
classification
Rural

OrthoͲphotosegmentation
andclassification
Areaandroofmaterial

Industrial

#Storiesandroofslope

Areaand
materials

Age

J.J.Arranz

#Stories
androof
slope

Howresistantthebuildingsaretoearthquakes?
A

B

C

Statistical
Model
Buildingseismic
vulnerability
205

Conclusion
This work illustrates how the
integration of remotely sensed data
analysis with statistical inference
and can provide a valuable approach
to estimate exposure and seismic
vulnerability in a timeͲ and costͲ
effective manner, especially in
expanding cities where traditional
databases are not created or
updated.

SEISMIC BEHAVIOR OF REINFORCED CONCRETE
WAFFLE-FLAT PLATE STRUCTURES WITH
HYSTERETIC DAMPERS
a
a

David Galé, a Amadeo Benavent
Department of Mechanical Engineering, Polytechnic University of Madrid, Spain
(david.gale@upm.es and amadeo.benavent@upm.es)

Abstract
RC waffle-flat plate structures are recognized as having very poor performance when used as main earthquake-resistant system (low ductility, high
flexibility and proneness to concentrate damage). However it is one of the most widely used typology due to its ability to sustain gravity loads with large
spans. On the other hand, one of the new technologies of passive control consists on using special devices called “energy dissipators” that are able to
absorb most of the energy input by the earthquake and prevent damage on the main structure. One of the research lines of the Group is to investigate a
new mixed system that combines in parallel two parts: RC waffle-flat plates supported on isolated columns (main structure) and energy dissipators. Past
results of this Group show that with this mixed system more efficient and sustainable structures can be achieved.

Waffle-flat plates systems under
seismic hazard

Outline of the research

Reinforced concrete (RC) structures consisting of waffle-flat plates (WFP
system herein) are very competitive for resisting gravitational loads in
comparison with others typologies. Since, its cost in formworks is
reduced, they allow more freedom in locating the columns in plan and
can accommodate large spans with relatively small plate depths.
Nevertheless, WFP systems present two important drawbacks for
resisting seismic loads: low horizontal stiffness and limited ductility.
To counteract these shortcomings, new technologies of passive control
are included in the structure in form of hysteretic dampers, in order to
absorb a large portion of the seismic energy. In such away, decoupling
the mechanism that bears the gravity loads up from the mechanism that
absorbs the lateral seismic loads lead to more efficient and sustainable
structures.

Currently, we study the viability and application of “energy dissipators” for
RC structures with waffle-flat plates in moderate earthquake-prone regions.
We focus on:
• Solutions to accommodate dampers on the structure
• Evaluation of the overall ductility due to the dampers
• Quantification of cost reduction in the main structure due to the use of
dampers
• Quantification of improvements on seismic response
• The development of energy-based methods for designing this type of
mixed systems.
• Validation of the design method and evaluation of the overall response
through numerical simulations and shaking table test.

Experimental approach
Several specimens were casted and tested by a shaking table that
reproduced real earthquakes. The goal of research was to investigate
the dynamic behaviour of WFP system designed with and without
dampers under realistic conditions, that is, subjecting material to strain
rates and cycles of forced random displacements typical of real
earthquakes.

Numerical approach
Non lineal numerical FEM models that represented column-WFP connections
were developed, calibrated with experimental results. These models served
to conduct extensive parametric studies.

Past results

The combination WFP system supported on isolated columns with hysteretic dampers is viable and
shows a superior seismic performance than the conventional solution without dampers.

At least, two possible solutions for the dampers are possible: (a) as diagonal bars; (b) on plate’s depth

An energy-based design method was initially develop to design the dampers

Numerical simulations and several dynamic tests conducted with a shaking table served to validate
the proposed design method and assess the satisfactory seismic performance of the proposed system.

Future work
Future research is focussed in studying the torsion effects in asymmetric WFP structures with dampers,
subjected simultaneously to two horizontal components of ground motion.

206

SEISMIC UPGRADING OF FRAME STRUCTURES
WITH A SOFT FIRST STORY BY USING HYSTERETIC
DAMPERS
a Santiago

Felix Mota Paez*, a Amadeo Benavent Climent

aDepartment

of Structural Mechanics, Polytechnic University of Madrid, Spain
(sf.mota@alumnos.upm.es, amadeo.benavent@upm.es)

Abstract
The present study focuses on the application of hysteretic dampers to the seismic retrofit of a particular type of existing building: that consisting on
reinforced concrete frames with a soft first story. Energy dissipating devices (EDDs) are new technologies capable of minimizing inter-story drifts and
increasing the earthquake resistance of buildings. This investigation presents an innovative solution for seismic upgrading this type of structures that
consists on combining in the first (ground) story the installation of hysteretic dampers with the reinforcement of beams/columns with advanced composite
materials (Fiber Reinforced Polymer laminates FRP and Steel Reinforced Polymer spikes SRP). The rest of stories, which lateral stiffness and strength is
typically high in comparison to the first story due to the presence of infill walls, are not retrofitted. In this study, several numerical models representing
existing buildings with 3 and 6 stories were developed. The models were seismic upgraded with the solution proposed by the authors and subjected to
several natural accelerograms. The results of the non-linear dynamic response analyses show that the proposed solution is feasible. Finally, a simple method
to design the proposed seismic upgrading solution is outlined. The method is based on the theory of energy balance of Housner-Akiyama.

Introduction and Objective
One of the most common and dangerous seismic deficiencies in existing concrete building is the soft first story, this structural configuration is undesirable and
is characterized by the absence of masonry infills walls at the ground floor while they are present at the elevation stories (figure 1). Many buildings with soft
ground story collapsed in past earthquakes (Figure 2), and they are a matter of big concern especially in regions of high seismicity such as Dominican Republic.
Few investigations have been carried out in order to propose a solution to existing buildings with soft story configuration. Figure 3 shows the schematic
solution proposed in this work. The main objective of this study is to achieve a structure able to dissipate most of the energy input by the earthquake in the
first story, approaching the behavior of the base isolation systems.

Figure 1: Typical residential building with
soft first story in Dominican Republic

Figure 2: Examples of soft first story building collapse

Figure 3: Proposed solution schema, hysteretic
damper and FRP/SRP

Methodology
To achieve the main goal, several numerical models representing existing buildings with 3 and 6 stories (Figure 4) where developed. Next, a simple method to
design the proposed seismic upgrading solution is outlined. The method is based on the theory of energy balance of Housner-Akiyama. Finally, the three
models developed were subjected to several natural accelerograms, corresponding to impulsive and non-impulsive earthquakes respectively, and following
the performance based seismic design philosophy (PBSD).

Figure
(a)4: Reinforced concrete prototypes
(b)

Results

Figure 5: Maximum IDR for 3 story prototype

Figure 6: Maximum IDR for 6 story prototype

Figures 5 and 6 show the response of the 3 and 6 story prototypes respectively, in terms of the inter-story drift ratio (IDR). IDR is computed as ratio of the
maximum inter-story drift at any story to the corresponding story height. It is important to remark that the results presented here corresponds to buildings
without any local modification (i.e. without FRP/SRP strengthening) besides installing hysteretic dampers . It can be seen in Figures 5 and 6 that the IDR
remain within acceptable limits. Within these limits, the damage in the RC columns is negligible.

Conclusions
The main conclusion of the present investigation is that the proposed retrofitting solution protects satisfactorily the existing structure and prevents damage
under severe earthquakes.

Future work
Propose optimal combination of different seismic upgrading strategies (traditional and innovative) to mitigate the soft story problem, and conduct shaking
table tests.
207

SEISMIC VULNERABILITY ASSESSMENT
INCORPORATING URBAN PARAMETERS THAT
INFLUENCES BUIDING DAMAGE
aSandra

Martínez-Cuevas, Yolanda Torres, Jorge M. Gaspar-Escribano, M. Belén Benito,
Alejandra Staller, Ligia-Elena Quirós, Sandra Ruiz Barajas, Pouye Yazdi.

aETSI Topografía, Geodesia y Cartografía, Universidad Politécnica de Madrid, Spain e-mail: sandra.mcuevas@upm.es

Abstract
Despite the importance of spatial planning and urban planning in areas with seismic risk, urban parameters affecting the vulnerability of buildings have not
received particular attention from researchers. Some international initiatives Benedetti and Petrini, 1984, the EMS-98 and the project Risk-UE 2003, aware
of the importance of this project have pondered through behaviour modifiers, urban parameters, increasing or decreasing in this manner the final
vulnerability of the building. This paper analyses urban planning in earthquake zones to obtain classification of urban parameters that make cities more
vulnerable, to this end the research is based on the developments carried out within the sphere of the Risk-EU project, in its Level I empirical
methodology, with the study of behaviour modifiers. This analysis should be effective in autonomous regions, municipalities, urban planners, to establish
urban regulations, construct new buildings and upgrade the seismic behaviour of existing cities.
Keywords: Seismic vulnerability, behaviour modifiers, urban planning, damage degree.

Irregular urban parameters from an antiseismic perspective.

1.

ALIGMENTS

VERTICAL IRREGULARITY

LATERAL FORCE

URBAN TYPOLOGY

SHORT COLUMN

a) Encode of the Irregular urban parameters y b) parameters code and levels.

2.

Standardization of irregular urban planning parameters.
REGULATIONS GENERAL PLAN

URBAN
PARAMETERS

LAND USE
TYPOLOGY

Minimal
Characteristic Complementary Compatible
plot

LAND DIVISION
Minimal
Minimal
facade
setting back

Maximum
bottom

VOLUME
Maximum
Semiheight
basement

Under
cover/ Áttic

PI
VI
LFS
HD
SS
SC

3. Comparative analysis of the different values proposed of urban parameters
Number of floors

UNREINFORCED MASONRY
Aggregate building elevation

208

REINFORCED CONCRETE
Number of floors

DEVELOPMENT OF NEW ENERGY DISSIPATORS FOR
THE PASSIVE CONTROL IN STRUCTURES
SUBJECTED TO EARTHQUAKES
a Amadeo
a

Benavent, a Santiago Félix Mota, a Oscar Villafaña, a David Galé

Department of Mechanical Engineering, Polytechnic University of Madrid, Spain
(amadeo.benavent@upm.es)

Abstract
Two new type of seismic damper have been developed for passive control of structures under seismic hazard by this research group. The first type has a
form of braces and it is based on yielding the web of short length segments of wide-flange or I-shaped steel section under out-of-plane bending. While the
second one, most current, consist of a tube-in-tube assemblage of two commonly available hollow structural sections. The outer hollow section of the
Tube-in-Tube Damper (TTD) has a series of strips creating by cutting a series of slits though the wall, and it is welded to the inner hollow section in such a
way that when the brace damper is subjected to forced displacements in the direction of its axis, the strips dissipate energy through flexural/shear yielding.
The hysteretic behavior and ultimate energy dissipation capacity is investigated via component test under cyclic loads for both dampers. Finally, based on
the test results, a hysteric model and a procedure for predicting the ultimate energy dissipation capacity and failure of the new damper are proposed.

Types of seismic dampers for passive control during earthquake
In contrast to the traditional seismic design approach that relies on the inelastic deformation of particular zones of the structure to dissipate most of the
energy input by the earthquake (commonly, beam-ends and column-ends on moment-resisting frames), in the passive control systems this energy is
delivered to special devices called seismic dampers. This has many advantages:
• The inelastic deformations are concentrated in the seismic dampers and the damage in the parent structure can be drastically reduced or eliminated
• The addition of damping reduces the lateral displacements of the structure, which also reduces damage to non-structural elements
• by strategically locating the seismic dampers, their inspection, repair and/or replacement following an earthquake can be carried out with minimal cost
and without interrupting occupancy.
A number of mechanisms have been used for passive energy dissipation, including metal yielding, phase transformation of metals, friction sliding, fluid
orificing, and deformation of viscoelastic solids or liquids. The yielding of metals is one of the most popular mechanisms and numerous metallic dampers
with different yielding schemes have been proposed and installed

Wide-flange section web seismic
damper
The seismic damper proposed here has the form of a conventional
brace, and it is intended to be installed in a framed structure as a
standard diagonal bar. It is constructed by assembling several short
length segments of wide-flange or I-shaped sections which constitute the energy
dissipating device or damping device, and two steel bars that remain elastic and
function as auxiliary elements. The assemblage is arranged in such a way that when
the brace damper is subjected to forced deformations in the axial direction, the
web of the wide-flange or I-shape section undergoes out-of-plane flexural
deformations.

Hollow section brace-type seismic
damper
This type of seismic damper has the form and the manner of being
installed as the damper explained above. However, it is constructed by
assembling two standard hollow structural rectangular sections, one into
the other, forming a tube-in-tube type bracing member. In the walls of the
outer hollow section, a number of slits are cut leaving a number of strips
between the slits. The two tubes are joined by fillet and plug welds in
specific points. Under relative displacements of the ends of the brace
damper in the direction of its axis, the strips behave as a series of fixedended beams and deform in double curvature. The tube-in-tube
configuration and the overlapping length of one tube into the other
increase the buckling capacity. The position of the slits along one of the
tubes is not predetermined; they can be situated at the ends, or in the
middle part to facilitate inspection after a seismic event.

209

HOW NEW FAULT DATA AND MODELS AFFECT
SEISMIC HAZARD RESULTS?
EXAMPLES FROM SOUTHEAST SPAIN

Earthquake
Engineering
Research
Group UPM

J. M. Gaspar-Escribano, M.B. Benito, A. Staller, S. Ruiz Barajas,
L.E. Quirós, P. Yazdi, S. Martínez-Cuevas, Y. Torres
Filiation: Earthquake Engineering Research Group UPM (jorge.gaspar@upm.es)

Abstract
We study the impact of different approaches to include faults in a seismic hazard assessment analysis, with an application in Murcia (SE Spain). We use:
1. Two methods to distribute the seismicity of the area into faults and area-sources, based on magnitude partitioning and on moment rate distribution.
2. Two recurrence models for faults: the characteristic earthquake model and the modified Gutenberg-Richter frequency-magnitude distribution.
3. Two sets of parameters to model fault recurrence periods: (i) one derived from paleoseismological and field studies obtained from the literature and
online repositories and (ii) another one based on geodetically-derived slip rates for some significant faults only.
This work is part of the MERISUR project (ref. CGL2013-40492-R), with funding from the Spanish Ministerio de Economía y Competitividad.

Source models
Model 1

Model 2

Ö Magnitude-based.

Ö Moment rate-based:
Ö Fault sources for large earthquakes, Ö The distribution of moment rate
with a characteristic earthquake
between faults and area-sources
model (time-independent).
is derived from the catalog (in the
magnitude and time intervals of
Ö Area-sources for small earthquakes,
completeness).
with a modified Gutenberg-Richter
recurrence model.

Fault slip rates
Geological data

ID

Ö Dating paleo earthquakes
Ö Interpreting deposition /
deformation patterns
Source: info.igme.es/qafi/
Geolodía 12

Fault Name

Mmax

Paleoseismic

Geodetic data

Geodetic

SR

RP

SR

RP

ES626

Alhama de Murcia (1/4)

6.5-7.0

0.500

3166

1.350

1173

ES627

Alhama de Murcia (2/4)

6.4-6.8

0.300

4350

1.350

967

ES628

Alhama de Murcia (3/4)

6.3-6.5

0.000

-

1.000

1023

ES629
ES609

Alhama de Murcia (4/4)
Palomares (1/2)

6.5-6.9
6.6-7.1

0.000
0.040

65583

0.200
0.150

7257
17489

ES630

Carboneras (1/2)

6.8-7.7

1.101

2957

1.400

2325

ES610

Palomares (2/2)

6.5-6.8

0.050

39646

0.150

13215

Ö Deformation
derived from
precise GPS
measurements
of stations
along years.
Echeverría et al. 2013

Hazard maps: Sensitivity analysis
Sensitivity to models and slip rates
Up to 4 times difference !
Ö Model 2 gives larger PGA values than Model 1
around faults.
Ö Geodetic slip rates are larger than geological slip
rates, resulting in larger hazard estimates.

Overall variability

Logic tree and weights

Ö The weighted mean of the PGA estimates obtained with
models 1 and 2 and the slip rates derived from geodetic
and paleoseismic data is represented in a map.
Ö COV values are large around fault areas, indicating a
large variability of results to different input choices.
Weigthed mean

x2

SSR Geology ©Modell 1. SR Geodesy
SSR Geology ªModell 2. SR Geodesy
x2

x2

©Model 1.
ªModel 2.

Conclusions
Ö Different models of seismic source characterization including faults as independent
sources are tested in the region of Spain with the best data availability.
x2

Ö The larger amount of data does not lead to a reduction of epistemic uncertainty.
Ö Thus, a large variability on hazard results to different input choices is observed.

210

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212

Vehicles and Railways
[VEH - 01]

215

“Accuracy improvement of finite element models of electric vehicles
components manufactured with thermoplastic materials in crash
environments.” Rivera, Javier; Martínez, Luis; García, Antonio.

[VEH - 02]

216

“Analysis and Development of Storage Systems for Electric Vehicles (EV)
and Impact Evaluation of EV Integration on Distribution Networks.”
Nájera, Jorge; Rodríguez, Jaime; de Castro, Rosa Mª.

[VEH - 03]

217

“Large-signal modeling of bidirectional battery charger for electric
vehicles. System-level approach based on agent-based models in V2G
environment.” Naziris, Antreas; Asensi, Rafael; Uceda, Javier.

[VEH - 04]

218

“Management Strategies for Electric Vehicle.” Alvaro-Hermana, Roberto;
Fraile-Ardanuy, Jesus; Martinez, Sergio.

[VEH - 05]

219

“A co-simulation environment for cooperative maneuvers among
vehicles.” Artuñedo, Antonio; Haber, Rodolfo; Matía, Fernando.

[VEH - 06]

220

“Methodology for measurement of energy expenditure when getting in
and out of a car using the motion capture system Kinect.” Martínez,
Francisco.

[VEH - 07]

221

“Electric Vehicle Cluster: Charging Infrastructure Development for Electric
Car”, Nogueras, Javier Cano; Martínez-Val, José María; San Millán, Julio.

[VEH - 08]

222

“Smart modelling for planning, design and protection of highperformance rail networks.” Calvo, Álvaro.

[VEH - 09]

223

“Soil Structure Interaction in Underpasses Structures due to High-speed
Trains.” Báez, Manuel F.; Fraile, Alberto.

213

214

Accuracy improvement of finite element models of
electric vehicles components manufactured with
thermoplastic materials in crash environments.
aJavier
aINSIA
bINSIA

Rivera Hoyos, bLuis Martínez Sáez, bAntonio García Álvarez.

- Universidad Politécnica de Madrid (javier.rivera@upm.es)
- Universidad Politécnica de Madrid.

Abstract.
Currently, the weight reduction in the vehicle is a primary objective, especially in hybrid and electric vehicles because these type of vehicles have an extra
mass due to the batteries. In this context, the use of plastic materials in structural elements for weight reduction represents a technological challenge.
The present work is focused on the development of a methodology to improve the accuracy of the virtual tests results of structural large plastic
components, with high level of additives, when these parts have to withstand high levels of dynamic loads like vehicle crashes.
For the development of the proposed methodology, the design of battery rack on the OPERA4FEV project (FP7) is used. The OPERA4FEV rack is
manufactured in a thermoplastic material with fibre glass reinforced and flame retardant additives. These type of racks have to withstand crash load as
defined in the United Nations regulation 100. For the design of this rack, finite elements simulations and traditional tests have been used. Finally, he
research work carried out has helped in designing a more efficient battery rack from the energy point of view (with a mass reduction greater than 20%
compared to traditional solutions) and using eco-design materials.

Objectives.
• Establish a methodology to improve finite elements models accuracy to
perform virtual crash test of large components manufactured in
thermoplastic materials with high degree of additives.
• Obtain the suitable parameters of thermoplastic material properties in large
models which are used in explicit finite elements models.
• Guarantee that a thermoplastic battery rack design supports crash loads.

Battery rack contain eight battery
modules and each one includes
twelve Lithium-ion batteries.

Methodology.

Stress VS Strain.
80

Stage 1:

70

Analysis of the thermoplastic material behaviour subject to the
strain rate and temperature influence. The ALTAIR-RADIOSS software is being
used for simulation in several velocity conditions.

60
50
40
30
20
10
0
0

ACCELERATION PROFILE.
Longitudinal

14

Transverse

0.005

0.01

0.015
Virtual Test

0.02

0.025

0.03

Real Test

Vertical

12
Acceleration (G)

10

Stage 2:

8

Virtual test simulations according with Regulation 100
recommendations and overload acceleration pulses in five
directions (frontal, rear, both sides lateral and vertical).

6

4
2
0
0

20

40

60

80
Time (ms)

100

120

140

FE model developed with ALTAIR software.

Stage 3:

Comparison between the
virtual test results and the real crash test
results using the information obtained at
several load severities and impact
directions.

Stage 4: Obtain conclusions and virtual
OPERA4FEV battery rack validation.

Post crash real test with overload longitudinal
acceleration pulse.

Virtual crash test with overload pulse.

Currently status.

Further work.

The thermoplastic material characterization has being optimized through
the virtual tensile tests with the material parameters variation on the
mathematical model Johnson Cook. The objective is to improve the
approximation of the stress-strain curve obtained in the virtual tensile
tests with respect to the information of the real crash tests with physical
specimens.

• Reduce the error due to the mathematical formulation, in the finite
element model on the virtual crash test, of the large plastic
components.
• Refine the virtual tests prediction accuracy using the standard load
and overload results of the real crash tests.
• Quantify the error contribution of other factors (no related to the
material formulation), using the final virtual tests results compared
to the real crash results.
• To apply developed capabilities to other vehicle parts.

In parallel, the dynamic forces effects on large plastic components are
simulated. The model results are compared with the real crash tests to
find the differences and similarities between both cases.

ACKNOWLEDGMENTS.
This work was financially supported by the European Commission, in the framework of the project OPERA4FEV inside the FP7-2011-GC-ElectrochemicalStorage Programme with contract number SCP1-GA-2011-285671. Part of this research was funded by the Comunidad de Madrid through the SEGVAUTOTRIES, Seguridad de los vehículos Automóviles, por un Transporte Inteligente,215
Eficiente y Seguro, with contract number S2013/MIT-2713.

Analysis and Development of Storage Systems
for Electric Vehicles (EV) and Impact Evaluation
of EV Integration on Distribution Networks
Jorge Nájera, Jaime Rodríguez, Rosa Mª De Castro
Department of Electrical Engineering, ETSI Industriales, UPM
(jorge.najera.alvarez@alumnos.upm.es)

Abstract
Electric Vehicle (EV) integration on Distribution Networks has been thoroughly studied over the past 10 years, and it is widely agreed that an intelligent
integration can yield benefits to the EV owner, the power grid and society. Despite this fact, EV battery lifespan has become a crucial issue when speaking
about EVs. Due the expensiveness of batteries, EV owners expect them to last long periods of time. Lithium-Ion (Li-ion) batteries have emerged as the
major power source for EVs, and their lifespan and performance is closely related to the quality of the charging pattern. Numerous battery charging
controllers have been developed and tested proving that, depending on the EV penetration, it is possible to fulfill the network requirements in terms of
reliability and quality by keeping the EV batteries charging pattern under control. Nevertheless, a scenario where EV owners would accept having an EV
charging power limited by a controller is far from the reality, because the majority of owners are intent on having their batteries fully charged as fast as
possible. Due to this fact, this project aims to analyze, study and develop a methodology to calculate charging patterns that satisfy the needs of EV owners
and the requirements of the grid, as well as extend the batteries’ lifespan.
Therefore, a detailed simulation model of the Li-ion battery and electrical bench, which allows to charge and discharge the batteries in the laboratory, will
be developed, as well as an algorithm to find the optimum charging pattern. The obtained results will be tested on real Li-ion batteries. Moreover, an
economic and technical study will be performed with the changes that would be necessary to implement in different networks adapting them to the
increasing EV penetration.

Analysis and Development of Storage Systems for Electric Vehicles and Impact
Evaluation of Electric Vehicle Integration on Distribution Networks
The electrical bench with the required equipment for performing different battery tests has been modelled in MATLAB Simulink SimPowerSystems.
Furthermore, multiple benchmark networks have also been modelled in MATLAB. The electrical bench scheme and a single-line diagram of one of the
benchmark low voltage grids can be seen in the following images:
The electrical bench is formed by a
transformer, two sets of inductances
and two converters, controlled by a
DSP. DC/AC converter is controlled
with a SVPWM strategy, and the
control variables are the DC voltage
and the reactive current interchanged
with the grid. DC/DC converter divides
the DC current between the three
branches. Each branch is controlled
with a PWM strategy with a lag of 1/3
of the triangular modulating wave
period between each branch, so the
harmonic distortion originated by the
converter is diminished. This DC/DC
converter
disposition
is
called
“interleave”.

Figure 1. Schematic representation of the modelled electrical bench for battery testing.

Cigrè Benchmark Low Voltage network is one of the grids
that will be taken into consideration when it comes to
evaluating EV penetration. Figure 2 shows that this
network has three different branches, corresponding to
Residential, Industrial and Commercial loads. This
disposition allows the testing of EV battery charging
patterns in residential charging stations, which are
usually designed for slow charging rates, together with
bigger commercial installations that charge the battery
at higher rates.
Moreover, the modelled networks will be used to
evaluate the grid behavior against the imbalances and
the harmonic distortion induced by EVs, two great
concerns for proper distribution network performance.

Figure 2. Single-line diagram of Cigrè Benchmark Low Voltage network.

216

LARGE-SIGNAL MODELING OF BIDIRECTIONAL BATTERY
CHARGER FOR ELECTRIC VEHICLES.
SYSTEM-LEVEL APPROACH BASED ON AGENT-BASED
MODELS IN V2G ENVIRONMENT
A. Naziris, R. Asensi, J. Uceda
andreasnaziris1@gmail.com

Abstract
The purpose of this work is the development of a model able to work at system level, studying the impact of the connection to the grid of a number of
electric vehicles demanding energy from the grid to charge their batteries, but at the same time the grid operator may use the energy stored in the
batteries for optimal energy management at system-level. At the beginning a large-signal model of a bi-directional battery charger is developed to foresee
the converter behaviour. Later, at system level an Agent-based model will developed to asses the system performance, specially in micro-grids.

Proposed system

Grid

Full bridge
rectifier AC-DC

Buck boost
converter

DC- DC isolated
converter

Electric Vehicle
Veh
battery

Bidirectional DC–DC Converter

Multi-agent modelling
By having thousands of potential EV, traffic conditions, charging stations, grid operating conditions, the
level of complexity is so high, that we need modelling techniques compatible to deal with such level of
complexity:

Multi agent modelling tool allow us to identify individual agents through their characteristics and
behaviours

Combination of agents with the ability to cooperate, to act autonomously and to learn

Interactions in a complex environment let us to simulate the behaviour of such complex systems

Develops the simulation environment able to foresee the performance of the grid for the operators, to
define the charging strategy for EV fleets

Future work
• Show the results of large-signal model for bi-directional battery chargers using a black-box approach
• Introduce the multi-agent modelling in the case of vast amount of Electric Vehicles in the system

217

ManagementStrategies for ElectricVehicle
Fleets
aRoberto

AlvaroͲHermana,bJesus FraileͲArdanuy,aSergio Martinez

aDepartmentofElectricalEngineering,ETSIIndustriales,UPM

(roberto.alvaro.hermana@gmail.com)
Technical School,UPM

bTelecommunication

Abstract
The research leading to these results has received funding from the EU 7th FP under the project DATA science for SIMulating the era of electric vehicles
(DATASIM, FP7ͲICTͲ270833). DATA SIM aims at providing an entirely new and highly detailed spatialͲtemporal microsimulation methodology for human
mobility with the goal to forecast the nationͲwide consequences of a massive switch to electric vehicles. The objective of this work is focused in the
development of charging management strategies for electric vehicle (EV) fleets. Its purpose is to maximize the integration of EVs in the current electric grid
considering their consumption and their charging limits, both temporal and spatially. The main contribution of this work is the development of a novel
Peer to Peer Energy Trading System (P2PETS) between EVs in order to reduce the impact of charging EVs over the electric grid.

P2PEnergyTradingSystem
ActivityBasedMobilityModel&DriverClassification
The temporal and spatial behavior of EVs is modeled using an activityͲbased (AB) microͲsimulation model that predicts the daily scheduled activities for
each member of a synthetic population in Flanders region (Belgium). This region is divided in 2368 different traffic analysis zones (TAZ) and a complete
schedule list for the whole population is obtained, allowing to know for each member of this population when, where and which activities are done and
the transportation mode used (by foot, by train, by car, etc.).
Based on this AB model, all current car drivers in Flanders region have been classified in three different sets according to their daily consumption.

Chargingcostandlocation
For each driver from set B, the optimal
charging cost is calculated. For each zone,
the activities performed by the drivers while
charging are also evaluated.

P2PElectricitymarket
‡

A P2P trading system that interconnects both
market actors: vehicles with an energy surplus at
the end of the day (set A) and vehicles demanding
extra energy along the day (set B).

‡

An aggregator sets the energy and the price to be
given to set A vehicles depending on demand,
energy stored in set A vehicles and grid price.

‡

P2P electricity price highly depends on ratio
between set B and set A vehicles. This ratio is
usually low.

‡

Total charging costs for both vehicles sets is
diminished. The P2P Energy Trading System is dayͲ
charging independent.

SetA:Energysurplus

SetB:Energydemand

SetA:P2PEnergytrading

SetB:P2PEnergytrading

R.Alvaro,J.Gonzalez,J.FraileͲArdanuy,P.Zufiria,L.Knapen,D.Janssens,“PeertoPeerEnergy Tradingwith ElectricVehicles,”IEEEIntelligent Transportation Systems Magazine,Accepted.
R.Alvaro,JFraileͲArdanuy,"Charge scheduling strategies for managing an electric vehicle fleet parking,"in2015Ͳ IEEEInternationalConference on Computer asaTool ,8Ͳ11Sept.2015.doi:10.1109/EUROCON.2015.7313732.
R.Alvaro,J.Gonzalez,C.Gamallo,J.FraileͲArdanuy,L.Knapen,"Vehicle tovehicle energy exchange insmart grid applications,"in2014InternationalConference on Connected VehiclesandExpo(ICCVE),pp.178Ͳ184,3Ͳ7Nov.
2014.doi:10.1109/ICCVE.2014.7297538.
J.Gonzalez,R.Alvaro,C.Gamallo,M.Fuentes,J.FraileͲArdanuy,L.Knapen,D.Janssens,“Determining ElectricVehicle Charging PointLocations Considering Drivers’Daily Activities,”Procedia Computer Science,vol.32,2014,pp.
647Ͳ654,doi:10.1016/j.procs.2014.05.472.
R.Alvaro,J.Gonzalez,J.FraileͲArdanuy,L.Knapen,D.Janssens,"Nationwide impact andvehicle togrid application ofelectric vehicles mobility using an activity based model,"in2013InternationalConference on Renewable
Energy Research andApplications (ICRERA),pp.857Ͳ861,20Ͳ23Oct.2013.doi:10.1109/ICRERA.2013.6749871.
C.Gamallo,R.Alvaro,J.FraileͲArdanuy,M.Fuentes,"Evaluation ofthe utilization ofelectric vehicles for building energy management inhotels,"inNewConcepts in2013InternationalConference on SmartCities:Fostering Public
andPrivate Alliances (SmartMILE),11Ͳ13Dec.2013.doi:10.1109/SmartMILE.2013.6708193.

218

A co-simulation environment for cooperative
maneuvers among vehicles
Antonio Artuñedo, Rodolfo Haber, Fernando Matía
Center for Automation and Robotics (CSIC – UPM) Arganda del Rey, Spain
{antonio.artunedo, rodolfo.haber}@car.upm-csic.es

Abstract
In this work we propose a tool for simulation of cooperative maneuvers among autonomous vehicles in which virtual and real vehicles can conjunctively
interact. It is a generic simulation platform where the user can define the desired scenario using a graphical user interface. This interface facilitates
insertion of controllers and models for different parts of vehicles and some elements of the infrastructure. Furthermore, vehicle to vehicle (V2V) and
vehicle to infrastructure (V2I) communications are available in the framework. The simulator also enables the 3D rendering of simulation and monitoring
of several variables at runtime. The main advantage of the proposed framework relies on the use of hybrid simulation by combining real and virtual
vehicles for studying their dynamic behavior and interaction without the need of real expensive equipment or vehicles. Therefore, the emulation of
experimental tests based on data sets from the vehicle sensors serves as a powerful tool for designing and evaluation new ADAS.

Introduction

Framework description

A tool for simulating a wide range of ITS applications is proposed in this
work. This is a framework for simulating cooperative maneuvering among
vehicles (real and virtual). The main goal is to address the new needs on
ITS simulation such as ADAS, intelligent sensors simulation and testing of
reliability and safety of controllers for autonomous vehicles, maintaining a
balance between vehicle dynamics simulators and microscopic traffic
simulators. Our proposal addresses the gap between traffic simulators and
vehicle dynamics simulators allowing ITS researchers and developers to
test on board vehicle equipment such as sensors, actuators or controllers,
and cooperative transport maneuvers within urban realistic scenarios.
The real-virtual interaction allows to combine real vehicles with simulated
scenarios, therefore it is possible to evaluate the performance of the real
vehicle in critical situations without jeopardizing the vehicles or the
infrastructure.

It is a generic simulation platform where the user can define the desired
scenario using a graphical user interface, generate automatically a
simulation model and then simulate it. The interface facilitates the
insertion of controllers and models for different parts of vehicles and some
elements of the infrastructure, through a models library. Furthermore, the
framework permits to implement V2V and V2I communication links among
the entities that comprise the scenario (real or simulated).
Library
3D representation
GUI

Models

Simulink

Automatic
model
generation

Model
generation
rules

The simulator also enables the 3D rendering of simulation and monitoring
of several variables at run-time. This tool uses hybrid simulation by
combining real and virtual vehicles for studying their cooperative behavior
without the need of real expensive equipment and vehicles. This tool also
allows the recreation of experimental tests based on data sets stored from
vehicle sensors. The real-virtual vehicles interaction provides new features
and extends the capabilities of the framework.

Results
In order to analyze the result obtained with the simulation platform and
validate the simulation model of the vehicle, several experiments were
carried out. In these experiments a real car was used. The real vehicle is a
Citröen C3 which has been adapted for autonomous driving, including
several sensors such as GPS, camera and inertial measurement unit (IMU);
and actuators for controlling the throttle, brake, steering wheel and
gearbox. The vehicle also counts with an On-Board Unit (OBU), which is in
charge of the control of the vehicle and an IEEE 802.11p communication
system for V2I and V2V communications.
The results of the test demonstrated that the cooperation between
simulation and real vehicles is possible, maintaining a good performance
between the simulated and real systems.

Conclusions
As proven, the tool proposes a co-simulation framework for the
development of applications on the autonomous driving field. The tool has
a modular structure, allowing the user to implement several models and
components at different levels of the simulation environment. The
simulator also enables the 3D rendering of simulation and monitoring of
several variables at run-time. It makes possible real-time interaction
between real and simulated cars allowing them to cooperate. Also this
functionality enables to use the simulation framework as a hardware
abstraction layer between hardware and control systems. Ongoing
research focus on the use of this feature for developing and testing CyberPhysical Systems in the ITS scope.
Future work will be focused on improving models of vehicle, sensors,
actuators and controllers as well as the simulation of wireless systems for
V2X communication systems.

219

METHODOLOGY FOR MEASUREMENT OF ENERGY
EXPENDITURE WHEN GETTING IN AND OUT OF A
CAR USING THE MOTION CAPTURE SYSTEM
KINECT
Francisco Martínez Gala
Instituto Universitario de Investigación del Automóvil - INSIA (francisco.mgala@upm.es)

Abstract
This project aims to develop a methodology for measuring the energy expenditure of a person when getting in and
out of a car. In order to capture the person’s movements, the most recent specification of the motion capture
system Kinect is used. The measurement of the energy expenditure is planned as a way for evaluating the
accessibility to the different seats of a vehicle and is specially oriented to elderly and reduced mobility people.
Firstly, the performance of the motion capture system Kinect should be evaluated. It is necessary to determine the
tracking precision of the different body joints not only in obstacle free spaces but also in spaces with visual
obstacles.
Then, evaluate the capability for capturing the movements getting in the car and solve the problems caused by
working in a reduced dimensions cabin with elements such as the seats and the dashboard. In addition to the
motion capture, a methodology for measuring the energy expenditure of body motion and static positions should be
designed.
The final aim is applying this methodology and the motion capture system to different vehicles from city cars to
MPVs and rate their accessibility.

Kinect System
Kinect is a motion capture system initially designed for Xbox 360, Microsoft home videogame console. The most
recent version, Kinect v2 was launched in 2014 adapted to the new video game console Xbox One.
The system includes a 1080p @ 30fps resolution color camera and a 512x424 pixel infrared depth sensor with a
range between 0.5 and 4.5 m. The system has 70 degrees horizontal and 60 degrees vertical vision field. Kinect can
track up to 6 complete skeleton at once, compared with 2 of its predecessor, with a greater number of joints in each
skeleton, 26 versus 20.
For PC use, it is available an adapter with USB 3.0 and power supply connectors.

This Project is supported by AIE-CSIAV, INSIA and UPM

220

ELECTRIC VEHICLE CLUSTER: CHARGING
INFRASTRUCTURE DEVELOPMENT FOR ELECTRIC
CAR
Javier Cano Nogueras, José María Martínez-Val, Julio San Millán
Oficina Técnica y Jefatura de Nuevas instalaciones de la FFII
Universidad Politécnica de Madrid ETSI Industriales (jcano@ffii.es)

Abstract
• Project dedicated to develop recharging infrastructure for the FFII / ETSII / UPM environment and promotion of electric vehicles use. Study of the
UNE EN 61851 and UNE EN 62196 , Mode 3 EVSE prototype development .
• Electric vehicle charging station mode 3, prototipe development
• prototype testand verification
• Redesign , encapsulated and small production
• Deployment of charging network in FFII -ETSII
• Tecnogetafe
• Insia (Campus Sur)
• private facilities

functions:



Pilot function
PWM modulation. Square wave.
charge mode 2 & 3

Verification that the car is properly connected.
Continuous integrity check protective earth conductor
Activation system.
Deactivation system.

Safety aspects provides by EVSE
• Pines without energy until negotiation EVSE-VE
• Ground fault interrupter system.
• Detección y verificación de señal piloto

Deployment of charging network
• ETSII – 4 Charging station (J1772 230Vac 30 A)
• INSIA (Campus Sur) – One charging station230Vac 30 A)
• Tecnogetafe
• One experimental charging station(J1772 230Vac 30 A)
• 3 charging station 1x J1772 230Vac 30 A & 2 J1772 230Vac 20 A )
• 1 charging station (Mennekes 230Vac 30 A)
• Private facilities- 8 x chargin station from 12 to 16 Amps.
Charging station updated map

Conclusions

• Total availability and electrical mobility of people who are part of the cluster has been provided.
• The installations has a very high degree of availability , very low failure rate and a very low maintenance are needed
• More than 16MWh provided by the charging station network for a year, that is more than 95.000Km on electric vehicle and a reduction in CO2
emissions of over 65% (considering the Spanish electricity mix 2015)

Sources:

• AENOR- UNE-EN

Future Work

http://www.aenor.es/

IEC 61851.- Electric vehicle conductive charging
system -- Part 22: AC electric vehicle charging station
IEC 62196 Plugs, socket-outlets, vehicle
connectors and vehicle inlets - Conductive charging of
electric vehicles - Part 1: General requirements.

Infrastructure optimization with available resources
applied to recharge the electric car.
Deployment of charging network to the rest of UPM
campus
and centers: Ciudad Universitaria,
Montegancedo...

• IDAE.

Fast Charge station development.

• JCYL. Guía del VE.

http://www.idae.es/uploads/documentos/document
os_12144_G003_VE_para_flotas_2012_f3176e30.pdf

http://www.vehiculoelectrico.jcyl.es/

221

Smart modelling for planning, design and
protection of high-performance rail networks
aÁlvaro

Calvo Hernández,

aacalvoh@telefonica.net

Abstract
The research is being developed in parallel with ALIS project, a collaboration between Inabensa, the Technical University of Madrid and the University of
Málaga , within the challenge of: Smart, sustainable and integrated transport, established in Retos – Colaboración 2015.
The main objective is to generate a working tool whose characteristics are nonexistent today. That need has been identified by the Department of
Engineering of the Railway Division of Inabensa .
The tool is going to be based on the interaction between several modules. Some of the modules focused on smart, sustainable and integrated transport
which are included in the ALIS project are :
• Location optimization of the substations.
• Optimization of tense of the catenary and the pantograph and catenary interaction.
• Simulation of the electric protection equipment as well as the ground return and stray currents.
• Conditions of the rail system , such as electromagnetic interference , wave quality , electromagnetic compatibility and diseases to humans.
• Optimization of railway electrical system.
• Efficient driving and energy saving.
• Hybrid systems for energy storage.
• Integration of renewable energy suplies in the sector.

First Stages
Definition of the problem
Once the main objective has been divided into modules , the challenges to be faced
while solving the problem should be known.
By focusing the beginning of research on the behavior of the catenary in their
interaction with the pantograph, the first step will be to generate models for the
mass and damping factors that have to be taken into consideration.

Definition of a starting point
Being a project in an early stage of development, the second thing to do is to
determine the starting point.
In this case, the first studies that has to be performed are focused on the tense of
the catenary.
The next step will be to create a mathematical model of the catenary. Matlab has
been used to define the geometry of the wire and the hangers. In order to perform
the calculations of the deformation, a finite element method is used, taking the
main holder and conductive wires as beam elements and the hangers as elements
that do no work when compressed.

First results
Catenary deformed according to the load
As soon as the model with the loads has been defined, deformation studies as well
as contact studies begin to show the first results. In this case the geometry of the
bended wire is obtained so it can be applied over the pantograph.

Contact forces
The existing contact force between the pantograph and the catenary is one of the
results that can be obtained using this model . As it can be seen on the graph, those
forces depends on the position of the collecting shoe as it goes through the points
where a hanger is set.

222

Soil Structure Interaction in Underpasses
Structures due to High-speed Trains
aManuel
aDepto.

F. Báez Henríquez, Alberto Fraile de Lerma

Ing. Mecánica, ETSII, UPM(mf.baez@alumnos.upm.es)

Abstract
A model is proposed to verify the dynamic behavior of underpasses structures in high-speed rails. This structures have been studied in the last few years
with models which provide a good insight into the main structure. Those models have been focused in the vertical accelerations of the slab without taking
into account the behavior of the walls. The current model focus not only in the vertical acceleration in the slab but also in the horizontal acceleration in the
vertical supporting elements. An emission model is used to simulate the trains and is attached to a finite element model of the structure, the results will
be compared to on-site measurements which will allow the model fitting in order to obtain a simplified model.

Introduction
Underpasses structures are subject to vibrations due to the transient
dynamic loads originated high-speed trains. The Main objectives is to
obtain a simplified model which allow to know the response in the wall and
the slab of the underpass structures. Some other objectives are the
auscultation and analysis of results in the railway, sleepers (crosstie), slab,
etcetera which will allow to fit the models.

On-site Measurements and Monitoring
Results
Modeling
On-site Measurements
Sensors are used to obtain the acceleration response in the railway,
sleepers, slab and the walls. The sensors are located in specific points
where the maximum values are expected. Then the signals obtain from the
devices are conditioned, digitalized and storage for later analysis and
processing.

Two models are combined in order to get the response of the structure: an
emission model for the actions, and a transmission model for the structure.
Emission
The railway is modeled taking into account the non-suspended mass of the
vehicle, the roughness of the way, the spring and dampers corresponding
to the sleepers, and the track ballast.

Structure
The structure is modeled using 4-node plate finite elements and KelvinVoigt elements for the soil structure interaction.
Monitoring Results
The time-history series for each sensor are processed in order to obtain the
maximum values of acceleration as a function of the location.

Full Model
A “full model” is being developed in MATLAB® which will incorporate the
emission model into the structure, this will take into account the changes in
the structure due to the movement of the non supported mass (the train)
at any step and position and give the insights for a simpler model for the
response in the slab and the wall.

223

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