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STP 1323
Nontraditional Methods of
Sensing Stress, Strain, and
Damage in Materials and
Structures: Second Volume
G. E Lucas, P. C. McKeighan and J. S. Ransom, editors
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Foreword
This publication, Nontraditional Methods of Sensing Stress, Strain, and Damage in Ma-
terials and Structures: Second Volume, contains papers presented at the symposium of the
same name held in Kansas City, Missouri, on 17 November 1999. The symposium was
sponsored by ASTM Committee E8 on Fatigue and Fracture. The symposium co-
chairpersons were George F. Lucas, MTS Systems Corporation, Peter C. McKeighan, South-
west Research Institute, and Joy S. Ransom, Fatigue Technology Incorporated.
Contents
Overview vii
F R A C T U R E M E C H A N I C S AND S T R U C T U R A L INTEGRITY
Characterizing Crack Growth in Thin Aluminum Panels Under Tension-

Torsion Loading Using Three-Dimensional Digital Image Correlation--
J. D. H E L M , M. A. S u ' v r O N , A N D M. L. B O O N E
Sensing Crack Nucleation and Growth in Hard Alpha Defects Embedded in

T i - 6 A I - 4 V A l l o y m P . c. Mcr,EIGHAN, A. E. NICHOLLS, L. C. PEROCCm, AND
R. C. M c C L U N G 15
Use Experience with a Development General Purpose Non-Contacting

Extensometer with High ResolutionmA. TOWSE, C. SETCHELL, S. K. POTTER,
A. B. C L A R K E , J. H. G. M A C D O N A L D , M. R. W I S N O M , AND R. D. A D A M S 36
Analysis of Fatigue Crack Propagation by Quantitative Fractography--

N. R A N G A N A T H A N ) N. G E R A R D , A. TOUGUI, R. LEROY, M. B E N G U E D I A B ,
M. M A Z A R I , Y. N A D O T , AND J. PETIT 52
DAMAGE EVOLUTION AND MEASUREMENT
A C o m p a r i s o n o f M a c r o s c o p i c to Microstructnrai Strain Fields in Cortical

n o n e - - D . P. N I C O L E L L A , A. E. N I C H O L L S , J. L A N K F O R D ) A N D D. T. D A V Y 87
Detection of Localized Plastic Deformation in Pipelines Using the Nonlinear

H a r m o n i c s M e t h o d - - G . L. B U R K H A R D T A N D A. E. C R O U C H 101
S T R A I N AND D I S P L A C E M E N T M E A S U R E M E N T T E C H N I Q U E S
Experimental Measurement of Strains Using Digital Volume Correlation--

T. S. SMITH A N D B. K. B A Y 117
Measurement of Stress Distributions on Silicon IC Chips Using Piezoresistive

SensorsmJ. c. SUHLING A N D R. C. J A E G E R 127
Real-time Phase Analysis Methods for Analyzing Shape, Strain and Stress--
v. MORIMOTOAND M. FUJIGArO 153
Strain Gauges, F i b e r Optic Versus E l e c t r i c - - s . CHEN AND J. S. SIRKIS 169
L o n g - T e r m M e a s u r e m e n t of Local C r e e p Deformation by Optical Fi b er

M a r k i n g and Remote M o n it o r i n g - - s . - T . TU, J.-M. GONG, X. LLNG, AND X.-Y.
HE 184
Thermal Fracture Mechanisms in Plasma Sprayed Thermal Barrier Coatings

Under Cyclic Laser I r r a d i a t i o n - - x . Q. MA AND M. TAr.EMOTO 193
PANEL DISCUSSION SUMMARY
Current Status and Future Sensor Development: Panel Discussion Summary--

J. S. R A N S O M A N D P. C. M c K E I G H A N 211
Overview
A mechanical test is of little value without some type of sensor to (a) control the test,
(b) provide a measurement of physical behavior or (c) indicate when the test is completed.
The most common sensors are those that measure force, displacement and strain. Although
many sub-classifications of these devices exist, industrial development of new force, dis-
placement and strain sensors is ongoing, often driven by a new application where the pa-
rameters exceed the limits of the currently available sensors. Perhaps a good parallel example
of this is the ceramics development that occurred during research concerned with the now
defunct high-speed civil transport. Had this aircraft not been envisioned, several of the current
high temperature materials would likely not exist.
The focus of this symposium is the development and application of nontraditional sensors.
For instance, several novel methods to measure strain in a body are available using non-
contacting techniques. In particular, there has been a large amount of work using vision-
based sensors to measure the deformation field on a material or structure. Although this is
only one example, there are other new, novel methods of measuring parameters that may
directly correlate with some form of damage within the material or structure. The purpose
of this symposium is to assess the state of the art of these sensing methods and examine
their future potential use as standardized tools within the testing communities. Encouraging
use of these new sensing methods and extending them into industrial application will pre-
sumably be a consequence of the symposium.
This symposium, held in November of 1999 in Kansas City, is the second in a series of
symposia concerned with nontraditional methods of sensing stress, strain and damage. The
first, STP 1318, was held in May of 1996 in Orlando, Florida and was preceded by two
workshops on the same topic in earlier years. These Symposia and Proceeding Workshops
were instigated by task group E08.03.03 on Sensors, which is a task group of the committee
on Fatigue and Fracture and its subcommittee on Advanced Apparatus. The scope of this
task group is to develop standards and encourage technology interchange concerning mea-
surement sensors that are used in determining fatigue and fracture characteristics of materials
and structures.
Perhaps one of the major differences between the first and second symposium (a span of
three and a half years) was the increase in capability apparent in personal computers. A
close examination of all of the papers in this symposium will show that at the heart of all
of the systems presented was a computer. As we all know, the speed of the CPU's has been
doubling every two years to eighteen months (Moore's Law). However what became apparent
during the symposium was not the pivotal role that increased processing speed was playing
but rather the enormous impact of infinitely available, low cost RAM and storage space.
This is probably most clearly evident for vision-based sensors that manipulate and interpret
images. Greater RAM allowed more on-the-fly computations and high-speed storage space
(gigabytes plus) implying enhanced flexibility.
The twelve papers included in this STP are very diverse, both from the viewpoint of the
applications considered as well as concerning the sensors applied. Four of the papers included
in this STP utilize imaging systems to infer deformation fields. Helm, Sutton and Boone use
their 3-D system to characterize fatigue crack growth for aluminum panels under tension-
torsion loading. Towse et al. describe a general purpose, 2-D non-contacting extensometer
derived from video images and capable of tracking multiple targets at high speed. Two other
vii 2012
Copyright by ASTM Int'l (all rights reserved); Sat Jan 28 07:48:56 EST
viii NONTRADITIONAL METHODS OF SENSING STRESS/STRAIN
papers, Smith and Bay and Nicollela et al. examine strain fields in biological material (bone)
using image correlation techniques.
Two papers focused primarily on acoustic emission techniques: McKeighan et al. exam-
ined crack nucleation and growth from defects in titanium and Ma and Takemoto considered
thermal fracture in coatings subjected to cyclic laser irradiation. Two other papers focused
on fiber optic methods of measuring strain and deformation. Chen and Sirkis examined the
costs and benefits of fiber optic versus conventional electric strain gages. Conversely Tu et
al. measured long-term creep deformation using quartz optical fiber marking, remote mon-
itoring and image processing.
The remaining four papers examined relatively unique applications and sensors. Suhling
and Jaeger present work where the structural reliability of IC chips is measured using pie-
zoresistive sensors bonded to the chip substrate. Morimoto and Fujigaki present work con-
cerning the real-time phase analysis of Moire images to analyze shape, strain and stress. The
final two papers concern damage measurement. Ranganathan et al. examines methods for
quantitative fractography where the fracture surface of a failed specimen can be used to
assess loading conditions that led to failure. Finally, Burkhardt and Crouch present a mag-
netic nonlinear harmonics approach to detect localized plastic deformation in pipelines.
Organizing these papers in some cogent manner is a challenge in view of the diversity of
applications, methods, sensors and focus. Nevertheless, the approach adopted is intended to
address the focus of the papers. In the first section, Fracture Mechanics and Structural
Integrity, the papers that talk about cracks (either crack growth or fracture) or general stress-
strain behavior are included. The papers that address the damage state of a material are
included in the section entitled Damage Evolution and Measurement whereas the final section
considers Strain and Displacement Measurement Techniques.
Following the symposium, a brief panel discussion was held focussing on issues such as
where sensor development was going, what was spurring sensor development and what
ASTM standardization activities could assist this process. This was a lively discussion and
it is succinctly summarized at the conclusion of this book after all of the technical papers.
The technical community is clearly faced by some technical challenges--first and foremost
being the cost of new sensors and the magnitude of the effort required to develop them.
ASTM can play an important role in this process by insuring that the standards are available
to assess the performance of sensors once developed. However the breadth of the standards
required for this and covering sensor technology not yet even discovered is awe inspiring.
The editors would like to express their sincere appreciation to all of the authors and co-
authors responsible for the papers included in this STP and the presentations made during
the symposium. Furthermore we would like to recognize the efforts of the reviewers whose
high degree of professionalism and timely response ensures the quality of this publication.
Finally, the editors would also like to express their sincere gratitude to ASTM planning and
editorial staff for their assistance with the symposium as well as their critical input to this
special technical publication.
Finally, it should be noted that Tait S. Smith, co-author of the paper "Experimental Mea-
surement of Strains using Digital Volume Correlation" formerly with the University of Cal-
ifornia, Davis, received the "Best Presented Paper Award" for his excellent presentation at
the symposium. This honor was bestowed based upon the critiques of five seasoned profes-
sionals in the audience.
Peter C. McKeighan
Southwest Research Institute
San Antonio, TX
Symposium co-chairman and editor
Fracture Mechanics and Structural Integrity
J. D. Helm, L M. A. Sutton, 2 and M. L. B o o n e 2
Characterizing Crack Growth in Thin Aluminum Panels Under Tension-

Torsion Loading Using Three-Dimensional Digital Image Correlation
Reference: Helm, J. D., Sutton, M. A. and Boone, M. L., "Characterizing Crack

Growth in Thin Aluminum Panels Under Tension-Torsion Loading Using
Three-Dimensional Digital Image Correlation," Nontraditional Methods of
Sensing Stress, Strain, and Damage in Materials and Structures: Second
Volume, ASTM STP 1323, G. F. Lucas, P. C. McKeighan, and J. S. Ransom,
Eds., American Society for Testing and Materials, West Conshohocken,
Pa, 2001.
Abstract: The enclosed work was performed to determine whether a critical

crack opening displacement (COD) criterion can be used to predict the stable
crack growth behavior of thin, 2024-T3 aluminum fracture specimens
experiencing tension and torsion loading. Due to the complexity of the large
deformations that occur near the crack tip in a single edge-cracked specimen
under torsion loading, a state of the art three-dimensional computer vision
system was developed and employed to make the three-dimensional vector
displacement measurements required to determine COD. Results from the
experimental program indicate that the three-dimensional surface profile and
deformation measurement system was fully capable of making the required
measurements, even in the presence of large, out-of-plane displacements and
surface strains that occurred during the tension-torsion loading process.
Specifically, the measurements show that (a) critical COD for tension-torsion
loading is constant during crack growth, (b) COD is approximately 8% larger than
observed for in-plane tension-shear and (c) the surface strain fields during crack
growth are quite complex due to the coupling of out-of-plane displacements and
in-plane surface strains.
Keywords: mixed mode fracture experiments; tension-torsion loading; three-

dimensional digital image correlation; non-contacting measurements; crack
opening displacement
1Chief Engineer, Correlated Solutions, Inc.; 300 Main Street; Suite Cl13-N;
Columbia, SC 29208
2Professor and former graduate student, respectively; Department of
Mechanical Engineering; University of South Carolina; Columbia, SC 29208
3
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4 NONTRADITIONALMETHODS OF SENSING STRESS/STRAIN
INTRODUCTION
Recent mixed-mode 1/11 fracture experiments [1-4] and theoretical

developments [5,6] indicate that two-dimensional COD is a robust fracture
parameter that can be used to accurately predict the onset and direction of
stable crack growth. Here, two-dimensional COD is defined as
COD2D = [ (~u) 2 + (Av) 2 ] '~ (1)
where the relative displacement components, Au and Av, in the x-direction (along
original crack direction) and y-direction (perpendicular to crack), respectively, are
computed at a specific distance behind the current crack tip by the equations;
AU = U abOve -- U belOw (2)

AV = V ab~ -- V bel~
where u a~~ (V ab~ a n d u be~~ (V bel~ a r e the displacements in the x-direction (y-
direction) for points located above and below the existing crack line, respectively,
at a fixed distance behind the current crack tip. In this work, and in previous
work, the authors selected the distance behind the crack tip to be lmm.
It is well known that flaws growing in aerospace structures oftentimes are
9 subjected to a combination of mixed mode 1/11/111conditions. In thin fuselage
material, these complex crack tip conditions are due to local, out-of-plane motion
[7] of the unconstrained cracked surfaces. The out-of-plane deformation will
occur under either internal pressure or tensile loading [8].
To develop a better, physical understanding of the crack growth processes
that occur under mixed mode loading, as well as provide a quantitative set of
measurements for use in model verification, a series of tension-torsion [9,10]
laboratory-scale experiments using thin sheet, 2024-T3 aluminum specimens
have been performed. During these experiments, the crack tip opening
displacement data was acquired using a state-of-the-art, three-dimensional
computer vision system. In the following sections, the test specimen is
presented along with the experimental procedures used to perform the
experiments. Next, a brief summary of the three-dimensional computer vision
method is given. Then, results from a series of tension-torsion experiments are
presented, including (a) the first known three-dimensional COD data and (b)
typical strain fields acquired just prior to stable crack growth. Finally, a short
discussion of the results is presented.
TENSION-TORSION SPECIMEN AND TEST CONFIGURATION
Figure 1 presents a schematic of typical tension-torsion specimen geometry.

The 2.3 mm thick specimens were machined from unclad 2024-T3 aluminum
and fatigue pre-cracked under tensile loading in the L-T orientation so that the
initial crack length to width ratio is a/w = 0.0833. All tests were performed on a
50K MTS test frame using an MTS Testar system with PID controller and user-
HELM ET AL. ON CRACK GROWTH IN THIN ALUMINUM PANELS 5
generated control programs. To perform each experiment, the following control

system process was employed. Axial displacement was used to control load
application to the specimen. During the loading process, axial load cell output
Figure 1 : Tensiomtorsion specimen

(units in mm)
was input to the torsion actuator to generate a proportional, applied torque.

Finally, the torsion rotation was increased until the required torque was attained.
Since three channels of input are used to control the test process, it is necessary
to set appropriate tuning factors for all three channels of input to ensure stability
of the system for the type of specimen being tested. It is noted that the control
process described above was slightly unstable at low levels of applied loading;
for loads greater than 400 N, the system was unconditionally stable.
Defining stress components on a rectangular cross-section by ST = 3T(t 2 w) 1
and Sp = P(t w) 1, where t is the specimen thickness and w is the specimen
width, experiments were performed at five levels of ST/SPin the range 0.0_< ST/SP
<_6.64. In this work, COD results are reported for ST/Sp -- 0, 1.66, 3.32, 4.98 and
6.64. Additional results, such as crack surface profiles and strain fields, are
reported for ST/Sp = 0.00, 3.32.
OVERVIEW OF THREE-DIMENSIONAL DEFORMATION MEASUREMENT

PROCESS
Figure 2 graphically illustrates the large deformations that occur prior to and
during stable crack extension as the rectangular specimen is quasi-statically
loaded in tension and torsion; fatigue pre-cracking did not result in large
specimen deformations. To measure the three-dimensional vector
displacements for points on the specimen surface in Fig. 2, a unique digital
image correlation system (DIC-3D) was developed specifically for this
experiment. The DIC-3D system is capable of measuring the full, three-
dimensional surface displacement field for a structure deforming in three-
dimensions [8,9], including the presence of large in-plane and out-of-plane
rotations, large displacements and large strains.
To make accurate displacement and shape measurements with a 3-D vision
system, both (a) high
quality calibration of the
system and (b) a
matching process that
accounts for both lens
and perspective effects
when determining the
optimal deformation
parameters are required.
Figure 3 shows a typical
3-D vision system.
In our work, the
camera and lens systems
are modeled as a pinhole
device with a correction to
account for Seidel lens
distortion [9-11]. Figure 3: Typical system for three-dimensional
The pinhole camera displacement measurements.
projection equations that
govern the use of these cameras typically require that the imaging characteristics
of a camera are modeled by five parameters. In this work, the parameters are (1)
pinhole distance (phd), (2,3) location of the center of the image (Cx, Cy), (4) lens
distortion parameter, K, for Seidel correction and (5) the aspect ratio, X, of the
sensors. In addition to these parameters, six parameters (Xo, Yo, Zo, and a, 13, y)
are required to describe the relationship between a camera and the coordinate
system of the calibration grid. Here, (Xo,Yo,Zo) describe the position in space of
the grid relative to the camera and (a,l~,y) describe the angular orientation of the
grid relative to the camera.
Calibration of the two-camera computer vision systems determines the
relative position and orientation of the camera relative to the grid, as well as the
operating characteristics of both cameras. The calibration system is based on a
series of images of a grid with known line spacing [10, 11]. Each camera is
calibrated to the grid individually. Since the positions of both cameras are known
relative to the same grid, their relative orientation and position are also known.
To calibrate each camera in the stereo-vision system, an image of the grid is
taken. The camera is then moved perpendicular to its sensor plane and a
second image is taken. Non-linear optimization is used to obtain the parameters
that best describe the position and operating characteristics of the camera. The
process is then repeated, without moving the grid, for the second camera.
Verification tests are discussed in detail in Reference [11].
Once calibration is completed, the stereo vision system can be used to
measure both the shape of the object surface (profiling) and also the full field,
three-dimensional displacement measurements. Similar to two-dimensional
image correlation, the three-dimensional measurement system uses a random
pattern bonded to the surface to provide a unique set of features to map image
locations from one camera to the other. Software, designated DIC-3D, has been
written to perform the process of optimal matching of subsets in both cameras to
locate the position and orientation of this region on the object. The analysis uses
two pairs of images taken of the surface of the object by camera one and
camera two, with each pair of images acquired at the same time. The two pairs
of images are used to obtain the three-dimensional surface displacement field by
employing a small square section of the image taken by camera one before
deformation as the "reference" image. Using a "projection with back-projection"
process developed by the authors, both the initial position of the subset on the
object (e.g., the surface profile) and the three-dimensional surface displacement
of the same subset due to deformation can be measured.
Cross-correlation is used to establish an error measure and obtain the best
match of the reference gray level pattern to corresponding patterns in each of
the images. The error function is optimized to determine the initial position and
displacement of a specific subset on the surface of the object. By continuing the
analysis on other portions of the image in camera one, both the full-field profile
and the full-field, three-dimensional displacements of the surface of the object for
the entire field of view shared by both cameras are measured. A complete
explanation of the 3D image analysis process is given in [11].
THREE-DIMENSIONAL COMPUTER VISION SYSTEM FOR COD AND

SURFACE STRAIN MEASUREMENTS FOR TENSION-TORSION SPECIMEN
Conceptually, COD should be measured sufficiently close to the crack tip to

reflect the crack tip deformations that result in crack tip damage and crack
extension. Since the specimen surfaces are expected to undergo three-
dimensional displacements, a generalized definition for three-dimensional crack
opening displacement (COD) is given in the following equation
COD = [ (Au) 2 + (Av) 2 + (AW)2 ] '/' (3)
where the additional relative displacement component, Aw, is perpendicular to

the original specimen surface and is measured at the same distance behind the
current crack tip as are Au and Av in (2) and is given by the equation;
W bet~
aW = W ab~ -
(4)
Following procedures outlined previously [1-6], COD was measured at 1 mm
behind the current crack tip in this work. To quantify COD accurately in this
region behind the current crack tip, the DIC-3D system was used to image a
region approximately 4mm by 4mm in size. Due to both the high magnification
required and the need to follow the moving crack tip, special considerations were
used when setting up the two-camera system. These considerations included
(a) camera mounting, (b) system stability and (c) crack-tip tracking.
The camera mounts used for these tests were specially designed to reduce
any motion of the camera and lenses by incorporating the mount into the C-
mount to Canon lens adapter, while providing full support for the lens system.
Special care was used to align the camera mounts with the translation stages.
To obtain camera translation that was perpendicular to the sensor plane, both
camera mounts were adjusted (using thin shims) until the translation of the
camera produced a displacement field indicating a nearly pure radial dilation of
the image.
To achieve overall stability in the vision system, the cameras were attached
to an extruded aluminum cross bar. The honeycomb construction of the cross
bar created a lightweight, yet rigid, support member for the camera system. In
addition to the rigid cross bar, the connecting mount securing the cross bar to the
calibration fixture and to the translation stage was re-designed to minimize any
bending forces produced when clamping the system to the holding fixtures.
To track the crack tip region during stable crack extension, the vision system
was mounted on a four-axis translation/rotation system. The system was
capable of translating in all three directions, as well as rotating about a vertical
axis to adjust for torsion/twisting of the specimen. Moving and rotating the entire
system maintained a focused view of the crack tip area throughout the crack
extension process.
Finally, translation tests were performed to assess the accuracy of the
system. For our tension-torsion experimental setup, calibration and translation
tests indicate that the standard deviation error in each displacement component
was +/- 1 ~.m. This error estimate was obtained by fitting a least square constant
vector displacement to the measured data for each translation test. It is worth
noting that conversion of displacement errors to strain error estimates is difficult
due to the dependence of strain errors on (a) the form of the functional fit to the
measured displacement data and (b) the gage length used to estimate strain,
this is part of an on-going research effort to quantify potential errors in the 3D
measurement methodology.
After completing the alignment and calibration processes, image data was
acquired as follows. First, prior to loading the specimen, a series of overlapping
images of 4mm by 4mm areas located approximately 38 mm ahead of the initial
crack position were acquired as reference images for later strain measurements.
The camera system was then translated to observe the initial crack tip region.
During loading, images were acquired of the crack tip region. The system was
translated and rotated during the experiment so that the crack tip area could
continue to be imaged as the crack grew.
The three-dimensional surface displacement fields were converted to in-
plane strain fields in the vicinity of the initial crack tip region using the Lagrangian
strain formulation in terms of the displacement gradients
~xx = ~u/~x + 1/2{ (o~u/~x): + (o~v/o~x)2 + (~w/~x) 2 }

~yv = ~v/o~y + 1/2{ (~u/~y) + (~v/~y) 2 + (o~w/o~y)2 } (5)
~xy = 112 { (~u/o~y + ~v/~x) + (o~u/o~x~u/~y + ~v/o~x ~v/~y + o~w/o~x ~w/~y) }
Here, (u,v,w) are displacements relative to an (x,y,z) coordinate system located

at the initial crack tip position. Since unknown rigid body deformations were
introduced during the experiment by moving the optical setup, it is important to
note that the strain tensor components defined by Eq. (5) are invariant with
respect to arbitrary rigid body motion
To obtain the displacement gradient field, a local surface fit was obtained for
each of the u(x~,yi,zi), v(xi,yi,zi) and w(xi,yi,zi) data sets and the partial derivatives
of the resulting best-fit displacement surfaces were used in Equation (5) to
determine the surface strains. To ensure optimal accuracy of the displacement
gradients, two approaches were taken in the data analysis. First, a strip of data
was removed from the region along the crack line and the data was processed
as three separate regions to eliminate errors in the measurements that could be
introduced if the subsets crossed the crack line. Second, data along the edges
of each of the three separate regions were discarded to eliminate errors in the
gradient data introduced by edge effects.
EXPERIMENTAL RESULTS
Using the procedures described in the previous sections, COD was

measured throughout the crack extension process for all ST/Sp values using
Equations (2,3,4). Figure 4 presents the first known three-dimensional COD-Aa
measurements from the tension-torsion tests, as well as a horizontal line
representing the mean value for the COD data for ~a > 10 mm. In this work, all
crack extension measurements are derived from the camera images using
established procedures for identifying the growing crack tip location in each
image [1-3].
In addition to COD, the surface displacement fields were also measured
during the loading process. For ST/Sp = 3.32, typical results for the out of plane
displacement field, (w(x,y)), just after initiation of crack extension are shown in
Figure 5. Here, positive values for w(x,y) correspond to motion towards the
camera.
For ST/Sp = 3.32, typical results for the in-plane surface strain fields (~w, ~=x,
s~) just after initiation of crack growth are shown in Figure 6. For ST/Sp = 0.00
and 3.32, Figure 7 shows the fracture surfaces after complete separation has
occurred.
Figure 4: COD versus crack extension for combinations of tension and torsion
Figure 5: Out-of -plane displacement fields in crack tip region just

after surface crack growth, ST/Sp = 3.32
Figure 6: Crack tip strain fields just after crack growth, ST/SP = 3.32
Figure 7: Profiles of fracture surfaces for 2024-T3 aluminum specimen

and two combinations of tension and torsional loading
Discussion of Experimental Results
Figure 4 clearly shows that for all ST/Sp, the average COD _= 0.118 mm for
&a _> 10 mm. This value is somewhat larger than measured for L-T specimens
under mixed mode 1/11loading [1-4]. The initial transient in COD values has been
observed by many investigators [1-4], and is widely known to be related to three-
dimensional crack tip conditions that stabilize after crack growth of approximately
1-2 specimen thickness. As was observed in previous Mode 1/11tests, the initial
transient in COD was a clearly defined rapid increase to a maximum value,
followed by a decrease to an average value.
As shown in Figure 7, the specimen experienced large shape changes
during loading. Figure 6 shows that the surface strain fields are qualitatively
similar to those expected for planar, through-thickness flaws growing in the
presence of large plasticity. Specifically, the opening strain field is large just
ahead of the crack tip, Exx has the opposite sign consistent with the requirement
for incompressibility and ~xy is concentrated along bands on either side of the
surface crack direction. However, as shown in Figure 7, the fracture surface is
not planar. The crack plane transitions to a slant as the initial crack extension
processes are occurring. In this context, interpreting the measured surface
strain fields becomes more difficult. Given the complexity of the processes
occurring during crack extension in the tension-torsion specimen, it seems clear
that a good use of the measured fields would be for validation of FEA model
predictions. Once validated, the models can be used to obtain three-
dimensional field data to better understand how the fracture process is
proceeding.
Finally, it is noted that for ST/Sp > 0, slant fracture such as is shown in Figure
7 always occurred in a manner that tended to cause overlapping and
interference of the opposing crack surfaces. Though several reasons may be
conjectured for this observation, detailed three-dimensional crack growth
simulations using the measured crack paths are now underway to provide
quantitative stress fields and strain fields in the crack tip region for determining
the conditions required for crack advance.
Acknowledgments
The authors wish to thank Dr. James C. Newman, Jr., Dr. David S. Dawicke,
Dr. Charles E. Harris and Dr. I. S. Raju from the Mechanics and Materials
Branch at NASA Langley Research Center for their technical advice and support
of this research. Without their sincere efforts to help us, this work would not
have been possible. In addition, the financial support of NASA EPSCoR
program through NCC5-174 is deeply appreciated.
References
[1] Amstutz, B.E., Sutton, M.A., Dawicke, D.S. and Newman, J.C., Jr., "An
Experimental Study of COD for Mode 1/11Stable Crack Growth in Thin
2024-T3 Aluminum Specimens", Fatigue and Fracture Mechanics,

ASTM STP 1256, American Society for Testing and Materials, West
Conshohocken, PA, 1995, 256-271.
[2] Amstutz, B.E., Sutton, M.A., Dawicke, D.S. and Boone, M.L., "Effects of
Mixed Mode I/ll Loading and Grain Orientation on Crack initiation and
Stable Tearing in 2024-T3 Aluminum", Fatigue and Fracture
Mechanics, American Society for Testing and Materials, West
Conshohocken, PA,1997, pp. 105-126.
[3] Sutton, MA., Helm, J.D. and Boone, M.L., "COD Measurements in 2024-T3
Aluminum for Residual Strength Modeling", 1st Joint DoD/FAA/NASA
Conference on Aging Aircraft in Ogden,Utah, 1803-1817, 1997.
[4] Dawicke, D.S. and Sutton, M.A., "CTOA and Crack-tunneling
Measurements in Thin Sheet 2024-T3 Aluminum Alloy", Experimental
Mechanics, Vol. 34, No. 4, 1994, pp. 357-368.
5. F. Ma, X. Deng, M.A. Sutton and J.C. Newman, Jr., "A COD-Based Mixed
Mode Fracture Criterion", Mixed Mode Crack Behavior, ASTM STP 1359,
American Society for Testing and Materials, West Conshohocken, PA,
2000, pp.
. M.A. Sutton, X. Deng, F. Ma, J.C. Newman,Jr., and M. James, "Development
and Application of a COD-Based Mixed Mode Fracture Criterion",
International Journal for Solids and Structures._Vol. , 1999, pp..
7. Starnes, J.H., Jr. and, Dawicke Rose, C., " Effects of Initial Crack Length on
Stable Tearing and Buckling of Selected Unstiffened Aluminum Shells
Subjected to Internal Pressure and Axial Compression", 1st Joint
DoD/FAA/NASA Conference on Aging Aircraft in Ogden,Utah, pp.1743-
1765, 1997.
[8] Hui, C.Y. and Zehnder, A.T., "A Theory for the Fracture of Thin Plates
Subjected to Bending and Twisting Moments", International Journal of
Fracture, Vol. 61, 1993, pp. 211-229.
[9] Helm, J.D., Sutton, M.A., Dawicke, D.S. and Boone, M.L., "3D Computer
Vision Applications for Aircraft Fuselage Materials and Structures", 1st
Joint DoD/FAA/NASA Conference on Aging Aircraft in Ogden,Utah, pp.
1327-1341, 1997.
[10] Helm, J.D., " Use of Three-Dimensional Digital Image Correlation for the
Experimental Characterization of Buckling in Large, Thin, 2024-T3
Aluminum, Middle-Cracked Tension Specimens", Ph.D. Thesis,
Department of Mechanical Engineering, University of South Carolina,
1999.
[11] Helm, J.D., Sutton, M.A. and McNeill, S.R., "Improved Three-dimensional
Image Correlation for Surface Displacement Measurement," Optical
Engineering. Vo1.35, No. 7, 1996, pp. 1911-1920.
P. C. McKeighan, I A. E. Nicholls, t L. C. Perocchi, 2 and R. C. McClung 1
Sensing Crack Nucleation and Growth in Hard Alpha Defects Embedded in Ti-
6AI-4V Alloy
Reference: McKeighan, P. C., Nicholls, A. E., Perocchi, L. C., and McClung, R. C.,
"Sensing Crack Nucleation and Growth in H a r d Alpha Defects Embedded in Ti-
6AI-4V Alloy," Nontraditional Methods of Sensing Stress, Strain, and Damage in
Materials and Structures: Second Volume, ASTM STP 1323, G. F. Lucas, P. C.
McKeighan, and J. S. Ransom, Eds., American Society for Testing and Materials,
West Conshohocken, Pa, 2001.
Abstract: The cracking behavior of nitrogen-rich hard alpha anomalies in Ti-6AI-4V is

examined for partially validating predictive approaches used in life management of high
energy rotors. Both synthetic and naturally occurring anomalies were subjected to static
and fatigue loading. An internal defect, completely surrounded by Ti-6-4 material, was
much more resistant to cracking when contrasted to a surface-connected defect.
Furthermore, acoustic emission and electric potential drop methods were effective
indicators of cracking, especially progression from the defect and into the base metal.
Consistent signals were observed for each type of transducer, although the acoustic
emission signals were more robust from an interpretative standpoint. Analysis of the
acoustic emission data provided good quantitative estimates of crack size.
Keywords: fatigue, damage, acoustic emission, potential drop, mechanical testing,

hard alpha defect
Introduction
The processing of premium grade titanium alloys that are used for fan and
compressor rotors and disks in aircraft jet engines occasionally includes upsets that can
result in the formation of metallurgical anomalies known as hard alpha (HA). These
anomalies are nitrogen-rich alpha titanium that are brittle and often have microcracks
and microvoids associated with them. Although rarely observed, these anomalies can
lead to uncontained engine failures such as the fatal incident of a DC-10 at Sioux City
in 1989.
The current safe-life philosophy for life management of commercial turbine rotors
does not account for undetected anomalies such as HA. Past work [I] has shown that
i Manager,EngineeringTechnologistand Manager,respectively,SouthwestResearchInstitute, 6220

Culebra Rd, San Antonio, TX 78238-5166.
z MetallurgicalSpecialist, GeneralElectric CorporateResearchand Development,P.O. Box 8,
Schenectady, NY 12301.
Copyright by ASTM Int'l (all rights reserved); Sat Jan 28 07:48:5615EST 2012
Copyright
(PDVSA Los9Teques)
2001 by ASTM
pursuant Agreement. Nowww.astm.org
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to License further reproductions authorized.
melt inclusions such as HA can degrade fatigue performance. In response to requests

from the Federal Aviation Administration (FAA) following the Sioux City incident, an
engine industry working group has developed an enhanced life management process
based on probabilistic fracture mechanics methods. In support of this new process,
Southwest Research Institute (SwRI) and a team of domestic engine manufacturers are
conducting an FAA-funded program [2-3] to develop enhanced predictive tool
capability and supplementary material/anomaly behavior characterization and modeling.
The new lifmg process currently assumes that any HA present in an engine rotor is
sufficiently brittle, or has been sufficiently cracked during the rotor manufacturing
process, that a fatigue crack will begin growing in the titanium matrix upon the first
cycle of service loading. The size of the initial crack is assumed to be equal to the size
of the HA defect, including both the nitrogen-rich core and the surrounding diffusion
zone. This assumption could potentially be overly-conservative, however, espeeiaUy
for HA anomalies of smaller size and lower nitrogen content. These defects are less
likely to be cracked during the forging process, and more likely to be missed in
nondestructive inspections. Furthermore, assumed defect distributions employed in the
probabilistic risk assessment postulate a relatively larger number of these smaller
anomalies.
The research presented herein was conducted on both synthetically created and
naturally occurring anomalies. These anomalies, consisting of a nitrogen-rich core
surrounded by a graded microstructure diffusion zone, included both interior
(completely surrounded by Ti-6-4 alloy) as well as surface connected geometries. Both
static and cyclic fatigue loading conditions were applied and damage was subsequently
assessed using visual, metallographic sectioning, acoustic emission and potential drop
methods. Whereas a previous paper [4] focused on preliminary findings from an initial
study, the results presented herein encompass a wider range of loading conditions and
defect composition, source and geometry variables.
Materials and Specimens
The synthetic defect specimens were created artificially using techniques pioneered
to refine NDE methods and develop inspection standards [5]. Since the complex
process used to create the artificial defect specimens is described in detail elsewhere
[4], only the most relevant, primary steps will be described herein. Arc-melted Ti-N is
hot isostatically pressed (HIPped) to create monolithic defect cores that are electro-
discharge machined (EDMed) into cylindrical defect cores of various diameters and
lengths. A diffusion zone is then created around the defect core by imbedding the core
in a piece of rotor-grade Ti-6-4 and again HIPping. The cylindrical core / diffusion
zone assembly is then again EDMed from the block and placed into a mating cavity in
another block of Ti-6-4. A top surface is then electron beam welded in place and the
block is HIPped for a third time. Results from an ultrasonic inspection are combined
with precision grinding to yield a block suitable for machining specimens. Once
processing was complete, the approximate yield strength of the Ti-6-4 material was
measured in the range of 870-925 MPa.
McKEIGHAN ET AL. ON SENSING CRACK NUCLEATION 17
One of the advantages with the synthetically manufactured anomalies is the ability
to vary different defect condition parameters. The overall variables examined in this
study include the following:
9 defect source - synthetically manufactured or naturally occurring,
9 defect position - surface connected (visually observable) or subsurface, internal
defects completely surrounded by Ti-6-4 base metal,
9 defect e x t e n t - a large and small diameter case (see Table 1 for details), and
9 defect composition - low, medium and high levels of nitrogen content (1.6%,
2.7% and 6% by weight, respectively).
Table 1 - Dimensions o f the cylindrical defects and surrounding diffusion zones.
Anomaly Defect Core Geometry, Diffusion Zone Geomet~,

Size Diameter (mm) Length (mm) Diameter (mm) Length(mm)
small 0.38 - 0.64 1.98 1.40- 1.78 2.43
large 1.52 - 1.91 4.95 2.92 - 3.43 5.65
Unfortunately, the high cost and extensive labor required to produce the specimens
dictated that a full matrix, exercising the various combinations of variables, was not
possible. Only a limited number of specimens were tested, some under static loading
conditions and others subjected to fatigue cycling. A full matrix defining the defect
variables and including all of the test conditions is shown in Table 2.
In the case of the synthetic defects, the defect variables such as composition, size
and geometry can be controlled. However, since it is unknown how well these synthetic
defects mirror the behavior of natural HA defects, a limited amount of testing was also
performed using naturally occurring defects to assess consistency and, if apparent,
differences. Two specimens, a surface (RMI-E1) and subsurface (interior, RMI-FI)
geometry, were machined from contaminated billet study material provided by the
Engine Titanium Consortium [6].
All testing, regardless of whether loading was static or fatigue, was performed on an
oversize, tensile-type specimen with a total length of 150 ram, The reduced section had
a gage length of 25.4 mm, width of 25.4 mm and thickness of 12.7 mm. The cylindrical
defect was oriented with the major axis of the defect perpendicular to the loading
direction and in the thickness direction. The internal defect was nominally positioned in
the center of the specimen. Conversely, the surface connected defect was oriented
similarly but with the defect exposed on the surface. Low stress grinding was used to
machine the surface of the specimen where the circular-shaped defect was exposed.
Although the testing was highly non-standard, it was performed in the spirit of the
relevant static and cyclic ASTM standards (E8 for static tensile testing and E466 for
cyclic fatigue testing). During the static testing, the strain rate was controlled to insure
quasi-static loading rates, typically on the order of 140 MPa/minute. It was not
uncommon to periodically pause during the static loading to inspect the specimen and
record acoustic data. During the fatigue testing, load was applied in the form of a
Table 2 - Matrix of synthetic defect testing (fatigue cycling was at an R-ratio of O.05-0.1 except for marker bands
which were at O. 7).
z
Defect Position Loading Loading History o
Specimen Defect Size Nitrogen Composition z
.-4
'-n
ID small large low reed high interior surface Type
# # # static Om~ = 345 MPa -I
HA-SL-BI
# d # static am~x = 520 MPa
HA-SL-A2 z
,f # # static Om~ = 760 MPa I""
HA-SL-A1
HA-SL-C 1 d d d static Omx = 275 MPa followed by,
m
fatigue 24 kcyc at One,= 275 MPa -r
# # # static Or~ = 690 MPa 0
HA-IL-F 1
# # # static Om~ = 690 MPa followed by,
HA-IS-D1
0"TI
fatigue 20 kcyc at Om~x= 550 MPa
# # # fatigue 10 kcyc Or~=345 MPa (plus marker band) m
HA-IS-E1 z
# # # static Om~ = 690 MPa
LLS-T z
# d static Om~ = 825 MPa if)
LMS-T
# # # static Om~, = 825 MPa
SMS-T "-n
# # # static Om~ = 760 MPa m
SHS-T
# # static om~ = 760 MPa 6O
LHS-T
# # fatigue -'4
LHS-B 5 kcyc at o ~ = 3 4 5 MPa
# # # static Om~ = 825 MPa l___
LLI-1 z
# # d static ~m~ = 690 MPa
LHI-1
# # # static Om~ = 825 MPa
SHI-1
d" # d fatigue 25 kcyc Om~x=345 MPa (plus marker band)
LHI-2
4" d" # fatigue 10.4 kcyc Om~= 520 MPa (plus two marker bands)
LMI
# # # fatigue 20 kcyc ~ - - 520 MPa (plus marker band)
LLI-2
McKEIGHAN ET AL. ON SENSING CRACK NUGLEATION 19
sinusoid with a load ratio in the range 0.05-0.10. Cyclic frequencies varied between 1
and 5 Hz, depending on the load magnitude.
Sensing Methods
During the conduct of this program, five methods were examined to understand the
cracking behavior in the test specimens. Three methods specifically relate to damage
measurement (visual, rnetallographic sectioning and acoustic emission sensing) and two
methods infer damage by measuring some other type of phenomena (electric current
field in the potential drop method and transmitted sound waveform in the ultrasonic
method). Of these methods, the only truly definitive indicator of damage is the physical
observation inherent in the visual and metallographic methods. None of the others can
be used for a definitive assessment of cracking or crack size without correlating
information derived visually. Although the ultrasonic method was used during the
preliminary phase of the program as detailed in reference [4], it was not used in the
more extensive second phase and is consequently omitted from further discussion
herein. It was not used due to consistency and repeatability issues, due in all probability
to implementation method.
Visual and Metallographic Methods
Damage was visually tracked in the surface defects by using a low power travelling
microscope mounted on a vernier scale to measure feature lengths. For the case of
internal defects, visual observation was not possible unless the defect was sufficiently
cracked to cause large regions of plasticity on the outer polished faces of the specimen.
Prior to testing, the surface defect specimens were mechanically polished and
chemically polished/etched with 50 mL HNO3, 40 mL 1-120 and 10 mL HF. This was
followed by a 6 micron diamond paste mechanical polish to produce a smear-free
surface.
To understand better the state of an interior defect that had been subjected to
loading, specimens were serially sectioned and metallographically examined to quantify
cracking behavior and determine how it varied along the length of the defect. Although
destructive in nature, this sectioning approach proved to be an effective method for
determining the extent of cracking. After sectioning and rough mechanical polishing,
an etchant of 85 mL 1-I20, 10 mL HF and 5 mL HNO3 was used to highlight the grain
structure. The section was then photographically documented and the sectioning
continued to gain a three-dimensional sense of damage progression inside the defect.
Electric Potential Drop Method
The electric potential drop (PD) technique has been used quite successfully for a
number of years to measure the initiation and propagation of cracks. With this
technique the disturbance in the potential field caused by a discontinuity (crack) is
measured in a current-carrying body (the specimen). As the crack grows, the effective
cross-sectional area of the specimen decreases and the resistance increases. Given a
constant current input, the voltage difference between two points on either side of the
crack will also increase.
Since the first application of the PD technique nearly 45 years ago [7], the challenge
has proven to be deriving closed-form or empirical expressions suitable for calibration
[8]. The method can be used effectively for multidimensional crack problems to track
crack shape, although the calibration again becomes a paramount issue [9].
Nevertheless, the method remains one of the most robust and accurate non-visual crack
length measurement techniques currently available [10]. One of the primary benefits of
the PD method is that, given that the appropriate instrumentation is available, the
method is easier to implement than many others (e.g., specimen compliance). PD data
are single-valued voltages (pulsed on peak load) and as such require minimal
processing.
During this program, a pulsed direct current, dual probe-set potential drop unit was
used to monitor electric potential. In a dual probe-set configuration, the voltage
monitored is proportional to the ratio of the voltage from probes immediately adjacent
to the crack to a voltage from a remote set of probes (hence automatically correcting for
slight current input perturbations as well as temperature changes). The remote probes
were located on the current input probes on the ends of the specimen. The inner probes
consisted of spot welded platinum wire (0.13 mm diameter) on the surface of the
specimen nominally +_2.54 mm from the center of the defect on the face of the sample.
The optimum potential drop response is manifested when (a) the crack occurs
between the two inner probes and (b) in close proximity to the probes. In fact, it is even
possible that PD voltage would decrease with cracking depending on where the
cracking is relative to the probes. Furthermore, the presence of the defect could itself
cause an electrical perturbation that might interfere with PD measurements. IXtfing this
program, the PD method was applied to detect potential field change so as to infer crack
growth as opposed to physically providing an indicator of crack size. In order to detect
this change, the gains on the preamplifiers in the potential drop system were set quite
high so as to provide the maximum sensitivity to change.
Acoustic Emission Method
When damage occurs in a material, the process results in a release of energy in a

variety of forms including acoustic energy. The acoustic emission (AE) technique
measures the acoustic activity in a specimen so as to infer damage and/or crack
progression. The primary variables of interest include the frequency as wen as the
energy of the acoustic waveform. This method is exceptionally difficult to calibrate
and, as such, the data are most effectively used as a qualitative indicator of damage;
further interpretation must be based on methods linking AE to physically observed
condition.
Previous applications using acoustic emission sensing for investigating crack
propagation mechanisms span a wide range: conventional fatigue crack initiation and
growth, stress corrosion cracking, hydrogen embrittlement and ductile tearing [10]. An
excellent survey of the AE method is provided by Lindley and McIntyre [11] focusing
not only on applications hut also on the critical aspect of interpreting the complex
signals that are recorded. Clearly one of the major limitations of AE monitoring is the
absence of a definitive physical link between the crack growth process and an acoustic
parameter (e.g., events, energy level or energy amplitude). More recent AE work [12]
has been successful in linearly relating acoustic emission events and amplitude to crack
length or a relatively large range of crack lengths during fatigue testing.
Two separate acoustic emission systems were used during this program. Initially, a
Physical Acoustics Corporation (PAC, Lawrenceville, N J) LOCAN 320 system was
used in conjunction with two 19.1 mm diameter wide-band acoustic microphones
mounted on opposite ends of the specimen gage length. The majority of the acoustic
data were recorded with a new generation PAC MISTRAS 2001 system used in
conjunction with six NANO-30 acoustic emission transducers (7.6 mm diameter)
surrounding the gage length of the specimen. The microphones chosen optimized both
size and frequency response characteristics. The frequency range for the microphones
maxed out at 750 kHz, well above the maximum required herein. A photograph of the
specimen is shown in Figure 1 and illustrates the positioning of the acoustic emission
and potential drop leads.
The newer generation MISTRAS system operates at a higher baseline sample rate
and resolution and is configured with software to locate acoustic events by triangulating
the data obtained from the multiple, redundant microphones. The software also records
not only acoustic "hits" but also acoustic "events," where an event is defined through a
correlation of hits from multiple microphones in a pre-defined spatial window. All
acoustic data exceeding user-set thresholds were written to disk; this allowed the user to
replay a test and modify analysis parameters. However this enhanced flexibility was
costly in terms of data storage as it was not uncommon to generate in excess of a
gigabyte of data during a fatigue test.
Figure 1 - Test specimen illustrating wedge grips,

PD probes and acoustic microphones.
Acoustic Emission Data
Acoustic emission systems provide somewhat unique output, very much dependent
upon the characteristics of the measurement system. The measurement system includes
components such as the crystals (microphones), signal processing hardware, data
acquisition strategy and signal interpretation software. In the past decade, several
acoustic measures have become somewhat standardized and accepted by the technical
community. Perhaps the best example of this is the quantity "acoustic energy," or more
appropriately the measured area under the rectified _signal envelope (MARSE).
Although this could be converted to a true energy, for acoustic systems, it is a relative
energy of a normalized signal, and hence unitless.
Acoustic energy (MARSE) is a measure of the magnitude of an acoustic signal. It
is an attractive parameter since it depends upon both amplitude as well as duration.
This two-dimensional nature provides obvious advantages over more simplified
acoustic measurements such as counts or events. Furthermore, acoustic energy is not
dependent upon threshold level settings which can otten influence some of the other
parameters used to quantify acoustic signatures. The disadvantage with acoustic energy
is the extensive processing (either through software or signal processing on-the-fly)
required to measure it. In the context of this paper, wherever the term "acoustic energy"
is used, it is actually the MARSE energy measure provided by the MISTRAS 2001 AE
systen~
Results and Discussion
Prior to discussing the data obtained during the static and fatigue loading o f the
defect specimens, it is worthwhile briefly reviewing the metallurgical characteristics of
the synthetic defects (more fully described in reference [4]). The core of the defect is
nitrogen-rich titanium which is surrounded by a diffusion zone in which the nitrogen
level drops off rapidly in a radial fashion. Levels of 1% by weight of nitrogen are
typical at 50 microns. The defect core has a relatively constant hardness, approximately
2.2 times greater (in excess of Re = 64) than the base metal level.
Static Loading Conditions
Understanding how damage progresses under static loading conditions is important

to interpret more fully what actually happens under the more service applicable fatigue
loading ease. Acoustic and PD pararncters are summarized in Figure 2(a) for the case
of a large size surface defect. Output from both transducers increase monotonically as
stress is applied. Furthermore, visual observation of cracking is apparent at relatively
low stress levels less than 100 MPa. Conversely, the medium nitrogen level defects in
Figure 2(b) exhibited little PD or AE change as loading progressed (note the markedly
decreased signal magnitude for both PD and acoustic events). A post-test inspection of
these specimens showed that the "defect" was actually missing the core and as such
consisted only of diffusion zone; therefore the data presented in Figure 2(b) represent a
typical background level apparent with no cracking or damage. This absence of
Figure 2 - AE and PD datafrom surface defectsfor (a) a large, low nitrogen defect and
(b) two other uncracked, undamaged specimens (medium nitrogen defecO.
cracking is useful for determining a lower bound of AE and PD levels indicative of

crack formation.
Photomicrographs o f cracks emerging from a HA core are shown for a large, high
nitrogen surface defect in Figure 3. The large region of plasticity for the fiat cracks
illustrates the resistance encountered when the crack approaches the interface between
the diffusion zone and base metal. A similar stretch zone is apparent in the more
tortuous crack and a careful examination of the mierograph clearly illustrates arrays of
microeracks, indicative of extensive damage and crystallographic slip, distributed
throughout the diffusion zone. In general the HA core tended to exhibit single
continuous cracks with more numerous sites of damage typically apparent in the
diffusion zone.
Based upon the seven statically loaded surface defect specimens, crack initiation
was observed in the core in all cases at less than 140 MPa, and in many cases under
70 MPa. Crack progression into the diffusion zone was consequently delayed to higher
stress levels, typically in excess of 210 MPa. The observations further suggest that full
diffusion zone cracking does not occur until reaching stresses on the order of 350-700
MPa. Moreover, the static testing of surface defects also definitively illustrates that
both AE and PD responses provide good correlation to the physical observation of
cracking.
Figure 3 - Cracking in the HA defect core and through the diffusion

zone in a high nitrogen, large surface defect specimen
(defect core diameter is approximately 1.7 ram).
Data from some of the internal defect specimens are shown in Figure 4 illustrating
the influence of both defect size and nitrogen level. The acoustic activity observed for
the interior defects is approximately five times less than in the surface defect case.
Although the data trends are similar for the different cases, the large, high nitrogen
defect tends to crack at a lower stress level. Whereas for the surface defects the AE
events tended to increase steadily with loading, the interior defects tend to exhibit low
emission until high stresses (600-750 MPa) are achieved. A similar conclusion can be
reached by using the 75-100 millivolt potential drop threshold derived from Figure 2(b)
for the no-cracking case. Presumably, the ability to load an embedded defect to higher
stress levels must be a consequence of compressive residual stresses due to a mismatch
of thermal expansion properties between the defect and surrounding Ti-6-4.
Metallographic sections from two of the specimens are shown in Figure 5
illustrating the damage state after testing. The nature of damage in the internal defect
specimens differed from that observed in the surface defect specimens. Either the core
and diffusion zone were extensively cracked and shattered, as in Figure 5(a) and (b), or
the cracks were less numerous and smaller in length such as in Figure 5(c). Defect
shattering presumably occurred since the damage onset was delayed to higher energy,
higher stress conditions.
The acoustic activity from the two high nitrogen specimens in Figure 4(b) exhibits a
rapid magnitude increase during the last loading step. The corresponding acoustic event
location plots for the last two stress levels, illustrated in Figure 6 for the LHI-1
specimen and showing a burst of acoustic activity in the central region of the specimen,
is indicative of the HA core shattering. In general, more extensive damage was noted in
higher nitrogen defects, presumably indicative of a more brittle and less forgiving core.
Figure 4 - Data from (a) potential drop and (b) acoustic emission for
three internal defect specimens loaded statically.
Figure 5 - Metallographic sections of(a-b) a heavily damaged, high nitrogen internal

defect and (c) a less damaged, low nitrogen internal defect. The different positions in
the cross sections shown in (a) and (b) indicate how damage varies along the axial
length of the cylindrical defect. Interface cracking between the diffusion zone and base
metal, shown in (b) and (c), were commonly observed in the internal defect specimens.
Figure 6 -Acoustic event location mapping at two stress levels for a high nitrogen
defect specimen that exhibited defect core shattering similar to that shown in
Figure 5(a). The burst of acoustic activity at the higher stress level is
indicative of core shattering.
Fatigue Loading Conditions
The behavior of defects under cyclic loading is of paramount importance to this

program since the design methodologies under investigation focus on the fatigue issue.
The previous characterization of the static loading case is an important prerequisite for
understanding the resulting behavior under cyclic conditions since the first cycle is
effectively equivalent to a static event. However during fatigue cycling, the interest is
not only when the defect cracks but also how long before it progresses into the base
metal.
Linear trends of acoustic data (on a log scale), PD change and surface crack length
can be observed in Figure 7(a) for a high nitrogen, surface defect case. The maximum
acoustic energy measured is on the same order as that observed in Figure 4 for an
interior defect case. However, the number of acoustic events under fatigue loading
conditions is approximately 20x greater than under the static loading case. These
observations follow from intuition: the energy released during defect cracking should
be independent of loading whereas the events reflect the repeated nature of the loading.
Some initial testing suggested that characteristics of the acoustic response may he a
useful indicator of whether cracking occurs in the defect core, diffusion zone or base
metal. The variation of AE frequency is further examined in Figure 7(b) by combining
some data ~om a large defect loaded statically and one loaded in fatigue. Although the
average acoustic fi'equency does increase slightly and plateau during diffusion zone
cracking, the large variability (error bars) clearly indicates that the mean shifts are not
statistically significant. To further examine this issue, the data arc re-analyzed in
Figure 7(c) decoupling acoustic energy magnitude and frequency. During cracking in
Figure 7 - Data recorded during fatigue testing of a large surface defect in terms of (a)
acoustic emission, potential drop and visually measured crack length, (b) acoustic
frequency variation and (c) frequency as a function of relative energy magnitude.
the defect core and diffusion zone, the lowest energy acoustic events occur at a high
frequency. Conversely, when cracking occurs in the base metal, the acoustic emission
tends to occur at a more fixed frequency independent o f energy magnitude. Although
the data are few and repeatability has not been assessed, the differences observable in
Figure 7(c) are useful for diagnosing where damage occurs.
AE and PD data from one of the first, lowest stress fatigue tests on an internal defect
specimen (small defect size, high nitrogen) are shown in Figure 8. Both measures of
acoustic activity were of similar magnitude to the surface defect data (Figure 7(a)) and
exhibited a rapid increase over the first 20% oftbe applied cycles followed by a more
gradual plateauing. However the PD data exhibited virtuafly no change during cycling.
After cycling, the specimen was broken open and examined for evidence of fatigue
cracking. The region surrounding the defect exhibited ductile tearing with no evidence
of any fatigue cracking into the base metal. Due to the nature of cracking in the defect,
no conclusions could be drawn after static failure regarding fatigue cracking in the
defect.
Similar results and an absence of cracking were obtained from the first internal large
defect specimen. This implies that the acoustic data recorded during these tests
represent a lower bound of the energy and events required to fully crack the defect prior
to propagation into the base metal. Based on these data, a minimum of 2000 events
(small internal) and 6000 events (large internal) are required with total cumulative
acoustic energy in the range of 1-3(106) to result in (some degree of) defect cracking.
These levels are roughly validated with data from another fatigue test specimen
(large, internal defect) shown in Figure 9. The PD change indicated crack progression
for the last 2000 cycles of growth. Conversely, the plot of acoustic events and energy is
relatively smooth with no perturbation that can be clearly related to a change in
conditions. Using the earlier described acoustic threshold data, the event count exceeds
the threshold for the last 2000 cycles while the energy exceeds its threshold for the last
4000 cycles of growth. Presumably, this is a reasonable estimate of the earliest that
crack propagation into the base metal could have occurred from the defect.
Figure 8 - Fatigue test results (acoustic emission and potential drop) for a small,
interior defect specimen that did not exhibit any crack progression beyond
the defect and into the base Ti-6-4 metal.
Figure 9 - Fatigue test results (acoustic emission and potential drop) for a large,
interior defect specimen that exhibited greater amounts of base metal cracking.
During fatigue cycling, high R-ratio marker bands were applied to create artifacts on
the fracture surface suitable for post-test interpretations of crack progression. The
fracture surfaces for the specimen whose data are shown in Figure 9 as well as that from
another internal defect specimen are illustrated in Figure 10. The most effective
marking was achieved with the LMI specimen shown in Figure 10(b) with the two
marker bands. Moreover, the marking evident on the LLI specimen, Figure 10(a),
clearly illustrates the discontinuous nature of cracking. Zone 1 shows that the crack had
enveloped approximately 2/3 of the defect with at least two separate crack initiation
sites.
In addition to the synthetic defects discussed so far, two natural defects were fatigue
tested. A photomicrograph of one of these naturally occurring defects, in this case the
surface defect, is shown in Figure 10(c). A close examination of Figure 10(c) shows
that the defect is actually a void with the irregularly shaped diffusion zone a result of
the complete diffusion of the nitrogen core into the surrounding Ti-6-4 material.
Clearly, the character of the natural defect differs from the synthetic defects examined
herein, and in fact the stress levels required to result in cracking were higher for the
natural defect. This was evident despite the fact that numerous, pre-existing
microcracks were observed surrounding the void of the natural, surface defect.
The recorded data and fracture surface of the natural internal defect are shown in
Figure 11. The rapid increase in potential drop data-suggests that more significant
levels o f crack growth (presumably into the base metal) definitely occurred during the
last portion of the 690 MPa block, although it is impossible to definitively state when
the growth actually started. Nevertheless, the basic trend of the acoustic data recorded
during fatigue testing of the natural defect is consistent with that observed for the
synthetic defects. Acoustic events and energy initially increase rapidly, followed by a
slower increase as the levels reach an apparent upper bound magnitude. The similarity
of the magnitudes of both the acoustic energy and events is striking when comparing the
synthetic internal defect case (Figure 9) to the natural internal defect case (Figure 11).
Figure 10 - Photomicrographs of (a-b) exposed fracture surfaces for two interior defect
specimens after testing illustrating crack propagation and (c) a naturally occurring
surface defect viewed from the surface prior to testing. Zone l for inset (a) illustrates
the primary crack growth with failure eventually caused by overcycling during the
marker band. Conversely two marker bands can be observed in inset (b) following
propagation into the base metal surrounding the defect. The absence in inset (a) of a
diffusion zone surrounding the defect as observed more clearly in inset (lo) suggests that
the DZ/base metal interface must have cracked first to expose the surface shown.
F i g u r e 11 - Acoustic emission and potential drop data shown with the subsequent
fracture surface of a naturally occurring, internal defect that has been subjected to
fatigue cycling. Although the nature of the natural anomaly differs from the foregoing
synthetic defects, the trend of the observed data is relatively consistent.
Finally, the long, relative life of the natural interior defect is notable: the specimen
sustained over 90,000 cycles at various stress levels exceeding 340 MPa and including
13,000 cycles at 690 MPa.
Quantitative Interpretations of Potential Drop and Acoustic Emission Data
The potential drop and acoustic emission data were used qualitatively in this study
to infer overall cracking behavior. Extending this further to quantitative interpretations
of cracking is extremely difficult, in part due to the (initially) discontinuous nature of
defect cracking and the variety of three-dimensional crack geometries observed herein.
This is especially true for the potential drop method due to the close proximity of the
surface probes, high gain employed (both to maximize sensitivity) and the variable,
three-dimensional distance between the probes and growing crack.
In fact a close examination of the PD data from the internal defect specimens
(Figures 8, 9 and 11) illustrates at least an initial decrease and sometimes a more
sustained, cyclic decrease in signal magnitude. Although the sustained decrease might
have been a consequence of asymmetry between the external surface probes and the
internal damage, the exploratory PD data shown in Figure 12 (for an uncracked
specimen manufactured from a variety of materials) suggests other effects may have
been responsible. The trend of the steel and aluminum is as expected; following an
initial settling in, the PD signal exhibits steady behavior with fatigue cycling. Titanium,
on the other hand, exhibits more unusual behavior with the PD signal changing as a
consequence of applied load and also steadily decreasing with time. This reproducible
cyclic variation is quite large and is nominally equivalent to what could be a relatively
large surface crack. Clearly, this degree of variation could impact quantitative
interpretation of potential drop data; however the reason for this highly unusual
behavior is unknown.
f l t l n l u m / i d l m l : Ore,z = 690 MPa
aluminum: O.m = 400 MPa
0.10
0.05.
alumRJum
0.00.
~4L05
~ -0.10
..11.15
41.20 ' ' " . . . . . . I . . . . I ' " " " : "

50 100 150 200
time, sac
Figure 12 - Stability of potential drop output under cyclic loading

conditions for uncracked specimens fabricated from 4130 steel,
7075 aluminum and Ti-6-4 titanium. The indicated surface crack
range is an equivalent PD change for that size defect.
One reason that the acoustic emission data may prove more promising for
quantitative interpretation is that the method is relatively insensitive to the proximity of
the acoustic microphones to the region of damage. In a recent publication [12], Gong
et al. linearly correlated acoustic emission hits with crack length (nominally crack
surface increment or, effectively, growth rate) for fatigue crack propagation in plane-
sided, through-cracked specimens. The fracture mechanics stress intensity factor (SIF)
can consequently be used to correlate results between different specimens since the SIF
range is directly related to fatigue crack growth rate. Therefore, it is reasonable to
assume a similar linear relationship should apply herein for surface or internally cracked
specimens since, according to reference [13], the stress intensity factor in this case
varies with the radius, r, of the circular crack in the form r It2 (as opposed to crack length
air2). However for the propagating cracks considered herein, since the surface and
internal geometries were so irregularly shaped (ellipses, semi-circular or other more
unusual shapes) the crack length parameter used for correlation is crack front length.
Furthermore, it follows from intuition that acoustic emission should scale linearly with
the crack front; under identical growth conditions, a crack twice as long should emit
twice as many emissions as a crack half as long.
Crack front length (effectively the circumference of the crack) and acoustic
emission events were recorded for five surface and internally cracked specimens at
failure, This data, plotted in Figure 13(a), does indeed illustrate a linear trend between
these two parameters. The absence of a linear trend during the initial portion of the data
represents the part of the acoustic response indicative of distributed damage when
defect core and diffusion zone microeracking occurs, prior to full crack coalescence and
propagation into the base metal of the test specimens. The empirical fit in Figure 13(a)
can further he used to infer the acoustic event activity required to crack an equivalent
diffusion zone perimeter of the small defect (3140 events predicted) as well as the large
defect (4830 events). These predictions agree well with the acoustic event thresholds
noted earlier (2000 and 6000 events) that were based on observation of cycled but
uncracked defects.
It is worthwhile noting that the data included in Figure 13(a) encompass a range of
crack configurations, defect sources (synthetic and natural), and effective loading
conditions. The empirical curve fit in Figure 13(a), derived based upon data at failure
when crack size and shape were definitively known, is used to predict the marker band
size based upon acoustic events in Figure 13(b) for the LMI specimen. Clearly, the
prediction of marker band size in Figure 13(b) is an excellent validation of the empirical
approach given the uncertainties and assumptions employed in the approach. The
relative prediction error (shown to he equivalent to a radial error of 0.25-0.30 mm) is on
the order of the inherent variability in estimating feature sizes from the fracture surface.
In summary, this analysis provides a framework, admittedly only for the limited data
available, for how acoustic emission data can he used effectively to predict crack size.
McKEIGHAN ET AL. ON SENSING C R A C K NUCLEATION 33
(a)
50
m
measurements ~
E
E (b)
40
t~ - marker band size /
E 40
e " (specimen LM/) j
E
/
t-
0 @
.J
/.
3o
20 9 / /ength= -9.78+ 5.67(10"3)e v e n t s
3 "D
f 0.25 - 0.30 ~ n error
~ 2s / on markerbandradius
10 . . . . I , , , , I . . . . I . . . . I . . . . ,/,; . . . . : . . . . : . . . . :.
I I I I
2000 4000 61700 8000 10000 12000 25 30 35 40

Acoustic Events Measured Length, mm
Figure 13 - Quantitative correlation of(a) acoustic emission events with crack front
circumference for numerous surface and internally cracked specimens and (b) the
subsequent prediction of crack marker band size in an internally cracked specimen.
Conclusions
1. The variation of acoustic emission frequency alone is not a clear indicator of the
location of cracking. However when frequency is decoupled from acoustic energy,
differences between defect and base metal cracking can potentially he detected.
2. Under static loading conditions, the hard alpha core and diffusion zone in synthetic
surface defects tends to crack at stress levels less than 140 MPa. However crack
propagation through the full diffusion zone is delayed until stress levels of 340-
690 MPa are achieved. Internal defects can sustain much higher stress levels
(typically in excess of 550 MPa) before significant cracking occurs and when
damage does occur it is not uncommon for the defect shattering or large amounts of
interface cracking.
3. Under fatigue loading conditions, crack coalescence and growth occurs rapidly in
surface defect specimens. Conversely, the internal defects exhibited much greater
resistance to crack propagation into the base metal. Both sizes of high nitrogen
defects were subjected to fatigue loading at 345 MPa (R = 0.1) for either 10 or
25 kcycles with no observed crack growth into the base metal.
4. Unfortunately, the matrix of testing was neither sufficiently robust nor populated
with sufficient replicate tests to make definitive conclusions regarding the specific
effects of defect composition variables. Nevertheless, it appears that any influence
of defect composition is a second order effect masked in this study by the more
primary influences of the other major variables such as defect type (interior or
surface) or defect size (small and large).
5. Both acoustic emission and potential drop methods proved effective for sensing the
onset of crack progression especially into the base metal. Preliminary analysis
further suggests that acoustic emission event data may also be used effectively to
estimate crack size. A linear relationship between crack front length and acoustic
events was used successfully to predict the size of two marker bands on a single
specimen.
Acknowledgments
This work was funded by the FAA with Grant No. 95-G-041 and administered by
the FAA Technical Center in Atlantic City, NJ. The support of Messrs. B. Fenton,
J. Wilson and T. Mouzakis (FAA personnel) is acknowledged, along with the assistance
of Dr. G. Leverant (SwRI program manager). Furthermore, the efforts of SwRI
colleagues Messrs. H. Saldana, I. Rodriguez, S. Salazar (metallurgical) and Dr. A.
Minachi (NDE) are also acknowledged.
References
[1] Dillard, A. B., Clark, K. R., Denda, T., Hendrix, B. C., and Tien, J. IC,
"Reduction of Fatigue Life by Melt Inclusions in Ti-6AI-4V," Proceedings of the
Conference on Electron Beam Melting and Refining - State of the Art, 1992,
Reno, Nevada, October 1992, pp. 277-281.
[2] Lcverant, G. R., Littlefield, D. L., McClung, R. C., Millwater, H. 1L, and Wu,
J. Y., "A Pmbabilistic Approach to Aircraft Turbine Material Design," ASME
International Gas Turbine and Aeroengine Congress, Paper 97-GT-22, June
1997.
[3] Millwater, H. 1L, Fitch, S. H. K., Wu, Y.-T., Riha, D. S., Enright, M. P., Leverant,
G. R., McClung, R. C., Kuhlman, C. J., Chell, G. G., and Lee, Y-D., "A
Probabilistically-based Damage Tolerance Analysis Computer Program for Hard
Alpha Anomalies in Titanium Rotors," submitted and accepted for publication,
The 45~ ASME International Gas Turbine and Aeroengine Technical Congress,
Munich, Germany, May 2000.
[4] McKeighan, P. C., Perocchi, L. C., Nicholls, A. E., and McClung, R. C.,
"Characterizing the Cracking Behavior of Hard Alpha Defects in Rotor Grade Ti-
6-4 Alloy," Fatigue Behavior of Titanium Alloys, R. R. Boycr, D. Eylon, and G.
Lutjering, Eds., The Minerals, Metals and Materials Society, 1999, pp. 349-356.
[5] Gigliotti, M. F. X., Perocchi, L. C., Nieters, E. J., and Gilmore, R. S., "Design and
Fabrication of Forged Ti-6AI-4V Blocks with Synthetic Ti-N Inclusions for
Estimation of Detectability by Ultrasonic Signal-to-Noise," Review of Progress in
Quantitative Nondestructive Evaluation, Vol. 14, 1995, pp. 2089-2096.
[6] Leverant, G. R., et al.,"Turbine Rotor Material Design," Final Report delivered to
the Federal Aviation Administration under Grant No. 95-G-041, August 1999.
[7] Barnett, W. J. and Tmiano, A. R., "Crack Propagation in the Hydrogen-Induced
Brittle Fracture of Steel," Transactions of the AIME, Vol. 209, No. 4, April 1957,
pp. 486-494.
[8] McKeighan, P. C. and Smith, D. J., "Determining the Potential Drop Calibration
of a Fatigue Crack Growth Specimen Subject to Limited Experimental
Observations," Journal of Testing and Evaluation, JTEVA, Vol. 22, No. 4, July
1994, pp. 291-301.
[9] Advances in Crack Length Measurement, C. J. Beevers, Ed., EMAS Cradley
Heath, UK, 1982.
[10] Shanmugbam, S. and Liaw, P. IC, "Detection and Monitoring of Fatigue Cracks,"
ASM Handbook Volume 19 on Fatigue and Fracture, ASM International, 1996,
pp. 210-223.
[11] Lindley, T. C. and Mclntyre, P., "Application of Acoustic Emission to Crack
Detection and Measurement," Advances in Crack Length Measurement, C. J.
Beevers, Ed., EMAS Cradley Heath, UK, 1982, pp. 285-343.
[12] Gong, Z., DuQuesnay, D. L., and McBride, S. L., "Measurement and
Interpretation of Fatigue Crack Growth in 7075 Aluminum Alloy Using Acoustic
Emission Monitoring," Journal of Testing and Evaluation, JTEVA, Vol. 26, No. 6,
November 1998, pp. 567-574.
[13] Tada, H., Pads, P. C. and Irwin, G. R., The Stress Analysis of Cracks Handbook,
Second Edition, Paris Productions Incorporated, St Louis, MO, 1985.
Adam Towse, 1 Christopher Setchell, 2 Kevin D. Potter, 1 Andrew B. Clarke, 1 John H. G.
Macdonald, 3 Michael R. Wisnom, 1 and Robert D. Adams 4
Use Experience With a Developmental General Purpose Non-Contacting

Extensometer With High Resolution
Reference: Towse, A., Setchell, C., Potter, K. D., Clarke, A. B., Macdonald, J. H. G.,
Wisnom, M. R., and Adams, R. D., "Use Experience With a Developmental General
Purpose Non-Contacting Extensometer With High Resolution," Nontraditional
Methods of Sensing Stress, Strain, and Damage in Materials and Structures: Second
Volume, ASTM STP 1323, G. E Lucas, P. C. McKeighan, and J. S. Ransom, Eds.,
American Society for Testing and Materials, West Conshohocken, Pa, 2001.
Abstract: An improved form of video extensometry has been developed using the simple
technology of CCD cameras. The system is capable of tracking multiple targets at high
speed with sub-pixel accuracy using interpolation algorithms. Output in the form of the
(x,y) location of each target is available, ensuring that the applicability of the system is
not just for tmiaxial testing, but for many other forms of experimental strain analysis and
displacement measurement. Examples of the use of the system are included: uniaxial
testing of low and high modulus materials, shear strain measurement in adhesive joints
and displacement measurement of long span bridges.
Keywords: extensometry, video tracking, displacement measurement, shear strains, tensile

testing
Nomenclature
x x co-ordinate of the template y y co-ordinate of the template
adhesive shear strain t adhesive layer thickness
da corrected displacement of the adhesive layer in adhesive joint shear test
I Research Student, Senior Research Fellow, Research Student and Professor respectively.
Department of Aerospace Engineering, University of Bristol, University Walk,
BRISTOL, UK
Research Assistant. Department of Computer Science, University of Bristol, Merchant
Venturers Building, BRISTOL. UK
3 Lecturer. Department of Civil Engineering, University of Bristol, University Walk,
BRISTOL, UK
4Professor. Department of Mechanical Engineering, University of Bristol, University
Walk, BRISTOL, UK
362012
Copyright
(PDVSA Los9Teques)
2001 by ASTM
pursuant Intemational
to License www.astm.org
Agreement. No further reproductions authorized.
TOWSE ET AL. ON NON-CONTACTING EXTENSOMETER 37
Introduction
The need for the development of a non-contacting displacement measurement device

extends across many fields of engineering. For example, the measurement of
deformations of large scale structures is difficult since there is often no local reference to
which relative displacements may be measured. Accelerometers would normally be used
for monitoring dynamic movements, however for the pseudo-static and very low
frequency displacements often involved, the errors in the double integration process are
exaggerated rendering these instruments unsuitable. Excellent examples of such
structures which require continuous displacement monitoring are long-span bridges [ 1,2]
for which the hardware and techniques illustrated in this paper were originally developed
[3].
From a materials testing viewpoint, it is very often the case that the specimen under
test is either a difficult shape for extensometry (e.g. adhesive joints), or operating in an
environment where conventional forms of extensometry suffer (e.g. high temperature
creep). Even for simple uniaxial extensometry, the traditional methods of strain or clip
gauges suffer the disadvantages of susceptibility to damage upon failure, and the need for
skilled operators to apply the devices.
Further problems in the use of clip gauges or strain gauges are seen when attempting
to measure strains on low modulus materials. It has been shown both theoretically [4] and
experimentally [5] that the presence of strain gauges can significantly affect the modulus
and strain to failure of low modulus materials by locally stiffening the material under
consideration. Similar problems exist in the extensometry of thin, higher modulus
materials, such as Aluminium foil [6]. The problems are not limited to strain gauges,
however, as clip gauges deform thin materials due to the springs and installation forces
required to hold the clip gauge in place. For very thin specimens, the weight of the gauge
alone can cause significant deformation, as well as the knife edges on the clip gauge
causing premature failure.
Alternative approaches to contacting forms of extensometry have been discussed in
some detail in a recent review [7], the systems presented including photoelasticity,
thermoelasticity, Moir6 interferometry and shearography. These systems are typically
very accurate, and many provide full-field strain information. However, they almost all
require skilled operators to perform the test and post-process the results; hence there is
need for a simpler and more widely applicable system of strain measurement. The system
presented in this paper is of the video type, and solves the usual resolution problem by the
use of interpolation algorithms that are capable of operating on live video signals at 25Hz
to provide sub-pixel resolution. Other video extensometry systems operate primarily upon
a linear mark on the specimen, the edge of which is tracked by the system [8]. Clearly
this is acceptable for uniaxial tension or compression tests, but is limited for other
applications of displacement measurement due to the 1-D nature of the displacement. The
system as presented in this paper has wider applicability as the targets are irregular marks
which are tracked in two dimensions, allowing output of the x and y location of the
targets.
General Principle of Operation
The system tracks and records the (x,y) spatial locations of a number of visual targets
on the structure or specimen under consideration. A typical visual target consists of a
number of high contrast concentric circles, viz.: ~ . A video camera is positioned such
that the movement of the target is within the camera field of view. The output from the
camera is fed into the tracking system where it is digitised at a rate of 25 frames per
second to a resolution of 768 by 512 pixels. Before tracking can begin, the user must
define each of the targets to be tracked, to a maximum of eight targets. This involves
using a cursor to draw a rectangular box around each target, with the resulting sub-image
stored in memory and known as the template. To track a target the system has to search
each image for the region which most resembles the target's stored template. The location
of the best matching region subsequently provides the new (x,y) co-ordinates of the
target. The target will be equally well tracked whether it is moving in the x direction, the
y direction, or a combination of both.
There is insufficient time to search the whole image for each template and,
consequently a prediction algorithm is employed. This algorithm examines the position of
the template from the previous n frames and performs some simple extrapolation to
predict where the template is likely to be in the next frame. Only the portion of the image
within the vicinity of the predicted position is searched for the template. This allows the
tracking to be performed quickly, up to the full 25Hz frame rate from the camera.
An interpolation algorithm is used to achieve sub-pixel resolution. When searching the
image for the region that best matches the template, a correlation function is used. This
returns a score of how well the template matches the underlying image when the template
is at a position (x,y) in the image. The image is then searched for the (x,y) which gives
the best value of the correlation function. This function is then evaluated for each of the
eight neighbours of this point. A biquadratic equation is then fitted to these nine samples
using a least squares error technique. The interpolated position of the template is then
found by differentiating the fitted function and calculating the position of the optimum
fit.
During tracking, the system writes to disk a file which contains, for each frame, the
sub-pixel (x,y) co-ordinate of each target. In addition to this data, the system logs the
value on each input of a three channel A/D converter, allowing a record of external
analogue voltage inputs, such as load cell output.
System Errors and Resolution
The video extensometer functions by detecting changes in the position of target

features in the image formed at the CCD array, and writing these positions to file. It is
important to note that the detection and measurement takes place in the plane of the CCD
detector and that the dimensional changes in the plane of the physical specimen are
inferred from the changes in the image. Thus the first stage in identifying the resolution
of the system is to demonstrate that the image maps the physical specimen in a direct
fashion.
The images produced by all optical systems introduce some distortion between the
object and the image. With wide angle or fisheye lenses these distortions are immediately
obvious. With high quality conventional lenses the distortions are at a much lower level,
but it can not be assumed that they are absent.
I f a pair of targets in fixed relation to each other is traversed across the image field, the
measured distance between them is seen to reduce slightly as they move away from the
optical centre of the lens. The level of this reduction depends on factors such as the
quality of the lens and the focal length, as well as the distance from the optical centre of
the lens. This means that calibration for these optical effects is needed each time the
optical set-up changes, due to moving the camera, changing the focal length etc.
Calibration for optical effects is carried out as follows. Firstly the camera is set up to
be perpendicular to the image plane and is locked in that position. The camera is then
focussed on a set of orthogonal lines that cover the area to be used for measurement. The
lines in the resulting image are found not to be exactly straight. Using the measured line
trajectories and standard equations for optical distortion, correction factors are derived
that convert image position relationships to sample position relationships. These sample
position relationships can remain in relative terms, so that strains can be extracted
directly, or the known dimensions of the orthogonal grid can be used to convert them into
absolute dimensions.
This technique gives a full-field calibration of the whole of the image plane. The
software for this calibration takes approximately 20 seconds to perform the necessary
computations. There is, in addition to the generic distortion that all lenses will show, the
possibility of distortions that are specific to the individual lens to be used, or to other
inconsistencies in the system. These can be taken into account by a subsequent calibration
if the very highest level of resolution is required. In this case a pair of targets are
traversed across the image field and the measured distance between them is mapped. As
the true distance between them is known to be fixed any very small, residual, changes in
the distance can be used to define a calibration curve for that trajectory on the image.
Fig 1 shows unfiltered data for the change in distance between two targets in fixed
register to each other as they are traversed across the image. This data was obtained after
carrying out a calibration for optical aberration, but no other inconsistencies have been
calibrated out. The data presented here covers 50 pixels of movement and a total of 120
data points were taken. For each data point the absolute deviation from the mean has been
calculated and converted into a proportional deviation based on an initial gauge length of
500 pixels.
ASTM Standard E83, Verification and Classification of Extensometers, covers the
classification of conventional extensometers. It divides extensometers into various classes
depending on the maximum error of indicated strain. Whilst the approach taken to
characterise the video extensometer does not conform to the ASTM standard it is possible
to compare the errors in fig 1 with the standard. The maximum proportional error in fig 1
is 0.00006, which would put the video extensometer into the second or B 1 category.
40 NONTRADITIONAL METHODS OF SENSING STRESS/STRAIN
0.0001
i / RMS deviation
Proportional
deviation from
mean for 500
0000051 ~__.../ . . . . . .
pixels initial
distance
-00000
-0.0001
Movement of targets pixels
Fig 1. Deviation from mean versus target movement for two targets of a fixed distance
being traversed across the image field.
Also shown on fig 1 is a line drawn at the calculated root mean square (RMS) value of
the deviation. In proportional terms the RMS deviation is 0.000018 (18microstrain) for a
500 pixel initial target to target distance or 0.009 pixels in absolute terms (on the image
plane). That is to say that the RMS deviation is less than 1/100th of a pixel.
The data discussed above and shown in fig 1 was obtained from the latest standard of
the correlation algorithms and associated computer hardware. The case studies referred to
in the next section utilised an earlier standard of software and hardware which was not
capable of such high levels of resolution. Despite this it will be shown that even at this
earlier standard the video extensometer was capable of giving reliable and accurate
performance. Where resolution is noted in these case studies the resolution figures have
been estimated by taking a suitable trendline through the data and calculating the
deviation between individual measured points and the trendline, an RMS value has then
been taken from the deviations from individual points. These resolution values should
therefore be taken as indicative of the performance of that standard of the extensometer
rather than being a rigorous measure of resolution.
Case Studies
To check the validity of the system in comparison to accepted methods of strain
measurement, a test on mild steel was carded out. A mild steel dogbone specimen was
tested in an Instron 1341 under displacement control, with a clip gauge (Instron model
2620-603), strain gauge (model FCA-3-11 by Tokyo Sokki Kenyujo Co Ltd, gauge factor
2.12) and video extensometer targets all mounted in the gauge length.
The output from the clip gauge and strain gauge was monitored by a Dialog data
logging unit with the video extensometer system monitoring displacement from the
templates. Four templates were tracked in a square pattern as shown in Fig. 2 - this figure
was taken from the video recording of the test. The use of four templates allows checking
for in-plane bending of the specimen by comparison of the axial strains from each side of
the dogbone, as well as two measures of the Poisson's ratio. The use of the video was for
future re-analysis of the test using the video extensometer.
TOWSE ET AL ON NON-CONTACTING EXTENSOMETER 41
The stress-strain curves from the three extensometry devices are shown in Fig. 3,
along with the Poisson's ratio measurement from the strain gauge and the video
extensometer.
Figure 2. Example of targets used to monitor strain with video extensometer
It may be seen that there is very little difference between the three methods of axial
strain measurement, but the Poisson's ratio curve from the vision system shows
more scatter than the strain gauge.
In the elastic region, the longitudinal tensile strains are less than 0.1% ensuring that
the transverse strains resulting from Poisson contraction will be around 0.03%. Due to the
placement of the targets needing allowance for overall translation of the specimen during
test without the targets moving off the camera field of view, the resolution that was seen
in this particular test was around 0.05%. Consequently, the Poisson's ratio data below
0.1% longitudinal strain is unreliable, although the trend of increasing Poisson's ratio is
evident. It is worth noting that the high stiffness and small displacements inherent in a
test of mild steel make this a difficult validation exercise, requiring optimum resolution
from the video extensometer for good data.
Calibration of the vision system using both the doubly integrated accelerometer output
on a cable stayed bridge, and also 2D displacement monitoring on an earthquake shaking
table was carried out. These results, described in reference [3], prove the accuracy of the
system for displacement tracking, and therefore strain measurement, is comparable to
traditional methods.
To demonstrate the applicability of the system, four additional examples are given.
These four examples are not exhaustive - many more applications for 2D tracking can be
imagined; the four mentioned here are just some of the applications examined to-date.
3OO
i
250
i
1 . .
i
200 _
150.
100_ ]
I..- . . . . . . c~p g.uoe
5O
0 i i i i
0 0.2 0.4 0.6 0.8 1
Engineering Stnlln (%)
1 ...............................................................................................................................................................................
0.9
0.8
0.7
~ 0.6
"~ 0.5
w
w 0.4
0.3
0,2
~ ;
0.1
0
0.2 0.4 0,6 0.8
Longitudinal Englneedng Strain (%)
Fig 3. Comparison of stress-strain response and Poisson's ratio for the three measurement
devices
Low Modulus Materials
Three sizes of bulk adhesive specimens (figure 4) were tested under uniaxial tension
using the video extensometer to monitor the strain. Due to the localised stiffening effect
of strain gauges, and the fact that the smaller specimens were too small to be strain
gauged, the use of the video extensometer was critical. Fig. 4 shows the specimen
geometry.
The smallest specimen had a gauge length of only 3.75mm with a width of 0.75mm,
hence the two 'U' profiles shown in Fig, 4 were necessary to protect the gauge length
during mounting in the test machine. Once the specimen was mounted, the 'U' profiles
were cut away with a hand-held diamond wheel cutter to leave the only load path between
the jaws through the specimen gauge length. All three specimen sizes were marked with
four templates in a similar fashion to that shown in Fig. 2, although with the smaller
specimens only solid dots of ink could be applied, rather than the concentric circles
shown in Fig. 3. The system tracked these targets acceptably well, although the degree of
resolution was seen to be less (1/20th pixel resolution). Further details are given
elsewhere [9].
Fig 4. Specimen geometry for bulk adhesive tests.
Fig. 5 shows the resultant stress-strain curve and Poisson's ratio measurement for the
smallest specimen size, along with a screen shot of the templates used in the test. The
shape of the Poisson's ratio curve is a consequence of the polymeric nature of the
material, and has been noted in previous work [ 10]. Furthermore, tests on this adhesive
system using strain gauges have shown the same curve for Poisson's ratio, although both
the tensile and transverse strains are reduced by the stiffening effect of the strain gauge.
This implies that, in this test, strain gauges, even when stiffening the base material, are
still capable of correct measurement of Poisson's ratio. This may not be the case for other
setups and should be reviewed on a case by case basis.
Fig 5. Tensile stress-strain curve, Poisson's ratio and target definition for smallest
specimen size
High Modulus Materials
Tests were undertaken on a novel form of unidirectional carbon fibre reinforced plastic
(CFRP) material, manufactured by Neptco Inc. under the trade name 'Graphlite'. The
material is provided in circular rods of 0.7mm and 1.7mm diameter in a pre-cured form of
Intermediate Modulus carbon fibre in an epoxy matrix. It was required to measure the
tensile and compressive response of the 0.7mm diameter rod, and also to determine the
Poisson's ratio of the rod during axial testing. The rods were marked by placing four
small white targets (Fig. 6) on the gauge length of the specimen, and by using the video
extensometer system with a high magnification lens it was possible to obtain an image
that filled the available capture area with the relevant section of the specimen.
Fig 6 . . 7 m m diameter compression testing specimen prior to testing.
By tracking the movement of this square array of templates it was possible to calculate
both longitudinal and transverse strain of the specimen and hence calculate Poisson's
ratio.
A summary of previously unobtainable data is shown in the form of a stress strain
curve for the 0.7 mm rod, Fig. 7. Figure 7 shows the expected non-linearity in the stress-
strain behaviour of CFRP with a substantial reduction in stiffness at high compressive
strains. The results achieved with this new form of non-contacting strain measurement
have compared favourably with larger diameter rods of the same material [11] in which it
is possible to attach strain gauges to verify the system.
TOWSE ET AL. ON NON-CONTACTING F_.EXTENSOMETER 45
Fig 7. Mechanical properties of 0.7mm Graphlite rod
Shear Measurement in Adhesive Joints
The measurement of shear in adhesive joints is an important aspect in determining

bulk adhesive response, and is especially critical in the calibration of Finite Element
Analysis (FEA) to experimental test. There are many methods of determining the strain in
the adhesive, for instance by using test machine displacement (generally inaccurate as the
other parts of the joint experience finite strains), Moir6 interferometry (difficult to use,
subject to considerable preparation of the specimen, but providing excellent results) or
dedicated extensometry specific to a particular test (for example, the Krieger and Althof
[12] extensometry for the Thick Adherend Shear Test (TAST)). All these methods have
advantages and disadvantages, and through the application of high resolution video
extensometry system it was hoped that an alternative, easy to use and accurate method of
in-situ strain measurement could be formulated.
In an attempt to correlate the results of FEA to experimentally measured in-situ shear
strains, double-lap joints (DLJ), using the 3M EC3448 adhesive, were manufactured with
the geometry as shown in Fig. 8.
Fig 8. Double lap joint geometry. Inner adherend 3mm thick, outer adherend 1.5mm
thick, adhesive bond line 0.7mm thick
The adherend materials were unidirectional Intermediate Modulus CFRP. The purpose
of the front and rear adhesive fillets and reverse tapering of the adherends was to reduce
the through-thickness peel stresses in the CFRP. A white dot was placed on the central
adherend as close as possible to the bondline interface, with a corresponding dot placed
opposite on the outer adherend. As the resolution of the vision system relies on using as
much of the available image from the camera as possible, each joint was marked at only
one location, and the lens on the camera zoomed in so as to fill the field of view. Dots
were placed at the front, middle and rear of the parallel overlap region of the joints, as
shown in Fig. 9. The overall dimensions of the joint were measured using an
instrumented microscope, with the position of the dots and the bondline thickness
between the dots noted.
Fig 9. Markings on the double lap joints, showing front, middle and rear markings
The DLJ was mounted in the testing machine, and the master templates were captured
taking as much care as possible to ensure that the centre of the templates corresponded to
the points between which the distances were measured on the instrumented microscope.
This was necessary to allow for calculation of the shear strains in the adhesive after the
test was completed.
The test was then carried out, with the (x,y) locations of the dots recorded along with
overall machine load. To determine the adhesive shear strain, a correction must be made
for the compliance of the adherends, as some of the displacement recorded is due to
interlaminar shear in the composite, as the centroid of the dots was not on the interface
between adherend and adhesive. This was calculated using FEA as no other analytical
solution was quickly available. Due to the very close proximity of the dots to the interface
(typically less than 0.2mm), the correction for adherend compliance was found to be
small. It should be noted that any error in the matching the template centres to the points
at which the distances were measured on the instrumented microscope only directly
influences the level of this small correction factor. The adhesive shear strain was
calculated by the following formula (where d a is shear displacement in adhesive and t is
adhesive layer thickness), both d a and t are expressed in pixels.
tany = d ,
t
It was seen that the majority of the displacement of the dots was in the loading
direction, with 'peel' displacements so small as to be ignored in the calculation of the
distance moved by the dots. A plot of the applied load vs. the resulting adhesive shear
strain is given in Fig.10 for three joint tests (front, middle and back).
30
25
2o
_~ is
10 ~ 9 % ) 1
5 7 z3~ , !'-~'-
Back(86
-"0--Front (19:~:I
0 5 10 15
(%)
Engineedng shear slrain
Fig 10. Experimental adhesive in-situ shear strain
It may be seen that there is less shear strain in the centre of the joint than at the ends
for the same applied load. This is expected from the 'bath-tub' distribution of shear in an
adhesive joint. The shear strains for the two outermost measurement positions would be
expected to be very similar, figure 10 shows the strain outputs from the two positions to
be essentially identical, providing additional confidence in the video extensometry. This
data was then used to correlate the FEA results and make judgements as to the
applicability of the material models used.
Displacement Measurement in Large Structures
A first generation video system was originally developed [13] for monitoring
displacements of the Humber Bridge [ 1], a suspension bridge with a 1420m main span.
Improvements were then made to give the system [3] which was installed on the central
cable-stayed bridge of the Second Sevem Crossing (456m main span) [2].
The objective of the monitoring on both bridges was to measure both static and
dynamic displacements to understand the performance of such structures more fully and
to improve numerical modelling techniques. The fundamental natural frequency of such
bridges is of the order of 0.1Hz, which is in the limit of the range measurable with
accelerometers. Whilst pseudo-static displacements from effects such as the weight of
traffic, the steady component of wind loading and temperature effects are also of interest,
so a direct displacement measurement system was required for this application.
The equipment on the Second Severn Crossing comprised three video cameras which
were synchronised together and with a data acquisition computer logging outputs from
other instruments including accelerometers, anemometers and temperature sensors. Since
the vision system was under development at the time of testing the outputs from the
cameras were recorded onto video tape and then processed on the system back in the
laboratory. Two or three camera outputs were multiplexed as alternate fields onto the
same video tape. Modes of vibration up to approximately 1Hz contribute significantly to
the displacement in this case, so a sampling frequency of several hertz was required. The
full frame rate of 25Hz was more than adequate, although the multiplexed rate of 12.5Hz
was sometimes used.
The cameras were situated at the base of one of the main pylons, on very stiff brackets
to minimise camera movement. Lenses of focal length 800mm were used to focus on a
field of view of approximately 1.5m by 1.1m near the centre of the main span, over 200m
away. Circular targets of reflective material on a matt black background were used, which
were illuminated to enable tracking at night and to minimise variation in the brightness of
the targets. Simultaneous tracking of targets on the north and south sides of the bridge
deck using two cameras enabled the pure vertical and torsional components of motion to
be distinguished. The third camera pointed directly up the pylon to a target at the top to
establish the relationship between deck and pylon displacements.
Typical outputs of the vision system and integrated accelerometer data are shown in
Fig. 11.
~" 10
E 0 '~ ~': ~.
~ - 10 ~i f' ,~~J'~i'~i'll"
-2O
~ -30
~ -40
~ -50
> -60
-70 4 4
0 50 100 150 200
Time (s)
5
~4
;3
~o
-2
5O 51 52 53 54 55 56 57 58 59 60
Time (S)
Fig 11. Comparison between displacements measured by vision system and calculated
from accelerometer for typical deck motion of the Second Severn Crossing
An extended period of tracking is shown first, along with a selected sample of the
displacements between 50 and 60 seconds. It can be seen that for periods up to
approximately 10s the agreement is good, with the error being less than 0.5mm
(approximately 1/10 pixel). For longer periods there does seem to be a drift between the
displacements calculated from accelerometer readings and those from the vision system.
The characteristics of the vision system and accelerometers are such that the drift was
probably arising from the accelerometer readings, but this cannot be independently
verified. The origin of the small perturbations in the magnified plot for the vision system
is not fully understood, some could be real movement, equally optical aberrations in a
200m long path from camera to target could be important. In this case the dynamic
displacements can be reasonably estimated from accelerometers (fundamental bridge
frequency 0.34Hz), the longer period movements from traffic, wind pressure and
temperature are more likely to be reliably measured by the vision system.
Summary
The vision system discussed in this paper is the culmination of work over many years
at Bristol University. Initial versions of the software ran on bespoke hardware using
transputer chip technology. The current version has been ported across to conventional
PC based hardware to make it more reliable and easier to use, as well as improving the
interpolation algorithms to maximise the resolution and permitting automatic calibration
for optical aberrations. The use of PC based hardware means that the computer hardware
costs in the region of 3000 pounds sterling at April 2000 prices. The results outlined here
in terms of system accuracy could be improved by the use of CCD cameras with higher
resolution than the 768 by 512 pixel camera used to-date.
The advantages and disadvantages of the use of the video extensometry system
described here are discussed below.
Advantages
Displacements can be measured at a number of points on the specimen, Poisson
contractions or shear strains can be measured easily.
Scale insensitive, measurements can be made, from microscopic to civil engineering
scales.
No direct contact is required so that measurements can be made on samples in extreme
or aggressive environments.
Measurements can be made on delicate specimens such as biological materials without
any possible influence from the measuring equipment.
Measurement can continue up to the point of failure without risk of damaging
equipment.
Proper choice of the initial distance between targets permits maximum resolution over
small strains or measurements to very large strain levels.
Pattern matching approach allows the use of natural features on the sample as targets,
targets do not have to be of a regular geometry.
System resolution comparable to conventional means of extensometry.
Equipment cost is moderate and the necessary computer equipment can be utilised for
other functions than extensometry.
Disadvantages
System measures an image rather than directly on the specimen. Calibration is needed
for optical aberrations, although this calibration is quick to carry out and a software
solution is available.
The video extensometer system cannot be calibrated as a stand-alone unit as the
specific lenses, focal distance etc will influence the optical aberrations.
If the image plane of the CCD and the sample plane are not parallel an error will be
introduced into the measurement. The camera should be set up accurately for optimum
accuracy. Any error due to inaccurate set-up can easily be calibrated out for a specific line
of measurement, but is not easy to calibrate out over the full field. A software solution to
calibrate out this source of error over the whole field is under development.
The maximum frame rate is set by that of the camera, with 25Hz being most common.
Very rapidly moving targets may be 'lost' by the system. Any target which leaves the
image field is lost and live re-scaling is not possible. However, very large displacements
can be coped with by the correct selection of the initial set-up
The current system does not meet the requirements of the highest classification of
conventional extensometers. Improvements in CCD camera technology may relieve this
limitation in future years.
It has been demonstrated in the preceding sections that the video extensometry system
has applications that extend into many fields of engineering. The use of an interpolation
algorithm allows a CCD camera system to have similar resolution to strain gauges and
clip gauges, but with substantially greater applicability and reduced costs in application.
The most useful aspect of the system is the tracking of templates in two dimensions,
as the uses it may then be put to are many and diverse, as has been demonstrated. For
many materials tests, the non-contacting aspect of the system is likely to be important, as
high-temperature and corrosive environment tests can be monitored. This of course
assumes the specimen under consideration may be viewed from a location where the
camera can be positioned without damage.
References.
[ 1] Stephen, G.A., Brownjohn, J.M.W. and Taylor, C.A. Measurements of Static and
Dynamic Displacement from Visual Monitoring of the Humber Bridge. Engineering
Structures, 1993 15 197
[2] Macdonald J.H.G., Dagless E.L., Thomas B.T. and Taylor C.A. Dynamic
Measurements of the Second Severn Crossing, Proc. Inst. Civil Eng.: Transport, 1997
123 241
[3] Macdonald J.H.G., Taylor C.A., Thomas B.T. and Dagless E.L., Real-time Remote
Monitoring of Dynamic Displacements by Computer Vision, In 6th Soc. Earthquake and
Civil Eng. Dynamics Conf., PP. 389-396, Oxford, March 1998
[4] Perry, C.C. Strain-Gage Reinforcement Effects on Low-Modulus Materials, In

Manual on experimental Methods for Mechanical Testing of Composites, I st edition,
1989, pp.35-38 (Elsevier Applied Science, London).
[5] Duncan, B.C. and Tomlins, P.E. Measurement of Strain in Bulk Adhesive Testpieces,
National Physical Laboratory Report DMM(B)398, Teddington, 1994
[6] Keyte, R. and McEnteggart, I. A Tale of Two Tests, Materials World, 1997, 5,704-
706
[7] Patterson, E.A. (Ed) Special issue on advanced optical techniques, j Strain. Analysis,
1998 33 75-
[8] Luecke, W.E., Sources of Strain-measurement Error in Flag-based Extensometry. a~
American Ceramic Society. 79, 6, 1617-1626
[9] Towse, A., Potter, K.D., Wisnom. M.R., Adams. R.D. Specimen Size Effects in the
Tensile Failure Strain of an Epoxy Adhesive. j. Material Science. 33 (1998) 4307-4314
[10] Dean, G.D., Duncan, B.C., Tensile Behaviour of Bulk Specimens of Adhesives.
National Physical Laboratory Report DMM(B)448, Teddington, 1995
[11] Clarke, A.B., Development and Verification of a Standard Test method for Small
Diameter Unidirectional Carbon Epoxy Rods. Proc. 4th ECCM Composites Testing and
Standardisation, Lisbon, Portugal, September 1998
[12] Vaughn, L.F., Measurement of Basic Mechanical Properties of Adhesives for
Design Use, PhD thesis, University of Bristol, UK, July 1998.
[13] Stephen, G.A., Dagless, E.L. Taylor, C.A., A Visual Tracking System for the
Measurement of Dynamic Structural Displacements. Concurrency: practice and
Experience, 1991 3 357
Narayanaswami Ranganathan, 1 Nicolas Gerard, 1 Abdellah Tougui, 1 Ren6 Leroy, 1
Mohamed Benguediab, 2 Mohamed Mazari, 2 Yves Nadot 3 and Jean Petit 3
Analysis of Fatigue Crack Propagation by Quantitative Fractography
Reference: Ranganathan, N., Gerard, N., Tougui, A., Leroy, R., Benguediab, M.,
Mazari, M., Nadot, Y., and Petit, J., "Analysis of Fatigue Crack Propagation by
Quantitative Fractography," Nontraditional Methods of Sensing Stress, Strain, and
Damage in Materials and Structures: Second Volume, ASTM STP 1323, G. E Lucas,
P. C. McKeighan, and J. S. Ransom, Eds., American Society for Testing and Materials,
West Conshohocken, Pa, 2001.
Abstract : Based on constant amplitude fatigue tests on 12 mm thick plates, in a 2024

T351 aluminum alloy, a previous study has shown that the spatial distribution of
predominant facies reflects the effects of stress intensity factor and the load ratio. In this
paper, this technique is applied to constant amplitude crack propagation tests to thin
plates of the same material, and it is shown that the quantitative fracture surface analysis
method developed permits to distinguish the effects of fracture mechanics parameters,
Results obtained under variable amplitude tests are then analyzed. The fracture surface
analysis permits the identification of a change in fracture mode and accurate life
evaluation can then be made after taking into account the observed change. In the case of
an aluminum lithium alloy this method cannot be directly applied due to changes in
fracture mechanisms under variable amplitude loading. But an analysis is carded out by
taking into account associated changes in crack closure levels, which leads to excellent
life predictions under variable amplitude test conditions.
Keywords : Fatigue crack propagation, variable amplitude loading, fractography,

striations, facets, dimples, quantification, aluminum alloys, life prediction
1professor, Research scholar, Assistant professor and associate professor, respectively,

L.M.R., E.I.T., 7 avenue Marcel Dassault, 37204 Tours Cedex 03, France.
2Assistant Professor and Lecturer, respectively, Institut de G6nie M6canique, Universit6 de
Sidi bel Abbes, 22000 Algeria.
3Assistant Professor and Research Director respectively, Laboratoire de M6canique et
Physique des Mat6riaux, U.M.R 6617, ENSMA, 86960 Futuroscope Cedex, France.
Copyright by ASTM Int'l (all rights reserved); Sat Jan 28 07:48:5652EST 2012
Copyright
(PDVSA Los9Teques)
2001 pursuant
by ASTM Agreement. Nowww.astm.org
Intemational
RANGANATHAN ET AL. ON QUANTITATIVE FRACTOGRAPHY 53
Modem engineering structures are designed for maximum performance efficiency

by using high strength materials and by optimizing the design stresses. Under such
conditions, for structures subjected to variable amplitude loading in service, as in
commercial or military aircraft, fatigue failures can occur. Hence, it is very important to
determine the conditions leading to fracture and to develop accurate life prediction
methods.
In the past, fracture surfaces were visually examined qualitatively, and it was
possible to identify the kind of loading (tension-tension, bending ) or the crack initiation
sites. Nowadays, scanning electron microscopy is extensively used to examine fracture
surfaces. Depending on the material and loading conditions, different fractographic
features representative of fatigue failures can be identified, such as fatigue striations,
crystallographic facets or dimples [1,2]. Recently, quantitative examination techniques
have been developed to analyze fracture surfaces, see for example [3], for composite
materials. Using such techniques, a very detailed analysis of the conditions leading to
fracture can be carried out. Such examination can give valuable information on the type
of fracture and to some extent on the causes leading to failure but the method provides
only partial indications of the mechanical parameters governing fracture.
In the first part of the paper, a brief review of the different methods recently
developed for metallic materials are presented and their salient features are discussed.
Next, the method utilized by the authors is developed in detail. The possibilities of this
method are then analyzed based on fatigue crack propagation tests on thin sheets of two
aluminum alloys (2024 T351 and the 8090C T851). The test conditions studied are:
constant amplitude (CA) tests at three load ratios and variable amplitude (VA) tests
using two aircraft wing loading spectra.
Different Techniques for the Study of Fatigue Fracture Surfaces
Previous studies have shown (for example [4]) that in thin plates subjected to
fatigue crack propagation tests, shear lips are developed on either side of the fracture
surfaces. The size of the shear lip increases with the maximum stress intensity factor,
K ~ , in a fatigue cycle. Thus measuring the shear lip size permits the estimation of this
fracture mechanics parameter. However, under variable amplitude conditions, the
relationship between the shear-lip size and the stress intensity factor becomes more
complicated. Moreover, the shear-lip formation is usually correlated to the existence of
plane stress conditions near the specimen edges and as such this technique cannot be
applied to cases where plane strain conditions prevail.
Ever since the observations of Forsyth [5] concerning the formation of fatigue
striations, different authors have tried to correlate striation spacing to the stress intensity
factor amplitude, AK. The study of Hertzberg [1], indicates that striation spacing should
be related to the effective stress intensity factor amplitude, AK cfr, which represents the
value of AK corrected for closure effects. A recent study [6] indicates that the striation
aspect ratio, represented by striation height to width ratio, depends upon the load ratio
R (ratio of minimum to maximum loads in a fatigue cycle), at a given AK. Thus the
measurement of the dimensions of striations can permit the determination of AK and 1L

two important parameters characterizing fatigue loading. However, the authors are not
aware of the use of this technique under in service loading conditions. Also, striations are
not observed in all materials and test conditions, thus limiting the use of such techniques
[2]. It should also be remarked that at low AK values near threshold, striation like steps
are observed, which do not correspond to classical ductile striations [2]. Another
difficulty of this technique is the fact that such measurements need stereo fractographic
observations at very high magnifications ( x5 000 to xl0 000 ) and can be time
consuming.
Gokhale et al. [7], have developed digital imaging techniques for measuring the
fracture surface roughness parameter and the fractal dimension. They have successfully
correlated the fractal dimension to various mechanical properties of steels, such as
ultimate strength, impact energy or creep rupture parameters. This technique should be
capable of measuring fatigue fracture parameters as well.
Quite recently, Kobayashi et al. [8] have proposed the use of confocal optic
scanning laser microscopy to determine matching fracture profiles from mating fracture
surfaces to determine fracture mechanics parameters such as AK and R. They propose
the creation of a library of typical profiles characteristic of different loading and
environmental conditions by determining the Fourier transforms of the digitized images
of the fracture surfaces. Any other profile can then by analyzed in comparison with
previously known profiles.
The reader is referred to References 2 and 3 for an assessment of different
techniques under development. An elegant method consists of using a particular block
loading pattern to identify crack closure levels for a growing fatigue crack by Sunder et
al. [9]. This technique consists of measuring striation spacing using TEM replicas of the
fracture surface and the load amplitude in the block for which the striation spacing
becomes constant, corresponds to the effective stress intensity factor amplitude.
Method Presented in This Study
The method developed by the authors is based on the fact that for a polycrystalline
material subjected to mechanical loading, all the grains do not undergo the same local
stresses because of the differences in orientation of individual grains with respect to the
remote loading axis. As a result different locations in the fracture surface may indicate,
different fracture mechanisms (this translates, physically, changes in the Schmid factor
from grain to grain). For aluminum alloys subjected to fatigue, the predominant facies
observed are crystallographic facets, striations and dimples which are described
below[2,10].
Crystallographic Facets (CF)
These facets occur along specific crystallographic planes, usually, corresponding to

(100) or (111) planes, and are observed on alloys with coherent precipitates like the
(I) Ductile striations ($1), (2) Fragile striations ($2), (3) Pseudo-cleavage (H.B.)
(4) Dimples (DO and (5) Dimples (1)2).
Figure 1 Different fractographic features.
2024 T351 alloy near threshold and in moderate to high AK levels for aluminum lithium
alloys, in air [2,11, 12].
Pseudo-Cleavage Facets or Herringbone Patterns [liB]
These facets are also crystallographic in nature and owe their name to the typical
Herringbone shape (see Figure lb).These facets are observed when at least two (111)
slip planes activated. The cracking is along a (100) plane with concomitant crack growth
in two mutually orthogonal <100> or <110> directions [12,13].
Striations
Previous studies have shown that two kinds of striations are observed - ductile and
fragile striations. Ductile striations (S0 correspond to the kind of striations for which the
striation spacing is comparable to the crack growth rate. These striations are associated
with a plastic blunting process occurring at the crack tip [14]. Ductile striations are
observed in the 2024 alloy for crack growths greater than 8 10.8 m/cycle, for tests in air
[2].
Fragile striations, (S2)have a more "broken appearance" whose spacing remains
constant independently of the macroscopic crack growth rate [2,15]. It has been
suggested that these fragile striations represent also a part of the static component
leading to fracture [15].
Dimples
Dimples are also of two kinds, small circular dimples (D0 and large elongated
dimples with a broken inclusion inside (D2). The first kind of dimples are observed at
moderate AK levels in the 2024 alloy, and are associated to environment associated de-
cohesion around intermetallic phases or dispers6ides [10]. Elongated dimples (D2) are
formed by static de-cohesion around large precipitates or by particle rupture. Their
aspect ratio, representing the length to width ratio increases with K ~ [Z 10].
Careful examination of fracture surfaces indicates that, for a given loading
condition and at a given crack length ( i.e. for conditions where the fracture mechanics
are essentially the same ) more than one of the above mentioned fractographic features
can be observed on the fracture surface which corroborates the fact that locally, at the
scale of a grain size, the fracture mechanisms can be different. Examples of fractures
surfaces in the aluminum alloy 2024 T351 are shown in Figures la and lb, where the
most of the significant fractographic features are identified.
In the previous study [10], it was shown that the spatial distribution of these
significant fractographic features depends the loading conditions. To quantify the
eventual effects of loading conditions represented by the stress intensity factor amplitude
AK and the load ratio R, CA tests using compact tension specimens were carded out at
five different load ratios, using 12 mm thick compact tension specimens.
io0
(a) --o--Striations (S1+$2) R=0.1
--*- Dimples (01)
-'-~'- Dimples (02)
80
60
, //.
40 9 //
.//
20
I
0 20 30 4O
K=.~,:(MPaqm)
(b) 1 o o
- - ~ Striations ( S l + S 2 ) R=0.7
---*--Dimples (01)
. . . . ,z.- Dimples (02)
80
./r
ii
60 /
/
/
#, 40
2O
ol f
10
I'1 1" /
20
1~ 1
30
" ~ - "~T i
4.0
K,-..,, (MPa.~/m)
Figure 2 Striated and dimpled areas at (a) at R=O.1 (b) R=0.7.
(a)
100
9, R = 0 , 0 1 - - average curve R=0.01 and R=0.1

R=0.10
6. R = 0 . 3 3 . . . . average curve R=0,S4
9 R=0,54
80 O R=0.70 . . . . . average curve R=0.70
o
-&
/'
s 60 / ?
/
O /'
t, /
//
/"
40 ~, /
/"
~/ .
20
x.. --~ & j-J & /./-''/"
t l /""
I I I I r f r
10 20 30 40
Kin., (MPa ~/m)
(b)
100
. . . . I ' 'r'=l' I . . . . I . . . . I . . . .
80 o 0.01
O -[3"--- 0.7 I
t'~
.,,.
60
+
"--"40
N 20
0 , , , i I , , , , | , , ~ , I , , , , I , , , ,
0 I0 20 30 40 50
K~x (MPa,dm)
Figure 3 Quantitative analysis of(a) Dimples (Dj et Dz) expressed in terms of Km~
(b)H.B. and striations
RANGANATHAN ET AL. ON QUANTITATIVEFRACTOGRAPHY 59
The broken specimens were then examined in a scanning electron microscope,

typically at a magnification of X500. However, a more detailed analysis is carded out at
higher magnification (up to X5 000) to distinguish between finer details like striations $1
and $2. The spatial distribution is determined by using the technique developed by
Underwood [16], which consists of placing a transparent grill on the fractograph or on
the microscope screen and by counting the number of times a particular feature coincides
with the grid knots. The point count thus obtained is then converted into areal coverage
percentage. In our method, three measurements were made at a given crack length, (that
is, at a given AK), by placing the grid randomly oriented (to avoid any biased results)
and mean values of spatial distributions of the details mentioned above, were obtained.
Previously obtained results for the 2024 T351 alloy (given in [10]) are presented
here to give an overview of the technique. Figures 2a and 2b show the spatial
distributions of the significant fractographic features at load ratios of 0.1 and 0.7 with
respect to the maximum stress intensity factor, Km~. In these figures, the space occupied
by pseudo-cleavage facets (HB) is not given. The effect of fracture mechanics parameters
is clearly visible in these two figures. The range of Kr~ covered by a particular
fractographic feature is significantly differem when comparing the two load ratios. For
example, striations are observed in the range 10 MPa ~fm < K~, <35 MPa ~ at R
=0.1, while the corresponding range at R=0.7 is 30 MPa r ~ < K~, <45 MPa x/-m.
These results can be analyzed in terms of AK as well and different load ratios can be
distinguished [10]. The objective of this paper is to compare fracture surfaces obtained
under CA and VA conditions and it is convenient to interpret the results in terms of Kma~
as this parameter is easier to identify under VA conditions where load amplitudes change
from cycle to cycle.
In Figure 3a, the area occupied by dimples are shown for different R ratios. It can
again be seen that the effect of R ratio can be easily distinguished. The curves for lower
R ratios start at low K ~ levels, than at higher ones (depending upon the test
conditions). At comparable Km~ levels, typically at a value of 25 MPa 4-m, the space
occupied by dimples is about 40% at R = 0.1, while its about 5% at R = 0.7.
The fact that, features like, HB and $1 are formed by cyclic slip processes were
used to make a quicker analysis. By plotting the area occupied by both these features
with respect to Km~, the effect of R ratio is clearly visible, as can be seen in Figure 3b.
For the low R value the area occupied by these two features falls from nearly 100% at
low ~ values near threshold to about 20% at a Kma~of 30 MPa x/-m. At R =0.54, the
evolution is similar but the Km~ range is from 20 to 45 MPa 4-m.
Bloc programmed tests (containing four different mean levels - experimental details
can be found in [10]) and variable amplitude tests using a transport aircratt wing loading
spectrum were also analyzed. By comparing the evolution of significant fractographic
features (HB and striations and dimples) for these tests with those obtained from
constant amplitude tests it was shown that an equivalent Km~ value and R ratio can be
determined for the VA test conditions studied [10].
In the present study we shall examine the poss~ilities of this quantitative
ffactographic analysis technique to constant and variable amplitude fatigue crack
growth, on thin sheets in comparison with the previous study on thick plates.
Experimental Details
The tests described in the present study were carded out on thin sheets (1.6mm
thick) of the 2024 T351 alloy and an aluminum lithium alloy 8090 CT851. The
composition and mechanical properties of the two alloys studied are given in Table la
and lb respectively.
For the 2024 alloy, the average grain size is on the order of 100 I.tm x 50 ~tm x 10
l~m in the long, transverse and short directions. For the 8090 alloy the grain size is 100
~tmx 100~m x 30~tm.
CA fatigue crack growth tests were carded out for different R ratios ranging from
0.1 to 0.7. The tests were carded out in air using center cracked specirnens, 80mm wide
and 1.6mm thick. The specimens were tested in the L-T oriemation.
Table la Nominal composRion of the studied alloys (in wt %) - AI remaining)
Alloy Li Cu Mg Mn Zr Fe Si Ti Zn Na
2024T351 4.26 1.45 0.63 0.02 0.21 0.1 0.04 0.1 -
8090CT51 2.34 1.14 0.55 0.1 0.14 0.05 0.03 0.03 0.001
Table l b Nominal mechanical properties
Alloy Y~M Ultimate Tensi~ Elongation Kc MPa

S~es~0.2%) Strength (MP~ (%)
(iV0
2024 T351 390 500 16 52
8090C T851 350 420 9 40
The stress intensity factor is estimated according to the formula given below [17]
see- (1)
K= BV2W 2
where
P is the applied load,
B, the specimen thickness
or, the normalized crack length = 2a/W, with
a, the half crack length and
W, the specimen width.
1200 I I I I IIII I I I I I1111 i I I I IIIII i I f I I IIII1 I I I I IIII
1000 | O max at30

a 121 m at30
! a
! A max at20
t~
800 a a a <> rrfinat20
tl
a a
,-q a
"0 ~t
ts ~kO
600 ~
A A 0/~ t
A A O A
A "13.
40O
A
/x ~ l l l
h
0 U I1 O
1~ 13 O
200 U gl <110
mm ~>0 0 9
1 u o
0130 ~I
I I I Illll I l lllilil i i lllllIl
OL ' I I I I IIIII I I I I II
1 I0 I00 I000 10' 1#

t~l ~
Figure 4 Distribution of loads in the two spectra studied.
V A fatigue crack growth tests were carded out on these alloys using the transport
aircraft wing loading spectra ac30 and ac20. The test spectrum contains 1000 different
flights and each flight contains, in an average 22 cycles per flight for the ac30 spectrum
and about 206 cycles for the second spectrum. Both the spectra are derived from the
same statistical distribution o f loads on a hypothetical transport aircraft. The ac30
spectrum represents maximum load omission. Thus the basic difference between these
two spectra is that the ac20 spectrum contains more low load levels, as can be seen in
Figure 4, which gives the distribution o f loads for the two spectra studied.
The specimens were pre-cracked by constant amplitude loading at R =0.1 up to a
half crack length o f 4 mm at a maximum stress o f 93 MPa. Then the ac20 spectrum was
applied until a half crack length of 12mm was reached. The maximum load for this VA
test conditions was the same as that used for pre-cracking.
Then the ac30 spectrum was applied with reduced loads at a maximum stress of
46.5 Mpa. The test using this spectrum was carried out up to a half crack length of
about 30 mm. These conditions were chosen to cover a K ~ p range of 10 to 23
MPa 4 ~ for both the spectra, using a single specimen. ~ is estimated using equation
(1) with the load P equal to the maximum load in the spectrum (occurring once per
spectrum pass) and the current crack length.
The load variations were applied to the specimen using an Instron fatigue testing
machine driven by a computer. The loads applied to the specimens were within 5% of the
expected values (the differences can arise out of specimen response variations to the
input signal due to compliance changes [18]). Compressive loads were truncated to a
level of 50N in order to avoid specimen buckling. The test frequency was 20Hz and all
tests were carded out in laboratory air (at about 20~ ).The crack length was monitored
using KRAK gages with a precision of 0.01 mm on one side of the specimen, and on the
other side optical measuremems (for verification) were made with a traveling microscope
(X25). The crack lengths measured using crack gages were within 0.5mm of those
measured optically. The crack growth rate, Aa/flight, was determined by the secant
method [17], i.e.
a(i)- a(i- 1)
Aa / flight = (2)
N (measure)
where,
a(i) is the current crack length
a(i- 1), the previous crack length and
N(measure) is the crack length measurement interval, typically 100 flights.
After fatigue tests, the broken specimens were examined in a scanning electron
microscope and the spatial distribution of significant fractographic features were
determined using the method described above. For a given crack length (i.e. at a given
Km~xvalue ) three measurements were made, typically, at a magnification of X600. The
area observed is about 82000 Ixm2. This corresponds to the area covered by about 16
grains for the 2024 alloy and 10 grains for the 8090 alloy. This represents about 50% of
the grains across the thickness. The position for fractographic analysis (at a given crack
length) was chosen randomly near the mid section of the specimen away from the outer
surfaces.
Experimental Results and analysis
2024 T351 alloy
(a) (b) -5
10
10 -~.
-11
1 0 .6
z
~3 -6 63
"G" 10
z
-r
o 7
1o Z
m
z
F
110 " 8 0
.? Z
I0 O
C
Z
--t
1 0 .9
<
rn
"13
"n
0
10 "1~ I 0 "8
5 10 20 30 10 15 20 25
3o
5K (MPa.4m) K,~x~p(MPa.~/m) "u
=r
Figure 5 Crack propagation rates for the 2024- I"351 alloy

(a) CA conditions (b) VA conditions
CO
Figure 6 Typical fractographs for the 2024-T351 alloy, CA conditions.

Shared areas indicated by ~.
Figure 7 Typicalfractographs for the 2024-T351 alloy, VA conditions
Figure 5a shows the crack growth resistance obtained from constant amplitude
tests. It can be seen that the crack growth rate depends upon the AK value and the load
ratio R. The results are quite comparable to previous results on the same alloy [19].
Figure 5b shows the relationship between crack advance per flight with respect to the
maximum stress intensity factor, ~ for the two studied spectra. At a given value of
K~o~, crack growth rate under the spectrum ac20 is about 3 times faster than under the
spectrum ac30.
Typical fracture surfaces for CA conditions are next given in Figure 6. The fracture
surfaces are covered with pseudo-cleavage facets, striations and dimples as observed
before on thicker plates. But in thinner plates (in the present study), another facies are
observed which cannot be classified in the categories mentioned above. These facies are
called sheared areas as indicated in this figure.
In Figure 7, fractographs obtained for VA tests with the ac30 spectrum are given.
The fracture surface is covered with practically the same kind of features as for constant
amplitude tests. However, for variable amplitude tests, almost no sheared areas are
observed.
Figures 8a and 8b, present the results of the quantitative fractographic analysis for
CA and VA test conditions. In Figure 8a, pseudo-cleavage facets are grouped with
striated areas, as they are observed generally in similarly oriented grains (see also [10]
and [20]). Also, to distinguish between striations and pseudo-cleavage facets,
observations have to be made at higher magnifications (up to x5 000 or higher), making
the fracture surface examination time consuming. The main idea behind the technique
developed here is to make rapid observations of fracture surfaces at low magnifications
of about x500. The following observations can be made:
CA conditions
At R = 0.1, the cyclic slip features like HB and striations are observed in the range
4 MPa ~ < K ~ , <22 MPa ~fm, while the same features are observed in the range 8
MPa ~ < K ~ <40 M P a d m at R =0.7. Thus the range of K ~ in which the two
features are observed depends upon the R value. At a Kmax of about 10 MPa x/-m, the
area covered by these two features is about 50% at R=0.1 while it is on the order of 70
% at R=0.7. With respect to the fracture surface coverage by dimples, the results are not
as significant as for thicker plates (compare Figures 3 and 8). Despite this fact, it can be
seen that the effects of loading parameters K ~ and R can be evaluated by studying the
spatial distribution of the significant fractographic features, thus confirming previously
obtained results. Incidentally, the sum of the areas represented in Figure 8 does not reach
100% as sheared areas are not represented here.
Comparison between CA and VA conditions
RANGANATHAN ET AL. O N QUANTITATIVE F R A C T O G R A P H Y 67
(a)
I II " "
,,, .................. ~.+.~Y.:+.:.+._....+ ....... ~..o..~__+ ....... +..........
......................
~i. .
~ '-L~........................
...................... ~ ...-- ................
....
~ ...............
.....
iO
~+
40
c~ _ _ . , ~ . ~ . , . -
20
'-oAC2+ l i i i
-.-QAc3o l ............................... ~................... i......................
. . . . . i 9 i . ,. 9 t + +
10 20
Kmax,Km~sp (Mpa.qm)
(b)
100
. . . . . . . . . . . . . . . . . . . . 2024 T351
i .................... i .................... i ....... t e,o
80
i i ] AR:0 7
6 0 .....................~ ................ i. . . . . . . . . ......... [ ~Ac3o
40
20
i , , , , z . . . . , . . . .
0
0 10 20
Km~,K~,~p(Mpa.~/m)
Figure 8 Comparison of areal coverage of significantfractographic features under VA

and CA conditionsfor the 2024-T351 alloy (a) ll.B. and striations (b) Dimples
i) For VA tests, the space occupied by the predominant facies, represented by pseudo-
cleavage and striations is much higher than that observed for CA tests.
ii) The sum of the space occupied by psedo-cleavage and striations and by dimples
reaches almost 100% for VA tests. It should be noted for CA tests the area occupied by
"sheared areas" is not represented in Fig.8a.
iii) In the ~ range examined, the space occupied by striations and pseudo-cleavage is
about 5 to 10% higher for the ac20 spectrum than for the ac30 spectrum and
concomitantly dimples occupy a higher space for the ac30 spectrum.
iv) It can be seen that at comparable K ~ values, the space occupied by the predominant
facies (liB + striations) are about 30 to 40 % higher for the variable amplitude loading
than for CA tests.
Based on the results in Figure g, it is difficult to establish a correspondence
between these two test conditions. This result is apparently in contradiction with
previous results in thick plates [10] where it was possible to compare the areal coverage
of significant fraetographic features for CA and VA test conditions for the same alloy.
This result indicates that thin sheets tested under VA conditions have a particular
behavior.
8090C T851 alloy
The fatigue crack growth resistance curves under CA conditions is given in Figure
9a. Comparing Figures 5a and 9a, it can be seen here that the effect of R ratio is more
significant on this alloy than for the 2024 alloy. The crack growth rates are the lowest for
R =0.1 and the highest at R =0.7, throughout the AK range examined. For R =0.5, a
transitional behavior is observed : at low growth rates (da/dN < 10-8 m/cycle) the crack
growth rates at R =0.5 and 0.1 are comparable, while at higher growth rates the
behaviors at R=0.5 and 0.7 are comparable.
Figure 9b shows the relationship between crack advance per flight and K ~ v the
two studied spectra. As for the 2024 alloy, crack growth rates differ by a factor of 3x for
the two spectra (see Figure 5b for comparison).
Typical fractographs at for CA conditions are shown in Figure 10. In this material
and in the studied CA test conditions practically no dimpled or striated areas are
observed (see also Figure 6 for the 2024 alloy). The fracture surface is marked by the
presence of large out of plane blocky crystallographic facets (CF) and pseudo-cleavage
facets. By chemical etching and by examining electron back scattering patterns, some of
these large crystallographic facets have been identified to be close to (111) plane [12,20
and 21].
Typical fractographs for tests under VA conditions are given in Figure 11. Under
these loading conditions the fracture surface is almost entirely covered with Pseudo-
cleavage and striations and practically no facets are observed.The disappearance of facets
Is}
I~ . . . . . . i i,,, i i , , ;. . . . . . . ;
J:i ~ i ! i i i~i,!L ! i i i :iii i [ ' i i
i
Iiiii ; ~ ~ i iiHT~LW; ~ i i ::i':i~ i i i [ I
Liill } i i i !i'~ ==' ~ i iii~! i i ! i i~

_ \~. i 9 ,-,
-. i 2
E
li
T_!! {~
1
".
i
!
il]]~" ~
OWWll
~
~]im-: i
i
i B iI ~
I
9 !ii!}ii i i iiii'~ ~.i i

~no
i i iiiiiii i i ii! ~1 ioi" i
l, ~ i i i
T".. CO 'r
"o "o '~
Z"
O q S ! ~ / m ) ~qS!g/~V
i! !i!} } ~iii}[i [ ii!}!i!} i iii!i!ii i ii}}i}ii i o

'I~~T ' : i " % ' Ttt,~ ................it?! ...................... t t 't .................. t " t .......... t .........
iJ]!ii J ]h..'~:!~uI~] i ] ]]] ] ] i

""T'V'I . . . . . . . . . ! . . . . . . . . . . ~I"P~'?" F ' T " ! ' " i [ TT!'T" "'T-~ . . . . . . . . . ? " "FI"" " ' 7 . . . . . . . . ! . . . . . . . . . . 7 " ! " ~ ' T " " - ! " " " ' 7 . . . . . . . . ~J
!H[[]"~ '~ .......... ~ H ! t i i i i ~ v ~ ? i t ] ~ .......... i+i~]"t '{"?-"~ ........
[-}.}-~--H----}.--,-~
..........N!tit}~! .........~P~--.=~-~+~ ..........it{~t~i~ .........
ii-i-i-.i..~..-i-I..........ii-i-!-t.~.-.i-+-.-!..........:i.~t.~.~..i..i..
,-:~:~.~-,
~...~.~.=~.i.i,<,,v...~...~,i.~.t.~..i...i.....
---,-,, 9 ?......... I Jr}
..... ~ i .... i :: iiii[ii
..... ~.......... i i ~ / i F i [
i :: ~ i , ~ i i
!.........~ [ ~ s
~n~,ii:~,
~TI~.IF~
i
.........
E
- ] ][!ii[ii [ ]~ii~:~zl ii]iiii i
~_ . . .............. ~~i~-~-; ~ ) ......... < : ; ; i T T ~ ~ ! ; ' F " T " ~ .........
H!Ii!I i i i!iiill i ! ._[][i i i
?,9 ~ " ~ " ...............~:-~~~r:~
!i!i~[~ i l
......... ~ii~!i~i
~~~~~~"~ : ~
.......... HIIlll
~ ' r ~ " ~ r ~ ~ [" ~ [ .........
""''" ~ii!ili i ] iii]!i! ] i i~iili I ]

:~}i~ [ i ? [ii[{J [ i
~'~ s ~ 'd . . . . . ": : iillgLi i i iii[iii i ! iHii~[ i
o
(D 0 0 '0 0
0
.r.. .r,.
(010,~0/tu) NP~P
Figure I0 Typicalfractographs for the 8090C-T851 alloy, CA conditions.
Figure I1 Typical fractographs for the 8090C-T851 alloy, VA conditions.

Note absence of crystallographic facets.
under VA loading conditions has been previously observed in an Al - Li alloy and has
been attn'buted to a particular change in micro-mechanism [21].
Figuresl2a and 12b give the results of quantitative fractographic analysis for CA
and VA conditions. The following observations can be made.
CA conditions
It can be observed here that the range of K~, covered by a particular fractographic
feature is significantly different for the three R ratios studied. Also, for a given R value
at low K ~ levels, the fracture surface is almost covered by HB facets and as K ~
increases CF facets appear and they become more and more predominant. Differences
can be highly significant between the different test conditions, as shown in Table 2
below. Thus the spatial distribution of significant fractographic features again is
representative of the test conditions represented by K~, and R.
It should he remarked here that area covered by CF increases with K~, at a given
value of R. This marks a significant difference from the kind of crystallographic facets
found only near threshold in the 2024 alloy or in other aluminum alloys containing
coherent precipitates in vacuum [2], for which the number of facets decreases as K ~
increases.
Table 2 Spatial distribution (% area covered) of significant fractographic features -

8090C T851 alloy
R 0.1 0.1 0.5 0.5 0.7 0.7
K~.~ Pseudo Facets Pseudo- Facets Pseudo- Facets

MPa~ cleavage (HB) (CF) cleavage (HB) (CF) cleavage (CF)
(HB)
]0 28 60 60 30 80 12
20 10 90 25 60 62 25
30 20 70 38 45
Comparison between CA and VA conditions
The absence of crystallographic facets under VA conditions with the concomitant

appearance of striations show that the fracture surfaces are very much different from
those observed under CA conditions and as such no conclusions can be drawn from this
preliminary analysis.
Ca)
100 - -
80. + "-i, ~-~.~ P

m . 9 + ........... +~ +
................................ ~+ ..................... !................... f+ ....... ..:..,.: .......

................. +\ + :: .....
+ .............. i ....... ~ ............. +................. +. . . . . . . . . . . . .
~+ 40 +OgOC tZS ...... + ...... -->" .......+;.......... +. . . .
OR:0,+ \+ "+~ +
.--=,:o.s .". . . ~ ................. +........... ~ + ~ , ....
2o - , : o ~ . - ~ ........... +................. +.................
E]AC30
- - . . . . . . , . . . . l + + + . . . .
0 S 10 15 20 25
Kr~x, K~x~p ( M p a A m )
(b)
100 . . . . !
........................ , ............................................. i ........................ . .......................
80
..: +,+i l ............... i........... " + + "............
- IIR=O.Sl +/ + + _
60 . ,,.o., I ........... ~ ~ + + + " .......
. . . . . . >AC+O I ....... ~ - - .......................
CJ + _+,o,, ,./ ..............
: i - i
.....................+..........
40
20 .........................
...................... +................ ~ .......... + + ; + iii+ii+iii:::-+
........ , +
......................... +................ ,...~+++.++.::~._~..:.~.+......~...+ ....................
_ , . . . i , . ~ - ~ ':-' ....
0
0 S 10 15 20
Km~, Km~.p(MImAm)
Figure 12 Comparison of areal coverage of significant fractographic features under VA

and CA test conditionsfor the 8090C-T851 alloy (a) H.B. and striations
(b) Crystallographicfacets
Discussion
Analysis of the 2024 T351 alloy
In this study, the area occupied by significant fractographic features is correlated to

K ~ and R. A more refined analysis should consider AK and closure effects. This can be
possible only for CA test conditions as all the above mentioned parameters can either be
estimated or measured [20]. As it was mentioned before, only K ~ and R are considered
for CA conditions, to enable a comparison with VA conditions where ~ is
considered to be the major fracture mechanics parameter. Certain authors consider a
characteristic K value for VA conditions estimated using other criteria as a root mean
squared value [22]. The above results indicate that whereas for constant amplitude
conditions, the effects of K_,~ and R can be observed in the evolution of the area
occupied by significant fractographic features, it is not possible to establish a correlation
between constant and variable amplitude tests. This seems to he in contrary to
previously obtained results in thick plates [10].
In the case of the 2024 alloy, it was mentioned above that under VA conditions,
the absence of sheared areas makes it difficult to compare with results obtained under
CA conditions. Sheared areas under CA conditions were observed near the specimen
edges at low K~.~ levels they cover larger areas as K.~, increases and at high K,~x values
they are even observed at the mid section of the specimen. These features were
predominant in the shear lips and were hence associated with a plane stress fracture
mode (see also [4]). The fact that the sheared areas were not observed under VA test
conditions indicate that under such loading conditions the specimen behaves as if it were
not under fully plane stress.
To verify this aspect, the spatial distribution of the fractographic features under the
AC30 spectrum for 1.6 mm thin sheet (present study) is compared with those obtained
in the previous study from 12 mm thick plate [10], Figure 13. It can be seen here that
the surface coverage for thin sheets is almost in total agreement with the results observed
on thick plate. This result seems to confirm that under the VA condition studied here,
the thin sheet behaves like a thick plate in which a plane strain mode is predominant.
To push this analysis further, life estimations were made using a linear summation
technique, i.e., for a given K value, the crack advance under VA loading, Aa/flight, is
estimated by
zla/flight = ~ ( da/dN ), (3)

where (da/dN)i corresponds to the crack advance due to the load cycle i in the spectrum.
90
80
O l] HB + striations (CT)
O 121 Dimples (CT)
O O HB + Striations (CC'
70 X Dimples (CCT)
60
50
40 1:1
30
s
20
-x"fi •
10 I I I J I i i I I I I I I I [ I I I I -[
10 15 20 25 30
K ~ M P a x/-m
Figure 13 Comparison of areal coverage of significant fractographic features for

thin specimens CCT(this study) and thick specimens CT (previous study).
da/dN is determined according to the crack growth law established for thick specimens,
i.e.
da/dN = C' * (A/G~}" (4a)
where ,AK~r = U* AK, with U, the Elher's efficiencyparameter [23].

In the original work of Elber [23], it was proposed that the value of U depends
only upon R. The previous study on thick plates has shown that the value of U depends
upon Km~ and R, according to the following experimental relation [24]
{a) (b) I O" s "q
Z
0
Z
"11
3 "
t~
--4
Z
10 .6 r-
E rn
E ..-I
"-"2 0
c~ r.o
o 0
"1"1
E
m
r.,) Z
i 0 -7
Z
1
GO
10' 1 0L 1 0~ 1 04 1 0s 1 06 --t
:73
m
N u m b e r o f flights
--I
21o
i0-81
lu 15 20 25
Kmaxsp(MPa. qm)
Figure 14 Comparison of experimental results and estimations 2024-I"351

(a) Crack length evolution (b) Crack growth rate
U = 0.03 + 13" K,~ + 0.36"R (4b)

The constants in equations (4a) and (4b) are given in Tables 3a and 3b.
Table 3a constants in equations (4a)
Range of AK~ in MPa ~ C' m

<4.5 3.83 10~~ 2.5
>4.5 1.51 10l~ 4.0
Table 3b Value of the constant fl in equation (4b)
K ~ range in [3
MPa4~
6< K~x<l 0 0.47
10< K ~ < 1 7 0.047"K~
Km~>17 0.8
The summation [represented by equation (3)] carded out through the whole
spectrum (i.e. 22547 cycles for the ac30 spectrum ), from the initial to the final crack
length. Retardation effects due to overloads were not considered, as under the studied
spectra, the most severe overload corresponds to an overload ratio o f 1.6 at a nominal
load ratio o f 0.54. Under such conditions the retardation effects are minimal [25].
Figures 14a and 14b compare respectively, the estimated and measured evolutions of
the crack length versus the number of flights and the crack advance per flight. The
estimations are very close to the reality and the life estimated is 105000 flights which is
within 28% of the measured life of 134000 flights. Similar results are obtained for the ac20
spectrum as well [20].
Analysis of the 8090C T851 alloy
In the case o f the 8090 alloy, it was mentioned above that comparison between the
fracture surfaces under CA and VA conditions was not possible due to changes in
mechanisms observed under VA conditions. In this material, striations are observed
under VA conditions which were totally absent under CA conditions while facets are
present under CA conditions that are not observed under VA conditions. This unusual
behavior is exploited further to estimate life for this material under VA conditions.
As a first step, life estimations were made according to the crack growth law
established for thin sheets (hypothesis -1). The method used is as follows:
Experimental results [20], pemfitted the determination of a phenomenological

relationship representin~ the evolution of the Elher's efficiency factor, U, depending upon
AK and R and a transition value AKt which again is a function of R, given in Table 4.
Table 4~z Transition zlK~
A1G in R
MPa4~
6.5 0.1
7 0.5
4.5 0.7
For AK> AKt,

U = 0.52 + 0.64,R, (sa)
and for AK < AI~
U = -0.8*R + I . I * R +0.2* AK (Sb)
Then equations 3 and 4a were applied to determine the cra~k advance. The
constants C' and m for the aluminum lithium alioy are given in Table 4b.
Table 4b constants in equations (4a) for the 8090 CT851 alloy
Range of AK~ in MPa 4-m C' m

< 4.2 4.9 lff Z~ 2. ~
>4.2 2.3. I0 "n 4.1
Comparing tables 3a and 4b it appears that the differences between the constants
for the two alloys are not significant. This confirms that CA behavior of ahnninum alloys
can be expressed in terms of a unique law representing the relationship betwween the
crack growth rate and Aider [26]
The results are given in figures lSa and 15b, for the ac30 spectrum. It can be seen
here that the estimated life is about twice as the measured one and the estimated crack
growth rates are 1.5 to 4 times lower than the measured ones. This results indicates that
under VA test conditions crack grows faster than that obtained by linear crack growth
estimation.
For the life estimation presented above, it was assumed that crack closure levels
for a given AK is the same for CA and VA conditions. However this assumption
apparently is not true as indicated by fractographic observations.
Facets are typically along a (111) plane and from a grain to grain this plane is not
oriented in the same direction and as such the crack profile exhibits large changes in
direction leading to high levels of crack closure under CA conditions [12,20,21]. Under
VA conditions, striated areas are extremely flat, as compared to faceted areas oly'~3rved
(a) (b)
10 -s
F!lsOgO'C-TSSl ~.c3o ' ' t!:;::I!:::I!:;::l!:::
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o
c>
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z
Number of flights ii iiiiiiiiii!i!]!!!!!!i,!i!!!!!i?!i
m
.-i1
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o
Kmaxsp(MPa.~/m) >
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I.<
bTgure 15 Comparison o f experimental results and estimations 8090C-7"851 alloy -estimation hypothesis- 1
(a) Crack length evolution (b) Crack growth rate "M
CO
under CA conditions. Under such a situation crack closure levels should be much lower
than under CA conditions. This etfect can be associated to a decrease of fracture profile
roughness under VA conditions as compared to CA conditions [27]. Certain load
displacement curves recorded during the tests verified this hypothesis. Analysis of results
obtained showed that the U factor for VA conditions, for the ac30 spectrum is 1.33x
what is estimated from equation (510) at comparable AK values. These measurements and
analysis were carded out only for the ground-air-ground cycle.
A second estimation was made considering the value of U under VA conditions are
33% higher than that under CA conditions, for a given AK level. If the estimated value of
U, (by equations (5a and 5b), following this assumption is greater than 1, it was assumed
that there was no closure (U = 1). The results are given in Figures 16a and 16b
(hypothesis - 2).
It can be seen here that the life estimation, with this hypothesis is within 3% of the
measured one. The crack growth estimations fall within the scatter of experimental
values except for low K ~ v values. This indicates that the assumptions made on the
decrease of closure levels under VA conditions (based on phenomenological
observations) are acceptable. The results of life estimations for the two spectra are given
in the table below.
Table 5 Life estimations (in number of flights) for the 8090C T851 alloy using the two
hypotheses
1 2 3 4 ratio ratio
Load Measured Estimation Estimation (2/3) (2/4)
spectrum life hypothesis - hypothesis -
1 2
ac30 43 500 82 000 42 400 0.53 0.97
ac20 14 000 22 000 18 900 0.63 0.73
It should be remarked that a good life estimation under VA conditions should lead
to acceptable remits for crack length and crack growth rate evolution [22], a criterion
met with in the present study. It should be noted here that life estimation models under
variable amplitude loading conditions, usually take into account overload induced
retardation [22], and such they cannot take into account crack acceleration effects as
observed in this study, which is due to a particular change in crack growth micro-
mechanism. The effect of this change in micro-mechanism was detected by quantitative
fractographic analysis and associated crack closure measurements.
Crack length (mm)
o ~ .... ~=+,, ,? .... ? .....
i .[ ~ - i [ i ~ .i i ', .i [ . . i . o ....
- i ~ii[ - +~ii i ii[...ii.[::iii:i.i[.iii~: o :i::
z i + + !"" i i i i [ ~ i ii ~" ~J' '
-m ~ ::++:+ T::T ~:i+=:+: .....+++ +++T . . . . -~
i i + r ;~ ii ' ~ t ~ ~'~ ....
::::i:::i:i ~:: :]::~}::i :[::L:i:i ::::::::::::::::::::::::::::::::::
~ ~ iiii:+i:::i:i:!:ii:i~i:~: i: +:i:+::+ i :ii:i i ~ i::!::i: i
+=" ~ " [ !!~| i 'i I T i ; 1 [ + T i i ["
....i++i i~l ii !
?i
! i i~,i
' , + ]i + [+ ~[ +i i i ]] 1 ~i i i i ....
! [ [ ? : i ~ :oili ~ [ T'"'T" T '~ ['[ ....
+ i+,+++ .....
9+..::.+..+ -i +~i i i .~ + .[ ] T T
:+++:::::P+::::++:++~+':'+ ~+::+:+::::++:+'::+:::::P::t: +:: + :+ :+:. ++::
__ ::i?i!i:.il :: jii??iiiiii ?:1i: ! i?:!iiiii:?iii:?i:!:::i:i'i?iiii:~ii?i~i?ii:.i::!.iiiiiil1121
Aa/flight (m / flight)
,-+
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,+,,+,,,,
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1.9 AHdVHIDOIOVH-I 3AIIVIIINVNO NO "'IV 13 NVHIVNVONVI::I
Conclusions
The quantitative fracture surface analysis technique developed on thick plates of

the 2024 T351 alloy was applied to crack propagation tests on thin sheets of the same
alloy and an aluminum lithium alloy 8090C T851.
In the case of the 2024 alloy, the space covered by significant fi'actographic
features, under constant amplitude test conditions, depends upon the fracture mechanics
parameters Km~ and R. Comparison of the fracture surfaces obtained under constant
amplitude and variable amplitude test conditions indicate that fully plane stress conditions
are not operative in the thin sheet under variable amplitude tests. Acceptable life
estimations can be made by taking into account this change in fracture mode
For the 8090 alloy, the significant fi~actographic features are quite different than
those observed on the 2024 alloy. For this material also, the areal coverage by significant
fractographic features on the fracture surface reflect the effects of fracture mechanics
parameters under constant amplitude test conditions. Under variable amplitude test
conditions, the fracture surface analysis indicates a change in micro-mechanism which
results in a decrease in crack opening levels. Accurate life estimations can he made by
considering this effect.
References
[1] Hertzherg, R.W., "Fracture Surface Morphology in Engineering Solids,"

Fractography of Madern Engineering Materials(l), ASTM STP 948, J.E. Masters and
J.J. Au, Eds, American Society for Testing and Materials, Philadelphia, 1987, p.3.
[2] Ranganathan, N., Bouchet, B. and Petit, J., "Fractographic Aspects of the Effect of
Environment on the Fatigue Crack Propagation in a High-Strength Aluminum Alloy,"
Fractography of Madern Engineering Materials(l), ASTM STP 948, J.E. Masters and
J.J. Au, Eds, American Society for Testing and Materials, Philadelphia, 1987, p.424
[3] Saliba, S.S. and Saliha, T.E., "Computerization of Fracture Features and failure
Analysis of Automotive Composite materials," Fractography of Modern Engineering
Materials(2), ASTM STP 1203, John E. Masters and Leslie N. Gilbertson, Eds.,
American Society for Testing and Materials, Philadelphia, 1993, p.23.
[4] Zuidema, J., "Square and Slant Fatigue crack Growth in Al 2024", DeLft university
press, ISBN 90-407-1197-7, Delft, The Netherlands, 1995.
[5] Forsyth, P.J.E., "Fatigue Damage and Crack growth in Alumim'um alloys," Acta
Metallurgica, vol. 11, 1963, p.703.
[6] Murakami, Y., Shiraishi, N. and Furakawa, K., "Estimation of service Loading from
the Width and Height of fatigue Striations of 2017 T7 Al Alloys," Fatigue and Fracture
of Engineering Materials and structures, vol. 14, no.9, 1991, p.897.
[7] Gokhale, A.M., Drury, W.J. and Mishra, S., "Recent Developments in Quantitative
Fractography," Fractography of Modern Engineering Materials(2), ASTM STP 1203,
John E. Masters and Leslie N. Gilbertson, Eds., An~rican Society for Testing and
Materials, Philadelphia, 1993, p.3.
[8] Kobayashi, T., Shockey, D.A., Schmidt, C.G. and Klopp, R.W., "Assessment of
fatigue Load Spectrum from Fracture Surface Topography," International Journal of
Fatigue, 1197,p. s237.
[9] Sunder, 1~, Prakash, R.V. and Mitchenko, E.I., "Fmctographic Study of Notch
Fatigue Crack Closure and Growth Rates," Fractography of Modern Engineering
Materials(2), ASTM STP 1203, John E. Masters and Leslie N. Gilbertson, Eds.,
American Society for Testing and Materials, Philadelphia, 1993, p.113.
[10] Ranganatha~ N., Benguediah, M., Henaff, G. and Adiwijayanto, F., "Qunatitative
Fracture Surface Analysis of Fatigue Crack Propagation Under variable Amplitude
Loading," Fractography of Modern Engineering Materials(2), ASTM STP 1203, John
E. Masters and Leslie N. Gilbertson, Eds., American Society for Testing and Materials,
Philadelphia, 1993, p.71.
[11] Dickson, J.I., Groulx, D., Li, S., and Tromans, D., 'q'he Fractography of Stress
Corrosion Cracking of 310 Stainless Steel: Crystallograhic Aspects and the Influence of
the Stress Intensity Factor," Material Sciences and Engineering,, Vol.94, 1987, p. 155.
[12] Ranganathan, N., Li, S.Q. and Bailon, J.P., "On Micromechanisms of Fatigue Crack
Growth in the 8090 T651 Alttminium-Lithium Alloy," Materials Science and
Engineering, Vol.A187, 1994, p.37.
[13] Lynch, S.P., "Herringbone patterns on Fracture Surfaces," Scripta
metallurgica, VoL20, 1986, p. 1067.
[14] Laird C. and Smith, G.C., "Crack Propagation in High Stress fatigue,",
Philolosophica Maazineg, Vol.7, 1962, p.847.
[15] Nix, K.J. and Flower, H.M., "The Use of Electron Optical techniques in the Study
of fatigue in High strength aluminl'um alloy 7010," Materials, Experimentation and
Design in Fatigue, Sherrnfl, F. and Sturgeon, J.B., Westbury House Pub., surrey, U.K.,
1979, P.85.
[16] Underwood, E.E. and Stark, E.A. jr., "Quantitative Stereological Methods for
Analyzing Important Microstructural features in metals and Alloys," Fatigue
Mechanisms ASTMSTP 675, J.T. fong Ed., American Society for Testing and Materials,
Philadelphia, 1979, p.633.
[17] Standard Test method for Measurement of Fatigue Crack Growth Rates, E647 -
86a, American Society for Testing and Materials, Philadelphia.
[18] Ranganathan, N., Guilbon, G., Jendoubi, K., Nadeau, A. and Petit, J., "Automated
Fatigue Crack Growth Monitoring : Comparison of Different Crack-Following
Techniques," Factors that Affect the Precision of Mechanical tests, ASTM STP 1025, R.
Paipmo and H.G. Weiss, Eds., American Society for Testing and Materials, Philadelphia,
1989, p.77.
[19] Wanhill, R.J.H., " Low Stress Intensity fatigue Crack growth in 2024-T3 and
T351," Engineering Fracture Mechanics,V ol.30, no.2, 1988, p.233.
[20] Adiwijayanto, F., "Etude comparative des m~canismes de Fissuration par fatigue
des alliages d'aluminium, 8090c T851 et 2024 T351," 1994 Thesis - Universit6 de
Poitiers.
[21] Ranganatha~ N., Adiwijayanto, F., Petit, J. and Bailon, J.P., "Fatigue Crack
Propagation Mechanisma in an Akan~'um Lithium alloy," Acta Metallurgica and
Materialia, vol.43, no.3, 1995, p.1029.
[22] Wanhill, R.J.H., and Schijve, J., "Current Status of Flight Simulation Fatigue Crack
Growth Concepts," Fatigue Crack Propagation under variable Amplitude Loading, J.
Petit, D.L. Davidson, S. Suresh and P. Rabbe Eds,, Elsevier Applied Publishers,
London, 1988,p.309
[23] Elber, W., "Fatigue Crack closure under Cyclic Tension," Engineering Fracture
Mechanics, Vol.2, 1970, p.37.
[24] Ranganathan, N. and Desforges, J.R., "Equivalent Constant Amplitude Concepts
Examined Under Fatigue Crack Progation by Block Loading," Fatigue and Fracture of
Engineering Materials and Structures, vol. 19, no.8, 1996, p.997.
[25] Ranganathan, N.,Petit, J. and de Fouquet, J., "On the Influence of Initial ?K level on
the Post Overload Crack propagation behavior," Advances in fracture Research, S.R.
Valluri, D.M.R.Taplin, P.Ramarao, J.F.Knott and R.Dubay, Eds., Pergamon Press, U.K.,
vol.3, 1984, P.1767.
[26] Petit, J., Henaff, G. and Sarrazin-Baudoux, "Atmospheric Influence on fatigue crack
Propagation,", Engineering aganist Fatigue, J .H.Beynon, M.W.Brown, T.C. Lindley,
R.A.Smith and B.Tomkins, Eds., A.A. Balkerna pubs., Brookfiled, USA.
[27] Sehitoglu, H. and Garcia, A.M., " Contact of Nonflat Crack surfaces During
Fatigue," Advances inFfatigue Crack closure Measurement and Analysis: Second
volume, ASTM STP 1343, R.C. McClung and J.C. Newman, Jr., Eds, American society
for Testing and Materials, West Conshohocken, PA, 1999, p.367.
Damage Evolution and Measurement
Daniel P. Nicolella, l Arthur E. NichoUs, 1 James Lankford, 1 and Dwight T. Davy2
A Comparison of Macroscopic to Microstruetural Strain Fields in Cortical Bone
Reference: Nicolella, D. E, Nicholls, A. E., Lankford, J., and Davy, D. T., "A
Comparison of Macroscopic to Microstructural Strain Fields in Cortical Bone,"
Nontraditional Methods of Sensing Stress, Strain, and Damage in Materials and
Structures: Second Volume, ASTM STP 1323, G. E Lucas, E C. McKeighan, and
J. S. Ransom, Eds., American Society for Testing and Materials, West
Conshohocken, Pa, 2001.
Abstract
This study describes a technique based on digitally comparing two images of a

material taken at different stress or deformation levels (called rnaehine vision
photogrammetry) used to measure the microstructural strain fields in cortical bone.
The technique allows the measurement of material surface displacements and strains by
comparing images acquired from a specimen at two distinct stress states. Two loading
experiments were examined: a pre-cracked, edge-notched specimen, and an uneracked,
tensile loaded specimen. Results from the microcracked specimen indicate regions of
intense strain localization and a "process zone" at the tip of the microerack. The
analysis of the tensile specimen reveals a highly complex microstmctural strain field
(caused by uniform tensile loading) attributable to the heterogeneity of the specimen
microstructure. It is expected that the use of this technique will allow a greater
understanding of bone strength and fracture as well as bone mechanotransduction.
Keywords: cortical bone, micromechanics, microstrueture, strain
Introduction
A greater understanding of the relationship between globally applied mechanical

loads and local or tissue level strains is beneficial in developing an improved
comprehension of the mechanisms underlying bone fracture, damage development, and
bone remodeling. For example, it is known that bone microstructure plays a role in
bone fracture behavior, including interaction of specific microstructural features such as
I SeniorResearchEngineer, Engin~ing Technologist, and Director, respectively,Materials

Engineering Department, Southwest Research InstituteTM, P.O. Drawer 28510, San Antonio, TX
78228-0510.
2 Professor,Departmentof Mechanical and AerospaceEngineering, Case Western Reserve
University, Cleveland,OH 44106.
87 EST 2012
Copyright by ASTM Int'l (all rights reserved); Sat Jan 28 07:48:56
Copyright
(PDVSA Los 9 2001 by pursuant
Teques) ASTM Intemational
to License Agreement.www.astm.org
No further reproductions authorized.
the cement line with crack propagation[I, 2], the dependence of bone density and
microstructural orientation on bone fracture [3-5], and the role ofmicrocracks in bone
fracture behavior [6]. It has also been shown that bone behaves like a brittle
microcracking material [7,8] and that these microcracks, on the order of tens or
hundreds of microns in size, may stimulate a bone remodeling response [9,10].
Bone mechanotransduction, the mechanism whereby bone senses mechanical
stimuli, is not well understood. Several candidate theories suggest that it is the
response of the osteocyte to either direct mechanical stimulus [11-14] or an indirect
stimulus resulting from deformation of the bone matrix, such as streaming potentials
[15-16], or fluid flow induced shear stress [17-19]. In all these cases, there is a need to
understand the relationship between the global, or whole bone level, applied mechanical
stimulus and the local microstructural, or tissue level, strain field associated with a
particular physical process.
The goal of this study was to explore the use of a full field deformation and strain
measurement system in order to develop a better understanding of the relationship
between globally applied loads and deformations to local, microstructural and cellular
level strains in cortical bone.
Methods
Machine Vision Photogrammetry
Two dimensional surface displacements and strains in cortical bone were quantified
using a unique displacement mapping system based on digital photogrammetry called
DISMAP [20]. Digital photogrammetry is a technique that allows the measurement of
material surface displacements by comparing images of a specimen taken at two distinct
stress states [21-24]. To use the system, an array of measurement points is digitally
superimposed on a digital micrograph taken of the specimen in the reference state,
thereby defining where displacement measurements are to be made (Figure 1). The
user defines the measurement grid density by indicating the number of grid columns and
rows. The image processing system "trains" on (stores in memory) a small area based
on the unique surface texture surrounding each measurement point in the reference
image. A local search is then performed to find the best matching area in the second
(deformed) image. The user defined train and search regions are square and the sizes
of these regions generally depend upon available surface detail and material
displacement magnitude.
NICOLELLA ET AL. ON STRAIN FIELDS IN CORTICAL BONE 89
Figure 1 - Digital micrograph of the unloaded micro-crack in cortical bone. The

displacement measurement grid (10 x 10) is superimposed on the micrograph. The
measurement coordinate system is also indicated The measurement points are
located at the vertices of the grid with a spacing o f approximately 11/an.
Original magnification: 500X.
The displacement search procedure is controlled by a normalized image correlation

algorithm
r(u,v) =
where r(u,v) defines the degree of correlation between the image areas, I is the target
(stressed) image region, Mis the model (reference) image region, Mj is the model pixel
location (xi, yi), I~, is the target pixel location (u + x,, v + yi), Nis the number ofpixels
in the model image where i ranges from 1 to N. The trained image area is a square
array ofpixels (with sides N) around each measurement grid point. A correlation value
ofr = 1 indicates a perfect match, r = 0 no correlation, and r = -1 is a perfect mismatch
[20]. Tiffs algorithm determines the position of the deformed material points with
respect to the undeformed image. Rotations are not accounted for with this algorithm,
however, the images are aligned manually to remove rigid body rotations prior to
90 NONTRADI'I'IONALMETHODS OF SENSING STRESS/STRAIN
analysis. All image processing functions are performed with custom software running
on a commercially available image processing computer (CONGNEX 2000, Natick,
MA) that incorporates a proprietary image processing co-processor [25,26]. The
COGNEX system uses the correlation index (r) within the search region to interpolate
between pixel locations to calculate fractional pixels and estimate subpixel displacement
position. The sub-pixel interpolation and minimization algorithm is internal to the
COGNEX system and is proprietary. The accuracy of the search procedure using this
system has been shown to be better than 0.25 pixels [20], resulting in strain resolution
of between 133 and 564 microstrain when used in this application [27]. This procedure
also minimizes differences in image contrast or texture. Variations in surface contrast
or texture between image sets are also accounted for by adjusting the train and search
parameters accordingly. Typical train and search sizes are on the order of 19X19
pixels and 35X35 pixels, respectively, and the user can adjust these sizes. The
COGNEX 2000 uses a built-in digitizer with a image resolution of 576(H)X448(V)
pixels with an 8-bit gray level to capture the images. Upon determination of the
displacement components for each measurement point, the full, in-plane, two-
dimensional strain tensor is calculated by numerically differentiating the displacement
field [24]. Therefore, the resolution of the strain is a function of the pixel resolution of
the digital cameras used.
Cortical Bone Microstructural Strain Measurement
To investigate the relationship between globally applied stresses and local tissue
level deformations and strains in cortical bone, two modes of specimen loading were
investigated: wedge-loading ofa pre-cracked specimen and tensile loading of an
uncracked dog bone shaped specimen. In both cases, cortical bone specimens were
prepared from a fresh bovine tibial bone. For the cracked specimen, rectangular
sections were milled producing samples that were flat and parallel to within
+/-0.0254 mm. Afier machining, each sample was polished using standard
metalurgical polishing techniques to a surface finish of 3 ~un. The initial crack was
created by pre-cracking a flat, edge-notched longitudinally oriented piece of bovine
cortical bone with a razor blade; the razor blade was slowly inserted into the notch until
a crack approximately 250 ~tm in length was created at the notch tip. Specimens were
tested at 23~ and kept wet with normal saline. Images of the unloaded, but pre-
cracked specimen were taken with a Polaroid camera attached to an inverted
metallographic microscope at magnifications of200X, 500X, and 1000X. The
razorblade was re-inserted into the specimen approximately 500 ~tm from the crack tip,
thus opening the microcrack approximately 220 ~tm, and corresponding images were
obtained of the stressed specimen at the same magnifications. All micrographs were
digitized using a flatbed scanner (Arcus II, AGFA, Woburn, MA).
Tensile specimens were fabricated by pinning and clamping the milled sections
between two hardened steel patterns, and milling by hand the final dog bone geometry.
Specimens were machined using a miniature milling machine and were continuously
irrigated during the machining process. After machining, each sample was polished
using standard metallurgical polishing techniques to a surface finish of 3 ~tm. The

finished samples were then wrapped in gauze, stored in calcium-buffered saline, and
frozen at approximately -21~ until tested.
Immediately prior to testing, a single strain gage (EA-06-062AQ-350,
Measurements Group Inc., Raleigh, NC) was applied to the back surface of the sample
on centerline and oriented longitudinally. The surface was prepared for strain gaging by
etching the polished surface for approximately thirty seconds using either a 30%
phosphoric acid etchant or maleic acid obtained from dental adhesive kits (3M,
Minneapolis, MN). After etching, the sample was rinsed under a stream of normal
saline, wiped one time with an ethanol soaked cotton swab, and the gage applied using
a methyl-2 cyanoacrylate adhesive (M-Bond 200, Measurements Group, Inc., Raleigh,
NC). The gages, which were pre-wired in order to prevent local heating of the bone
surface from the soldering process, were then spot coated with a solvent-thinned
synthetic resin (GAGEKOTE #1, J.P. Technologies Inc.) to delay deterioration of the
foil grid from exposure to a saline environment. The strain gage had a gage area of
approximately 1.5 mm by 1.5 ram, so that the reported strain is an average over an area
of 2.25 mm2.
The tensile specimen was loaded in tension to a global stress of 76 MPa and
maintained at a constant 37~ in a saline hath while the surface was observed under a
reflected light microscope. This stress level is below the creep threshold for bovine
cortical bone [28]. The microscopy loading frame, grips, and load sensing screw were
designed, fabricated, and instrumented at Southwest Research Institute (SwRITU). The
load sensing screw consisted of a standard %"-28 X 3" machine screw whose diameter
was turned down approximately 2 mm (0.08") for 25.4 mm (1") at the base of the
screw. A full strain gage bridge (EA-06-062TT-120, Measurements Group, Inc.,
Raleigh, NC) was applied to the load sensing screw and read using an SwRI-designed
bridge amplifier. The load sensing screw was calibrated using NIST traceable weights.
Both load and strain data were recorded on a transient digital recorder (4094B, Nicolet
Instrument Corporation, Madison, WI). The grips were adapted from an SEM load
frame [29]. During testing, the entire load frame assembly was placed in a shallow dish
and filled with normal saline at 37~ to a level flush with the top (imaged surface) of
the specimen. The temperature of the saline was maintained by pumping the solution,
with a peristaltic pump, through a heat exchanger coil immersed in a separate
temperature controlled bath filled with water. Digital images of the specimen surface
were obtained using a reflected light metallographic microscope (Zeiss Model 24, Carl
Zeiss Inc, Thornwood, NY) at 220X magnification combined with an analogue CCD
camera with a resolution of 768 (H) X 494 (V) pixels (DXC 151, Sony Electronics)
connected to a microcomputer (Power Macintosh, model 8600, Apple Computer,
Cupertino, CA). The images were captured at a resolution of 640 (H) X 480 (V) pixels
using the Macintosh computer running the NIH Image image processing software
(v. 1.61, National Institutes of Health, Bethesda, MD).
Resu Its
Microcrack Specimen
Figures 1 and 2 are digital photomicrographs of the microcracked specimen taken

at 220X magnification; Figure 1 is an image of the specimen in the unstressed,
reference state and Figure 2 is an image of the specimen in the stressed (or
measurement) state. The crack is shown growing from the top left of the image, and
the superimposed 100 ~tm by 100 ~tm virtual measurement grid indicates the area of
strain measurement. The vertices of the measurement grid are the measurement points
at which displacements are measured, and strains computed. Inside this area,
microstructural features such as osteocyte lacunae and blood vessel lumen are clearly
visible, thus allowing their effect on the strain field to be quantified.
Figure 2 - Digital micrograph of the stressed micro-crack in cortical bone. The

region of the image around each measurementpoint (grid vertices) in Figure 1
is trained on (stored in memory) and then the matching area is searchedfor
in Figure 2 thus determining the materialpoint displacement (shown
superimposed on the micrograph). Original magnification: 500X.
A plot o f the effective strain [30]

1
~= ~ +6"z +,~1oP2
(where ~l and e2 are the principal strains) over this area shown in Figure 3 reveals a
region o f high tissue strains present at the crack tip; strain in this region reaches a
magnitude of approximately 3.0% (30,000 ~ ) . Figure 4 shows a contour plot of the
effective strain superimposed on a micrograph of the specimen. The measurement grid
spacing used, 11 lam, captures the complexity of the strain field at this microstructural
level revealing the effects ofmicrostructural features such as osteocyte lacunae. Local
strain concentrations on the order of 1.0% strain are associated with osteocyte lacunae,
as shown in Figure 3 as a local peak in the strain field near (x = 10 ~trn, y = 25 I~m) as
well as in the bottom left of the contour plot in Figure 4.
Figure 3 - Surface plot of effective strain near microcrack in cortical bone.

Measurements were taken from images acquired at 500X magnification.
.4t this level, the effects of microstructural features are shown by
the local variation in the strain field
Figure 4 - Digital micrograph of bone surface taken at l O00X magnification.

The effect of microstructural features such as osteocyte lacunae
on the strain field is evident.
Tensile Specimen
Figure 5 shows a contour plot of the effective strain field superimposed on a digital
rnicrograph of the surface of the tensile specimen. A globally applied stress of 76 MPa
that resulted in a global strain of 0.37% (3700 ~ts) was applied to the specimen. The
measurement grid area used for this analysis was approximately 400 gm by 300 gm,
with a grid spacing of approximately 30 ~tm. As shown in the figure, specific micro-
structural features are clearly visible, including osteocyte lacunae and a haversian
system passing through the specimen at an oblique angle at the bottom left of the
image. The structural features are clearly visible, including osteocyte lacunae and a
haversian system passing through the specimen at an oblique angle at the bottom left of
the image. The local strain field is notably heterogeneous, resulting in regions of
extreme local strain gradients as shown in Figure 6. The effective strain in the region
of the haversian system reaches approximately 8,250 ~ts.
Figure 5 - Microstructural strain field superimposed on a digital micrograph of the

tensile specimen. The specimen was loaded in the x-direction to a global stress of
76 MPa. The contours of equal equivalent strain indicate the complexity of the
resulting microstructural strain field. Original magnification: 220X.
F i g u r e 6 - Surface plot of the Effective Strain resulting from an applied stress

of 76 MPa on the tensile specimen. The global strain was approximately 0.3 7%.
Strain concentrations are associated with the haversian canal where local
strains reach 0.82%.
Discussion
A new application of digital image correlation, to quantify the microstructural strain

fields in cortical bone has been presented. The technique, originally developed to
quantify the near crack tip micromechanics of propagating fatigue cracks in engineering
materials, is based on the digital correlation of images taken of the surface of a material
subjected to two distinct stress states. Originally, material displacements were
determined using photogrammetric techniques utilized in cartography [24, 31] and the
technique was later automated using digital image processing techniques [20, 32, 33].
Applications have been primarily in the aimed at understanding the fatigue and fracture
behavior of aerospace and composites materials [21, 30, 34-41]. The use of this
technique to elucidate the nature of microstructural deformations and strain in bone has
not been explored.
A significant advantage of this method is that the technique utilizes the natural
surface texture of the bone material; no beads or other external markers, etched lines,
or artificial speckle patterns need to be applied to the specimen surface. Virtual
measurement grids are digitally superimposed on the image of the material surface to
indicate where displacements and strains are to be measured. The naturally occurring
surface texture is used to track the displacements of unique material points between
distinct stress states. The strain measurement gage length thus used is a function of the
virtual measurement grid spacing (as shown in Figure 1). The grid spacing necessarily
determines the level of detail of the strain field measurements and the ability to
determine the effect of specific microstructural features contained within the
measurement area. For example, using a grid spacing in which multiple osteocyte
lacunae are contained between grid vertices, the strain field associated with a specific
osteocyte lacuna cannot be determined. However, the detailed strain field associated
with a specific osteoeyte lacuna can be determined using a grid spacing in which
multiple grid points span the lacuna.
In a microcracked specimen, the effective strains near the crack tip were shown to
reach over 30,000 lae within a local area ahead of the mierocrack. As shown by
Vashishth et al. [6], microcracks form in a "process zone" ahead of the crack tip as the
crack propagates through the bone specimen. These mierocracks are a consequence of
local tissue failure caused by the localized, intense strain concentration at the crack tip.
As shown in Figure 3, the process zone is highly complex and influenced by the bone
microstructure; multiple strain peaks are present not only at the crack tip but adjacent
to the osteocyte lacuna as well.
The analysis of the tensile specimen reveals a highly complex microstructural strain
field attributable to the heterogeneity of the specimen microstructure. The measured
strain field is the result of a globally applied stress generating a global specimen strain
of 3,700 pc. This level of global strain is in the approximate range of strains measured
in-vivo as a result of vigorous exercise (Burr, et al. [42]). Local strains as a result of
this globally applied strain reach peak magnitudes of 8,250 Ixe in this specimen
associated with a haversian system. These results indicate that strains caused by global,
skeletal loading and measured using traditional, macro techniques (e.g. strain gages)
are amplified greatly at the microstructural level and control microfracture and
damaging behavior at this level. In addition, mechanotransduction signals in the form

of strain imposed on osteocytes may be quite different from those inferred using
macroscopic techniques.
Displacement and strain sensing techniques based on the digital comparison of
material surface images taken at different load or deformation states are reaching a
state where these techniques can be routinely applied in a variety of applications. The
advantages of these methods over more traditional methods such as strain gages and
extensometers are clear. Deformational information can be obtained where more
traditional methods fail (e.g. strain gages and extensometers) such as at high
temperatures or at microstructural scales. These methods are also non-contact and
thus do not interfere with an experiment. Information over a large area is available in
contrast to point specific (strain gages) or length average (extensometer) information.
Limitations to full field optical methods are that the material surface must remain
perpendicular to the image system axis since out of plane movement or rotation will
result in the measurement of artifactual displacements. Image contrast must be
sufficient to achi'eve acceptable correlation results.
Future development of the DISMAP system will be an extension of the
displacement mapping capability to three dimensional data sets, such as those generated
using a confocal microscope. In confocal microscopy, three dimensional images are
created by incrementing the z-position of the microscope stage and capturing images at
each z-level. Post processing of the images removes the image information from the
out of focus regions leaving only that image information at the focal plane. The three
dimensional image is then generated by stacking the two dimensional images. The
search algorithm will be enhanced to not Only perform searches in-plane (x and y
directions) but also through the "thickness" of the object under investigation. A
limitation of this method is that the resolution in the z direction is typically lower than
the in-plane image resolution. However, extending the displacement mapping
technique into three dimensions will allow further insight into the structure-function
relationship of bone eeU mechanics and mechanotransduction.
Acknowledgements
The authors would like to thank Mr. Jim Spencer for his technical assistance with
the DISMAP system This work was supported by NIH Grant AR43785 and the
Southwest Research Institute Advisory Committee for Research.
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Gary L. Burkhardt 1 and Alfred E. Crouch l
Detection of Localized Plastic Deformation in Pipelines Using the Nonlinear

Harmonics Method
Reference: Burkhardt, G. L., and Crouch, A. E., "Detection of Localized Plastic

Deformation in Pipelines Using the Nonlinear Harmonics Method," Nontraditional
Methods of Sensing Stress, Strain, and Damage in Materials and Structures: Second
Volume, ASTM STP 1323, G. E Lucas, E C. McKeighan, and J. S. Ransom, Eds.,
American Society for Testing and Materials, West Conshohocken, Pa, 2001.
Abstract: Pipelines can experience localized plastic deformation from third-party

damage, rock impingement, and differential settlement that results in bending or wrin-
kling of the pipe wall. Cold working and stresses associated with these regions can result
in cracking, which can lead to leaks or catastrophic failure. The risk of significant prop-
erty damage or personal injury from such failures makes detection of localized deforma-
tion very desirable. The nonlinear harmonics (NLI-I) method is a magnetic approach for
detecting stresses and plastic deformation. The NLH method is based on applying a sinu-
soidal magnetic field at a given frequency and then detecting the third harmonic fre-
quency of the magnetic induction. The harmonic is generated because of the nonlinear
permeability of the pipeline steel. Because of the magnetoelastic effect, stress and plastic
deformation affect the magnetic properties and thus the harmonic signals.
The NLH method was investigated for application to pipelines. Data were obtained
from pipe specimens having plastically deformed regions consisting of dents and gouges
of varying severity. Results show that plastically deformed regions can be detected by the
NLH method. Because the stress field extends significantly outward from the deformed
region, NLH can also detect the damage without scanning directly over the deformed
region.
Keywords: plastic deformation, nonlinear harmonics (NLH), rock impingement,
differential settlement, magnetic properties
Localized plastic deformation of the pipe wall is characteristic of mechanical damage

defects, the major cause of reported incidents in liquid and gas transmission pipelines.
The deformation may be a dent or gouge resulting from a backhoe strike or rock impinge-
merit, or may be a buckle caused by pipeline movement due to differential soil settlement
or a landslide. Catastrophic pipeline failure can result from the damage because severe
cold working of the pipe material can cause loss of ductility and reduced resistance to
cracking [1]. In addition, damage-induced residual stresses can lead to cracking.
'Principal scientistand staffengineer,respectively,Instrumentationand SpaceResearchDivision,South-
west ResearchInstitute, 6220 CulebraRoad, San Antonio,TX 78238-5166.
Copyright by ASTM Int'l (all rights reserved); Sat Jan 28 07:48:56 ESTl 2012
ol
Copyright
(PDVSA 9 2001
Los Teques) by ASTM
Because of the significant risk of property damage and personal injury from pipeline
failures, a method is needed to detect the damage. Because dents can also "re-round"
from internal pressurization of the pipe, they are not detectable from geometry alone.
Pipelines are currently inspected for corrosion damage using internal inspection devices
called "smart pigs" [2], and an inspection method is needed that can be employed on a
pig and can detect localized deformation and stresses directly. Ultimately, it is desired to
quantify the damage in terms of potential to cause pipeline failure.
NLH Method
Because of the magnetoelastic effect [3], the magnetic properties of a ferromagnetic

material (such as pipeline steel) are influenced by stress and plastic deformation. There-
fore, by sensing the magnetic properties of a material, the stress or plastic deformation
can potentially be determined. An attractive approach for sensing the magnetic properties
for this purpose is the nonlinear harmonics (NLH) method [4,5]. The instrumentation and
probes are compatible with pigging requirements, and data can be acquired at pig inspec-
tion speeds (1 to 4 rn/sec). For pigging applications, probes spaced 2 to 3 cm in the cir-
cumferential direction would be sufficient to inspect the entire pipe with a single pig
pass.
The principles of the NLH method are illustrated in Figure 1. Because of the mag-
netic hysteresis and nonlinear permeability, the application of a sinusoidal magnetic field
(H) to ferromagnetic material results in the distortion of the magnetic induction (B) wave-
form. The figure shows that if a sinusoidal applied magnetic field is projected through the
magnetic hysteresis loop for a material, the resulting magnetic induction waveform
undergoes severe distortion. This distorted waveform contains odd-numbered harmonic
frequencies of the applied magnetic field.
Mechanical stresses and plastic deformation greatly influence the magnetic hystere-
sis and permeability of the material [3]. An example of stress effects on the hysteresis
loops is shown in Figure 2 for AIS1410 stainless steel. The family of curves in the center
of the figure is obtained with no stress applied. When tensile stress is applied, the mag-
netic permeability increases and the curves become more upright, as shown on the right.
Upon application of compressive stress, the permeability becomes smaller and the curves
become less upright, as shown on the left. If the material is plastically deformed, the
opposite behavior occurs. Figure 3 shows a series of initial magnetization curves (not the
entire loop as shown in Figure 2) for 4130 steel, which was loaded until plastic deforma-
tion occurred, and then the load was removed. For tensile plastic deformation, the perme-
ability decreases; for compressive deformation, the permeability increases.
These changes in the magnetic hysteresis curves affect the harmonic content of the
magnetic induction and, therefore, the harmonic content is also sensitive to the stress and
plastic deformation in the material. With the NLH method, the third harmonic frequency
is detected and its amplitude related to the state of stress and/or plastic deformation.
Figure 4 shows the relative changes in NLH response for stress and plastic deformation,
with the applied magnetic field parallel to the uniaxial stress and deformation direction.
For stress, the response increases in tension and decreases in compression; for plastic
deformation, the opposite occurs. Note that for biaxial stresses, the NLH response is
observed to be approximately proportional to the difference in stress in the two directions
[6]. Figure 5 shows the NLH response to 4130 steel subjected to both stress and plastic
BURKHARDTAND CROUCHON NONLINEARHARMONICSMETHOD 103
Magnetic
induction,B
~~1~t ~Sinusoidal
magneticfield
strength,H
Figure 1 --D&tortion of magnetic induction (B) upon application of a

sinusoidal magnetic field (1-1)caused by hysteresis and nonlinearity in the
magnetization curve.
-275MPa 0 MPa +275MPa

Figure 2 --Magnetic hysteresis loops of AIS1410 steel under different levels of
uniaxial stress. Horizontal axis scale is 1.6 kA/m per division, and vertical axis
scale is 0.5Tper division.
2.5
_8% Compressive
Compre~ive ~ 0%
.• 1.5
8%Tensile
,T
0.5
0 2 4 6 8 10 12
Magnetic Field Strength (kA/m)

Figure 3 - - Effects of plastic deformation on magnetization curves.
-*"'sI~ Plastic
cO
Compression Tension
Figure 4 - - N L H response to stress and plastic deformation.
deformation in tension. The top curve was taken as a function o f tensile stress with no
plastic deformation, and the response increases from approximately 12 to 24 mV over the
range of 0 to 280 MPa stress. After the specimen was plastically deformed 5%, the
response shifts to a lower amplitude. The signal then drops to about 6.5 mV at 0 stress
BURKHARDT AND CROUCH ON NONLINEAR HARMONICS METHOD 105
25.0
No Plastic Deformation~
> 20.0
E
"lO
-i
15.0 o P.D ( T e n s i o n ~
t-
~E
10.0
-1-
.--I ~ 8 ~ P.D. (Tension)
5.0
z
i i
~176 lOO.O 200.0 300.0
Stress (MPa)
Figure 5 - - N L H response to stress and plastic deformation.
and then increases to about 16 mV at 280 MPa. For 8% plastic deformation, the response
drops to lower values. Overall, uniaxial tensile plastic deformation causes the response to
drop, and uniaxial tensile stress causes it to increase when the magnetization direction is
aligned with the stress or deformation.
NLH Instrumentation
The NLH probe configuration is shown in Figure 6. The probe consists of an exci-
tation coil and a sensing coil wound on a ferrite core. The ferrite core used for the experi-
ments reported here was 2.5 cm long by 0.6 cm wide. The probe is placed in close prox-
imity to the specimen, as shown in the figure. A sinusoidal current at a given frequency
drives the excitation coil, which generates the magnetic field applied to the specimen.
The magnetic induction in the specimen is sensed by the voltage induced in the sensing
coil. A block diagram of the NLH method is shown in Figure 7. A signal generator oper-
ating at the desired excitation frequency (10 kHz for the experiments described in this
paper) drives a power amplifier, which drives the excitation coil in the NLH probe. The
output from the sensing coil in the probe is filtered to reduce the excitation frequency
content, and this signal is then input to a lock-in amplifier that is phase referenced to the
excitation frequency. The lock-in amplifier provides in-phase and quadrature outputs of
the signal from the NLH probe. From these outputs, the phase and magnitude of the NLH
signal can be computed. For the experiments described in this paper, the signal magni-
tude was computed and recorded.
Excitation
/~ A A / i /i /~ /~/A (i coil
InllllLl
VVVV VI
f
Ferri
Core
te
Sensing
Coil,~,,~ I
Specimen
Figure 6 - - N L H p r o b e configuration.
SIGNALGENERATOR
AND PHASEREFERENCE
pOWERAMPLIFIER
i .,.IN-PHASE
OUTPU'F
IX)CK-IN AMPLIFIER
.~QUADRATURE
/ OUTPUT
EXCITATION
COIL
SEN~ING
COIL T
H]GHPASSOR
BANDPASSFILTER
~ ~ . . . ~ - ~ PIPE W A L L
Figure 7 - - NLH block diagram.
Specimens
NLH experiments were performed to measure the NLH response to dents and gouges
o f various severities in pipeline steel. The specimens consisted o f pipe sections made o f
X-52 and X-70 steel with a diameter of 61 cm and a wall thickness o f 0.71 cm. Gouges
and/or dents were introduced into the pipe while it was under internal pressure. Some
"re-rounding" of the dents occurred after they were introduced because of the internal
pressure; this is typical of mechanical damage introduced into operating pipelines. The
specimens were made by Battelle Memorial Institute in a hydraulic fixture. The pipe was
clamped into the fixture and internally pressurized with water. An indenter was pressed
radially into the pipe surface under controlled hydraulic loading, and the load and dis-
placement of the indenter were monitored. Axial hydraulic rams provided a translation of
the indenter either while it was being radially loaded or after reaching full radial extent.
A sharp cutting tooth was extended from the contact surface of the spherical indenter to
create a gouge as the indenter was axially translated. Sections of the pipe containing the
defects were then removed from the pipe.
The defect set is described in Table 1; dimensions of the dent and gouge portions of
the defects are given separately. Seven defects were manufactured. Dent depths ranged
from 0 for Defect 28, which consisted of a gouge only, to 3.7 cm for Defects 31 and 29.
The dent depths were measured before re-rounding occurred. Gouge depths ranged from
0 for Defect 87 to 0.21 cm for Defect 28. All of the defects produced distortion on the
inside surface of the pipe except for Defect 28.
Table 1 - - Defect set for NLH tests.
Dent Gouge Distortion

Defect Pipe Depth* Length Depth Length Evident
No. Material (cm) (cm) (cm) (cm) on I.D.
31 X-52 3.7 5 0.084 5 Yes
28 X-52 0.0 5 0.210 5 No
86 X-70 1.2 10 0.042 10 Yes
84 X-70 1.2 5 0.042 5 Yes
85 X-70 1.2 5 0.042 5 Yes
29 X-52 3.7 0.63 0.042 0.63 Yes
87 X-70 3.0 0 0.000 0 Yes
*Depthmeasuredbeforere-roundingfrominternal pressure
Photographs of some of the defects from the outside of the pipe are shown in Fig-
ures 8 through 10. Figure 8 shows a circular dent (Defect 87), Figure 9 shows a combina-
tion gouge and dent (Defect 84), and Figure 10 shows a gouge without a dent (Defect 28).
Experimental Setup
An experimental setup was established to acquire NLH data from the pipe specimens
by scanning an NLH probe on the inside surface of the pipe (as would be done in a pipe
inspection pig). The probe was spring-loaded against the pipe surface, and the probe was
scanned by a lead-screw-driven slide assembly. Data were digitized as a function of
probe position along the length of the pipe specimen. The probe was indexed circumfer-
entially by manually moving the entire fixture after each scan. Figure 11 shows the NLH
probe, suspension, and scanning system positioned on a pipe specimen.
Figure 8 - - Circular dent (Defect 87).
Figure 9 - - Shallow gouge (Defect 84).
Figure 1 0 - - D e f e c t 28: gouge without dent.
Figure 11 - - NLH experimental setup.
Stress and Strain Distributions
Modeling work that is in progress for related work on dents was used as a guide to
stress and plastic strain distributions. Although the calculations do not cover the exact
dent configurations in the specimens described previously in this paper, the results are
qualitatively useful to help understand the stress and strain patterns around the defects.
The model geometry is shown in Figure 12 with the indenter used to produce the defect
contacting the outside of the pipe. Only one quarter of the geometry was used due to
symmetry. The dimensions of the flat surface of the indenter which is placed against the
pipe were 10 cm x 2.5 cm. The pipe diameter used in the model was 30.6 cm (compared
to 61 cm for the actual specimens), and the wall thickness was 0.46 cm (compared to 0.71
cm for the actual specimens). The internal pressure was 6.2 MPa when the indenter was
applied. Before re-rounding, the dent depth was 3.8 cm.
Figures 13 and 14 show the hoop plastic strains and elastic stresses, respectively,
versus position in the axial (X in Figure 12) direction; these are the values obtained after
re-rounding of the dent and release of internal pressure. The plastic strains are highest
near the center o f the dent and fall off sharply in the region of 6.3 to 7.6 cm, approxi-
mately the location o f the end of the indenter. At further distances, the plastic strains are
very small. Figure 14 shows, however, that the hoop stress is still significant at greater
distances until it falls to zero and reverses sign at about 14 cm. Calculations o f the axial
strains and stresses also showed that plastic strains are primarily confined to the region of
the actual dent, but the stresses extend significantly outward from that region. Thus, it is
expected that the NLH response will be influenced primarily by plastic deformation
effects in the immediate vicinity of the dent or gouge and by residual stresses away from
that region.
F i g u r e 12 - - Dent model geometry showing indenter.
F i g u r e 13 - - Calculated interior wall hoop plastic strain on defect centerline.
F i g u r e 14 - - Calculated interior wall hoop elastic stress on defect centerline.
Experimental Results
NLH data were obtained for each of the damaged areas shown in Table 1 over a scan
area having dimensions of approximately 25 by 40 cm. Because the data were obtained
from two different specimen materials, the NLH signal for the X-70 material was cor-
rected to that of the X-52 material so that both can be compared on the same scale. Fig-
ure 15 is a contour plot of NLH signal magnitude showing the response to a dent (Defect
87). The approximate boundary of the dent is shown by the ellipse in the figure. (Note
that the dent is actually circular, but the shape is distorted in the figure because the axes
do not have equal scales.) The NLH magnitude decreases from approximately 1100 to
1200 in the region well away from the dent to approximately 200 near the center of the
dent. Figure 16 shows the response for Defect 28, which is a gouge with no material
distortion on the inside surface of the pipe. The signal decreases to about 550 in the
region of the defect, and the NLH response extends significantly past the defect bound-
ary. The responses from both of these defects can be compared to that of undamaged
material shown in Figure 17. Although there is some variation in the response from this
material, the signals from the damaged material are significantly lower and therefore eas-
ily recognizable compared to undamaged material.
Figure 18 shows the NLH responses from all specimens for a single scan in the axial
direction with the probe positioned over the defect centerline. The undamaged material is
shown by Defect 0 and is a relatively flat line. All of the specimens with
Figure 15 - - Contour plot of N L H response to Defect 87 (circular dent). Numbers on

contour lines are corrected NLH magnitude.
Figure 16 -- Contour plot o f N L H response to Defect 28 (far-side gouge with no dent).

Numbers on contour lines are corrected N L H magnitude.
Figure 17 -- Contour plot o f N L H response to undamaged material. Numbers on contour

lines are corrected N L H magnitude.
1600.0 i
1400.0
1200.0
8
E 1000.0
?,
O
r~ J //
800.0
600.0
400.0
",', "-\N,,~,',.','" ,;' ./ ',./Z4'
, ,
cO 200.0
5
Z
4 29 /
0.0
"~ . . . . . . --/86
-200.0 I I I I I
0.0 10.0 20.0 30.0 40.0

Axial Position (cm)
Figure 18 - - NLH response along centerline of defects.
defects yield a significant dip in response below the undeformed material baseline; this
dip extends well past the deformed boundary of the defect. (Note that the magnitude can
be negative because of the material correction.) In some cases (e.g., Defect 86), the signal
increases above the baseline at greater distances.
Because NLH responds to the difference between axial and hoop stresses for biaxial
stress conditions, analysis of the response is very difficult, particularly without a detailed
understanding of the stress distributions for the defects tested which consist of either
dents, gouges, or both. Because the signals decrease in the region of the defect, the NLH
response is indicating a net difference in hoop and axial conditions of either plastic defor-
mation in tension and/or elastic stress in compression. Based on the modeling presented
earlier (for different conditions), it appears that the response is dominated by plastic
deformation effects near the defect and by elastic stresses beyond the defect boundary.
For some defects, such as Defect 86, there is also an increase in signal beyond the bound-
ary, indicating a tensile elastic stress condition.
Although understanding the stress and deformation levels is difficult at this time, a
very important result of this work is that NLH is very effective for detection of defects
containing localized deformation. In particular, Defect 28, which is a gouge without a
dent and which is not deformed on the inside surface, was clearly detected. Thus, this
method is very promising as a detection method for pipeline mechanical damage defects.
Conclusions
The NLH method was shown to be an effective candidate method for detecting local-
ized plastic deformation arising from mechanical damage to pipelines. The method can
detect damage from dents, combinations of dents and gouges, and gouges without associ-
ated deformation on the inside surface of the pipe. Because the response extends well
past the defect boundary, the defect can be detected without scanning directly over it.
Currently, the response is not sufficiently well understood to allow characterization of
stresses and deformations, but can be readily interpreted to allow detection.
Acknowledgments
The authors would like to acknowledge Dr. Tom Bubenik at Battelle Memorial
Institute, Mr. Lloyd Ulrich of the Office of Pipeline Safety, and Mr. Harvey Haines at
GRI for their cooperation and support of this NLH project. Other contributors at South-
west Research Institute included Mr. David Jones and Dr. Yi-Der Lee.
References
[1] Davis, R. J., Bubenik, T. A., and Crouch, A. E., "The Feasibility of Magnetic Flux
Leakage In-Line Inspection as a Method to Detect and Characterize Mechani-
cal Damage," Final Report GRI-95/0169, GRI, Chicago, IL, 1996.
[2] Crouch, A. E., "In-Line Inspection of Natural Gas Pipelines," Topical Report GRI-
91/0365, GRI, Chicago, IL, May 1993.
[3] Bozorth, R. M., Ferromagnetism, IEEE Press, Piscataway, NJ, 1993.
[4] Kwun, H., and Burkhardt, G. L., "Electromagnetic Techniques for Residual Stress
Measurements," Metals Handbook, Ninth Edition, Volume 17, Nondestructive
Evaluation and Quality Control, ASM International, Metals Park, OH, 1989,
pp. 159-163.
[5] Kwun, H., and Burkhardt, G. L., "Nondestructive Measurement of Stress in Ferro-
magnetic Steels Using Harmonic Analysis of Induced Voltage," NDTlnter-
national, Vol. 20, No. 3, June 1987, pp. 167-171.
[6] Kwtm, H., "Investigation of Techniques for Bulk Stress Measurement on Exposed
Pipelines--Phases I and II," Final Report to the Pipeline Research Committee
of the American Gas Association, Southwest Research Institute, San Antonio,
TX, 1993.
Strain and Displacement Measurement Techniques
Tait S. Smith I and Brian K. Bay l
Experimental Measurement of Strains using Digital Volume Correlation
Reference: Smith, T. S., and Bay, B. K., "Experimental Measurement of Strains

using Digital Volume Correlation," Nontraditional Methods of Sensing Stress, Strain,
and Damage in Materials and Structures: Second Volume, ASTM STP 1323, G. E
Lucas, E C. McKeighan, and J. S. Ransom, Eds., American Society for Testing and
Materials, West Conshohocken, Pa, 2001.
Abstract: Prediction of the effects of material discontinuities and strain concentrations

on the failure properties of manufactured parts is difficult when using complicated
structural foams and composites. Simplistic modeling approaches do not adequately
represent material behavior when the material architectural length scale is of the same
order as the geometry of the part. More advanced modeling can be performed;
however, the results need to be compared to some measured behavior. This paper uses
digital volume correlation (DVC), a three-dimensional full-field non-contacting
measurement technique based on high-resolution computed tomography, to quantify
strains and visualize microdeformation mechanisms. When applied to an aluminum
foam loaded in stages to failure, this technique can quantify the elastic strains, localize
the failure region, and visualize the deformed microarchitecture in the failure zones.
Comparisons are also made between an experimentally measured strain field in a foam
specimen with a large strain concentration and the strain field predicted using an
isotropie finite element analysis. The finite element analysis underestimates the
magnitude of the strain concentration and the distance over which it has influence.
Keywords: strain field, non-contacting strain measurement, computed tomography,

strain localization, cellular solids
Introduction
Advanced structural materials and most naturally occurring materials are

complicated foams or composites that present many difficulties in terms of
experimental testing and material modeling. The complicated microarchitecture of
these materials produces some unique properties such as high strength-to-weight ratios
or high energy absorption. However, these same characteristics also make the
prediction of the material response difficult especially when dealing with plasticity and
failure. For many of these materials, the complex microarchitecture provides an
intricate pattern that can be imaged in three-dimensions by high-resolution X-ray
computed tomography (microCT). Small regions (subvolumes) of this intricate pattern
I Ph.D. Candidate and Assistant Professor, Orthopaedic Research Laboratories, University of

California, Davis, 4635 Second Avenue, Room #2000, Sacramento, CA, 95817.

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Copyright
(PDVSA Los9Teques)
2001 by ASTM
Intemational
can be used as "markers" embedded in the material to track displacements in three

dimensions during a deformation. We have developed a technique that uses the image
data sets generated by microCT to estimate the full 3D strain tensor throughout the
interior of a test sample by tracking these internal material "markers". Digital Volume
Correlation (DVC) is the three-dimensional extension of the well characterized two-
dimensional digital image correlation method. This paper illustrates the three main
types of data generated by microCT followed by DVC: 1) detailed material
morphology, 2) three-dimensional strain fields, and 3) micro-deformation mechanisms.
We illustrate these capabilities by studying an open celled aluminum foam with a strain
concentration and by examining strain localization and collapse in a cylindrical sample.
Methods
Specimen CT Scans
The material used in this investigation

was an open-celled aluminum foam (Duocel |
ERG, Oakland, CA) made from 6061-0 alloy
with a pore density of 0.79 pores per
millimeter and a solid volume fraction of 8%.
This material exhibits linear elastic behavior
with a nominal yield strain o f = 1.5%, and a
large constant stress plastic strain range. This
type of material is used as an intemal stiffener
similar to aluminum honeycombs, but with
more isotropic properties, and as a energy
absorbing material. Both applications require
knowledge of elastic strain fields, yield and
collapse characteristics, and the interaction of
material strain fields with structural
discontinuities (interfaces, holes, fasteners).
Cylindrical specimens of foam with a Figure 1: Specimen inside the stand-
14 mm diameter were cored using a diamond off tube loading chamber showing
grit coring tool. Specimen ends were material types and a schematic of
machined parallel using a diamond grit cutter the LVDT location.
and a milling machine to a final height of
18 mm. Polycarbonate platens were then attached to the ends of the sample using
cyanoacrylate glue. Axial alignment was controlled during gluing by rolling the
cylindrical platen-specimen-platen assembly in a V-block; however, the final alignment
was not quantified. The specimen was loaded into a special apparatus designed to allow
simultaneous application of axial compression and scanning in an X-ray tomography
system (Figure 1). The loading apparatus is a polycarbonate stand-off tube design with
axial displacement measured with an LVDT and load applied with a stepper motor
driven lead screw. The polycarbonate stand-off tube has a modulus 26 times that of the
specimen and the stiffness of the loading frame was calculated to be 7350 N/mm.
SMITH AND BAY ON DIGITAL VOLUME CORRELATION 1 19
The microCT system used for this work is located at Henry Ford Hospital,
Detroit MI. It is a cone-beam microfocus magnification radiography system using an
image intensifier coupled to a CCD camera as the detector [1,2]. The X-ray source
utilizes a tungsten target and was operated at 50-60 kVp. The time required for a single
scan was 1.5 hours. The CT data volumes produced contain approximately
500x500x500 voxels with 8 bits of depth. The voxels produced by the CT system are
cubic and with the scanning geometry used for this study, the voxels are 35 gm on a
side.
X-ray tomograms of each specimen were taken before loading and after
application of successive nominal compressive strains. For strained scans, the specimen
was compressed to the nominal strain then it was allowed to relax for 30 minutes and
finally it was scanned while still strained. The initial scan of the specimen in an
unstrained condition is the baseline image volume that other deformed scans are
compared against using Digital Volume Correlation.
Digital Volume Correlation
The digital volume correlation (DVC) method measures displacement vectors

throughout the volume of a specimen at discrete positions using a local pattern
matching technique [3]. DVC is a recently developed extension of the commonly used
and actively researched digital image correlation method for measuring surface
displacements [4-7].
The current implementation of DVC is described in detail by Bay et al. [3] and
will only be summarized here. The technique finds the displacement of a point by
pattern matching as follows. A small subvolume centered around a position in the
undeformed volume is taken as the pattern
template. This pattern is then found in the
deformed volume by minimizing a
correlation function which finds the "best
match" in a least squares sense. The
difference between the final pattern
position and the initial pattern position
defines a displacement vector for that
subvolume. This process is repeated for
many different subvolumes (typically
thousands) throughout the interior of the
sample. The result is a three-dimensional
discrete displacement vector field. A
discrete strain tensor field is then calculated
from the displacement field by a least
squares fit to a second order Taylor's series
expansion of the displacement field Figure 2 - Rendering of aluminum
involving the deformation tensor and the foam with transverse hole from the
gradient deformation tensor [8, 9].
The locations where displacement microCT image data.
vectors are measured by the DVC technique are determined by creating a finite element
mesh of the specimen geometry (Patran 8.5, MSC, Los Angeles, CA) in the coordinate
system of the microCT data. The node locations are then used as positions to make
measurements. This allows the DVC results to be viewed on the original mesh.
Experiment #1 : Cylinder with Transverse Hole
One of the greatest challenges in using cellular solids in design is accounting for
the strain concentrations that occur around interfaces, holes and fasteners. We created a
simple strain concentration by drilling a 5 mm diameter hole transversely through a
15 mm diameter cylindrical sample (Figure 2). A target nominal compressive strain of-
1% was applied and the strain distribution was measured using DVC. The displacement
vectors measured using DVC at each end of the specimen near the platens were used as
displacement boundary conditions on a homogeneous isotropic finite element model of
the specimen geometry. The nodes in the FEA mesh are used as positions to make
DVC measurements, therefore strain tensor information is known at the same locations
in space. Strain distributions from the DVC and FEA results were then compared.
Experiment #2 : Failure Specimens
Open-celled aluminum foam is commonly used in shock absorption

applications, therefore initiation and progression of failure is of critical importance.
Two cylindrical specimens were loaded to target nominal compressive strains of-0.5%,
-1% and - 10% so that the evolution of the strain pattern during the progression from
elastic behavior into plastic failure could be observed. The first strain level is
conservatively within the elastic range of the material. The second strain level is just
before the yield point and the third is well beyond failure. Strain distributions were
calculated for all strain levels for comparison. Histograms were generated to show the
distribution of strains without regard to spatial position within the specimen, and fringe
plots were generated for visual comparison. Subvolumes at the locations of high strain
Figure 3 - DVC and FEA minimum principal strain distributions.
SMITH AND BAY ON DIGITAL VOLUME CORRELATION 121
were extracted from the undeformed and deformed data volumes and rendered to show
the mechanisms of cell deformation.
ResuLts
Cylinder with Transverse Hole
The general strain pattern measured using DVC is qualitatively what would be
expected from the geometry (Figure 3). The transverse hole generates a strain
concentration with large minimum principal strains on the sides of the defect with a
maximum value of-2.19%. The FEA result also shows the strain concentration on the
sides of the transverse hole as is expected. However, the FEA result underestimates
both the magnitude of the strains (maximum value of-1.87%) and the volume within
which the strains are elevated near the edge of the transverse hole. The DVC and FEA
strain fields show general agreement in the overall strain pattern especially away from
the strain concentration. The specimen was actually loaded to -0.63% nominal strain as
Figure 4 - Minimum principal strain distributions for two specimens showing the
development of the strain pattern as the specimen transitions from elastic into
plastic behavior. Darker regions represent high strain magnitudes.
determined from the DVC measured displacements at the ends of the specimen. This
nominal strain is within the elastic range of the material. However, it is not appropriate
to interpret the apparently plastic strains at the edges of the strain concentration as true
yielding of the material since the continuum assumption is violated.
Failure Specimens
The target nominal strains were not reached due to difficulties in controlling the
loading apparatus. The main source of problems was due to the specimen platens not
being exactly parallel. This caused the LVDT to measure displacements that
corresponded to rotation of the platen rather than to compression of the specimen.
However, the specimens reached two elastic strain levels and one plastic level. The
minimum principle strain distributions show the progression as the specimen is loaded
from the elastic region into the plastic region (Figure 4). Surface strains are illustrated,
but the same information is available throughout the sample interiors. The development
of high strain regions in the material begins during elastic level strains and these regions
go on to form the basis for the failure zones. However, the correspondence between
elastic and plastic strains patterns is not simple.
Histograms of the minimum principal strain distributions show that the
distribution of strain is narrow for elastic level behavior and becomes very distributed
Figure 5 - Histograms of the development of minimum principal strain in two

specimensfrom elastic through to plastic deformation. Arrows indicate location of
nominal strain values.
after plastic failure (Figure 5). Note the different strain bins used in each histogram.
Subvolumes were extracted from one of the specimens before and after plastic
deformation in a location of high strain as determined from the DVC fringe plot (Figure
6). The subvolume renderings show the local deformation mechanism of a unit cell.
This particular unit cell is collapsing in the vertical direction and shows some struts
bending and others buckling.
Figure 6 - Local deformation mechanisms after plastic failure.
Discussion
Cylinder with Transverse Hole
The homogeneous isotropic finite element model of the specimen treats the
aluminum foam material as a continuum. A continuum model of a foam material is
valid only when the volume of the material is much larger than the unit cell dimensions
of the foam and is only valid several characteristic lengths away from any interface (a
hole, inclusion, bonded material, etc.). This is a condition that is easy to satisfy for
materials such as solid metals, but not for most composites and foams. Typical cell
sizes in the aluminum foam are 1.2 mm which is about one-quarter the transverse hole
diameter. Therefore the continuum assumption is violated in the vicinity of the
transverse hole which is precisely where it is most important to have accurate
information and overestimates the stiffness of the material in the neighborhood of the
defect.
The process of drilling the hole through the material perforates some of the cells
in the foam. When attempting to make predictions about the behavior of the material
near a geometric discontinuity, the precise location of the perforations with respect to
the material cells becomes critical. It is also likely that some cells are more sensitive to
perforations than others. This sensitivity could be a function of the imposed stress field.
Models need to incorporate some stochastic behavior in order to account for

unpredictable cell perforation. This phenomenon makes the prediction of strain
concentrations very difficult in foam materials.
The strain concentration measured using DVC is of greater magnitude, has a
larger influence range, and is of different shape than the continuum model prediction.
Interacting structural features may combine to make the resulting specimen much
weaker than a continuum model would predict. The ability to experimentally measure
strain fields is very important in order to develop models that can be more predictive in
complex materials.
Failure Specimens
Experimental strain measurements of a foam material after plastic deformation

shows the localization of the failure surface. In this experiment, the elastic strain
distributions were indicative of the regions where failure occurred, but the association
was not exact, and multiple possible failure patterns were suggested by the elastic
strains. It might be possible to use the elastic information to predict where failure will
occur. The ability to predict regions of failure from elastic level information will
depend on what local failure mechanisms are acting. If the primary mode of failure is
an instability, like a vertical column buckling, prediction may be very difficult because
high continuum strains will not develop before failure. However, if failure occurs
primarily through strut bending as has been discussed by Gibson and Ashby [10], then
elastic and plastic strain patterns will be closely related.
Many factors affect elastic and plastic material behavior: the local arrangement
of material (microarchitecture), local material properties, and overall sample loading.
These factors interact and determine eventual material response. The DVC technique
can supply some of the needed information. DVC computes the continuum level
strains, high resolution CT provides detailed information about the material
microarchitecture, and using the combination of DVC and CT data a visual
representation of the deformation mechanisms at the locations of failure can be
obtained.
Limitations/Future Work
The current system for measuring compressive strain distributions in cellular

foam materials has several limitations. The specimen loading conditions are very
difficult to control accurately. For these experiments, the target strain values were not
reached and actual nominal strains had to be calculated from the DVC displacemems at
the ends of the specimen. There are two main reasons for this. The first is that the
experiment occurs in another lab and therefore it is difficult to make small changes as
experience is gained from watching experiments. The second is that the loading
apparatus is a stand-off tube design, which is inherently less stiff and stable than other
designs.
The images could be improved both in terms of spatial resolution and noise
content. The stand-offtube loading apparatus degrades the image quality due to the
polycarbonate tube material being in the beam. The polycarbonate attenuates some of
the soft X-rays and affects the noise level in the images. The old detector in the current
CT system could be improved by replacement with a new image intensifier and CCD.
The issues with regard to the CT system will be addressed by this lab in the near
future. A NFS grant has funded the construction ofa CT system with an integral
loading apparatus in our laboratory. This new scanner will address the limitations
mentioned above. It will incorporate a microfocus cone-beam source and an image
intensifier coupled to a CCD as a detector. The specimen stage will be built into a
standard materials testing loading frame with rotational degrees of freedom added.
Currently, digital volume correlation uses only translational degrees of freedom
during the minimization. DVC is actively being developed and rotational and straining
degrees of freedom will be added soon. The addition of additional degrees of freedom
should improve the strain results from DVC.
The results presented in this paper show that full-field three-dimensional strain
fields can be measured using high resolution CT data sets and applying the DVC
method. The results are only preliminary and further studies will be done to better
characterize and further develop the experimental methodology, and to continue with
applications. One goal of complex material characterization is the ability to do
predictive modeling of material failure. A traditional constitutive model probably will
not provide the answers. Models will most likely involve continuum modeling,
microarchitectural characterization, and statistical analysis.
Acknowledgments
We would like to acknowledge NIH Grant AR43183: "Measurement of Strain in

Bone by Texture Correlation," and NSF Grant CMS-9977491: "Development of an
Integrated Materials Testing and High-Resolution Tomography System for
Measurement of Three-Dimensional Strain Fields," for support of this research.
References
[1] Reimann, D.A., Flynn, M.J., and Hames, S.M. "A Flexible Laboratory System for
3D X-ray Microtomography of 3-50 mm Specimens," SPIE 3D Microscopy."
Image Acquisition and Processing, Vol. 2412-26, 1995, pp. 1-10.
[2] Reimann, D.A., Hames, S.M., Flynn, M.J., Fyhrie, D.P., "A Cone Beam Computed
Tomography System for True 3D Imaging of Specimens," Applied Radiation
and Isotopes, 48(10-12), 1997, pp. 1433-1436.
[3] Bay, B,K., Smith, T.S., Fyhrie, D.P., and Saad, M., "Digital Volume Correlation:
Three-Dimensional Strain Measurement Using X-ray Tomography,"
Experimental Mechanics, 39(3), 1999, pp. 218-227.
[4] Sutton, M.A., Wolters, W.J., Peters, W.H., Ranson, W.F., and McNeill, S.R.,
"Determination of Displacements Using an Improved Digital Correlation
Method," Image and Vision Computing, 1(3), 1983, pp. 133-139.
[5] Chu, T.C., Ranson, W.F., Sutton, M.A., and Peters, W.H. "Applications of Digital-
Image-Correlation Techniques to Experimental Mechanics," Experimental
Mechanics, 25(3) 1985, pp. 232-244.
[6] Lyons, J.S., Liu, J., and Sutton, M.A., "High-Temperature Deformation
Measurements Using Digital-Image Correlation," Experimental Mechanics,
36(2), 1996, pp. 64-70.
[7] Vendroux, G. and Knauss, W.G., "Submicron Deformation Field Measurements:

Part 2. Improved Digital Image Correlation," Experimental Mechanics, 38(2),
1998, pp. 86-92.
[8] Geers, M.G.D., de Borst, R., and Brekelmans, W.A.M., "Computing Strain Fields
From Discrete Displacement Fields in 2D-Solids," International Journal of
Solids and Structures, 33(29), 1996, pp. 4293-4307.
[9] Zhu, Y., Drangova, M., and Pelc, N.J., "Estimation of Deformation Gradient and
Strain from Cine-PC Velocity Data," IEEE Transactions on Medical Imaging,
16(6), 1997, pp. 840-851.
[10] Gibson, L.J. and Ashby, M.F., "Cellular Solids: Structure and Properties." 2nd ed.,
Oxford, Pergamon Press, 1997.
Jeffrey C. Suhling I and Richard C. Jaeger2
Measurement of Stress Distributions on Silicon IC Chips Using Piezoresistive

Sensors
Reference: Suhling, J. C., and Jaeger, R. C., "Measurement of Stress Distributions on

Silicon IC Chips Using Piezoresistive Sensors," Nontraditional Methods of Sensing
Stress, Strain, and Damage in Materials and Structures: Second Volume, ASTM STP
1323, G. E Lucas, E C. McKeighan, and J. S. Ransom, Eds., American Society for
Testing and Materials, West Conshohocken, Pa, 2001.
Abstract: Structural reliability of integrated circuit chips in electronic packages

continues to be a major concern due to ever-increasing die size, circuit densities, power
dissipation, and operating temperatures. A powerful method for experimental evaluation
of silicon die stress distributions is the use of test chips incorporating integral
piezoresistive sensors. In this paper, a review is made of the state-of-the-art in the area of
silicon piezoresistive stress sensor test chips. Developments in sensor theory, calibration
methods, and packaging applications are presented.
Keywords: stress sensor, piezoresistive, test chip, electronic packaging
Introduction
Stresses due to thermal and mechanical loadings are often produced in IC chips that
are incorporated into electronic packages. They typically occur due to non-uniform
thermal expansions resulting from mismatches between the coefficients of thermal
expansion of the materials comprising the package and the semiconductor die.
Additional thermally induced stresses can be produced from heat dissipated by high
power density devices during operation. Finally, mechanical loadings can also be
transmitted to the package through contact with the printed circuit board to which the
package is mounted. The combination of all of the above loadings can lead to two-
dimensional (biaxial) and three-dimensional (triaxial) states of stress on the surface of the
die. If high power density devices within the package are switched on and off, these
stress states can be cyclic in time causing fatigue. All of these factors can lead to
premature failure of the package due to such causes as fracture of the die, severing of
connections, die bond failure, solder fatigue, and encapsulant cracking.
lprofessor, Department of Mechanical Engineering, 201 Ross Hall, Auburn University,

Auburn, AL, 36849.
2Distinguished University Professor, Department of Electrical Engineering, 200 Broun
Hall, Auburn University, Auburn, AL, 36849.

127EST 2012
Copyright
(PDVSA Los9Teques)
2001 by ASTM
Intemational
Piezoresistive stress sensors are a powerful tool for experimental structural analysis of
electronic packages. Figure 1 illustrates the basic application concepts. The structures of
interest are semiconductor (e.g. silicon) chips that are incorporated into electronic packages.
The sensors are resistors, which are conveniently fabricated into the surface of the die using
current microelectronic technology. The sensors are not mounted on the chips like
conventional metallic foil or semiconductor strain gages. Rather, they are an integral part of
the structure (chip) to be analyzed by the way of the fabrication process (see Fig. 2).
Electrical isolation between the doped surface resistor and the bulk of the chip is maintained
by reversing p-n junction diode formed between the resistor and substrate regions. In
conductors such as silicon that exhibit the piezoresistive effect, the electrical resistivity
changes when the material is subjected to stress or pressure. Thus, stresses in a chip
produce measurable resistance changes in the sensors. Therefore, the sensors are capable of
providing non-intrusive measurements of surface stress states on a chip even within
encapsulated packages (where they are embedded sensors). Similar to conventional bonded
foil strain gages, the doped active region of a piezoresistive sensor is typically designed
using a serpentine pattern, in order to achieve acceptable resistance levels for measurement
(see Fig. 3). Resistor sensors with nominal dimensions of only a few microns are now
possible with the submicron minimum feature sizes available in current semiconductor
fabrication technologies. However, the sensors utilized in most current packaging
applications have nominal in-plane dimensions of 10-100 ~tm on a side.
Fig. 1 - Piezoresistive stress sensor concept.
The piezoresistive behavior of semiconductors such as silicon has been known for many
years [1-2]. The earliest applications of resistor sensors on IC chips for stress measurement
in plastic encapsulated electronic packages were made at Texas Instruments in the early
1980's [3-4]. Many potential applications exist for piezoresistive sensors in the
microelectronic packaging industry including qualifying of manufacturing processes,
SUHLING AND JAEGER ON SILICON IC CHIPS 129
guiding material selection, and evaluating reliability. If the utilized piezoresistive sensors
are calibrated over a wide temperature range, thermally induced stresses can be measured.
Finally, a full-field mapping of the stress distribution over the surface of a die can be
obtained using specially designed test chips, which incorporate an array of sensor rosettes.
In this paper, the state-of-the-art in the area of silicon piezoresistive stress sensor test
chips is reviewed. Discussions are made of sensor theory, calibration methods, and
packaging applications.
Fig. 2 - Piezoresistive sensor, top and side views.
Fig. 3 - Serpentine pattern used in typical sensor applications.
Silicon Piezoresistivity Theory
General Resistance Change Equations
Since silicon is an anisotropic material (cubic crystal), the behavior of a unidirectional

piezoresistive sensor depends strongly on the wafer plane in which it is fabricated and the
orientation of the sensor in that wafer plane. An arbitrarily oriented silicon filamentary
conductor is shown in Fig. 4. The unprimed axes Xl = [100], x2 = [010], and x3 = [001] are
the principal crystallographic directions of the cubic (m3m) silicon crystal. The primed
coordinate system is arbitrarily rotated with respect to this unprimed crystallographic
system. For this conductor, the normalized change in resistance can be expressed in terms
of the off-axis (primed) stress components using
AR
-- =
( z % a , )l,2 + (z,2~a,c,)m,2 + ( ~.3a(Ta
, , ) n ,2
R
+2 (rc4~cyr,)ln+2
. . . . (~sc,
. a. , ).m n. +. 2 (. ~ s ., a. a ) I m (1)
+ [ a I T + a 2 T ~ + ...]
where ~'~a (or, fl = 1, 2,..., 6) are the off-axis temperature dependent piezoresistive
coefficients, a l , c~e,.., are the temperature coefficients of resistance, T =Tm - Tref is the
difference between the measurement temperature and reference temperature (where the
unstressed resistance R is measured), and l; m ; n" are the direction cosines of the
conductor orientation with respect to the x'~, x'~, x'a axes, respectively [5-7]. In Eq. (1) and
future indicial notation expressions, the summation convention is implied for repeated
indices, and reduced index notation has been used for the stress components
a ' , = a S , , a ' 2 = a'~2, a'~ = r

(2)
cr'4 = r ,r = cr'es , ~'6 = r
X3
~
x~ [~10]
x;
2[010
X2
Fig. 4 - Filamentary silicon conductor. Fig. 5 - (I00) silicon wafer.
The 36 off-axis piezoresistive coefficients in Eq. (1) are related to the three unique on-
axis piezoresistive coefficients ~ri1, ~i~, zr~ (evaluated in the unprimed coordinate system
aligned with the crystallographic axes) using the transformation
p -1
z ,~ = T ~ r z r ~ T ~ (3)
where
'r- z~2 z~2 0 0 07
Z12 n'H n:~2 0 0 0
7c12 7~12 7~11 0 0 0 (4)

[ ,~]=
0 0 0 rr~ 0 0
0 0 0 0 n~ 0
0 0 0 0 0 ~
is the on-axis piezoresistive coefficient matrix, and
l~ m~ n~ 2llnl 2mini 2llrnl
l~ m~ n~ 212n2 2m2n2 212m2

ITs] =
l~ mJ n~ 2 la n3 2 ms na 213 rna (5)
l~la rn~ma n~na l~n3+lanl mJn~+rnan~ l~m3+13m~
l~13 rnem3 n~n3 12na+lan2 m2n3+m3n2 12m3+13m2
l~12 mlm2 nln2 lln2+12nl m~n2+rn2n~ llm2+12m~
is the six by six transformation matrix whose elements are related to the direction cosines
of the primed coordinate directions with respect to the unprimed coordinate directions. The
inverse of this transformation matrix can be expressed as
fl l~ l~ 21113 212la 21112
m~ m~ m~ 2 m, m3 2 m2 ma 2 ml me
[T~ff =
n le n~ n~ 2 nl n3 2 n~ n3 2 n~ n2 (6)
llnl 12 n2 lsns lln3 + lsnl 12ns + l s n 2 lln2 + le n l

rnl n l m 2 n2 m 3 na m~ n3 + m 3 n l m e na + rn3 n2 rnl n2 + m 2 n l
llrn~ l~rn2 13rn3 llrna + larnl 12rna+13rn2 llm2 + 12ml
In Eqs. (5,6), the direction cosines for the axes of the primed coordinate system are
given by
[aij] = a21 a22 a23 = le m2 n2 (7)
a31 a32 a33 13 ma na

where
alj = c o s ( x ' ~ , x j) (8)
When the primed axes are aligned with the unprimed (crystallographic) axes, the
transformation matrix in Eq. (5) reduces to the 6 x 6 identity matrix. Thus, Eq. (3) reduces
to
/r'~fl = ~afl (9)
and Eq. (1) simplifies to
AR
-- = [E11 IT11 + E12 (IT22 + Ga3)]l 2 + [ E l i ~22 -t- ~12 (~11 "~ IT33)Jm 2
R
+ [ z n tree + z~2 (cr11 + (r22)] n 2 + 2 ~44 [r lm + r In + a23 rnn] (10)
+ [OtlT + o~2T 2 + ...]
where l, m, n are the direction cosines of the conductor orientation with respect to the
unprimed (crystallographic) axes. Equation (10) demonstrates that the resistance change of
an arbitrarily oriented silicon resistor depends on all six stress components. As will be
shown below, resistive sensor rosettes can be fabricated in certain silicon wafer planes that
take advantage of this property and allow several stress components to be extracted from
monitoring resistance changes.
Resistance Change Equations f o r Silicon Wafer Planes
For a given wafer orientation, Eq. (1) can be used to obtain the resistance change
equation for an arbitrarily oriented in-plane resistor. In the current rnicroelectronics
industry, it is most common for silicon devices to be fabricated using (100) silicon wafers.
A general (100) silicon wafer is shown in Fig. 5. The surface of the wafer is a (100) plane,
and the [001] direction is normal to the wafer plane. The axes of the natural wafer
coordinate system x ' l = [110] and x'2 = [110] are parallel and perpendicular to the
primary wafer fiat. To use Eq. (1), the off-axis piezoresistive coefficients in the primed
coordinate system must be evaluated using Eq. (3) by substitution of the unprimed values
in Eq. (4) and the appropriate direction cosines. For the unprimed and primed coordinate
systems shown in Fig. 5, the direction cosines are
1 1 (11)
[alJ]= "4~ q~
0 0
Substitution of the off-axis piezoresistive coefficients calculated in the manner

described above into Eq. (1) yields
R 2 2
l
aee cos r
(12)
2 tr'H + 2 tY'ze sin e 0
+ z12 tr'33 + (rru- giz) r sin2O + [o~1T + tx~ T e + ...]
where
l'=cos(~ rn'=sinO n'=O (13)
have been introduced and ~ is the angle between the x'l -axis and the resistor orientation.
Equation (12) indicates that the out-of-plane shear stresses tr'~s and o"e3 do not influence
the resistances of stress sensors fabricated on (100) wafers. This means that a sensor
rosette on (100) silicon can at best measure four of the six unique components of the stress
tensor. All three of the unique piezoresistive coefficients for silicon ( z n, z~2, ~r44) appear
in Eq. (12). These parameters must be determined before stress component values can be
extracted from resistance change measurements
The other common silicon crystal orientation used in semiconductor fabrication is the
(111) surface. A general (111) silicon wafer is shown in Fig. 6. The surface of the wafer is
a (111) plane, and the [111] direction is normal to the wafer plane. The principal
crystallographic axes x~ = [100], x2 = [010], and x~ = [001] do not lie in the wafer plane and
have not been indicated. As mentioned previously, it is convenient to work in an off-axis
primed wafer coordinate system where the axes x'1, x'e are parallel and perpendicular to
the primary wafer fiat. Using Eq. (1), the resistance change of an arbitrarily oriented in-
plane sensor can be expressed in terms of the stress components resolved in this natural
wafer coordinate system. The off-axis piezoresistive coefficients in the primed coordinate
system must be first evaluated by substituting the unprimed values given in Eq. (4) and the
appropriate direction cosines for the primed coordinate directions with respect to the
unprimed (crystallographic) coordinate directions into the transformation relations given in
Eq. (3)'. For the primed coordinate system indicated in Fig. 6, the appropriate direction
cosines for the primed axes are
1 1 O"
45 4~
1 1 2 (14)
[aJ =]
4g .z
1 1 1
45 45 45
Substitution of the off-axis piezoresistive coefficients, calculated in the manner

described above, into Eq. (1) yields
- - ~ = [ Bl a'~ + Be cr'22 + B~ a 9s3 + 2 % ] 2 ( B 2 - B3) crp23] cos 2
+ [Be a'lJ + B1 ~r'22 + B~ a'33 - 2~12(Be - B3) a'e3]sin e r (15)

+ [2~]2(B~ - B3) r + (B1 - Be) a'~e] sin 2 9
+ [ a l T + or2T 2 + ...]
where ~b is again the angle between the x'~-axis and the resistor orientation. The
coefficients
B1 = z l l + z u + z " B2 = z n + 5 z ~ 2 - z ~ Bs=Z~J+2zu'z~ (16)

2 6 3
are a set of linearly independent temperature dependent combined piezoresistive

parameters. The values of these parameters must be determined before stress component
values can be extracted from resistance change measurements. Equation (15) indicates that
the resistance change for a resistor in the (111) plane is dependent on all six of the unique
stress components. Therefore, the potential exists for developing a sensor rosette that can
measure the complete three-dimensional state of stress at points on the surface of a die.
Rosette Design
From Eq. (12), it can be seen that the resistance change of an in-plane sensor
fabricated on (100) silicon depends on four components of stress ( cr'11, o"ee, o"33, cr'~e )
and the orientation of the sensor. Likewise, from Eq. (15) it can be seen that the
resistance change of an in-plane sensor fabricated on (111) silicon depends on all six
stress components and the orientation of the sensor. Because of this, it seems natural to
assume that the potential exists to design a four element rosette on (100) silicon capable
of measuring four stress components, and a six element rosette on (111) silicon capable
of measuring all six stress components. However, it can also be proved theoretically that
when considering all possible orientations at a point that there are only three unique
sensor responses on any given silicon plane [4]. Therefore, it appears that it is not
possible to design a rosette that can measure more than three stress components. The
above discussion pertains to rosettes formed with identically doped sensing resistors.
The full potential of multi-element sensor rosettes to measure up to six stress components
can be achieved by using dual-polarity sensing elements fabricated with both n-type and
p-type silicon. Since the piezoresistive coefficients of the n-type and p-type resistors are
different, there can be up to six unique sensor responses in dual-polarity rosettes.
Besides the ability to measure two additional stress components, theoretical analysis
has established that properly designed sensor rosettes on the (111) silicon wafer plane
have other advantages relative to sensors fabricated using standard (100) silicon [5-7]. In
particular, optimized sensors on (111) silicon are capable of measuring four temperature
compensated combined stress components, while those on (100) silicon can only be used
to measure two temperature compensated quantities. In this discussion, temperature
compensated refers to the ability to extract the stress components directly from the
resistance change measurements (without the need to know the temperature change T).
This is a particularly important attribute, given the large errors that can be introduced into
non-temperature compensated stress sensor data when the temperature change T is not
precisely known [8-9]. Furthermore, it has been established theoretically that the (111)
surface represents the optimal plane because it offers the opportunity to measure the
highest number (four) of stress components in a temperature compensated manner
(considering all possible silicon wafer orientations) [6]. The four stress components that
can be measured in a temperature compensated manner using (111) silicon sensors are
the three shear stress components and the difference of the in-plane normal stress
components. Temperature gradients across the sensor rosette are typically neglected
because of the thermal conductivity of silicon is very high. Discussion of many other
issues involved in using piezoresistive sensors has been given by Sweet [10].
Fig. 6 - (111) silicon wafer. Fig. 7 - Four element rosette on (100) silicon.
Optimized Four Element Rosette on (100) Silicon
A four element dual-polarity sensor rosette on (100) silicon capable of measuring four
stress components is shown in Fig. 7. It contains a 0-90 ~ p-type resistor pair (_R1,p and
Re, p ) and a _-/-45~ n-type resistor pair (R3," and R4, . ). It has been demonstrated [8-9] that
this choice of sensor orientations minimizes thermally induced errors as well as those due
to resistor misalignment, and permits accurate temperature compensated measurement of
p i
the values of the in-plane normal stress difference (o'1~ -o-22) and the in-plane shear
stress cry2.
Application of Eq. (12) to the various resistor orientations gives the following
relations between the resistance changes and the stresses at the rosette site
AR1 + i
R1 2 2
(17)
R2 2 2
AR3 = Zs (try1 + cr'22) + ZDa~2 + ~1~a'3a + a'/T
Ra
AR4 = z~ (cry1+ a'22)- z~a~2 + ;z,~a'aa + a~T
R4
where the notations z s = (z,1 + z,e ) and ZD = (Z,, -- z,e ) have been introduced, and
superscripts n and p are used on the piezoresistive coefficients to denote n-type and p-type
resistors, respectively. The expressions in Eq. (17) can be inverted to yield equations for
the four stress components a'11, r o"3a, o"~2 in terms of the resistance changes of the
n n n
sensing elements, the piezoresistive coefficients zl~, zrle, zt~, ~ ,p z~e, and the
temperature change T. Combination of these expressions also leads to two temperature-
compensated resistance-stress expressions
= l_[.Z~ R.___~ Z~Re 1

(a'.-a'22) z~LR, R--~2J
(18)
o,~= f_~F_AR~ AR41

2 ZD L Ra -~4 J
The piezoresistive coefficients needed to solve for the stress components can be
measured using a combination of uniaxial and hydrostatic pressure calibration testing [11-
12]. A photograph of a fabricated four element dual-polarity rosette is shown in Fig. 3.
Optimized Eight Element Rosette on (111) Silicon
The eight element dual-polarity rosette on (111) silicon illustrated in Fig. 8 contains p-
type and n-type sensor sets, each with resistor elements making angles of ~ - 0 , + 45,90
degrees with respect to the x'~-axis. This sensor has been developed by the authors for
measurement of the complete state of stress at points on the surface of a packaged
semiconductor die. It has been optimized to measure four stress components in a
temperature compensated manner, and can be readily calibrated using uniaxial and
hydrostatic testing. A six element rosette (without the -45 ~ resistors) can also be used to
extract the complete stress state. However, including the two extra resistors allows for
more convenient bridge measurements of the resistance changes and better stress
measurement localization [7].
Fig. 8 - Optimized eight element rosette on (111) silicon.
Repeated application of Eq. (15) to each of the piezoresistive sensing elements leads to
the following expressions for the stress-induced resistance changes
A R j - B7 6',1 + B~ a',2 + B'~ a'aa + 2 4-ff( B~ - B']) a',a

R1
+ [a'~T + a ~ T " +...]
Rz ~ Z )
+ ( B [ - B ~ ) a ' 1 2 + [ a T T + a~T" + ...]
A Ra = B] a'lJ + B'] a'2, + B'~ a'aa - 2 4-2(B'~ - B~) a',a
Ra
+ [a'~T + a~T" + ...]
aR,_(B'~+B~
E [-""~)~H, + (Y,,)+B~(T'aa-2~I2(B~-B~)fY',a
, .
- (B'~ - B ~ ) ~ ' ~ + [aT T + a ~ T ~ + ...1

(19)
A R"s = B f a tl + B12a'22 + B~ u'as + 2 4"ff( B~ - B~) o'2a
R5
+ [ a P T + etl~T 2 + ...]
,a R , ( 8'; + B~ "~ , ,
R6 , , , /
+ (Bf-B~)a% + [ a ' : T + a ~ T 2 + ...3
A R , = B ~ a'11 + B Ip a ',a + B aPIT"33- 2 "r ( B 2P- B ~ ) ~ ',a

R7
+ [ a f T + a ~ T 2 + ...]
Rs
(
- B IP - B ,P) a 91~ + [ a f T + a~TZ + ...]
Superscripts n and p are used on the combined piezoresistive coefficients to denote n-type
and p-type resistors, respectively. For an arbitrary state of stress, these expressions can be
inverted to solve for the six stress components in terms of the measured resistance changes
~ARI
(~11 2 [(B21' - B~p ) B3n + (B~p - BaP ) B2" "1" ( B aP - B 2p) B ~n] 2[(B'~ + B])B~ - ( B ~]+ B~)B~]
R3 J L R5 + L R~ R3 J L Rs R7
n n
2[(B2p _ B~)B~+(B~
p p_ p
Bz)B~+(Bap_ p
Bz)B~] 2[(B7+ B2)
" B3" - (B1P + B2)
P B'~]
, = R~ J L R5 R7
n) p p + p n
2[(B7 + B2 B3 -(B] B2)Ba]
(20)
, . . . . [,~R, ,,R~I , .... ,V aR, ~R,I ]
o-s~ =-g-. -c~,,- BrJB-------~
? ~'B---~:B~.~m + - B----~B-~ ]
, .42/ L Rz R3 J L R5 R7 J
cr 2~= - " ---S_----F--W+ p_ ~, - ~ _ - - ' S -
81 (B2 BI)B3 (B~ B3)B~+(B~ B2)B~~- "
~'~2 = p p n
2{(Be - BI) Ba + ( B ~]- B~) B~ + ( B~ - B~) B'I]
From the expressions in Eq. (20), it is clear that the extraction of the three shear stresses
t t t
o'12,cr13,cr23 from the measured resistance changes is temperature compensated
(independent of 73. Evaluation of the three normal stress components requires
measurement of the normalized resistance changes of the sensors and the temperature
change T experienced by the sensing elements. The temperature coefficients of resistance
o~1,a2,.., must also be known for each doping type. They can be obtained using thermal
cycling calibration experiments where the resistances of the sensing elements are monitored
as a function of temperature. The measured resistance change versus temperature response
is fit with a general polynomial to extract the temperature coefficients of resistance.
Typically, only first and second order temperature coefficients are needed [7].
The authors [8-9] have previously discussed several sources of errors when using
piezoresistive sensors including sensor misalignment, transverse sensitivity, and temperature
change. Errors due to sensor misalignment and transverse stress sensitivity can be
minimized using properly designed resistors and well chosen rosette orientations. Of most
serious concern are the difficulties in obtaining accurate temperature change values over the
long time spans typical of measurements made with piezoresistive sensors (e.g. before and
after die encapsulation). It has been demonstrated that temperature measurement errors of
as little as 0.25 ~ can cause serious errors (5-10 MPa) in the experimental values of the
stresses extracted with non temperature compensated formulas such as the first three
expressions in Eq. (20). Thus, it has been recommended to restrict measurement efforts to
temperature compensated stress combinations where the temperature coefficient of

resistance terms cancel in the stress extraction equations. Besides the three shear stresses, an
additional temperature compensated quantity can be obtained by subtracting the expressions
p p
for the in-plane normal stresses cru and Cree in Eq. (20)
atll--O't22---- 1..~3 D2 L R1 Rs -~7J (21)

[(B~ - B f ) B~ + ( B f - B p) B~ + (B~ - B~) BI]
Test Chip Designs
When piezoresistive sensors are used in experimental stress analysis studies of

microelectronic packages, special test chips are typically designed and fabricated. The
test chips have arrays of sensor rosettes and are used to replace the normal functional die
used in a package of interest. In our recent research efforts, several generations of (111)
stress sensor chips have been designed, fabricated, and characterized for use in packaging
studies. These test chips contain an array of the optimized eight element dual polarity
measurement rosettes shown in Fig. 8, and either perimeter pads suitable for wire bonding
or area array pads for flip chip applications. In the fabrication processes, ion-implantation
has been used to achieve the best possible resistor matching and uniformity. Careful
layout techniques were also used to maximize resistance and stress sensitivity matching,
and to minimize sensitivity to mask misalignment during fabrication.
The basic die image of a typical (111) silicon test chip (BMW-2) is shown in Fig. 9.
This 200 x 200 mil (5 x 5 mm) die contains 12 eight element rosettes, diodes at each
rosette site for temperature measurement, and additional calibration sites and process test
structures. A typical rosette layout and its connection to the perimeter bond pads are
shown in Fig. 10. The eight element rosettes are interconnected as half-bridge circuits,
which minimizes the number of pads needed to completely access all sensors in a given
rosette. In the fabrication process, doping levels for both resistor types were chosen to be
approximately 1018 1/cm3, and nominal resistor values of 12-15 kf~ were obtained.
With the BMW-2 chip design, the wafer can be cut into larger chips on any 200 mil
increment in either direction. The repeated basic die images are interconnected through
the kerf (scribe) areas on the wafer using the shorting bars extending from the pads (see
Fig. 9). These inter-chip connections provide access to interior sensors (from the outer
perimeter pads) on larger composite die. For example, Fig. 11 shows the rosette
locations (shaded) which are accessible from the perimeter pads of a 3 x 3 array of the
basic die image (15 x 15 mm die).
Sensor Calibration
The unique piezoresistive coefficients of the silicon resistive sensors must be calibrated
before stress component values can be extracted from resistance change measurements
using formulas such as appear in Eqs. (18,20-21). For example, the expressions in Eqs.
(20-21) for the eight element (111) silicon rosette in Fig. 8 indicate that a calibration
Fig. 9 - Typical ( I l i ) silicon test chip for making stress measurements.
Fig. I 0 - Eight element rosette layout F i g . 11 - Accessible rosette locations

[BMW-2 test chip]. [6 x 6 arrayed BMW-2 chip].
procedure must be performed to determine all six of the combined piezoresistive parameters
B I , B~, B ] , B f , B~, B~ prior to using the sensor rosette for stress measurements. A
combination of uniaxial and hydrostatic pressure testing can be utilized to complete this
*' r , .
task. For example, if a known uniaxial stress crn = rr is applied in the x 1 -direction, the
expressions in Eq. (20) for the 0-90 ~ oriented sensors yield the following resistance changes
AR1 = B T a + a ~ T ARa = B'~a + ot~" T

R1 Ra
(22)
AR5 = B f a + a f T AR7 = B ~ a + e t f T
R5 Rr
From these expressions, it is clear that the constants B~, B~, B f , B f can be easily
determined through a controlled isothermal application of uniaxial stress to a sensor rosette
while monitoring the resulting resistance changes.
It can be easily seen using Eq. (15) that characterization of material constant B3 for
(111) sensors requires the die to be subjected to a controlled stress state which has non-zero
out-of-plane normal or shear stresses. Hydrostatic calibration has proven to be the most
expedient method to satisfy this condition. If a sensor rosette is subjected to hydrostatic
pressure (c;'11 = ~'22 = or'a3 = - p ) , the relations in Eq. (20) give
A R t = ARe _ ARa = AR4

- = - [ B 7 + B~ + B~]p + a} ~T
R1 R2 Ra R4
(23)
zlR5 = ARe = ART = ARs = - [ B f + B~ + B~a]P + a f T

R5 Re Rr Rs
Therefore, the combinations ( B 7 + B'~ + B ~ ) and ( B f + B ~ + B f ) can be evaluated

through a controlled isothermal application of a hydrostatic pressure to a sensor rosette
while monitoring the resulting resistance changes. The individual values of B~ and B f can
then be obtained by combining the hydrostatic pressure calibration results with the uniaxial
stress calibration results.
Four-point bending and pressure vessel testing have been used to generate the
required uniaxial and hydrostatic calibration loadings [11-12]. In the four point bending
method, a rectangular strip containing a row of chips is cut from a wafer and is loaded in a
four point bending beam fixture to generate uniaxial stress states (see Fig. 12) [12]. As
observed above in Eq. (22), this technique allows coefficients B1 and B2 to be measured for
both the p-type and n-type resistors in the dual polarity eight element rosette on (111)
silicon. Sample four point bending calibration measurements for the p-type resistors on
the BMW-2 test chip appear in Fig. 13.
Fig. 12 - Four point bending calibration.
Fig. 13 - Typical four point bending results

[P-type resistors, eight element rosette].
In our hydrostatic testing procedure, a high capacity pressure vessel has been used to
subject a single die to triaxial compression [12]. As indicated by Eq. (23), temperature
compensated hydrostatic measurements cannot be made so that temperature changes
occurring during testing is a potential problem. It has been observed experimentally that
the hydraulic fluid temperature change due to a 14 MPa pressure change is about 0.8 ~
Because of the relatively large temperature coefficients of resistance of silicon, the
temperature effects must be removed from hydrostatic calibration data before evaluating
the piezoresistive pressure coefficient ~ = -(BI+B2+B3). To remove the temperature-
induced resistance changes, an accurate determination of the temperature coefficient of
resistance (TCR) al of a sensor must be done prior to pressure coefficient measurement.
Fig. 14 - Typical hydrostatic calibration Fig. 15- Adjusted hydrostatic calibration

data (P-type resistor). data (P-type resistor).
Typical resistance change with temperature behavior for unstressed p-type resistors in
the BMW-2 test chip were recorded using an oven where the temperature could be
controlled to 0.1 ~ Using the measured data, an average value of t ~ = 2110 x 10-6
1/~ was found. Once TCR measurements were completed, the die were subjected to
hydrostatic pressure. During these tests, the resistances of the sensors and the fluid
temperature were monitored at every load step. The hydraulic fluid temperature was
measured with a precision thermister positioned very close to the die surface (within 5
mm). The thermister and die surface are believed to be at the same temperature because
of their close proximity in the center of the symmetrical pressure vessel where
temperature gradients in the fluid are small, and because of the high thermal conductivity
of silicon. In addition, the system was allowed to equilibrate for several seconds before
measurements were taken at a given pressure. Localized heating due to power
dissipation in the sensor is negligible, and is in fact much smaller than conventional
metal foil strain gages due to the lower excitation voltages utilized (less than 1 V) and
much higher unstressed sensor resistances (12-15 ks Typical resistance change with
pressure behavior is depicted in Fig. 14. If the temperature of the fluid didn't change
under pressure, the raw data curve in Fig. 14 should have been linear according to eq.
(23). Nonlinearity was present because of the nonlinear variation of the hydraulic fluid
temperature during pressurization. Adjusted resistance versus pressure data were
obtained by subtracting the temperature induced resistance change (arT) from the total
resistance change at each and every data point. As observed in Fig. 15, the adjusted
resistance change data are linear with fluid pressure, supporting the accuracy of the
procedure to remove the temperature effects present during the measurements. The slope
of the curve in Fig. 15 is the piezoresistive pressure coefficient ~ = -(BI+Bz+B3). For
this example, a value of ~ = 27 (1/TPa) was extracted.
Test Chip Packaging Applications
Test chips incorporating piezoresistive stress sensors can be used in a variety of ways to
evaluate assembly and packaging technologies. They are useful for measuring processing
induced die stress as a function of various manufacturing variables. In this role, they can be
used to guide material selection processes (e.g. encapsulants). In addition, test chips can be
used for in-situ stress measurements during processing or final end use of the electronic
component. When using (111) silicon sensors, interfacial shear stresses between the die
surface and encapsulant can be monitored as a tool for delamination detection and
monitoring of interfacial crack growth. Finally, stress test chips can be used measure the
changes in die stresses occurring during various types of electronic packaging reliability
testing such as thermal cycling, thermal aging, HAST (highly accelerated stress testing), and
long term moisture adsorption. In such applications, the changes in stress are often a direct
indication of the damage that has occurred in the encapsulant or die attachment material
contacting the chip. To make transient stress measurements during changing environmental
conditions, the dependence of the piezoresistive coefficients on temperature and/or moisture
must be know. The temperature dependence of these material constants has been found to
be relatively small [8], but the moisture dependence has not yet been explored.
In the following sections, brief examples are provided of several of our applications of
piezoresistive stress sensors to the assembly and packaging of microelectronics. In each
case, the experimental measurement approach is critical since it is very difficult if not
impossible to predict accurately the mechanical response using numerical simulation
methods (e.g. finite element analysis). The challenges with the finite element approach
include such issues as unknown material constitutive behavior of the encapsulants during
solidification, difficulty in predicting delamination initiation and three-dimensional crack
growth, and lack of models for material damage and degradation of materials such as
viscoplastic encapsulants and solders.
Die Stresses During Chip on Board Assembly
In chip on board (COB) technologies, the semiconductor die is attached directly to a

second level substrate (e.g. ceramic or organic circuit board). Such assemblies have
become popular for multichip module (MCM) applications requiring reliable packaging
with reasonable costs. In wire bonded COB (chip-and-wire), the chip level interconnect is
done by wire bonding. The chip is attached to the substrate with a die attachment adhesive
(e.g. silver-filled epoxy), and the outer leads are then bonded. Finally, the die is
encapsulated using a "glob-top" liquid encapsulant (see Fig. 16).
Fig. 17 - COB specimen assembly.
In our work, (111) silicon test chips have been used to characterize the variation of
die stress throughout the COB packaging process [13]. A typical specimen assembly
with encapsulated test chip is shown in Fig. 17. The initial sensor resistances of all
sensors were recorded when the test chips were in wafer form. The rosettes were later
characterized after die attachment, and throughout the cure cycle of the liquid
encapsulant. Using the measured data and appropriate theoretical equations, the stresses
at sites on the die surface have been calculated. Also, preliminary three-dimensional
nonlinear finite element simulations of the chip on board packages were performed, and
the stress predictions were correlated with the experimental test chip data. Figure 18
shows typical room temperature data for the out-of-plane shear stress components and
two different trials performed with different encapsulants. In this illustration, the small
squares represent the size and locations of the sensor rosettes, and the numerical data are
average values from the 15 samples used in each trial. From the data, it is clear that the
interfacial shear stresses when using the FP4650 encapsulant were reduced typically by
20% relative to the observed values for the FP4450 material. The observed reductions in
the in-plane die surface stresses were typically 20-40% [13]. The out-of-plane shear
stress magnitudes are relatively small for both encapsulants when compared to the
magnitudes of the in-plane stress components. However knowledge of these stress
components is critical for the determination of the integrity of die/encapsulant interfaces
or for the detection of interface delaminations.
In Fig. 19, typical stress variation during the encapsulant cure process is shown.
Several effects can be clearly seen including the cure shrinking that occurs during the
temperature hold at 165 ~ and the stress buildup that occurs during assembly cooldown.
The data in this experiment were taken over a period of 2.5 hours. When performing
such continuous measurements with fixed instrumentation over long time periods, our
experience is that the stress variations can be resolved accurately to the order of 0.1 MPa
or less, including effects of instrumentation drift. However, when there are long delays
between measurements (e.g. while waiting for another assembly step to be completed in
another facility), and possibly multiple sets of instrumentation are involved, the changes
in stress magnitude that can be accurately resolved are higher, typically on the order of 1-
2 MPa.
Delamination in Plastic Encapsulated Packages
In conventional plastic encapsulated packages, chips are first attached to a metal lead
frame using a silver filled epoxy adhesive. Small diameter gold wires are then used to
interconnect electrically the small bond pads on the silicon die to the thin metallic leads.
The assembly is then encapsulated in an injection molding machine, and the metal legs are
shaped in a forming die. Once assembled, several plastic encapsulated packages are
typically surface mounted to a printed circuit board using solder. One of the most common
plastic encapsulated electronic packages is the quad flat pack (QFP) as shown in Fig. 20.
QFPs with up to 300 leads are now routinely used in the microelectronics industry.
Fig. 18 - Out-of-plane shear stress data in COB packages (room temperature).
In our plastic package studies, calibrated and characterized (100) and (111) test chips
were encapsulated in 240 pin QFPs [14]. The post packaging room temperature
resistances of the sensors were then recorded, and the stresses on the die surface were
calculated using the measured resistance changes and the appropriate theoretical
equations. The presence of delaminations between the die surface and the encapsulant
was explored using C-mode scanning acoustic microscopy (C-SAM). Stress test chips
fabricated with (111) silicon have shown great potential for detecting delaminations and
for aiding the understanding of stress distributions in delaminated packages. For
example, Fig. 21 shows the distribution of the total out-of-plane shear stress on the die
surface of a partially delaminated QFP. The delaminations began at the four comers of
the die, and the delamination boundary (as determined via C-SAM) is shown as a curved
,* t
line. In non-delaminated chips, the out-of-plane (interracial) shear stresses 613 and Ge3
are relatively small, except very near the die edges. For example, in our measurements
shown in Fig. 18, the measured magnitudes of these stresses in chip on board packages
were typically in the range of 0-6 MPa. However, in the delaminated QFPs, the
magnitudes of these stresses became very high (up to 50 MPa). This was especially true
at non-delaminated rosette sites that were very near the edge of the delamination region.
Rosettes in the delaminated regions were found to have failed (open circuit) due to the
delamination damage.
Fig. 19 - Typical variation of die stress during the encapsulant cure cycle.
Fig. 20 - Quad flat pack (QFP).
Fig. 21 - Total out-of-plane shear stress data for a typical delaminated die.
Stress Changes in Pin Grid Array Packages Due to Reliability Testing
In a ceramic pin grid array (PGA) package, a silicon chip is bonded within the cavity
of a multilayer ceramic package with metal pin leads using a die attachment adhesive.
Fine aluminum wires are used to provide the interconnections from the die bond pads to
the metal traces on the PGA housing, and the cavities are typically sealed using Kovar
lids and an Au-Sn eutectic pre-form. Figure 22 shows a photograph of a typical PGA
package (lid removed) with attached (111) silicon stress test chip.
Fig. 22 - Pin grid array (PGA) package with stress test chip.
In our investigation, test chips were attached to the PGA packages using six high
temperature die attachment adhesives designed for avionic applications [15]. The
adhesive systems included silver filled glasses, polyimide pastes, thermoplastic films, and
gold germanium adhesives. The resistances of the sensors were recorded at room
temperature before and after die attachment. The induced thermal stresses at sites on the
die surface have been calculated using the measured resistance changes and
piezoresistive theory. A comparison of the room temperature die stresses caused by the
different die-attachment materials has been made.
Fig. 23 - Effects of thermal aging at 260 ~ on die surface stresses

(0: before aging, 1: after 500 hours, 2: after 1000 hours,
3: after 2000 hours).
After the initial stress measurements, thermal aging and thermal cycling tests were
conducted on the packages. The thermal aging consisted of subjecting the packages to
2000 hours of exposure at 260 ~ The thermal cycling experiments consisted of
exposure to 1000 thermal cycles from -55 to 260 ~ A ten-minute dwell was used at the
high and low temperature extremes, with a ramp rate of 20 ~ per minute in the transition
periods. The various die attachment materials were further evaluated by observing the
changes in stress that occurred during these reliability tests. For example, the thermal
aging and thermal cycling test results for one of the die attachment adhesives are shown
in Fig. 23 and Fig. 24, respectively. From the data, it is seen that this adhesive survived
the thermal aging tests but experienced gradual damage (stresses reduced gradually
during the aging process). However, the same material failed the thermal cycling tests
(stresses quickly changed to zero indicating loss of adhesion). In both sets of tests, the
primary failure mode was observed to be die attachment adhesive cracking,
Fig. 24 - Effects of thermal cycling from -55 to 260 ~ on die surface stresses
(0: before cycling, 1: after 300 cycles, 2: cq2er 600 cycles,
3: after 1000 cycles).
Summary and Conclusions
The use of piezoresistive sensors for experimental stress measurements in electronic

packages has been reviewed, and sensor theory has been presented in detail. Sensor
rosettes fabricated on (111) silicon have several advantages, including the ability to
measure the complete state of stress (six stress components) and the ability to measure
four temperature compensated stress components. Sensor calibration methods were
presented, and the six stress sensitivities (piezoresistive coefficients) of (111) rosettes can
be completely determined using both uniaxial and hydrostatic calibration experiments.
Example applications of piezoresistive test chips to chip on board assemblies, plastic

encapsulated packages, and pin grid array packages were presented. These examples
demonstrated the ability of test chip stress sensors to evaluate in-situ processing induced
stresses, detect delaminations, and characterize material damage during reliability testing.
Acknowledgments
This work was supported by the Semiconductor Research Corporation, the Alabama
Microelectronics Science and Technology Center (AMSTC), and the Center for
Commercial Development of Space Power and Advanced Electronics with funding from
NASA, Auburn University, and its industrial partners.
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[11] Jaeger, R. C., Beaty, R. E., Suhling, J. C., Johnson, R. W., and Butler, R. D.,
"Evaluation of Piezoresistive Coefficient Variation in Silicon Stress sensors Using
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Yoshiharu Morimoto 1 and Motoharu Fujigaki 2
Real-time Phase Analysis Methods for Analyzing Shape, Strain and Stress
Reference: Morimoto, Y., and Fujigaki, M., "Real-time Phase Analysis Methods for
Analyzing Shape, Strain and Stress," Nontraditional Methods of Sensing Stress,
Strain, and Damage in Materials and Structures: Second Volume, ASTM STP 1323, G. F.
Lucas, P. C. McKeighan, and J. S. Ransom, Eds., American Society for Testing and
Materials, West Conshohocken, Pa, 2001.
Abstract: To analyze phase distributions of grating and fringe patterns in real-time,

several methods were proposed by many researchers. In this paper, four methods to
measure shapes of three-dimensional objects developed by the authors are shown. The
first is a phase-shifting scanning moire method. The second is a phase-difference
scanning moire method. The third is a phase-shifting method using the correlation of
the rectangular brightness of a projected grating and two rectangular functions. The last
is an integrated phase-shifting method. These methods can provide accurate phase
distributions of grating lines and fringe lines in real-time.
The principles of these methods and applications to measure shape, strain and
stress analysis are shown.
Keywords: moire, fringe pattern, grating projection, phase, shape measurement, real-
time
Introduction
Though accurate shape measurement of object such as molds is usually performed

by point-wise contact methods, it consumes much time and had a size limitation of the
object. Full-field analysis using optical methods to measure distributions of height,
strain and stress of objects becomes popular. Grating method, moire method, fringe
pattern analysis etc. are used as the optical methods[I-2]. Though grating projection
methods are also used to measure shapes of three-dimensional (3-D)-objects, high speed
and accurate measurement is requested for various shapes such as bridges, gas-tanks,
car bodies and micro machines. To analyze grating patterns and fringe patterns obtained
by these methods, image processing recently becomes popular due to development of
computers[3].
Phase analysis of grating lines and fringe lines obtained by grating methods and
interferometry is used to measure accurate shapes of 3-D objects and flatness of plates.
The accuracy of the phase analysis methods is 1/10 - 1/1000 of a grating pitch or a
wavelength of light. To analyze phase distributions of gratings and fringe patterns, the
fringe scanning method[4], the phase-shifting method[5] and the Fourier transform
method[6] were proposed. The authors analyzed shapes and fringe patterns using
~Professor, Department of Opto-Mechatronics, Faculty of Systems Engineering,

Wakayama University, Sakaedani, Wakayama 640-8510, Japan.
2Research Associate, Department of Opto-Mechatronics, Faculty of Systems
Engineering, Wakayama University, Sakaedani, Wakayama 640-8510, Japan.
1532012
Copyright
(PDVSA Los9Teques)
2001pursuant
by ASTM Intemational
phase analysis methods[7-10]. However, the analysis of the phase information by

these methods consumed much time and was not performed in real-time.
The authors also developed a scanning moire method using scanning lines of a TV
camera or sampling pixels of an image processor instead of a reference grating[11-15].
It gives moire patterns easily in real-time by sampling deformed grating patterns with a
constant pitch.
A phase-shifting scanning moire method[16-17] and a phase-difference scanning
moire method[/7-18] were developed by improving the scanning moire method. The
methods provide smoother equal-height contours and equal-displacement contours,
respectively, in real-time. If a grating with a sawtooth shape brightness distribution is
projected, the brightness of the fringe pattern corresponds to the phase information.
However, the phase values are not obtained directly.
To obtain phase values in real-time, the phase-shifting method[19], the frequency
demodulation method[20] and the phase-shifting electronic moire method[21], are
introduced by some researchers by using special hardware.
The authors also developed a phase-shifting method using correlation with
rectangular functions[18]. It uses the correlation of the rectangular brightness change
of a projected grating with two rectangular functions to determine the phase at a point.
It can provide accurate phase distributions on the whole area in real-time. By
improving this method, a new method to analyze phase distributions in real-time is
developed[22-23]. The method is called the integrated phase-shifting method. The
brightness at a pixel point of a CCD camera is usually integrated during one frame
period of the used TV camera. The integrated value is output as the brightness of the
pixel point. If the phase of the projected grating is shifted with a certain constant
speed, that is, 2rt for four frame periods, the Continuous four brightness values at the
pixel point give the information of the phase of the grating at the pixel point.
In this paper, at first, four methods to measure shapes of 3-D objects developed
by the authors are shown. The first is a phase-shifting scanning moire method[16-17].
The second is a phase difference scanning moire method[/7]. The third is a phase-
shifting method using the correlation of the rectangular brightness of a projected grating
and two rectangular functions[18]. The last is an integrated phase shifting method[22-
23]. These methods can provide accurate phase distributions in real-time.
The principle and application applied to shape, strain and stress analysis are
shown.
The 'real-time' in this paper means video-rate, that is, to obtain 30 images
showing the results of a 3-D shape in a second.
Phase-Shifting Scanning Moire Method (PSSMM) (Equal-height Contour Lines)

Scanning Moire Method
When an undeformed original reference grating is superposed on a deformed
model grating, a geometric moire pattern is obtained. However, a moire fringe pattern.
also appears when the model grating lines are sampled by the scanning lines of a TV
camera or by the pixels of an image processor. The sampling process can be easily
performed by thinning out pixels using computer image processing in real-time[24].
However, the image obtained by this method has a stepwise jagged brightness
distribution because of copying the same data at the thinned-out pixels.
Since the sampling points of the image processor are regarded as a reference
grating, the geometric relationship among the specimen grating lines, the sampling
points and the resultant moire fringe lines are obtained in the same way as in the
conventional geometric moire. The phenomenon of the appearance of the moire fringe
obtained by the geometric moire method and the scanning moire method can be
MORIMOTO AND FUJIGAKI ON REAL-TIME PHASE ANALYSIS 155
explained by using the sampling theory and the Fourier transform of the image of the
specimen grating[13], or by using the geometric relationship between the grating lines
and the reference grating lines / the scanning lines[14].
By using the scanning moire method, let us show a method to measure the shape
of an object. Figure 1 shows the principle of the method for obtaining contour lines by a
projector and a CCD camera. The CCD camera takes images of the deformed grating on
an object projected by the projector. The positions of both the camera lens and the
projector lens are set at the same position of the normal directions of the lenses. The
normal directions of both the camera image plane and the film plane of the projector are
set to the z-direction. The magnifications of the lenses of the camera and the projector
are set so that the pitch of the projected grating in the image becomes an integral
multiple ofpixels of the CCD camera or the image processor.
(a)-09 Deformed grating images with

phase-shifted grating
(g)-(l) Sampled images of Figs. (a)-(/),
respectively
(m) Recomposed image from Figs. (g)-(l)
Figure 2- Procedure for creating phase-
shifting scanning moire.
Figure 1- Set-up for obtaining contour

lines by projector and CCD camera.
(a) Shape (b) Picture

Figure 3- Specimen with low truncated cone.
(a) Grating projected on specimen (b) Contour lines

Figure 4- Shape measurement by PSSMM.
In Fig.l, the solid lines and the broken lines from the projector mean bright parts
and dark parts of the projected grating, respectively. Solid lines from the camera mean
rays to each pixel sampled at a regular interval on the image plane in the camera by
thinning out pixels. The intersections between solid lines from the projector and solid
lines from the camera make a plane whose normal direction is along the z-direction. A
bright fringe appears in the place of the CCD camera or the image processor.
Phase-Shifting Scanning Moire Method (PSSMM)

If the phase of the sampling is shifted with shifting the phase of the projected
grating using an LCD projector, etc., the resultant pattern obtained by recomposing all
the sampled pixels shows a smooth moire pattern, as shown in Fig. 2. We call this
method the phase-shifting scanning moire method.
Figure 2 shows the procedures for creating a phase-shifting scanning moire.
Figures 2(a)~(f) show deformed grating images obtained by phase-shifting by every
2n/6, respectively. Figures 2(g)~(l) are sampled images from Figs. 2(a)-(f),
respectively. Figure 2(m) is the image recomposed from Figs. 2(g)-(1). This image
shows a smooth moire pattern without jagged noise.
If the brightness distribution of the grating is a sawtooth wave, the brightness
distribution of the obtained moire pattern becomes a sawtooth wave. The phase
distribution of the grating is corresponding to the phase distribution of the moire. An
example of the application to a low truncated cone specimen is shown in Fig. 3. Figure
4(a) shows a grating image when a grating is projected on the object. In Fig. 4(b), the
fringe pattern shows contour lines obtained by the above procedures. The line with the
same brightness shows a contour, i.e. an equal-height line.
Phase-Difference Scanning Moire Method (PDSMM) (Equal-displacement

Contour Lines)
The phase-shifting scanning moire method was extended to a method for
measuring equal-displacement contour lines[17-18]. Figure 5 shows a schematic for
obtaining the relationship between the displacement of an object and the phase of a
projected grating. When a grating is projected on the object before deformation, the
initial phase of the projected grating at point A is CA. To detect the phase ~A before
MORIMO-I'O AND FUJIGAKI ON REAL-TIME PHASE ANALYSIS 157
deformation, the phase-shifting method using extraction of characteristics is used[25].

The shifted phase value or= CA at each pixel point is stored in memory when the
brightness becomes the minimum at the pixel point, that is, the phase at point A
becomes 0 when the grating is shifted as the phase tx = ~A- The result gives the phase
distribution before deformation.
After deformation, point A moves to point A' along the camera view line. Point
A' of the deformed object is recorded at the pixel of the camera which point A is
recorded before deformation. The deformed grating images are recorded while the
phase of the grating is shifted at equal intervals from 0 to 2~. When the grating is
shifted by t~ = Ok stored in the memory before deformation, the brightness of pixel point
A' is stored at the corresponding pixel point in another memory. The phase value CA. is
corresponding to the displacement d. That is, the brightness corresponds to the
displacement. After this process is performed for all the pixel points, the equal
brightness of the image memory shows equal-displacement contour lines.
Figure 6 shows an application of this method to deformation measurement of a
Figure 5- Schematicfor
explaining phase -difference
scanning moire method.
(a) Projected grating before deformation

(b) Equal height contour lines by PSSMM before deformation
(c) Phase distribution before deformation
(d) Projected grating after deformation
(e) Equal height contour lines by PSSMM after deformation
(1) Equal-displacement contour lines by PDSMM after deformation
Figure 6- Deformation measurement of can by phase-shifting scanning moire method
and phase-difference scanning moire method.
can. Figure 6(a) shows a grating image when a sawtooth wave grating is projected on
the object. In Fig. 6(b), the fringe pattern shows contour lines obtained by the phase-
shifting scanning moire method. The line with the same brightness shows a contour,
i.e. an equal-height line. Figure 6(c) shows the phase distribution of the projected
grating. Figures 6(d) and (e) are the projected grating and the contour, respectively, after
deformation of the can. The sawtooth wave shows the direction of increasing height.
Since the brightness depends on the reflectance of the object, the brightness does not
show the accurate phase. Figure 6(t") shows equal-displacement contour lines by
PDSMM between before and after deformation.
Phase-Shifting Method Using Correlation with Rectangular Function

(PSM/CR)
Phase-Shifting Method (PSM)

Let us consider a case that a grating is projected on an object. If the brightness of
a grating pattern has a cosinusoidal distributions, the brightness 1 (x, y) on an image
plane (x, y) is expressed as follows
I(x y) = A(x, y) + B(x, y) cos { r (x, y) + a } (1)
where A(x, y) and B(x, y) are the background bias, and the amplitude of fringes,
respectively. O(x, y) is the phase distribution on the object, a is a given shifted phase
value and it is zero in the initial state.
When G(x, y) is the phase distribution on a fiat plate and Oh(X, y) is the phase
distribution on the object. The phase-difference
qm(x, y) =(~b(X,y)- G(X, y) (2)

shows the phase of the moire fringe. A constant ~Om (x, y) shows a contour line of the
object.
The Eq. (1) has three unknowns A(x, y), B(x, y) and ~ (x, y). The phase ~b (x, y)
can be analyzed from more than three brighmess data obtained by changing the phase-
shift value o~[5].
Phase-shifted grating patterns are obtained when the shift values ct are 0, n/2, n
and 3n/2, respectively. The brightness is expressed from Eq. (1) as follows
Io(x, y) = A(x, y) + B(x, y) cos {r (x, y) }

I,(x, y) = A(x, y) + B(x, y) cos {q~(x, y) + zr/2 }
12(x, y) = A(x, y) + B(x, y) cos {q (x, y) + ~} (3)
13(x, y) = A(x, y) + B(x, y) cos {r (x, y) + 3/r/2 }
The initial phase ~ of the grating is obtained from Eq. (3) as follows
r (x, y) = tan" [-{13 (x, y) - I, (x, y) } / {12 (X, y)- I o (X, y)}] (4)
Tsukamoto[19] developed a polarized Michelson interferometer observing three
phase-shifted images simultaneously and calculating the initial phase distribution. A
similar equation is also obtained from three phase-shifted grating patterns.
The authors developed the phase-shifting method using Fourier transform[26].
The phase values are analyzed from several images obtained by phase-shifting while the
phase is shifted from 0 to 2n. Though the accuracy is high, it is difficult to obtain phase
values in real-time because of time-consuming for calculation of Fourier transform.
Phase-Shifting Method Using Correlation with Rectangular Function (PSM/CR)

In this section, a new phase-shifting method is explained to analyze a phase
distribution using the correlation of the brightness of the projected grating with two
rectangular functions. Figure 7(a) shows the change of the brightness distribution of
the projected grating at a pixel point while the phase of the projected grating is shifted
from 0 to 2n. The distribution is a rectangular function with a period 2n. The upper and
lower brightness values mainly depend on the reflectance of the object. After
normalizing the brightness, the normalized brightness is multiplied by two weight
functions f~ and f shown in Figs 7 (b) and (c), respectively, at each corresponding
9 0 1 9 "
shifted phase. Figure 7(b) is a rectangular weight with phase 0. Figure 7(c) is a
rectangular weight with phase rd2. The products at the corresponding shifted phase
are integrated from a=O to t~2n, respectively9 This mathematical process corresponds
to the calculation of the correlation between the brightness and functionsf~ o r f .
Figures 7(d) and (e) show the relationship between the initial phase i~_andthe
integration values S, and S, obtained by two weight functions f, and f , respectively.
The phase ~ is deterfiained uiaiquely from the two integration valuds. "
Figure 8(a) shows some of 32 phase-shifted deformed grating images of a softball
and a spoon. Figure 8(b) shows the result of the phase distribution of the moire pattern
obtained with this algorithm. Though the spoon has a very bright part, the phase
distribution is analyzed because the grating brightness is rectangular distribution and
normalization eliminates the effect9
+
: !~J I I
+1 III I !1+
!1 !1"
9" !.="I ,,"-~'-~ I ~ r '..
i = l " ' I ~, I " I '5, I >
0 ~/2 n 3rc/2 2~ ct
(a) Brightness change ofprojected Ronchi grating at a pixel point during phase-sh(fting
• fo(Ct)
-1
r,12~
Ai BI CI
2~ ret
D
oi:2
(b) Weightfunction fo with phase 0 (c) Weightfunction f~ with phase ~r2
S
2~ 2n
(d) Relationship between initial phase r (e) Relationship between initial phase r
and integration values SO and integration values S~
Figure 7- Schematicfor explanation of PSM/CR.
(a) Some of 32 phase-shifted images (b) Wrapped phase distribution

Figure 8- Phase distribution of softball and spoon by PSM/CR.
(a) Some of 32 phase- (b) Wrapped phase (r Height distribution

shifted images distribution
Figure. 9- Height distribution of teeth bed by PSM/CR.
Next, the application to shape analysis for a plaster cast of a human teeth bed with
false teeth[27]. The specimen is set between two reference planes a and ]3 and the
reference plane are removed. Rectangular waves of the x- and y-directional gratings are
projected onto the specimen with phase shifting of the gratings. In this case, three
gratings with different pitches are projected to unwrap the phases uniquely. The pitches
are 24, 28 and 32 pixels. Figure 9(a) shows an image in the case of 32 pixels pitch for
the x-direction.
Figure 9(b) shows the wrapped phase distribution obtained by the above method
in the case of 32 pixels pitch for the x-direction. Figure 9(c) shows distribution of z-
directional component of the 3-D coordinates of points on the surface of the specimen
obtained as a result of the measurement after subtracting the phase distribution of a fiat
reference plate from the unwrapped phase distribution.
The real-time phase analysis system for obtaining wrapped phase distribution can
be developed by this algorithm.
Integrated Phase-Shifting Method (IPSM)
The weight functions used in the PSM/CR are separated into four parts A, B, C
and D, as shown in Fig. 7(a). The calculation of the correlation is obtained by
calculating the integration of the brightness of the phase-shifted grating in each part of
Fig. 10 and adding or subtracting the four integrals. A CCD (charge coupled device)
camera charges electron in each pixel of the CCD sensor during a frame period (1/30
seconds). The output signal from the pixel is proportional to the integral of the charge,
i.e. the average brightness during a frame period (1/30 seconds). By considering this,
the phase-shifting method using correlation with rectangular functions is extended to a
new phase analysis method, that is, the integrated phase-shifting method using a CCD
camera.
The phase-shifting speed is adjusted so that the time for one cycle of the phase-
shifting of a grating is equal to the time for four frame periods of the CCD camera.
The explanation and the algorithm of this method are changed from Ref 22 so that
it is not necessary to separate the region of the initial phase.
A rectangular function R(x) at the position x is defined as follows
[
R(x) = ~ 1 (cos x > 0)
- 1 (cos x < 0) (8)
(d) When 1.51r_<(p < 2re

Figure 10- Brightness change at pixel Figure 11- Relationship between initial
point according to initial phase. phase (~and reference point in table.
The brightness change I(t, (p) at a point with an initial phase # (phase when t = O) at time
t is expressed as
I(t, (a) = aR(-~Tt + (~) + b (6)
11-I~ II +I~ (7)

a= 2 , b = ~
where I 0 and 11 are the high and low brightness values of the rectangular function,
respectively.
Figure 10(a) shows the brightness change at a pixel point of the CCD camera
during one cycle of the phase-shifting. The areas A, B, C and D in the figure are given
as the integral of the function during each frame period. The brightness charged
during each frame period T (1/30 seconds) is recorded as the brightness value at the
corresponding pixel point of an image memory in every frame period. Therefore the
brightness values corresponding to each frame period are denoted as A, B, C and D,
respectively
A = I(t, r (
= T I o + ~/2 ~
t, i
B = f ; r I(t, r = TI o
(8)
D=
f"
T
I(t, (~)dt = TI1
When X and Y are denoted as follows

X=A-C (9)
r = D- 8 (10)
The trajectory of the point P(X, I0 draws a square according to the initial phase $ when
X and Y are in abscissa and ordinate, respectively. The relationship is shown in Fig. 11.
A half of the side length of the square is the contrast of the grating brightness, that is, ll
- 10, When the argument 0 of the point P from the abscissa is defined as
O=tan-I (Y) , (11)
the initial phase ~ is obtained as the function of 0 as follows
0 =~ +~tan ( 0 - ~ ) ( 0 < ~<~)
0 = ~ +~tanO (2~ < r

(12)
0 =~-~ +88 ( 0 - ~) (~-< 0 < ~ )
0 = ~ +~tan0 ( ~ < ~<2n)
With shifting the phase of a Ronchi grating projected on an object, four frames of
the deformed grating on the object are recorded by a CCD camera during one cycle of
the phase-shifting. The brighmess at a pixel point of the image shows the integral of the
brigbmess during a frame period. The phase is analyzed from the continuous four
brightness data A, B, C and D of the pixel point using Eqs. (9)-(12). A table for
obtaining the initial phase ~_from X and Y corresponding to the position of Fig. 11 is
prepared beforehand. The table provides the result easily. As the calculation is very
simple, it is possible to make a real-time phase analysis system for measuring shapes.
The accuracy is also high because of phase analysis.
In order to measure a shape by the IPSM, at first, the phase distribution #0 of the
projected grating on a standard fiat plate normal to the z-direction is analyzed. Then, the
phase difference between the phase distribution q~of the projected grating on the object
and the phase distribution ~0 on the standard fiat plate is calculated. The phase-
difference shows equal-height lines of the object from the standard fiat plate.
An image processing board is developed for this method. The flow of the signal
processing is shown in Fig. 12. Images of an object with a deformed projected grating
are recorded by a CCD camera. The image signal integrated dfiring 1/30 seconds is
converted to digital signal by an A/D converter and stored in frame memories. The
data A, B, C and D of the last four images with 1/30 seconds interval are stored in the
frame memories A, B, C and D, respectively. The phase value on each pixel point is
calculated using a table. The table gives a phase value from an X value and a Y value.
The phase distribution of the grating projected on the standard flat plate is stored
on the frame memory E beforehand. The current phase image at every 1/30 seconds is
subtracted by the values of the corresponding pixel point of the frame memory E. The
phase-difference distribution corresponds to the height distribution. The image of the
phase-difference is stored on frame memory F and displayed on a monitor TV in real-
time.
The vertical and horizontal synchronizing signals of the CCD camera are used to
synchronize the phase-shift amount of a grating projector. When a separate phase
shifter can adjust the shift speed to the frame speed of the CCD camera, it is not
necessary to use the synchronizing signals.
The photograph of the electronic circuit board for the real-time IPSM is shown in
Fig. 13.
This method is applied to shape measurement of a hand with an electric light bulb.
Figure 14(a) shows one of the images during phase-shifting. The phase distribution is
shown in Fig. 14(b). The phase difference distribution showing equal-height distribution
is shown in Fig. 14(c).
This method is also applied to the shape measurement for a moving human body.
Figure 15 shows the height distribution of a face of a man obtained in real-time.
This method is useful even if the material of an object has uneven brightness or
luster because the use of a grating with rectangular brightness can detect the brightness
change.
Figure 12- Flow of signal processingfor Figure 13- Photograph of electronic

board of real-time 1PSM. circuit boardfor real-time 1PSM.
(a) Projected grating (70)Phase distribution (c) Phase-difference distribution

i.e. height distribution
Figure 14- Example of lPSMfor shape measurement of hand with electric light bulb.
Figure 15- Shape measurement of human face by IPSM.
Strain Distribution Analysis by IPSM

This method is applied to strain distribution analysis by combining the phase-
shifting moire method.
By superposing an undeformed reference grating on a deformed grating painted
on an object, a moire pattern is obtained. If only the phase of the reference grating is
shifted, the phase of the obtained moire fringe is shifted. When the shifting speed is a
pitch of the reference grating for 4/30 second, four continuous frame images recorded
by a TV camera provide the phase distribution of the moire fringe pattern by using the
hardware of the IPSM. Figure 16 shows an example obtained by this method. In this
case the deformed grating is calculated by a computer calculation and drawn on a paper,
and the moire pattern is recorded by the board shown in Fig.13 during the phase-shifting
of the reference grating. A moire fringe pattern during the phase-shifting is shown in
Fig. 16(a). The phase distribution, that is, the equal-displacement distribution obtained
by the IPSM system is shown in Fig. 16(b). The x-directional differentiation of the
displacement provides the equal x-directional strain distribution. The result of the
differentiation after averaging process of the displacement is shown in Fig. 16(c).
Since the circuit of the averaging and the differentiation is not included in the present
hardware for IPSM, the averaging and the differentiation is performed by the
simulation.
(a) Deformed grating (b) Phase distribution (c) Strain distribution

Figure. 16- Example of lPSMfor strain measurement.
Stress Distribution Analysis by IPSM

The authors previously proposed the separation of isochromatics and isoclinics of
photoelasticity using Fourier transform[28]. If the phases of the isoclinics or
isochromatics are rotated at the speed of the phase-shifting with 2~ per four frame
images, the directions of the principal stresses or the fringe orders, i.e. stress values will
be analyzed in real-time. This is our future work.
Conclusions
In order to measure shapes of objects accurately in real-time, some moire

methods such as the phase-shifting scanning moire method (PSSMM), the phase-
difference scanning moire method (PDSMM), the phase-shifting method using
correlation with rectangular functions (PSM/CR) and the integrated phase-shifting
method (IPSM) were developed. The new algorithm for the IPSM was discussed. The
applications and idea to measure shape, strain and stress were shown. As the results, the
IPSM is the best method among the above methods because it has the fastest processing
speed to analyze phase distributions accurately.
References
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[27] Fujigaki, M. and Morimoto, Y., " Shape Analysis of Teeth Bed by Phase-shifting
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AAM and ABCM, Rio de Janeiro, Brazil, 1999, pp. 113-116.
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Isoclinics Using Fourier Transform," Experimental Techniques, 17-5, 1994,
pp.13-16.
Shiping Chen 1 and James S. Sirkis I
Strain Gauges, Fiber Optic versus Electric
Reference: Chen, S., Sirkis, J. S., "Strain Gauges, Fiber Optic versus Electric,"
Structures: Second Volume, ASTM STP 1323, G. E Lucas, P. C. McKeighan, and J. S.
Ransom, Eds., American Society for Testing and Materials, West Conshohocken, Pa, 2001.
Abstract: Electric strain gauges have been the sensor of choice in structure monitoring
applications. Recently, with the invention of fiber optic Bragg gratings and the rapid
advance of the telecommunications industry, optical strain sensors based on fiber Bragg
grating are increasingly challenging the dominating position of the electric gauges. In this
paper, we first discuss the performance and cost issues of typical electric strain sensing
systems. This is followed by a description of the operating principles of fiber optic Bragg
grating based strain sensors and a new digital spatial and wavelength domain
multiplexing (DSWDM) technology for the interrogation of large scale, Bragg grating
based sensor arrays. By comparing the performance and costs of electric and fiber Bragg
grating based strain sensing technology at system level, we conclude that the fiber optic
strain sensing system is not only superior in performance but also provides lower cost per
sensor for applications that require more than 35 sensing points. Finally, a number of
structure monitoring applications currently under investigation in the Smart Material and
Structures Research Laboratory at University of Maryland are presented.
Key words: strain sensing, fiber optics, Bragg grating, strain gauges, smart structures,
structure monitoring
Introduction
Strain measurement has been the key to structure monitoring applications. The
electric foil strain gauges have been the sensor of choice for strain measurement for
several decades. For the application of large structure monitoring, the electric foil gauge
based technology has several problems. These include long-term drift, high installation
and maintenance cost and reduced resolution due to electromagnetic interference (EMI),
etc. On the other hand, fiber optic Bragg gratings invented 20 years ago have shown great
potential as a new strain measurement tool with distinct capabilities such as high
= Assistantprofessorand Professor,respectively,SmartMaterialsand StructuresResearchCenter,

Departmentof MechanicalEngineering,Universityof Maryland,CollagePark, MD 20742.
1692012
Copyright
(PDVSA Los @Teques)
2001 by ASTM
resolution, high dynamic range, absolute measurement, serial multiplexibility and high
bandwidth. However, the high cost of fiber optic components and interrogation
instrument have been hindering the realization of such potential. Recently, the rapid
advance in the optical fiber telecommunications industry has substantially reduced the
cost of fiber optic components. Here in Smart Materials and Structures Research Center
at University of Maryland, we are developing new interrogation technology to address
Bragg grating based sensor arrays. This system is especially suitable for the monitoring
of large and complex structures. It enables the fiber optic based strain gauges to compete
effectively with electric ones not only in terms of performance, but also on the basis of
cost in this application area.
Electric Foil Strain Gauge for Structure Monitoring
The foil strain gauge has been widely used for strain measurement. Its wide
acceptance is owing to the fact that the transducer is low cost and has a compact flat
configuration providing easy bonding and minimum intrusion to the host structure. In
addition, it offers a good strain resolution ( - 5 ~ ) with temperature compensation
capability. However, there are several unresolved issues when this technology is applied
to the monitoring of large structures.
Firstly, most modern structure monitoring applications require real-time, multi-
position strain monitoring. For large and/or complex structures, such as bridges, ships
and airframes, the sensor array has to cover a very large physical space. Each foil gauge,
however, has to be addressed via two copper wires. With the increase of sensing points
and structure size, the amount of cabling increases dramatically. This brings a number of
problems including the increase in installation and maintenance cost, reduction in
reliability, deterioration in measurement resolution due to EMI and increase of self-
weight, which could be detrimental for aerospace systems. Fig. 1 shows a typical 50-
gauge strain sensing system, in which, the interrogation unit (la) measures 4 feet x 3 feet
x 2 feet in size and the bridge connection panel is 5 feet by feet in size. Ensuring correct
and reliable connection of this massive wiring is a very challenging task during
installation and operation. Secondly, the output of foil gauges drift over long term. [1]
Vibrating wire gauges
have to be used for
applications involving
long-term, intermittent,
absolute strain
measurement with a
significant increase in
cost. Finally, the foil strain
gauges are perceived as a
low cost technology in
comparison with the fiber
optic solutions. However,
although the cost of a
normal foil strain Fig. 1 A 50 channel foil strain gauge interrogation system.
(a) Interrogation unit, (1o)Bridge connection panel
transducer is low (~$5
CHEN AND SIRKIS ON FIBER OPTIC VERSUS ELECTRIC GAUGE 171
[2]), any useful system for multipoint structure monitoring would have to include other
devices, such as bridge amplifier, filter, muliplexer, A/D converter and chassis etc. The
cost per sensing channel then becomes considerably higher. Taking an existing product
(System 5000) from Measurements Inc. as an example, [2] a typical multi-channel system
would consist of a Strain Sensor Card 5110 (five channels per card at $975), Scanner
5100 (four cards per scanner at $2255) and Computer Interface Card plus software (at
$5950). The cost per channel for a 100-channel system would be $380 per channel
excluding the computer and cabling cost. The hardware cost for a high bandwidth (up
tol0kHz) system would be even higher, to more than $1000 per channel. As we will
discuss later, at this price level, a fiber optic based system can be very competitive.
Optical Fiber Bragg Gratings (FBG)
In-line fiber Bragg gratings (FBG) were developed as narrow band optical filters for
the telecommunications industry. As many as 64 high speed communication channels are
now routinely be put on the same optical fiber link. This is made possible with
wavelength division multiplexing using Bragg grating or equivalent spectral filtering
technology. This intrinsic multiplexing capability also renders in-fiber Bragg gratings one
of among the most promising new fiber optic technologies developed during the last
decade [3]. This section provides background material on Bragg grating sensors so that
the proposed smart barrel technology can be placed in the proper perspective.
Grating Manufacturing and Operating Principles
As depicted in Fig. 2, Bragg gratings

are fabricated by exposing the fiber to a
periodic intensity profile produced by
coherent interference [4]. The refractive
index of geranium doped optical fiber core
changes where the intensity is brightest to
produce a periodic refractive index profile
[3]. The pitch of the grating, A, is
controlled during the manufacturing
process and is typically 0.25-0.5/lm,
whereas the amplitude of the periodicity is
only on the order of 0.1 to 0.01 percent of
the original refractive index. Bragg
Fig. 2 Using the Photorefracu'veeffect to make
gratings operate by acting as a wavelength traditional side-written in-fiber Bragg gratings.
selective filter that reflects a single
wavelength called the Bragg wavelength, 2 B. The Bragg wavelength is related to the
grating pitch, A, and the mean refractive index of the core, n, by
2 a = 2An 1)
Both the fiber refractive index (n) arid the grating pitch (A) vary with changes in strain
(e=) and temperature (/iT), such that the Bragg wavelength shifts left or right in
wavelength space in response to applied thermal-mechanical fields. For a Bragg grating

sensor bonded to the surface of a structure, the strain and temperature are related to the
change in the Bragg wavelength by
al 8
2)
18
where as and afare the coefficients of thermal expansion of the structural material and
fiber, respectively, and ~" is the thermal-optic coefficient, and Pe is the strain-optic
coefficient [5]. For standard Bragg grating sensors bonded to a steel structure, the Pe in
Equation 2 is 0.79/~e and [PJas-CtF)+~] equals 17.79x106/~ From these values, it is
clear that there is a cross-coupling between temperature and strain sensitivity as I~
produces a change in Bragg wavelength equivalent to 22.5/.z~. This level of thermal
apparent strain is unprecedented in resistance strain gage applications, and must be
accounted for. The most common method of de-coupling this cross-sensitivity is to
employ dedicated temperature sensors in the system and then eliminate the temperature
induced "apparent strain" mathematically. As
shown in Fig. 3, these dedicated temperature
sensors are normally Bragg gratings
packaged in microtubes (-lmm in diameter)
that shield them from strain loads.
Consequently they respond only to Fig. 3.. An embeddable Bragg grating temperature
temperature changes [6]. sel'lsor.
Multiplexing
Multiplexing is by far the most critical advantage offered by FBG sensor

technology. The potential benefits of this multiplexing are so far-reaching that they make
the high thermal apparent strain issue less problematic in comparison. Sensor
multiplexing is accomplished by producing a fiber with a sequence of spatially separated
gratings, each with different grating pitches, A,, i = 1, 2, 3,..., n as illustrated in Fig. 4.
The output of the multiplexed sensors is processed through wavelength selective
instrumentation such as the digital spectrometer we propose for the present application.
In this case, the reflected spectrum will contain a series of peaks, each associated with a
Fig. 4 Response of Bragg grating sensors to thermal-mechanical loads.
different Bragg wavelength given by 2B, = 2nAi, where 2Bi and A~ are the Bragg
wavelength and pitch of the ith grating, respectively. For example, the measurement field
at grating 2 in Fig. 4 is uniquely encoded as a perturbation of the corresponding Bragg
wavelength, 2B2. Note that this multiplexing scheme is completely based on the optical
wavelength of the Bragg grating sensors. Using a digital spatial and wavelength domain
multiplexing technique developed at SMSRC, up to 30 Bragg grating sensors can be
multiplexed along a single length of optical fiber.
Self-Referencing
Second only to multiplexibility, the "self-referencing" or "absolute" nature of FBG

sensors is the most important quality offered by this technology. Self-referencing refers
to the fact that measurements can be made relative to the time when the sensor is
manufactured. As a result, measurements are not interrupted if the electronic
instrumentation is turned off. In an analogy to resistance strain gage technology, Bragg
grating sensors do not require "bridge balancing." This feature is invaluable in
applications involving measurements over months or years, as is the case with the
proposed system.
Optical and Mechanical Reliability
The Bragg grating is typically 0.5-1cm in length residing inside the core of the
optical fiber. Because of its intrinsic nature, a Bragg grating does not alter the physical
appearance and mechanical properties of the optical fiber. Since Bragg gratings are used
in telecommunications systems, they have been subjected to a battery of humidity,
temperature, and strain cycling tests. Environmental tests conducted to date suggest that
temperature, humidity, and strain have limited influence on the optical and mechanical
characteristics of Bragg gratings [7]. Tests thus far reported in the open literature include
(1) 1000 hours of 80 at 85 percent relative humidity at 40~ (2) 1000 thermal cycles
from -40~ to 85~ (3) 512 thermal cycles from 21 ~ to 427~ and (4) 1.4 million strain
cycles from 0 to 2,500/ze. In addition, Bragg grating strengths in excess of 4.83 GPa (a
factor o f - 7 higher than carbon steel) have been demonstrated [8].
Cost
At present, FBG are commercially available at $100 - $200 each, which is cheaper
than vibrating wire gauges but more expensive in comparison with foil gauges. Gratings
for sensing applications do not require the high spectral quality demanded by today's
telecom market. With mass production, the cost of sensing grade Bragg grating could be
as low as $20. The digital spatial and wavelength domain multiplexing (DSWDM)
technology we will present here will enable the Bragg grating based system, even with
today's pricing, to be competitive in cost for applications that require large scale sensing
arrays.
DSWDM Technology
FBGs in 800nm Wavelength Region
Most FBG sensor work so far has been done in 1.51am wavelength region mainly
because FBGs in this region were the ones first on the market. FBGs in 0.8~tm region
have been available for some time, and their quality and fabrication cost are similar to
those in 1.5~tm region. The use of 0.8~am FBGs has two significant advantages. First,
most solid state imagers operate.in the 0.4~am ~ l ~ a region and offer great benefits in
FBGs interrogation and second, there are more powerful fiber compatible, broadband
optical sources available in 0.8~m region. These enable more FBGs to be serial
multiplexed along a fiber.
Since strain sensing is the predominant application in structure monitoring, we will
use FBG strain sensor array as an example. The "combined measurement range" of all
FBG strain sensors along a single length of optical fiber is directly proportional to the
number ofFBGs mulip lexible along the fiber channel. This range, R, can be expressed as
R = W/Z (3)
where W and ~, is the bandwidth, i.e. full width at half maximum (FWHM) and the
central wavelength of the source using in the sensor array. In 1550 nm region, the most
widely used Erbium doped fiber amplifier (EDFA) source has a typical bandwidth of 35
nm. In 800 nm region, on the other hand, superluminescent diodes (SLDs) with
bandwidth up to 60 um are commercially available [9]. Bring these figures into Equation
3, it can be seen that the combined strain measurement ranges are 23000 I-~ and 75000 p~
in 1550 nm and 800 um regions, respectively. This means that with the same strain range
for each sensor, the number ofFBGs multiplexible alone a single fiber in 800 nm region
is 3.2 times more than that in 1550nm range.
Although there are SLDs with wider bandwidth than that of EDFA in 1550nm
region, their output power are too low for a sensing network with multiple number of
optical fiber channels. In 800nm region, however, solid state imagers provide extremely
good sensitivity, which, according to the power budget calculations in a later section, is
more than enough for the application described
in this paper.
A special two-dimensional (2D) CMOS
image sensor will be used in the interrogation
instrument of the sensor system. The CMOS
imager is a type of newly developed solid state
image sensor, which is fast becoming a major
challenger to traditional CCD (charge coupled
device) imagers. The CMOS (complementary
metal-oxide semiconductor) technology is the
world's standard in the making of semiconductor
chips. Because of this, CMOS image sensors Fig. 5 Photo ofFugal5 CMOS imager
enjoy many advantages over CCDs, including from IMEC.
lower cost, miniaturization, lower power
consumption and enhanced functionality. A commercially available, low cost CMOS

imager (Fig. 5) [10] has the following very attractive features:
9 512x512 square pixels with 12.5~tm pitch,

9 Full digital operation, for both input and output signals, i.e. an 8 bit gray scale
data at a specific pixel can be obtained by providing the chip with 9 bit X and Y
coordinates,
9 Maximum pixel rate 5MHz with 50roW power dissipation, and
9 Logarithmic light intensity to voltage conversion with a massive dynamic range
over 50dB.
System Configuration
A schematic diagram of the

envisaged sensing network is
shown in Fig. 6, where a light
from a broad band source is
split into M optical fiber sensing
channels in the network. There
are up to N FBGs distributed
along each channel, each with
Fig. 6 Schematic of the proposed opticalfiber sensing network
pre-determined, different Bragg
wavelengths. FBGs on different
fibers, however, can have the same wavelengths. Light reflected from the FBGs in each
fiber channel is coupled into a down-lead fiber via a I x2 coupler and sent to the
interrogation instrument. The instrument is basically a compact, two-dimensional (2D)
optical fiber spectrometer. The 2D CMOS random access image sensor will be placed at
the output port of the spectrometer. In addition, the end-faces of all the down-lead fibers
are arranged to form a line (perpendicular to the paper at L in Fig.s 6) positioned at the
input slit. Furthermore, the image sensor chip is positioned in such a way that its pixel
columns (Y-axis) are parallel to the grooves of the bulk grating in the spectrometer and to
the line of the fiber end-faces. The digital output of the imager is sent to a computer for
processing.
The imaging system of the spectrometer separates light from different fibers and
distributes them along pixel columns of the 2D image sensor (Y-axis). Because of the
effect of the diffraction grating, the light at different wavelengths will be diffracted to
different positions along X-axis, and hence form bright spots at different positions along
pixel rows of the image sensor. Therefore, since the system has M fiber channels and N
FBGs of different wavelengths along each fiber, there will be a M x N matrix of discrete
spots on the image sensor array. A column of such spots in the matrix represents FBGs of
the same or similar wavelength in different fiber channels, and a row represents different
FBGs along the same fiber. In other words, for each FBG, the spatial position of its fiber
channel is encoded into the position along Y-axis of the imager while its wavelength is
encoded along X-axis (Fig. 7). The precise central wavelength ofa FBG sensor can
therefore be detected by locating the exact position of ~c Pixel column/wavelength

the associated spot along X-axis of the imager pixel
array. This position can be interpolated to the sub-
9
9
,
9
9
9
o
0
['x
I
pixel level precision by calculating the centroid of the 9 9 9 0 I
9 9 9 0 [
relevant spot. Since we only have to calculate the spot -- 9 9 9 0 i
9 9 9 0 I
position along pixel columns, a one-dimensional ~J 9 9 9 o I
eentroid algorithm can be used, as expressed below 9 9 9 0 I
Fig. 7 Distribution o f light

reflected from (unstrained) FBGs
Because of the random accessibility of the on the imager
CMOS imager used, any FBG in the network can be
addressed in a truly random fashion by simply reading
out only the relevant pixels and calculating its centroid along the X axis. This unique
feature not only adds great flexibility in application but also enables the system to utilize
its resources efficiently resulting in quantum performance enhancement.
Performance Analysis
Traditionally, major performance indicators of a sensor network include resolution

in terms of wavelength or strain, scale, number of sensors in the system and speed, the
sample rate to these sensors. The performance of the proposed system has its unique
features because, first, each sensor in the proposed system can have different sample rate.
Second, as we will show later, there is a tradeoffbetween speed and scale because they
both compete for the same system resource. Third, the flexibility of the proposed
technique enables this tradeoff to be shitted not only by redesigning the hardware, but
also by simply reconfiguring the software. Finally, the CMOS imager is a key component
in the system and its specifications have direct effect to the system performance. Since
the CMOS imager is a new, versatile and fast developing technology, there will always
be new chips on the market in the future, which provide further performance
: enhancements. In this section, we will try
.~ 0.B . . . . . . . . . . . . . . . .~. . . . . . . . to analyze potential performance of a
.~ ~ Noiselevel
.~_ 0.5 ~ ~~ 0~ system using a low cost, commercially
available CMOS imager, Fugal 5, with
-I -,,i-- 4~
0.4 features listed in the previous section.
o \ / ,z8%
0.3
"6 Resolution -- By properly selecting
0.2 spectrometer parameters, the width of the
gl 2D image sensor can just cover the
in. 0.1
spectral bandwidth (FWHM) of the light
0 v source. The spectral resolution AL of the
3 5 7 9 11 13 measurement of a FBG wavelength can
Spot size (pixels) then be expressed by the following
equation
Fig. 8 Effect o f spot size to interpolation
resolution
A,r = W E / C (6)
where W is the FWHM of the source, C is the total number of the effective pixel columns
in the image sensor chip, and E is the sub-pixel interpolation resolution using centroid
method. A computer simulation has been carded out to estimate the interpolation
resolution in the CMOS imager with logarithmic conversion characteristics. In the
simulation, the optical intensity profile of the light spot was presumed to be Gaussian and
the optical noise on the profile was simulated by adding a random number to the pixel,
which is within the limit of a certain percentage of the optical intensity at this pixel. The
simulation result shown in Fig. 8 is the statistical average of 1000 computer generated
seeds, which reveals that the spot size on the imager is an important factor of the
interpolation resolution and the optimum spot size is 7x7 pixels. At this spot size and a
noise level of 8%, an interpolation resolution of 0.018 (1/56) pixel can be achieved. This
resolution can be enhanced by choosing an imager with larger number ofpixei columns
and/or a source with smaller FWHM. However, there is a tradeoff with the scale because
a wider FWHM enables more FBGs to be incorporated along a fiber channel. Using
values of E=l/50, W=60nm and C=512 established above, we estimate that the spectral
resolution of the system will be in the range of 2.3pm, which translates to a resolution of
41.m for FBG strain sensors in 800nm region.
S c a l e -- The maximum number of FBG based sensors that can be accommodated by

the system depends on the number of FBGs multiplexible along a single fiber channel
and the number of fiber channels addressable by the interrogation instrument.
A FBG at Bragg wavelength ~.b moves within a spectral range of R~,b in response to
a R~ strain range. The number ofFBGs multiplexible along a fiber channel, N, can thus
be expressed as
N = W/(R,Ab+wb) +1 (7)
where wb is the spectral width taken up by a spot, which is measured as wb=KW/C and K
is the spot size. Considering Rc=2000pJz (+10001xe), W=60nm, ~,b =800nm, C=512 and
K=7, the maximum number of FBGs multiplexible along a fiber channel is 25. It worth
noting that +10001ae used in the calculation is a typical strain range in a majority of
structure monitoring cases. If the strain range increase or decrease, the number of FBG
multiplexible alone a single fiber would decrease or increase, respectively. With a spot
size of7x7 pixels, it is possible to accommodate a fiber channel in every 10 rows of
pixels. A 512x512 pixel imager is, therefore, capable of interrogating up to 50 fiber
channels. The total number ofFBGs multiplexible in the array is therefore 50x25=1025!
It should be pointed out that this is the MAXIMUM scale. The actual number of FBGs
that can be accommodated in the network may be determined by other factors, as
discussed in the following sections.
S p e e d -- The maximum sample rate to any FBG in the array is limited by the
photoreceptor time constant of the imager, which is inverse proportional to the light
density on the pixel. From the data provided by the manufacturer of the Fugal5 CMOS
imager, the maximum sample rate can be expressed as
f ~ = d x 12.5 (kHz) (8)
where d is the average light density within a bright spot on the imager in W/m 2. In the
proposed system shown in Fig. 2, this density can be expressed as
P w 1
d =e (9)
4M W K2 p 2
where P is the total output power of the source, w the spectral FWHM o f a FBG, p the
pixel pitch, KxK the pixel size and e the power efficiency of the entire optical system,
which includes the insertion loss at couplers, bulk grating efficiency, etc. The rest of
symbols have previously been defined.
Bring Equation 6 into 5 and assuming P=8001xW, w = 0.2nm, K=7, p= 12.61xm and
e =10%, maximum sample rate can be calculated to be
f,,~ = II0/M (kHz) (10)
This equation represents a tradeoffbetween the maximum speed and scale. At the
maximum scale (M=50), the maximum sample rate is 2.2kHz.
System Time Budget -- The scale and speed figures presented above are absolute
maximums. The actual achievable scale and speed of the system are most likely limited
by the system time budget. Although every FBG sensor in the proposed system can be
addressed independently, they all compete for one important system resource: time,
which can be budgeted using the following expression:
~ft <1 (second) (11)
where subscript i represents a particular FBG in the network, f is the sample rate for that
FBG, t is the time taken for one sample. Whilefmust be smaller than the maximum
sample rate discussed above, the t is limited by pixel rate of the imager or the
computation time to calculate the centroid. Because the data acquisition and calculation
can be done in parallel, the slower of the two sets the limit.
The time taken to acquire all the pixel data o f a FBG, t, can be expressed as
t = G/fp (12)
where fp=5MHz is the pixel read-out rate of the CMOS imager and G is the total number
of pixels the computer has to read for centroid calculation. Because the light spot is
constantly moving along a pixel row of the imager and the computer has to locate the
cluster first before reading out relevant pixels. This is a necessary operation overhead.
There are many ways to find out the location of the cluster with minimum overhead. The
most conservative method would be to read out a row ofpixels near the center of spots
and locate clusters by a preset threshold. The average number ofpixels the computer has
to read for locating a spot cluster is then C/N,

where C is the number ofpixel rows in the
CMOS imager and N is the number of FBGs
"~ xo,-'
~ xo4- ~''%k k
9 9 Max scale limit
along a fiber channel. When a ID centroid
algorithm is used, G equals C/N=21 with .~ xo3_
C=512 andN=25. Then the t canbe ~ xoa_
calculated as 4l.ts. "~
-- lO-
I n a recent experiment, we have
measured that the time to calculate the
centroid of a 7x7 cluster using a 1D 10 10 2 10 3 10 4 10 s
algorithm and a high level language program Speed (sample rate to each node)
was approximately 10~ts on a Pentium
Fig.9 Limits on the performance of the
200MHz PC without MMX. It is estimated proposed system
that a processing speed boost of at least four
is possible by streamlining the program.
With the fast advance of microprocessor technology, there is ample inexpensive
computing power available. We are confident that computation time can be easily
brought down to a level well below the FBG access time and will therefore not become
the bottleneck of the system speed.
As discussed before, the proposed system is capable of addressing each FBG in the
array with different sample rates. However, in order to delineate the performance of the
proposed system in reference to other standard measurement systems, let's first assume
every sensor in the array has the same sample rate (hence access time). Equation 11 can
then be rewritten to become
Sf _~250 FBGdd-lz (13)
where S =NxM is the total number of FBGs in the array and fis their uniform sample
rate. Comparing Equations 10 and 13, it can be seen that the system will not exceed the
absolute maximum sample rate limited by optical power unless S<3.
The performance limits and tradeoffs discussed above can be presented graphically
in Fig. 9. Note both vertical and horizontal axes are in logarithmic units. With a simple
soft'ware reconfiguration, the interrogation instrument can be adapted to any network with
a speed/scale combination within the shadowed area in the lower left comer of the first
quadrant. This feature is very important because different structure monitoring
applications have different requirements on scale and speed of the sensing network. For
example, vibration detection may demand a dozen nodes each sampled at 10kHz while
deformation detection requires a modest sample rate of 100Hz. The proposed system has
the distinct flexibility to provide a wide range of different sample rates to different
sensors in the same network.
Preliminary Experiments
Preliminary experiments have been

undertaken to verify the concept described
above. The first experimental system with
only two fibers was reported [11,12] followed
by a second prototype with 23 FBG and four
fibers [6]. A conventional spectrograph
instrument was used as the interrogation
instrument, in which the fiber end-face array
was placed at its entrance slit and a low cost,
industrial grade CCD camera was installed at
its output port. The camera had 512 • 512
active pixels and a frame rate of 25 frames
per second. An Anritsu pigtailed SLD module
with the central wavelength at 840nm and a Fig. 10 Intensity distribution on the CCD
FWHM of 23nm was used. Because the imager
spectrograph used in the experiment was not optimized for single mode fibers at this
wavelength region, there was a rather large astigmatism in the CCD plane.
Consequently, the bright spots on the CCD array associated with FBGs were not uniform
across the array with spot size ranging from 6x6 to 22x22, shown in Fig. 10.
Strains were applied to selected FBGs in pre-determined steps using known
weights. With a 600-1ine/mm bulk grating, the CCD in this experimental system covers a
spectral range of 52 nm. Each CCD pixel along X-axis in this experimental set-up
represents 0.1 nm, which, in turn, is equivalent to approximately 121 microstrain with a
FBG centered at 840rim. The resolution is enhanced to sub-pixel level using centroid
interpolation algorithm. Fig. 11 shows the calculated peak centroid positions versus the
weights applied to the fiber, where the same strains were applied to FBG3 and FBG4
while other were left unstrained. The standard deviations of the experimental data from
straight lines fitted to these data
are 0.027 and 0.017 pixels for
FBG3 and FBG4 respectively.
These are equivalent to a root
mean square (RMS) error of strain
2.2 and 3.5 p~ respectively. The
maximum difference between the
measured and the fitted data are
0.060 (7.7 lag) and 0.033 (4.1 ~J.e)
pixels for FBG3 and FBG4,
respectively.
It can clearly be seen from
Fig. i 1 that the deviations of the
FBGs along the same fiber channel
Fig. 11 Shift ofcentroidposition versus the weights loaded on the follow similar trends. We later
selected FBGs found that these deviations were
due to the pixel jitter of the CCD
signal in the same pixel row. By

rotating the pixel array by 90 ~ such
jitter was eliminated. As a result, the
above mentioned standard deviations
of FBG3 and FBG4 have been
improved to 0.011 (1/91) pixel ( or
1.4 ~te) and 0.012 (1/83) pixels ( or
1.6 laz) respectively with the
maximum deviations reduced to
0.018 pixels (2.2 I.t~)and 0.023 (3.0
I.te) pixels respectively. Fig. 12 shows
the rms errors of different FBGs
before and after the jitter cancellation. Fig. 12 Error reduction throughjitter cancellation
AS shown in Fig. 13, the dynamic
strain signal obtained from one of the gratings, the sample rate at this moment is 25Hz,
limited by the frame rate of the CCD camera. Experiments are under way to incorporate
CMOS imager with random pixel addressing features into the system to improve the
speed of the prototype.
Hardware Cost o f D S W D M Systems
It is, of course, difficult to predict the price of a fiber optic strain sensing system
based on the DSWDM technology at this early stage of concept development. However,
the hardware cost of such a system on one-off basis is in the order of $15k. Assuming a
50% margin and a $120 price tag for Bragg gratings, the proposed system with 35 sensors
would cost 2x$15k+35x$120=$34.2k in hardware, which is less than $1000 per sensing
channel, cheaper than a high-end foil gauge system (bandwidth to 10kHz) described in
the early part of this article. When the sensing channel grows to more than 115, the cost
per channel of proposed Bragg grating based sensor system becomes less than
(2x$15k+115x$120)/115=$380, which will beat even the low end foil gauge systems. It
is worth pointing out that these costs only refer to hardware cost for sensors and the
interrogation instrument, there a r e
additional substantial savings in cabling
and maintenance. Work has been on-
going on a simplified system in the cost
range of $5000, which accepts a single
fiber that contains up to 30 serially
multiplexing FBG strain sensors. Such
a system will be very competitive to
electric foil gauges for applications that
require smaller number of strain
sensors.
Fig. 13 Dynamic strain measurement on a cantilever

beam
Conclusion
We have presented a novel digital spatial and wavelength division multiplexing

technique, which utilizes a 2D spectrometer with a special 2D random addressable
CMOS imager to interrogate FBG based sensors in multiple fiber channels. Computer
simulation suggests that the measurement resolution can be enhanced by a factor of 50
using a digital interrogation algorithm. The technique is capable of multiplexing a very
large number of FBGs and providing absolute measurements at a high spectral resolution.
Each FBG in the array can be addressed in a random fashion with different sample rates
ranging from 0 to 10kHz. The interrogation instrument is simple, low cost, compact and
robust with no moving parts. Preliminary experiments using conventional CCD imager
achieved a strain sensing resolution of 1.6p.e with sub-pixel interpolation resolution of
1/90. But the sample rate has been limited to 25Hz, the standard video frame rate of the
CCD. We are currently working with a spectrometer manufacturer to further improve the
design and implementation of the interrogation instrument, and to incorporate the random
addressable CMOS imager into the system. Such a system will enable fiber optic based
system to challenge the predominate position of electric foil gauges in the
strain/temperature sensing market.
Acknowledgement
The authors acknowledge the support of The Office of Naval Research, System
Planning and Analysis Inc and The Engineering and Physical Science Research Council
(UK) for this project.
Reference
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Optical Fibers by A Transverse Holographic Method", Optical Letters, Vol.l 4,
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[5] Sirkis, J.S., "A Unified Approach to Phase-Strain-Temperature Models for Smart
Structure Interferometric Optical Fiber Sensors: Part 1-Development," Optical
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using fiber optic sensing", Proc. of Symposium on Adaptive Structures and
Material Systems, ASME International Congress, Anaheim, CA, 15~20
November 1998.
[7] 3M, Fiber Bragg Grating Application Note, "The Mechanical and Optical
Reliability of Fiber Bragg Gratings", 1996.
[8] Varelas, V., Limberger, H.G., Salathe, R.P. and Kotrotsios,C., "UV-Induced
Mechanical Degradation of Optical Fibres," Electronics Letters, Vol. 33, No. 9,
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Multiplexing of Bragg Grating Optical Fiber Sensors", Proc. of OFS 12, ISBN 1-
55752-514-5, 1997, pp.448-451, Williamsburg, USA.
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Shan-Tung Tu, 1 Jian-Ming Gong, t Xiang Ling, ~and Xiao-Yuan He2
Long-Term Measurement of Local Creep Deformation by Optical Fiber Marking

and Remote Monitoring
Reference: Tu, S.-T., Gong, J.-M., Ling, X., and He, X.-Y., "Long-Term Measurement
of Local Creep Deformation by Optical Fiber Marking and Remote Monitoring,"
Structures: Second Volume, ASTM STP 1323, G. F. Lucas, P. C. McKeighan, and J. S.
Ransom, Eds., American Society for Testing and Materials, West Conshohocken, Pa, 2001.
Abstract: Creep deformation localization is a common occurrence generally found at

high temperature components, typically in geometrical discontinuities and weldments. As
the deformation in a small region can hardly be measured by conventional displacement
gauge, a new technique for measuring long-term local creep deformation was developed
by quartz optical fiber marking, remote monitoring and image processing. A long-term
measurement oftbe creep deformations of base metal, weld metal and heat-affected zone
in cross-weld specimens verifies the new technique.
Keywords: Local deformation, high temperature, quartz optical fiber, image analysis,
weld, creep measurement
Many pressurized components in petrochemical and power generating plants oper-

ate for long periods at high temperature where creep may occur. Creep failures have been
frequently reported to occur in some narrow regions of heterogeneous microstructure and
geometrical discontinuity such as welds, nozzles and bends. In order to predict accurately
the life of the components it is of vital importance to study the deformation localization
in the regions.
For conventional uniaxial tensile creep testing the two-point extensometer is gener-
ally used. The creep deformation or rupture behavior is evaluated based on an average
information measured within the extensometer gauge length in accordance with certain
standards such as ASTM Standard Test Method for Conducting Creep, Creep-Rupture,
and Stress-Rupture Tests of MetaUic Materials (E 139-96). It is obvious that the meas-
urement does not provide fundamental understanding of strain distribution across a
Professor and associate professors, respectively, Department of Mechanical Engineering,

Nanjing University of Chemical Technology, Nanjing 210009, China.
2 Professor, Department of Civil Engineering, Southeast University, Nanjing 210096,
China.
1842012
Copyright
(PDVSA Los9Teques)
2001pursuant
by ASTM Intemational
TU ET AL. ON OPTIC FIBER MARKING/REMOTE MONITORING 185
specimen of deformation localization. A very typical example is the assessment of high

temperature performance ofweldments. It has been suggested that reasonable evaluations
of rupture behavior may be provided by laboratory tests using cross-weld specimens in
some loading cases[/]. However, measurement of creep deformation in different regions
of a weldment has not been possible in terms of the conventional deformation measuring
technique. Although the Moir6 method is able to provide a field measurement of the
strain at intermediate high temperature it is not yet possible to monitor the creep defor-
mation for a long time such as several thousand hours[2, 3].
In considering the difficulties in measuring long-term localized creep deformation,
a new technique has been developed that utilizes the merits of quartz optical fiber and
computer image processing technique. The objective of the present paper is to provide the
measurement principles for local creep deformation with the remote monitoring system.
The applicability of the technique is demonstrated by creep tests on cross-weld speci-
mens.
Use of Quartz Optical Fibers as Measuring Marks
The basic idea of the method is to create multiple marks on the specimen surface
where deformation localization may occur. Deformation is then measured between the
marks by a remote monitoring system. As the oxidation is very significant at high tem-
perature, any surface feature may be corroded and become very unclear after a certain
period of time. The use of optical fibers as measuring marks provides a new possibility.
The quartz optical fiber consists of a highly refractive quartz core in the center and
a low refractive coat around it. It is now common sense that when a ray of light enters
optical fiber that is basically perpendicular to one end of the optical fiber, it is exported
without much attenuation from the other end. In case of bending, quartz optical fibers still
possess a good light conductivity. On the other hand, the quartz optical fiber has good
heat resistance. High temperature has little effect on its light conductivity and its working
temperature can be above 1000~ It should thus be very advantageous to use the quartz
optical fiber as the measuring marks.
Based on the above considerations, a quartz optical fiber with light solidifying coat
is thus used in the present study. The selected quartz optical fiber has an outer diameter of
140~tm and a core diameter of 110~tm. The fibers can be stuck to a narrow region of a
cross-weld specimen, such as weld metal and HAZ region.
Quartz optical fibers are stuck to a side surface of a test specimen by use of refrac-
tory ceramic gum. The gum covers the fibers and should be as thin as possible to make
sure that the marks follow the specimen deformation. Raying ends of quartz optical fibers
form dot-shaped marks by irradiating the other ends with small power helium-neon laser.
Distance changes between the dot-shaped marks are obtained by technique of distant im-
age formation and digital image analysis, which allows the local creep deformation
measurement in a small region less than 0.3 • 0.3 mm.
Digital Image Analysis for Displacement between Marks
The lightened marks at high temperature are transformed into digital images with
the help o f a CCD video camera. The background has lower gray level, and the marks
have a much higher gray level (referred to as light spots) in the image, as shown in Fig. 1.
If the shapes and positions of the light spots have been determined by image analysis
technique, the distance between the spot centers can easily be obtained. And displace-
ments between the marks are acquired according to the relative change of the distance.
Fig. 1 - - Dot-shaped marks Fig. 2 - - Region definition in an image
Extraction of Dot-Shaped Marks
In practice, the first important thing in the image analysis is the extraction of the
regions of light spots from the digital images. The image segmentation method is usually
employed for this purpose. Both point- and region -dependent techniques can be used for
segmentation[4]. In the present investigation, the images are of 256 gray-levels, the vast
majority of which belong to lower gray level background while the rest are much higher
gray level regions of light spots, as shown in Fig. 1. The point-dependent technique is
considered appropriate for segmenting the above-ascribed images.
The point-dependent technique extracts regions from an image by thresholding the
gray levels. The key of this technique is to determine an optimum threshold. The thresh-
olds can be set automatically in the processing. Let Zmbe the optimum threshold value of
gray levels, andf(x, y) the gray level function of an image. The regions of light spots are
determined by using the following expression
f=(x,y)={f(oy ) If f(x,y)>Z m
If f(x,y) < Z m (1)
where Zmis obtained by the mode method[5].
The regions of the light spots can be accurately extracted from the obtained images,
even though thresholding is not yet the most advanced technique of segmentation.
Determination of Region Center
The image being processed has the following features: (1) gray-level values of the
light spot region remains almost unchanged; (2) there is a sudden change between gray
level of the extracted region and the background as the gray level of the image back-
ground is set to zero; and (3) the shapes of the marks can be rather irregular as the cutting
process may introduce some irregularities and the outer shape of optical fiber may not be
perfect.
In order to measure the distance change between the marks, one have to decide
appropriate reference points. In this study the region centers are selected. On the basis of
the region extraction, the center of a region can be explicitly obtained by the region-
center method, which allows the measuring precision reaches subpixel level. Fig. 2 shows
a sketch of a region, where Mis the region width, N the region height, the center coordi-
nate (x', y~ is given by
N-I M-I
~ x" gray[x] [Yl
Xt ~ y=O x=O
N-1M-1
~,,gray[x] [y]
y=O x=0
N-1M-I (2)
)-', ~ y. gray[x] [y]
y , = y=o 3=0
AI-IM-I
~ gray[xl[y]
y=O x=O
where gray[x][y] is the gray-level value of point (x, y) in the region.
Remote Monitoring System for Local Creep Deformation
Establishment of Remote Monitoring System
In order to realize long-term and high precision measurement of local creep defor-
mation, a remote monitoring system is set up, which utilizes the merits of quartz optical
fiber, advanced long distance microscope and computer image analysis techniques. A
sketch of the system is shown in Fig. 3.
Fig. 3 - - Sketch of measuring system of local creep deformation
The measurement of the local deformation involves basically the following steps:
(1) a number of quartz optical fibers are stuck onto the measured specimen, and served as
dot-shaped marks after one end of the fibers is irradiated by a laser beam; (2) the light-
ened marks are received by a long distance microscope and imaged on CCD target; (3)
the signals of the marks are transferred into a computer by A/D converting with the help
of image processor; and (4) the received digital images are automatically processed by
the designed software. A computer software has been developed with C ~ language on the
basis of above-mentioned principles. A user-friendly interface of the software is shown in
Fig. 4. In order to minimize the measuring errors caused by the resolution of CCD cam-
era, the marks are monitored two after two by moving the travelling microscope.
Fig. 4 - - Illustration of user interface of the remote monitoring software
Error Analysis
The accuracy of the measuring system is primarily limited by the precision of the
testing machine, system hardware and image analysis software, for instance, errors
caused by location uncertainties when sampling, discrete error due to correlative opera-
tion of digital image, error due to temperature deviation in a heat furnace and so on. For
long-term measurement of creep deformation, the system zero shift ~hould be considered.
Under the condition of no loading at a same temperature, images sampled at different
times should be the same in principle. If there exists a so-called zero shift, however, the
images will differ from each other. The zero shift is thus obtained by comparing the dis-
tances between light spots in the two images. The calibration shows that the zero shift
does not exceed 0.05 pixel in general. Most o f zero shifts are in the range of 0.02-0.04
pixel. The strain measurement error due to zero shift can be calculated according to the
following equation:
8
e .... = - - (3)
vA
where ~is the zero shift, A the total CCD pixels in one direction, and r/the ratio of
distance between measured marks to A. In most cases, the CCD pixels can be used up to
70%. For a CCD camera with a total pixel area of 512 x 512, the strain zero shift is ac-
cordingly in the range of(55 ,,~ 110) ~te. I f a 1024 • 1024 pixel CCD camera is used, the
strain zero shift will be reduced by half.
The system accuracy depends greatly on the resolution of the CCD camera. Our
developed software allows the estimation of subpixel position through the calculation of
fractional pixels leading to a subpixel interpolation accuracy of 0.1 to 0.25 pixel. In the
worst case, the total displacement resolution is about two times the subpixel interpolation
accuracy. If the displacement resolution is 0.3 pixel and r/is 70%, the system strain re-
solution will be 837 p,~ for a 512 • 512 CCD camera and 418 ~t~ for a 1024 x 1024 CCD
camera according to equation (3). The system accuracy basically satisfies the requirement
of long-term creep deformation measurement. The use of higher CCD resolution will
certainly improve the measuring accuracy.
Measurement of Local Creep Deformation of Cross-Weld Specimens
Measurement of Creep Deformation in Constituent Parts of Weldment
In order to study the long-term creep behavior of the constituent parts of the
weldment, the developed method is applied to the measurement of creep deformation of
different parts in 1Cr0.5Mo cross-weld specimens. The 1Cr0.5Mo base metal (normal-
ized plus tempered) plates of 20ram in thickness were welded by manual metal arc
welding using similar ESAB OK 76.18 electrodes. The post weld heat treatment was car-
ried out at 700 ~176 for 2 hours. Plate type cross-weld specimens including the base
metal, weld metal and heat-affected zones (HAZ) were machined from the weldment.
The specimen thickness is 3ram 15 quartz optical fibers were stuck onto the regions of
base metal, weld metal and HAZ respectively, as shown in Fig. 5. Uniaxial creep tests
were carried out at 550~ with stress levels of 110 MPa, 145 MPa and165MPa.
Center Line of Weld
Base
- - Weld Metal Metal
o:
Optical Fibers
14.5 rnm
Fig. 5 - - Arrangement of optical fibers in 1CrO.5Mo cross-weld specimen
The measured creep curves in the form of creep strains versus time are shown in
Figs. 6, 7 and 8 for the base metal, weld metal and HAZ respectively.
It is seen that the measurement provides reasonable smooth curves. Even in the
case of small strain (Figure 8), the data deviation due to system resolution is generally
smaller than 60~tE, which verifies the accuracy of the measuring technique. The minimum
creep strain rates versus applied stress are illustrated in Fig. 9 for different material parts
in the cross-weld specimens. Test results show that the base metal exhibits a higher creep
strain rate at higher stress levels compared with the weld metal and HAZ, while the weld
metal exhibits a higher creep strain rate than the base metal and HAZ at lower stress lev-
els (less than 120MPa). Although it is creep-hard at higher stress levels, the weld metal is
creep-soft at lower stress levels for post weld heat treatment condition. It is predicted that
creep failures may occur in HAZ of weldments due to stress enhancement and creep
cavitation[o].
3 t ~ 1"5t
Base metal, 550 C Weld metal, 550 C
9 9 165 MPa 9 165 MPa
2 -e 9 145 MPa ~ 1,o 9 145 MPa
.~ 9 9 IlOMPa 9 110 MPa
o o.o_ J i L i
300 600 900 1200 1500 300 600 BOO 1200 1500
"nine ( hours) Time, ( hours )
Fig. 6 - - Creep curves of base metal Fig. 7 - - Creep curves of weld metal
o.a
1
HAZ, 550 C
to ~
1Cr0.5Mo, 550 C m// j
9 Base metal
i 9 165
~ o.e =B 9 145 MPa
9 IlOMPa 1~
9 We,dm~,
9 H A Z ~
//~
I
O.2f
300 6O0 too 1200 10F50 i
100 ,
150 ,
200 250
Time ( hours) S~'ess, MPa
Fig. 8 - - Creep curves of HAZ Fig. 9 - - Minimum creep strain rates vs.
applied stress
Deformation Localization Features in Cross- Weld Specimen
Previously the measurement of local creep strain in a cross-weld specimen was

only possible by interrupting the test[7], which certainly influences the measurement ac-
curacy. Besides multiple measuring gauges, the present method allows continuous online
monitoring of the creep deformation localization.
The local strain is obtained by calculating the relative change of the distance be-
tween two neighboring marks. Creep strain distributions across the weld have been
evaluated for different stages of creep. Figs. 10 and 11 illustrate the results for the stress
levels 145 MPa and 110 MPa. It is seen that the maximum strain occurs in the weld
4~5mm away from the weld center line. Another strain peak is located in the intercritical
part o f HAZ. It should be noticed that the maximum creep strain rate occurs in the inter-
critical part of HAZ in the later period of creep, which implies that the creep strain may
accumulate much faster in it. In practice, creep ruptures have occurred mostly in the HAZ
part.
4 5r
145MPa, 550~
110 MPa, 550"
----- 42h
3
4~ - - i - - 282h
--e-- 192h
s F - * - 660h
r --&-- 33611
to 3I /~ - A - 902h
= --0-- 1308h
2 Weld 9 ,L HAZ . 9 Base
/ \ I t Metal
Weld ~r= HAZ ~ 1 ~ Base
O 1
/.\ ,I I ~3 I I M~tal
11 I/M \i I I
9---3ir ~ ,'pi~t~m:. ~ , , ._~,

4 8 12 16 0 2 4 6 8 10 12 14 16
Distance from Weld Center, mm Distance from Weld Center, mm
Fig. 10 - - Strain distribution across Fig. 11 - - Strain distribution across

1 CrO.5Me weldment at 145 MPa 1CrO.5Mo weldment at 110 MPa
Concluding Remarks
Deformation localization occurs inevitably at high temperature. The failure mecha-

nism, however, due to deformation localization has not been fully understood yet. In or-
der to provide a method for long term and effective measurement of local creep deforma-
tion, a new measurement technique is developed, which utilizes particular performance of
quartz optical fiber and technique of distant image formation and the digital image analy-
sis. A remote monitoring system has been set up and measurement software developed.
For a CCD camera with a total pixel area of 512 • 512, the strain zero shift is generally
below 55 Its. The system strain resolution, in the worst case, will not exceed 837 ~te and
is generally below 60 txe in the actual measurement. The new measurement technique has
been successfully used to measure the local creep deformation of base metal, weld metal
and HAZ in 1Cr0.5Mo cross-weld specimens. Strain distributions across the weldments
are obtained. The failure mechanism of the weldment is thus better understood.
Acknowledgments
The authors are grateful to the supports provided by the China Natural Science
Foundation (Contract No. 59875039) and Foe Ying-Tung Education Foundation.
References
[ 1] Tu, S.-T., Gong, J.-M. and Ling, X., "Mechanical Behavior of Laboratory Cross-
Weld Specimen and its Relation with the Practical Cases at Elevated Temperature,"
ActaMetall. Sinica, Vol. 12, 1999, pp. 82-88.
[2] Xie, H.-M. and Dai, E-L., "Experimental Study of Moire Method in Application to
the Measurement of Metal Creep," Mechanical Strength, Vol. 16, No. 4, 1994, pp.
27-30 (in Chinese).
[3] Kishimoto, K. and Shinya, N., "Electron Moir6 Method for Measurement of High
Temperature Deformation," Proc. of the 2nd Japan-Sino Bilateral Symposium on
High Temperature Strength of Materials, Nagaoka, Japan, 1995, pp. 71-76.
[4] Gonzalez, Rafael C. and Wintz, P., Digital lmage Processing, First Edition,
Addison-Wesley Publishing Company, Massachusetts, 1977.
[5] Rosenfeld, A. and Kak, A. C., Digital Picture Processing, First Edition, Academic
Press, INC., New York, 1976.
[6] Storesund, J. and Tu, S. T., "Geometrical Effect on Creep in Cross-weld Speci-
mens," lnt. J. Pres. Ves & Piping. Vol. 62, 1995, pp. 179-193.
[7] Laha, K., Bhanu Sankara, R. and Mannan, S. L., "Creep Behavior of Post-Weld
Heat-Treatment 2.25Cr-lMo Ferritic Steel: Base, Weld Metal and Weldments,"
Material Science and Engineering, A, Vol, 129, 1990, pp. 183-195.
X.Q. Ma t and M. Takemoto ~
Thermal Fracture Mechanisms in Plasma Sprayed Thermal Barrier Coatings

under Cyclic Laser Irradiation
Reference: Ma, X. Q., and Takemoto, M., "Thermal Fracture Mechanisms in

Plasma Sprayed Thermal Barrier Coatings under Cyclic Laser Irradiation,"
Structures: Second Volume, ASTM STP 1323, G. E Lucas, E C. McKeighan, and
J. S. Ransom, Eds., American Society for Testing and Materials, West Conshohocken,
Pa, 2001.
Abstract: An advanced acoustic emission (AE) system was used to monitor the
degradation progression of plasma sprayed thermal barrier coatings (TBCs) subjected
to cyclic infrared laser irradiation. AE signals recorded by a displacement-type sensor
were utilized to determine the fracture dynamics of the coatings by a waveform
simulation. The results indicated that coating damage was induced quickly during the
cooling period of the cycling tests, and most AE events were classified into Mode-I
fracture. Following the initiation of vertical Mode-I cracking in the coatings,
delamination (Mode-I and II) occurred under the laser irradiation over 70W. The
estimated source parameters revealed that the fracture and frequency depend on coating
thickness, structures and heating conditions, and the thermally induced damage in the
TBCs can be reduced by reducing the thickness of the ZrO2 coating and further
applying the bond layer.
Keywords: Thermal barrier coating, plasma spray, laser irradiation, acoustic emission,
thermal shock, fracture dynamics.
Introduction
Recently, the rise in operating temperature and energy of power systems has been
accommodated effectively by application of thermal barrier coatings (TBCs) [1, 2].
However, TBCs tend to suffer cracking and delaminations because of intrinsic
dissimilarities in physical and thermal properties between ceramic and metal as well as
thermal cycling. The predominant failure modes are based on thermomechanical failure
and thermochemical failure [3, 4]. Moreover, in diesel and rocket engines where there is
no severe thermochemical effect such as oxidation, but spalling has been identified to
limit the use of TBCs. Consequently, more effort has been conducted to investigate the
thermal fracture mechanisms of crack initiation and propagation in TBCs under
1Research fellow and professor, respectively, Faculty of Science and Engineering,

Aoyama Gakuin University, 6-16-1 Chitosedai, Setagaya, Tokyo 157, JAPAN.

EST 2012
Copyright
(PDVSA Los9Teques)
2001 by ASTM
Intemational
simulated conditions. A burner rig test has been used to study the resistance and
durability of TBCs, but it has the disadvantage of combining the degradation effects of a
thermal cycle and chemical oxidation. In this study, laser beam irradiation was used for
investigating the fracture behavior of TBCs under well-controlled conditions, with the
focus aimed to clarify failure mechanisms in the TBCs with different thickness and
structures through dynamics analysis by an inverse processing of acoustic emission
(AE) signals. We introduce how the fracture dynamics and progression are determined
by quantitative AE waveform (out-of-plane displacement) simulation, and used to
elucidate the fracture mechanisms in the TBCs under cyclic laser irradiation.
Principle of Estimation of Fracture Dynamics by a Source Inversion Processing
AE source waves of the fracture process provide much information on the

fracture dynamics such as fracture mode and kinetics. Source characterization was
developed in 1980 [5]. Ohtsu et al. proposed a source inversion method to determine
AE source characteristics [6], and Takemoto et al. developed a new AE monitoring
system and waveform simulation method to estimate the fracture dynamics in some
materials [7, 8]. For review, the principle o f source inversion processing is briefly
described as follows.
For an isotropic elastic body, the displacement Ui at (x,t) due to a dipole source at
(x', t') in a haft-space can be expressed as follows.
s
Tik ( x ,x ,t - t' )bk ( x',t' )dS
--oo
where
bk = crack-tip opening displacement

Tik(X,t;x',t') = Green's function of the second kind, determined from source location and
acoustic properties of the medium and given by,
Tik = 2Gij,kmk + [,IGik,jmj + flGij,km j 2

where
~., tz = Lame's constant

r~ = unit vector normal to crack surface with area A A
Gij,k = spatial deviative o f Gij in the xk direction
When the source volume ( A Abk ) is infinitesimal compared to the outer boundary,
Equation 1 can be rewritten as follow.
Ui(x,t) = Tik(X,t;x',t')*bkAA(x',t') 3
where the symbol* denotes a convolution integral in time
In practice, a forward approach or waveform simulation is used to determine the
fracture dynamics at a given location instead of a direct deconvolution integral. For an
MA AND TAKEMOTO ON CYCLIC LASER IRRADIATION 195
assumed source with a rise time A tr and crack volume V0, source wave is expressed by
the Equation 4.
OV(t)/Ot=Vo'Sin4(~/Atr) for 0<t<At, 4

= Vo for Atr < t
The displacement at the sensor position is computed repeatedly until the

simulated displacement for the first longitudinal wave best matches the corresponding
values of monitored wave. The fracture mode analysis is based on the radiation pattern
analysis for an assumed mode.
Experimental Details
Three kinds of TBCs were deposited on AISI304 stainless steel. Table 1 shows
the materials and structures of the TBC specimens used in the laser irradiation tests, in
which the NiCoCrA1Y ( Ni-8.63A1-
23.98Co-20.18Cr-3.84Ta-0.6Y) bond Table 1-Specimens used in the shock tests.
layer and the ZrO2 (ZrO2-8%Y203) top
No Bond coating Top coating
layer were deposited by low pressure
plasma spray (LPPS) and atmospheric
plasma spray (APS), respectively. The 1 NiCoCrAIY ZrO2 (310/z m)
2 None ZrO2 (310 u m)
No.1 specimens was prepared with a
3 None ZrO2 (850 # m)
NiCoCrA1Y bond coating of 3401am,
and the No.2 and 3 specimens without
Figure 1-Schematic setup o f laser irradiation and A E monitoring system.
a bond coating. The fracture behavior and damage progression o f the TBC specimens
were examined under cyclic laser irradiation conditions. Each cycle consisted o f 5
seconds of heating followed by 60 seconds of cooling with laser beam shut off. A total
of 5 cycles were carried out. The laser irradiation and AE monitoring system are shown
schematically in Figure 1. A CO2 laser beam with a single mode (TEM00) was used as
heating source, and the irradiated region has a diameter of 4mm at a defocused distance
o f 24mm. The thermal shock test was performed under selected laser irradiation
conditions, in which laser power was increased from 20 to 100W with a step size o f
10W. The surface and interface temperature were measured simultaneously by using
two Pt-Rh thermocouples, one inserted at the bond/top coating interface and another
mounted on the surface o f the top coating. The measured points deviated from the
center of heated zone about l mm in order to obtain an average temperature. The AlE
monitoring system was composed of a displacement-type sensor (PAC, $9208), a
sensitive resonant-type sensor (PAC, PICO), a wide hand preamplifier, a multi-channel
digitizer, a PC computer and a workstation. The resonant sensor triggered the
displacement-type sensor to detect the out-of-plane displacement, and the detected
signal was pre-amplified, digitized, then stored in a PC computer. All the data
processing was carried out on a workstation. The microstructures of the irradiated
specimens were examined by optical and scanning electron microscopes.
Results and Analysis
Acoustic Emission Monitoring during Thermal Shock Test
The AE event counts were recorded in the three specimens by the

displacement-type sensor under different laser irradiation conditions, and are listed in
Table 2. No AE signal was monitored at a laser power o f 20W, even after 20
Table 2-AE counts in the TBCs under different laser irradiation conditions
Specimen Total AE count
Laser power, W
No. Coating 20 30 40 50 60 70 80 90 100
1 NiCoCrAIY/ZrO2(310 lz m) 0 1 3 5 6 4 6 5 9
2 ZrO2(310 # m) 0 2 3 6 8 7 6 8 13
3 ZrO2(8501zm) 0 2 7 3 II 15 13 12 16
cycles, this implies that there is a critical laser power for the initiation of cracking in the
coatings. As for the higher laser powers over 30W, AE event counts tend to increase
with increasing laser power. It is noted that the AE counts for the thick TBC is much
larger than those for thin TBCs, especially under a higher laser power above 50W. For
the No. 1 and 2 specimens with a ZrO2 layer of 310~rn, the introduction of a bond layer
appears to reduce the AE counts in the No. 1 specimen. Due to a relatively long dead
time ( i.e. the time during when the AE system can not monitor the next AE event ) of
the digitizing system (-10ms), some AE signals may not be recorded during the rapid
cooling period of the cycling, but the important features of the fracture behavior can be
concluded from the recorded AE signals as previous studied indicated [7, 8].
The measured surface temperature (Figure 2(A)) increased from 1050 to 1750~
with increasing laser power from 30 to 80W. In the case of laser power over 80W, the
surface temperature was estimated by extrapolating the data measured below 1750~
due to incapability of measurement by Pt-Rh thermocouple. The interface temperature
varied from 750 to 1450~ in the No.1 and 2 specimens and from 500 to 1080~ in the
No.3 specimen while laser power increased from 30 to 100W. The maximum
temperature differences varied in the range of 350 to 6 5 0 ~ in the No.1 and 2
specimens, and 550 to 1050~ in the No.3 specimen. Therefore, a much higher
temperature gradient was observed in the thick TBC.
Figure 2-Temperature profiles measured in the thick TBC specimen during a cycle.
(A) On the surface, and (B) At the interface.
Classification of Fracture Modes and Distribution of AE Responses
In order to obtain detailed information about the fracture behavior of the TBCs
during the shock tests, the monitored AE responses were classified into possible fracture
modes and the crack source parameters were estimated by an inverse processing of the
AE signals. In Figure 3, possible fracture types (Type A to G) are shown schematically
together with the simulated waveforms of the out-of-plane displacements at the sensor
($9208) position. For the simulation the fracture source parameters are assumed as a
rise time At~ of 1 U s and a crack volume V0 of 2x10 15 m 3, and the propagation
distance (denoted as P.D.) as 12mm. The fracture modes are defined by the crack
normal mi and Burgers vector bk. Types A, B and C represent the Mode-I cracking, and
Types D, E, F and G the Mode-II cracking. It is noted that the polarity of longitudinal
wave (P-wave) is negative for Mode-I fracture (Types A, B and C), but positive for
Types F and G (Mode-II). Types D and E (Mode-II) show negative polarity, but can be
distinguished from Mode-I by the polarities of following shear/longitudinal wave
(SP-wave) and shear wave (S-wave).
The frequency of AE events during the shock tests and the relevant fracture modes
are presented in Figure 4. Two important features are observed, one is that most AE
signals were emitted during the cooling period; another is that Mode-I cracking is
predominant among the classified AE signals. The AE signals almost were monitored
during each cycle of the shock tests at a laser power above 60W, and more AE signals
were detected in the No.3 specimen during the first three cycles, but for the No. 1 and 2
specimens AE counts appear to increase with increasing cycling numbers. The result
showed that the No.3 specimen was much susceptible to degradation at the earlier
period of the shock tests. For the No,1 and 2 specimens, there is no obvious difference
in the AE counts when laser power is below 70W, but the AE counts detected in the
No.2 specimen tended to exceed those monitored in the No.1 specimen under higher
laser power. In addition, the resonant sensor detected more AE signals, and provided
additional evidence for more AE signals emitted in the No.2 specimen.
Figure 3-Simulated out-of-plane displacements due to Mode-land l l fractures.

Source parameters: rise time = 1 # s, crack volume = 2xlO"15m3; PD. = 12ram.
Estimation o f Crack Source Parameters by a Waveform Simulation
Some typically detected waveforms and the simulated out-of-plane displacements

( abbreviated as Displ.) are shown in Figure 5. Specimen, propagation distance and laser
power P are described in the figure caption, and the estimated source parameters are
shown at the simulated waveforms. The initial portion of the simulated waves resemble
well the experimental recordings. However, the many peaks in the monitored waves
after 10 ~t s are the reflected waves. Types A, B, D and E fractures represent the vertical
cracking in the coatings, and Types C, F and G represent the horizontal cracking or
interfacial delamination. In the case that the AE responses are quite similar in
waveforms for different types of cracking such as Type B and C in Figure 5, the
measurement of polarity distribution and simulation of artificial crack source combined
with metallographic observation were used to reduce the uncertainty. The estimated
source parameters are presented in Figure 6. It is noted that the rise times for Mode-I
cracking vary in the range of 1 to 3/~ s for the No. 1 specimen, and 1 to 7 tz s for the
No.2 and 3 specimens. The No.1 specimen has a typical crack volume of less than
2x10"~Sm3, and there is no difference in source parameters for Mode-I and II fractures
(Figure 6(A)). In contrast, the No.2 specimen has a different rise time of 3-7 tz s and
1-3 tz s for Mode-I and II cracks, respectively. In Figure 6(C), some larger crack
Figure 4-Count, distribution and fracture mode of AE signals generated during

thermal shock test. (A) No. I specimen, (B) No.2 specimen,
and (C) No. 3 specimen.
i0"*2 x l O"~2
1 [ t~ ~|r =3.0 tlS ]
Type A
(bk=i,O,O)
~.~. t" t I I t|
(mi=1,0,0) 0 5 i0 15 20 0 5 10 15 20
x10 .l~. Time, Its xlO'n Time, Its
Mode I-" d n4f A /~tr=2,8 laS

~.~ V'O~__~ / ~_ ~
TypeB "~ -0.4
-o.8[ V, , ,
(mi=0,1,0) 0 5 I0 15 20 0 5 I0 15 20
,dO "t'~ Time, ~s xl0 -iz Time, i/s
-2 0 z .~ 0 = , -is
I
Type C ~ o
(b~:=o,o.l) -o:~
(mi=o,o,1) 0 5 i0 15 20 0 5 i0 15 20
xl0 "is Time, Its x10 43 Time, gs
E 7 . 5 ~
2.5
6 [~t,=3.2~ /, t
0 = " "
Type D
(bk=1,0,0)
m -lo
(mi=o,1,0)
0 5 I0 15 20 0 5 i0 15 20
xl0 "L2 Time, ~s xl0"n Time, p.s
1.0 (E) E
0.0
o . 5 ~
Type E ~ 0.0 : -0.5
(b~,=o3,o) ~ -1.0
-0.6 -i.o
-1.5
M o d e II(rn~=i,o,o) -1.5 -2.0
0 5 I0 15 20 0 5 10 15 20
x.10"~ Time, Its x.10"z~ Time, ~s
2.o
.., 1.0
~ 30 ~t,.4.sus ,-,
E 20 ~Vo.194x10?r~
t
Type F 0.0
(b~=~,0,0) ~ -1.0 0.0
-2.0 ~ -1.0 ,
(mi=0,0,1)
0 6 10 15 20 0 5 i0 15 20
xl0 a'~ Tim% ~ts xlOa-~ Time, Its
E 2.o
.~ 1.0 / \ vo.2.o,,o ,,,
0.0
Type G -1.0
Co~:=o4,o) ~ -2.G
(mi=o,O,l) I I I I[
0.0~--j ' , ,
0 5 10 15 20 0 5 i0
15 20
Time, pa Time, ~s
Figure5-Some detected (left) and simulated (righO waveforms for the Mode-I and II
cracks in the TBC specimens. (A) No.3 specimen, P=8OW, P.D.=I 7ram,
(B) No.1 specimen, P=9OW, P.D.=I4mm, (C) No.1 specimen, P=7OW, P.D.=2Omm,
(D) No.2 specimen, P=9OW, P.D.=15mm, (E) No.3 specimen, P=7OW, P.D.=17mm,
(F) No.3 specimen, P=9OW, P.D.=21ram, (G) No.2 specimen, P=8OW, P.D.=15mm.
volumes (>5x10"lSm3 ) due to Mode-II cracks in the No.3 specimen are estimated under
laser power over 80W, indicating extensive delamination during the shock test. The
results of the estimation of source parameters revealed that the fracture and frequency
depend on coating thickness, structures and heating conditions, and the thermally
induced damage in the TBCs can be reduced by reducing the thickness of the ZrO2 top
layer and further applying the bond layer.
,0
Mode (A)
'o 9 Mode II
6
E
O
>
9 t
O
0 1 ~ 4 5
Source Rise Time,/1 s
30 ~ 25
-= 25 . (C)
To 20
"~ 20
x 15
-i
>O ot,
a~ 5
o o
0
0L,~,..,.. ~' , 9 O 0 1 2 3 4 5 6 7
0 I 2 3 4 5 6 7 81 92 1'0"1'1
Source Rise Time,/1 s Source Rise Time,/1 s
Figure 6-Estimated source parametersfor the cracks in the TBC coatings.

(A) No. 1 specimen, (B) No.2 specimen, and (C) No.3 specimen.
Simulation of Mode-I and H Fractures by Using Artificial Crack Sources
In order to confirm the relation between fracture mode and relevant waveform of
the out-of-plane displacement by experimental methods, Mode-I and II fractures were
simulated by using artificial crack sources. Using a line-focused YAG laser irradiation
(half value duration 5ns; power 2mJ; size 0.04mm x 3mm), a Mode-I crack was
simulated by adiabatic thermal expansion in the direction normal to the line. As shown
in Figure 7(A), the laser beam was line focused on the surface of the No.3 specimen in
the direction of the surface normal or on the side surface. The former simulates the
Types A and B, and the latter the Type C. A displacement-type sensor was mounted on
the lower surface of the substrate at a propagation distance o f 24ram. Because of
unknown source parameters for the adiabatic thermal expansion, the source parameters
were estimated from the measured displacement due to a Type A crack, and used for
computing the displacements of Types B and C cracks. The detected and simulated
displacements due to a Mode-I crack are given in Figure 8. The values o f A t~ and V0
were estimated as 2.5 # s and 2.2x10 Is m 3, respectively. The detected displacements
generated by the P-, SP-and S waves appear to be comparable to the computed values,
and the rise times o f the P-waves agree well, but the monitored amplitudes are slightly
larger than the computed data for Types B and C cracks. This is a consequence o f using
the Green's function o f substrate steel, while the crack occurred in the surface layer o f
the coating. Utilization o f an experimental transfer function, including combining effect
o f a coating and substrate, will provide more accurate source parameters.
Figure 7-Schematic setup for Mode-I and Mode-H cracks induced by a line-focused
YAG laser beam (.4) and a shear-mode PZT element (B), respectively.
A Mode-II crack was simulated by using a shear-mode PZT element of 2 r mm x

3 w mm x 8r mm (nominal resonant frequency, 1MHz). As shown in Figure 7(B), the PZT
element was glued on the surface of the No. 3 specimen and excited by a step-wise
voltage. Types F and G cracks were simulated by an arrangement of the PZT element
normal and parallel to the x-axis, respectively. The monitored and computed waveforms
are presented in Figure 9. The rise time of 6.5 /x s and crack volume of 18.6x10 -15 m 3
were estimated from the detected displacement due to a Type F crack, and used to
compute the displacement due to a Type G crack. It is noted that the computed amplitude
of the P-wave due to a Type F crack (Figure 9) is nearly one order of magnitude larger
than that due to Type G. The detected values showed a similar change in magnitude,
indicating that a Mode-II crack had been simulated effectively by using a shear-mode
PZT element. By comparing the waveforms due to the artificial cracks (Figure 8 and 9)
with those from cracks during the shock test (Figure 5), it is observed that they are
comparable while their source parameters are near, such as Mode-I (Types A, B and C)
and Mode-II (Type F). Therefore, these results provide some experimental evidences for
being able to classify fracture modes and estimate crack source parameters by a source
waveform simulation.
Mode I
Detected ~vaveform Simulated waveforrn
xlO.12 xl0 "t2
. 1 . 5 ~ 9-.0 ~ " S
0.5 l"~ A
0.0 o.o
(mi=l,O,O) .~ -2.oII m6~o~';"

~ Type A
"~ -1.o
9~ -1.~0 5 t0 15 2o (bk=l'0'0) -3. 0 5 10 15 20
xl0.~ Time, Its raO-~3 Time, Its
. 2.0
1.0
0.5 1 6 . 4 8 x 1 0 " t ~
_~ o.o ~ /
-o.s ~
-Lo l"
0 5
,
.,...v
10
,
IIlf
15 20
TypeB
(ml=0,1,0)
(~=o,Lo)
"6.o~
~ 4.0
2.0
.o:o
0 5 10
,
15
,
20
xto.~.~ Time, gs XJ.O
.--t3 T i m e J ItS
. 1.5 . 8.0
1.0 6.0f S
0.5 4.0 I- SP/VI
~ 0.0
~ -0.5 TypeC r 0.0
"~ -1.o
9~ -1.5 I I I
(mt=0,0,D
(bk=0,0A)
.m -4.0 t 2.73X10 "-
5 10 15 20 -6.0 0I 5J. 10i 15i 20
Time, Its Time, Its
Figure 8-Detected and simulated waveforms due to Mode-I cracks simulated by an

adiabatic thermal expansion of line-focused YAG laser Source parameters." rise time =
2.5 # s and crack volume = 2.2xlOtSmS ; P.D. = 24ram.
Fracture Mechanisms in the TBC Specimens under Cyclic Laser Irradiation
The microstructures of the TBC specimens were observed after the thermal shock
tests. The surface morphologies are obviously influenced by the heating conditions. At
laser power was below 60W, as shown in Figure 10(A), the cracks were initiated mainly
in the irradiated zone, and then propagated into the heat-affected region. Accordingly,
vertical cracks (Mode-I) were observed in the cross-sections of the ZrO2 layer, but no
serious delamination was observed in any specimens (Figures ll(A) and (C)). With
increasing laser power up to 90W, a melted zone was formed in the center of the
irradiated region due to the Gaussian distribution of laser power density (Figure 10(13)).
It was observed that more cracks were generated in the center and edge of the melted
zone, and also in the adjacent heat affected zone. These cracks occurred during the
cooling period of the cycles. These results also were consistent with those of increasing
AE event counts at higher laser power. Under the laser irradiation of 90 W and 100W,
the ZrO2 coating spalled locally along the edge of melted zone in the No.3 specimen
(Figure ll(D)), and at the bond/top coating interface in the No.1 specimen (Figure
10(B)). From the metallographic examination, it also is noted that the number of
observed cracks is much smaller than the AE counts recorded. This implies that a
cracking in the specimens experienced different stages of microcrack initiation and
growth, and propagated into macrocrack responding to the cross-section cracking in the
ZrO2 layer and delamination at the bond/top coating interface. The AE system had
monitored and characterized well the cracking processes.
Figure 9-Detected and simulated waveforms due to Mode-Ilcracks simulated by

excitation o f shear-mode P Z T element. Source parameters." rise time ~- 6.5/1 s and crack
volume = 18.6xllTZS m3; PD. = 23mm
Figure l O-Surface morphologies o f the specimens subjected to the thermal shock tests.
(,4) No.1 specimen, P = 50W, and (13) No.3 specimen, P = 90W.
Figure 11-Optical observation on the cross-sections o f the TBCs subjected to the

thermal shock tests. (,4) No.1 specimen, P = 60W, (B) No.1 specimen, P = 100141,
( 0 No.3 specimen, P = 60W, and (D) No.3 specimen, P = IOOW.
Normally, transient stress is developed in the TBC specimen during the heating or
cooling period of a shock test, and the initiation of surface cracking is related to larger
tensile stress due to a larger temperature gradient across ZrO2 layer during cooling. The
maximum cooling rate was measured just after laser beam-off, so this examines the
burst in acoustic emission that occurred during cooling. At low laser powers AE events
almost were observed during each cycle of the test, indicate that the vertical cracking
was initiated on the surface and progressed toward heat-affected zone steadily. At high
laser power (>80W), the specimens are subjected to a larger transient thermal stress
upon cooling, and the interface delamination resulted from different opening (Mode-I)
and shearing deformation (Mode-II) which was consistent with the results of
waveform simulation. As the transient stress is proportional to temperature gradient,
the No.3 specimen suffered more serious degradation than the No.1 and 2 specimens.
These results revealed that the cracking and delamination had a tendency to occur in the
thick ZrO2.
From the AE counts and crack volume values, it is postulated that the specimens
with or without a bond coating have different cracking characteristics. Typically the
No. 1 and 2 specimens have a ZrO2 layer with the same thickness, but large number of
AE events with large crack volumes were emitted in the No.2 specimen without a bond
coating. It is sure that the bond coating has little influence on transient temperature in
the sample, for its thermal properties are comparable to those of the substrate. Therefore,
the change in AE features is ascribed to the role of the bond coating in relieving
transient stress. The interface temperature was measured over 650~ corresponding to
laser power in excess of 50W, which is in the range of the brittle/ductile transition
temperature (BDTT) of NiCoCrA1Y bond layer [9]. Consequently, the thermal stress
induced by the laser irradiation was partially released by a ductile deformation of the
bond coating, and reduce cracking tendency in the specimens.
Conclusions
Plasma sprayed thermal barrier coatings with different thickness and structures
were subjected to cyclic laser irradiation, and their sequent fracture progression and
dynamics determined by an acoustic emission source inversion processing. The major
conclusions from the results include:
1. The majority of acoustic signals were emitted during the early cooling period of the
cycles, and cracking was monitored during most of the cycles when laser power is
over 30W.
2. Due to the delamination and rapid propagation of vertical cracks, the severity of
coating failure increased with increasing laser power over 70W, especially after the
formation of a melted zone in the irradiated ZrO2 coating.
3. Mode-I fracture was identified as the predominant fracture type corresponding to
vertical cracking, and Mode-II fracture occurred after Mode-I fracture initiated in the
thick TBC or at the thin ZrO2 layer/bond interface.
4. The tendency to cracking and delamination increased with increasing thickness of the
ZrO2 coating due to a built-up of high transient temperature gradient, but further
application of a bond coating reduced the coating damage through a mechanism of
thermal stress relief.
Acknowledgment
This work was supported by Japan Society for the Promotion of Sciences and
Ministry of Culture and Education.
References
[1] Miller, R. A., "Current Status of Thermal Barrier Coatings-An Overview,"

Surface. Coat. Technol., Vol. 30, No. 1, 1987, pp. 1-11.
[2] Sims, C. T., "Non-Metallic Materials for Gas Turbine Engines-Are They Real?,"
Adv.MaterProcess., Vol. 139, 1991, pp. 32-39.
[3] Miller, R. A., "Oxidation Based Model for Thermal Barrier Coating Life,"
J.Am.Cera.Soc., Vol. 67, No. 8, 1984, pp. 517-526.
[4] Cruse, T. A., Stewart, S. E. and Ortiz, M., "Thermal Barrier Coating Life
Predication Model Development," d.Eng. Gas Turbines Power, Vol. 110, 1988,
pp. 610-616.
[5] Wadley, H. N. G. and Scruby, C. B., "Acoustic Emission Source Characterization,"

Advances in Acoustic Emission," Dunegan, H. L. and Hartman, W. F., Eds.,
Dunhart Publishers, Knoxville, 1981, pp. 125.
[6] Ohtsu, M. and Ono, K., "Generalized Theory of Acoustic Emission and Green's
Function in a Half Space," J.Acoustic Emission, Vol. 3, No. 1, 1984, pp. 27-40.
[7] Takemoto, M. and Hayasi, Y., "Microkinetics of Hydrogen Assisted Cracking by
Inverse Processing of Acoustic Emission," J. Chemical Engineering Japan,
Vol. 24, No. 6, 1991, pp. 778-783.
[8] Takemoto, M., Suzuki, H. and Ono, K., "The Fracture Dynamics in a Dissipative
Glass-Fiber/Epoxy Model Composite With AE Source Simulation Analysis,"
J.Acoustic Emisssion, Vol. 14, No. 1, 1996, pp. 35-50.
[9] Nicoll, A. R., "A Survey of Methods Used for the Performance Evaluation of High
Temperature Coatings," Coatings for High Temperature Applications,
Lang, E., Ed., Elsevier Applied Science Publishers, Netherlands, 1983,
pp. 269-339.
Panel Discussion Summary
STP 1323-EB/Apr. 2001
Current Status and Future Sensor Development: Panel Discussion Summary
A panel discussion was conducted for an hour following the symposium presentations. The panel
consisted of the following individuals:
9 Prof. Michael A. Sutton - University of South Carolina

9 Pros Shiping Chen - University of Maryland
9 Ms. Joy S. Ransom - Fatigue Technology Inc.
9 Dr. Peter C. McKeighan - Southwest Research Institute
The function of the panel participants was to help guide the discussion and instigate audience
participation. Toward this end, a series of questions were first posed to the audience. These questions
and some of the audience/panel response are summarized below:
What standards activities can be undertaken to transition methods from "laboratory techniques"
to more applicable "industrial techniques"?
9 ASTM Standards on new systems will make it easier for industry to accept results or developments
from new sensor systems.
9 However if ASTM were to specify particular systems, it may stifle creativity concerning design of
new or improved systems. Rather than specifying systems, the process of developing a sensor needs
to be described.
9 In order to achieve ASTM action, a committed person is required who wants the standard and can see
the process through to completion in two to three years. While guiding the process, this individual would
need to overcome a variety of technological and political issues.
What A S T M Standard considerations are necessary to i m p l e m e n t new sensors into

accepted methods as alternatives to the traditional methods already adopted?
9 Standards are typically written or modified when people are performing similar tests and not
achieving the same answer.
9 A major question that needs to be overcome is: "How can people have faith in home-built systems?"
Industry needs standards that enable calibration of these types of home-built systems to add credence
to the development process and demonstrate through some well-defined method that reliable data can
be generated using the system.
9 However there are serious obstacles to calibration standards. For instance, how do we calibrate new
visual measurement systems? With the many visual measurement methods available, how do results
of these systems compare both with each other as well as with currently available systems? It may
turn out that some nontraditionaI sensors may be un-ealibratable. For example, video systems have
many variables and an enormous number of degrees of freedom not well suited to conventional
calibration.
9 A standard guide for non-contacting methods is needed for starters; with a definition of terms t.
~Editors Note: Since this symposium was held, the standard practice entitled Standard Guide for
Evaluating Non-Contacting Optical Strain Measurement Systems has been balloted and approved by
ASTM membership. This document will be included in the next publishing of the ASTM standards.
211
Copyright
(PDVSA Los9 2001 by ASTM
Teques) Intemational
pursuant www.astm.org
to License Agreement. No further reproductions authorized.
What will be needed to take current developments of these new sensors to ensure
they are viable, generally useful and economically available for use in laboratory
or other applications?
9 The amount of funding available for basic research is currently limited and shows no sign of
becoming more available. Obviously this makes it harder to implement new systems into existing
laboratories.
9 If industry is aware o f an existing technology, it has the potential to he integrated. However the basic
problem remains: how does industry become aware of a technological development? In this sense
ASTM can help by sponsoring symposia such as this that act to make users more aware of the
technologies that are available for sensors.
9 In the early 1970's the Air Force funded a process of standard development that led to E647, the standard
commonly used for fatigue crack growth rate measurement. It would be useful if the government once
again saw the importance of funding standards development.
What new methods / technique / sensing strategy has yet to realize its full potential
in terms of nontraditional sensing?
9 A new area to examine is how damage is defined (fracture mechanics based?) and what methods can
be used to find this damage. This in essence could drive subsequent design methods.
9 We need a standard that can be used to validate data, albeit some type of new image or other
technology. People will misuse technology if they do not understand it, or make improper decisions
based on unknowns in the technology if not given some appropriate guidance.
9 ASTM needs proactive and fruitful liaisons to other committees, for example the SEM Experimental
Mechanics Group or VAMAS or ISO organization. Although these linkages do exist, it is difficult
for excellent informatinn/technology sharing to occur when the personnel involved are not intimalely
aware of what the Sensor group within ASTM E08 is doing.
What potential applications, not yet addressed with nontraditional methods, are
expected to be in the f u t u r e ? W h a t is t h e p r i m a r y r o a d b l o c k to t h i s happening
and what can we in the technical community do about i t ?
9 We need a database of ideas and technology that are out there.

9 Harmonic magnetic resonance (HMR) and eddy current probes to look for damage ahead of cracks.
9 New optical methods to measure stress and strain without sensors on specimen surface.
9 Sensing of chemical species using some kind of molecular imprinted polymers.
9 Molecular computing - send current through molecules sensing changes of structure. This method
requires measurement sensors on the sub-pico level.
9 Better and more capable software for sensors.
9 Sensing small cracks and differentiating between plastic strain and damage.
9 There is no generalized computerized technology that allows interpreting the behavior of real
structure. Work needs to he done to develop strategies to sense changes in actual structure and hence
recognize damage to prevent failure before it occurs.
9 One of the major roadblocks is that the small amount of available funding is tightening up and little
basic research money is available. Government needs to commit to incur some risk so that they can
assist in developing new techniques.
What are the potential funding avenues for s e n s o r / t e c h n i q u e development?
PANEL DISCUSSION SUMMARY 213
9 Government-aided SBIR programs are available for development work. Advancements in

technologies like ceramics are driving alternate sensor techniques.
9 There are big hurdles to overcome economic factors. Industry needs new applications that require
using new, more advanced and special sensor techniques.
9 Alternatively, additional government monies are required to assist in new sensor development ~md
insure that new tools are available for the next scientific advances.
What is the role of: universities, government labs, private industry (large concerns
and start-ups) in developing and commercializing new nontraditional sensors?
* Universities need to push new technology into their undergraduate teaching so that the technology, is
available for companies when they hire fresh engineers from school.
9 The university role is for the transfer of technical information and new sensor strategies. Getting into
new techniques is a huge challenge for private industry and independent labs who, by their basic
business nature, can not leverage the technological advance into product uniqueness.
9 Government labs need additional funding to develop and use new systems. This will hasten the
transfer of the new systems to industry.
9 SBIR/STTR funding bridges the gap between university and high tech companies. We need to
identify these companies and partnerships.
Other General Comments
* Small businesses do not know what new-tech stuff is out there. ASTM assists in our knowing by
sponsoring symposia such as this. Nevertheless, the question remains: How can we get the
information presented here into our own facilities and how do we tap into the brains of people who
can help us develop these resources? A solution to getting the information to the right people would
be for ASTM members to post problems, perhaps on a website. Other people, perhaps researchers at
Universities or other engineers, can then examine these postings and recommend solutions based
upon their experience. This is a method that marries the source of the problem to the person that can
help solve the problem. Perhaps somebody like ASTM could sponsor this type of forum and method
of collaboration.
9 Small businesses with the ability to develop and rapidly advance new technology are the major
driving force in sensor technology development. But these new high tech companies are not going to
tell you what they have until they are selling the product. This is one reason why it is so important to
insure that government funding is involved with the creation of these sensors or strategies. This will
mitigate the ownership issue by insuring that all have access to the new methods/sensors.
Joy S. Ransom
Fatigue Technology Inc.
Seattle, WA
Symposium co-chair and editor
Peter C. McKeighan
Southwest Research Institute
San Antonio, TX
Symposium co-chair and editor

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Copyright by ASTM Int'l (all rights reserved); Sat Jan 28 07:48:56 EST 2012

G. E Lucas, P. C. McKeighan and J. S. Ransom, editors

ASTM Stock Number: STP1323

Printed in the U.S.A.

Authorization to photocopy items for internal, personal, or educational classroom use, or

Peer Review Policy

Characterizing Crack Growth in Thin Aluminum Panels Under Tension-

Sensing Crack Nucleation and Growth in Hard Alpha Defects Embedded in

Use Experience with a Development General Purpose Non-Contacting

Analysis of Fatigue Crack Propagation by Quantitative Fractography--

DAMAGE EVOLUTION AND MEASUREMENT

A C o m p a r i s o n o f M a c r o s c o p i c to Microstructnrai Strain Fields in Cortical

Detection of Localized Plastic Deformation in Pipelines Using the Nonlinear

Experimental Measurement of Strains Using Digital Volume Correlation--

Measurement of Stress Distributions on Silicon IC Chips Using Piezoresistive

Strain Gauges, F i b e r Optic Versus E l e c t r i c - - s . CHEN AND J. S. SIRKIS 169

L o n g - T e r m M e a s u r e m e n t of Local C r e e p Deformation by Optical Fi b er

Thermal Fracture Mechanisms in Plasma Sprayed Thermal Barrier Coatings

PANEL DISCUSSION SUMMARY

Current Status and Future Sensor Development: Panel Discussion Summary--

Characterizing Crack Growth in Thin Aluminum Panels Under Tension-

Reference: Helm, J. D., Sutton, M. A. and Boone, M. L., "Characterizing Crack

Abstract: The enclosed work was performed to determine whether a critical

Keywords: mixed mode fracture experiments; tension-torsion loading; three-

Recent mixed-mode 1/11 fracture experiments [1-4] and theoretical

COD2D = [ (~u) 2 + (Av) 2 ] '~ (1)

AU = U abOve -- U belOw (2)

TENSION-TORSION SPECIMEN AND TEST CONFIGURATION

Figure 1 presents a schematic of typical tension-torsion specimen geometry.

generated control programs. To perform each experiment, the following control

Figure 1 : Tensiomtorsion specimen

was input to the torsion actuator to generate a proportional, applied torque.

OVERVIEW OF THREE-DIMENSIONAL DEFORMATION MEASUREMENT

THREE-DIMENSIONAL COMPUTER VISION SYSTEM FOR COD AND

Conceptually, COD should be measured sufficiently close to the crack tip to

COD = [ (Au) 2 + (Av) 2 + (AW)2 ] '/' (3)

where the additional relative displacement component, Aw, is perpendicular to

~xx = ~u/~x + 1/2{ (o~u/~x): + (o~v/o~x)2 + (~w/~x) 2 }

Here, (u,v,w) are displacements relative to an (x,y,z) coordinate system located

Using the procedures described in the previous sections, COD was

Figure 5: Out-of -plane displacement fields in crack tip region just

Figure 7: Profiles of fracture surfaces for 2024-T3 aluminum specimen

Discussion of Experimental Results

2024-T3 Aluminum Specimens", Fatigue and Fracture Mechanics,

Abstract: The cracking behavior of nitrogen-rich hard alpha anomalies in Ti-6AI-4V is

Keywords: fatigue, damage, acoustic emission, potential drop, mechanical testing,

i Manager,EngineeringTechnologistand Manager,respectively,SouthwestResearchInstitute, 6220

melt inclusions such as HA can degrade fatigue performance. In response to requests

Materials and Specimens

Table 1 - Dimensions o f the cylindrical defects and surrounding diffusion zones.

Anomaly Defect Core Geometry, Diffusion Zone Geomet~,

Visual and Metallographic Methods

Electric Potential Drop Method

Acoustic Emission Method

When damage occurs in a material, the process results in a release of energy in a

Figure 1 - Test specimen illustrating wedge grips,

Acoustic Emission Data

Results and Discussion

Static Loading Conditions

Understanding how damage progresses under static loading conditions is important

cracking is useful for determining a lower bound of AE and PD levels indicative of

Figure 3 - Cracking in the HA defect core and through the diffusion

Figure 5 - Metallographic sections of(a-b) a heavily damaged, high nitrogen internal