Engineering Design Applications IV: Structures, Materials and Processes (Advanced Structured Materials, 172) 3030979245, 9783030979249

Citation preview

Advanced Structured Materials

Andreas Öchsner Holm Altenbach   Editors

Engineering Design Applications IV Structures, Materials and Processes

Advanced Structured Materials Volume 172

Series Editors Andreas Öchsner, Faculty of Mechanical Engineering, Esslingen University of Applied Sciences, Esslingen, Germany Lucas F. M. da Silva, Department of Mechanical Engineering, Faculty of Engineering, University of Porto, Porto, Portugal Holm Altenbach , Faculty of Mechanical Engineering, Otto von Guericke University Magdeburg, Magdeburg, Sachsen-Anhalt, Germany

Common engineering materials are reaching their limits in many applications, and new developments are required to meet the increasing demands on engineering materials. The performance of materials can be improved by combining different materials to achieve better properties than with a single constituent, or by shaping the material or constituents into a specific structure. The interaction between material and structure can occur at different length scales, such as the micro, meso, or macro scale, and offers potential applications in very different fields. This book series addresses the fundamental relationships between materials and their structure on overall properties (e.g., mechanical, thermal, chemical, electrical, or magnetic properties, etc.). Experimental data and procedures are presented, as well as methods for modeling structures and materials using numerical and analytical approaches. In addition, the series shows how these materials engineering and design processes are implemented and how new technologies can be used to optimize materials and processes. Advanced Structured Materials is indexed in Google Scholar and Scopus.

More information about this series at https://link.springer.com/bookseries/8611

Andreas Öchsner · Holm Altenbach Editors

Engineering Design Applications IV Structures, Materials and Processes

Editors Andreas Öchsner Faculty of Mechanical Engineering Esslingen University Applied Sciences Esslingen, Germany

Holm Altenbach Faculty of Mechanical Engineering Institute of Mechanics Otto von Guericke University Magdeburg Magdeburg, Germany

ISSN 1869-8433 ISSN 1869-8441 (electronic) Advanced Structured Materials ISBN 978-3-030-97924-9 ISBN 978-3-030-97925-6 (eBook) https://doi.org/10.1007/978-3-030-97925-6 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland

Preface

Different engineering disciplines such as mechanical, materials, computer and process engineering provide the foundation for the design and development of improved structures, materials and processes. The modern design cycle is characterized by an interaction of different disciplines and a strong shift to computer-based approaches where only a few experiments are performed for verification purposes. A major driver for this development is the increased demand for cost reduction, which is also connected to environmental demands. In the transportation industry (e.g. automotive), this is connected with the demand for higher fuel efficiency, which is related to the operational costs and the lower harm for the environment. A possible way to fulfil such requirements is lighter structures and/or improved processes for energy conversion. Another emerging area is the interaction of classical engineering with the health, medical and environmental sector. This further volume in this series gives an update on recent developments in the mentioned areas of modern engineering design application. We would like to express our sincere appreciation to the representatives of Springer, who made this volume possible. Esslingen, Germany Magdeburg, Germany

Prof. Dr.-Ing. Andreas Öchsner, D.Sc. [email protected] Prof. Dr.-Ing. habil. Dr. h. c. mult. Holm Altenbach [email protected]

v

Contents

1

2

Biomechanical Study of the Distal Fibula Plate in Isolated Fractures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Juan Alfonso Beltrán-Fernández, Milton Alfredo Pérez-Reyes, Juan Luis Cuevas-Andrade, Luis Héctor Hernández-Gómez, and Alejandro González Rebattú y González 1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2 Materials and Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.1 DICOM Images . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.2 Segmentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.3 3D Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.4 Contact Simulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.5 Meshing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.6 Loading Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.7 Image Correlation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.8 Mottled with Stochastic Pattern . . . . . . . . . . . . . . . . . . . . . 1.2.9 Tests on Samples Printed on PLA. . . . . . . . . . . . . . . . . . . . 1.3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.4 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Front Impact Simulation of Urban Bus . . . . . . . . . . . . . . . . . . . . . . . . . . Mijail A. Rivera-Hernández, Octavio Ramírez-Juárez, Alejandro Cuautle-Estrada, Victor M. Cantor-Mexquititla, and Christopher R. Torres-SanMiguel 2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Longitudinal Position of the Center of Gravity . . . . . . . . . . . . . . . . 2.2.1 Transverse Position of the Center of Gravity . . . . . . . . . . 2.3 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.1 Basic Mathematical Models . . . . . . . . . . . . . . . . . . . . . . . . 2.3.2 Finite Element Analysis Method . . . . . . . . . . . . . . . . . . . .

1

1 2 3 3 3 3 5 6 7 7 8 9 11 12 15

16 17 17 18 18 19

vii

viii

Contents

2.4 Case of Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.5 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.6 Discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

4

5

Mechanical Behavior of an Interspinous Spacer Using the Finite Element Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Luis Manuel Valverde Cedillo, Juan Alfonso Beltrán-Ferndández, and Alejandro González Rebatú 3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.1 Background of a Simplified Model . . . . . . . . . . . . . . . . . . 3.2.2 Loading and Boundary Conditions of the Simple Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.3 Model Based on an Axial Tomography Scan (CAT Scan) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.4 Finite Element Model Based on CAT . . . . . . . . . . . . . . . . 3.2.5 Load and Boundary Conditions Model from CAT . . . . . 3.3 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4 Discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.5 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Electrochemical Behavior of SnO2 Layer Deposited on Biomaterials Used in Bone Surgery . . . . . . . . . . . . . . . . . . . . . . . . . . Marcin Basiaga, Witold Walke, Anna Taratuta, Julia Liso´n, Agata Sambok-Kiełbowicz, Wojciech Kajzer, Magdalena Szindler, Klaudiusz Gołombek, and Alina Domanowska 4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 Material for Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2.1 Research Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2.2 Research Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Integrating the Lean System Concepts and the Theory of Constraints in a Medical Emergency . . . . . . . . . . . . . . . . . . . . . . . . . . Jocieli Francisco da Silva, Flávia Luana da Silva, Pedro Paulo Barbosa Feitosa, Luiz Alberto Oliveira Rocha, and Ágata Maitê Ritter 5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2 Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.1 Hospital Emergencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.2 Lean System and Theory of Constraints in the Health Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19 21 22 23 24 27

28 30 30 30 31 32 33 34 34 35 38 39

40 41 42 44 53 56 59

59 61 61 62

Contents

ix

5.3

63 63 64 66 71 72

Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3.1 Unit of Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3.2 Data Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.4 Results and Discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

7

Numerical-Experimental Study of the Behavior of an Implant for the Stabilization of Radius and Cubit Fractures . . . . . . . . . . . . . . . Juan Alfonso Beltrán-Fernández, Luis Héctor Hernández-Gómez, Jesús Efraín Domínguez-Ramírez, Juan Carlos Hermida-Ochoa, Cesar Antonio Pérez-Trujillo, and Alejandro González Rebattú y González 6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2 Materials and Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.1 ScanIP Segmentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.2 3D Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.3 Plate Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.4 Compression System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.5 Compression System LOCK-UP . . . . . . . . . . . . . . . . . . . . 6.2.6 Zipper-Pinion System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.7 Plate Head and Body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.8 Assembly of the Plate in the Model . . . . . . . . . . . . . . . . . . 6.3 Numerical Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3.1 Preparing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3.2 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4 Experimental Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4.1 Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4.2 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.5 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A Numerical Evaluation of the Structural Integrity of the Primary Containment of a BWR-5 Under LOCA Condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Jesús I. E. Palacios-Hernández, Luis A. Arenas-Magos, Yunuén López-Grijalba, Luis H. Hernández-Gómez, Juan Cruz-Castro, Israel A. Alarcón-Sanchez, and Juan A. Beltrán-Fernández 7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.2 Statement of the Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3 Materials and Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3.1 Analysis with an Equivalent Modulus of Elasticity . . . . . 7.3.2 Analysis with the Interaction Between the Concrete and the Steel Bars . . . . . . . . . . . . . . . . . . . . . 7.3.3 Analysis with Beam Elements . . . . . . . . . . . . . . . . . . . . . .

75

75 76 76 78 78 78 79 80 80 82 82 82 83 85 85 87 88 89

91

91 92 93 94 96 97

x

Contents

7.4

Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 7.4.1 Results of the Analysis with an Equivalent Modulus of Elasticity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 7.4.2 Results of the Analysis with the Interaction Between the Concrete and the Steel Bars . . . . . . . . . . . . . 99 7.4.3 Results of the Analysis with Beam Elements . . . . . . . . . . 99 7.5 Discussion of the Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 7.6 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 8

9

Quasi-Static Ropeway Simulation Using Parallel Computing . . . . . . Markus Wenin, Maria Letizia Bertotti, and Giovanni Modanese 8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.2 Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.2.1 Equations to Determine the Equilibrium Configuration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.3 Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.4 Summary and Outlook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exploring the Contact FEA Functionalities in Catia v5™ . . . . . . . . . Nader G. Zamani 9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.2 The Benchmark Problem Under Consideration . . . . . . . . . . . . . . . 9.3 Results of Different Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10 Design and Manufacturing of an IC and Electrical Engine Race Car . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Marco Magdy, Omar Abdelhamed, Mahmoud A. Essam, Noha M. Abdeltawab, and Ahmed Yehia Shash 10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3 Experimental Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3.1 The Chassis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3.2 Electric Engine Setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3.3 The IC Engine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3.4 The Vehicle Breaks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3.5 The Suspension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3.6 The Car’s Steering System . . . . . . . . . . . . . . . . . . . . . . . . . 10.4 The Real Assembly Stage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.5 Car’s Body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.5.1 The Aerodynamics Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.5.2 Crash Test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

103 103 104 105 106 107 111 113 113 115 121 133 134 135

136 138 138 138 142 146 148 149 150 156 156 159 159

Contents

xi

10.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 11 Visualization Approach to Presentation of New Referral Dataset for Maritime Zone Video Surveillance in Various Weather Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Igor Vujovi´c, Miro Petkovi´c, Ivica Kuzmani´c, and Joško Šoda 11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.2 Literature Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.3 Illustrations of Ground Truth Generation Problems . . . . . . . . . . . . 11.4 Presentation of the Developed Dataset on the Web . . . . . . . . . . . . 11.5 Conclusions and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Design of a Neuro-Fuzzy System in the Characterization of Wear Images of Rotor Blades of a Gas Turbine . . . . . . . . . . . . . . . . Luz Yazmin Villagrán-Villegas, Luis Héctor Hernández-Gómez, Miguel Patiño-Ortiz, Miguel Ángel Martínez-Cruz, Julián Patiño-Ortiz, Juan Alfonso Beltrán-Fernández, and José de Jesús García-Mejía 12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.2 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.3 Design Expert System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.4 Characterization of the Wear Images of a Gas Turbine Rotor Blade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.5 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12.6 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Integration of ISO 45001 for Health and Safety Applications in the L’Oréal Cairo Plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Mirna Osama, Nader Nishan, and Ahmed Y. Shash 13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2.1 ISO 45001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.2.2 ISO 45001:2018 Structure . . . . . . . . . . . . . . . . . . . . . . . . . 13.2.3 ISO 45001 Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.3 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.3.1 Implementation of ISO 45001:2018 in L’Oréal’s Factory in Egypt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.3.2 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.4 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13.6 Future Recommendation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

163 163 164 165 167 170 175 177

178 179 183 184 186 188 188 191 191 192 192 194 194 195 195 196 200 200 202 203

xii

Contents

14 The Role of NGOs, Associations, and Certification Foundations in the Development and Awareness of Producers and Consumers: A Case Study in the Field of Organic Products . . . Ágata Maitê Ritter, Flávia Luana da Silva, Luiz Alberto Oliveira Rocha, and Jocieli Francisco da Silva 14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.2 Theoretical Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.2.1 Sustainable Economic Development . . . . . . . . . . . . . . . . . 14.2.2 Consumer Consciousness . . . . . . . . . . . . . . . . . . . . . . . . . . 14.2.3 Public Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.3 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.3.1 Sample Selection and Data Collection Procedures . . . . . 14.4 Results and Discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.1 Sustainable Economic Development . . . . . . . . . . . . . . . . . 14.4.2 Environmental Consciousness . . . . . . . . . . . . . . . . . . . . . . 14.4.3 Public Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.4.4 Summary of Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.5.1 Practical Implications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.5.2 Academic Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.5.3 Study Limitations and Directions for Future Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appendix 1: Research Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Policy Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Environmental Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Economic Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Angele Kedaitiene and Maja Micevska Scharf 15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.2 Compilation of the Laudato Si and Indications of Its Global Influence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.3 Research Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.3.1 Online Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.3.2 Statistical Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15.3.3 Text Analytics with a Sentiment Analysis . . . . . . . . . . . . 15.4 Analysis of the Results of the Research . . . . . . . . . . . . . . . . . . . . . . 15.4.1 The Results of the Survey . . . . . . . . . . . . . . . . . . . . . . . . . . 15.4.2 Text Analytics and Sentiment Analysis . . . . . . . . . . . . . . .

205

206 207 207 208 208 209 210 212 212 215 217 218 218 220 220 221 221 221 221 222 222 222 225 225 226 229 229 230 232 233 233 242

Contents

xiii

15.5 Conclusions and the Way Forward . . . . . . . . . . . . . . . . . . . . . . . . . . 245 Annex 1: Results of the Statistical Independence Tests of the Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249

Chapter 1

Biomechanical Study of the Distal Fibula Plate in Isolated Fractures Juan Alfonso Beltrán-Fernández, Milton Alfredo Pérez-Reyes, Juan Luis Cuevas-Andrade, Luis Héctor Hernández-Gómez, and Alejandro González Rebattú y González Abstract In the present study, a real clinical case of a distal fibula fracture is approached, which was instrumented by means of an LCP plate, which was evaluated at various operating loads to determine its structural mechanical behavior. Using the anatomical and biomechanical data, the process of making a distal fibula plate was replicated and a satisfactory design was achieved that met the functional qualities to arrive at the optimal solution. The theoretical hypothesis given by the theoretical calculations was correct in the sense that the biocompatible titanium alloy plate was the material that was least susceptible to tensile and bending stresses. The tests carried out through the Ansys program showed that the deformation pattern with the models presented corresponds to the case of fractured bone and assembled with the plate. It was observed that the efforts exerted on the healthy fibula are justified since the plate fulfills a similar function to carry the weight of the patient and even double this weight assuming a fall. Therefore, it is assumed that the plate fulfills without problem the function of supporting its own weight without deforming the device, even allowing it to remain stable until bone regeneration is achieved. Keywords 3D printing · Bone · Stereolithographic models · Prosthesis implant

1.1 Introduction This paper presents the result of simulations indicating a large workspace for the implant for type B ankle fracture rehabilitation which allows for use and implementation in rehabilitation therapies. Surgical procedures for treating chronic lateral J. A. Beltrán-Fernández (B) · J. L. Cuevas-Andrade · L. H. Hernández-Gómez · A. G. R. González Instituto Politécnico Nacional, Escuela Superior de Ingeniería Mecánica Y Eléctrica, Sección de Estudios de Posgrado e Investigación Edificio, 5, 2do Piso, Unidad Profesional Adolfo López Mateos “Zacatenco” Col. Lindavista, C.P. 07738 Ciudad de México, México e-mail: [email protected]; [email protected] M. A. Pérez-Reyes · J. L. Cuevas-Andrade · L. H. Hernández-Gómez · A. G. R. González ISSSTE, Hospital Regional 1° de Octubre, Av. Instituto Politécnico Nacional 1669, Gustavo A. Madero, 07300 Ciudad de México, México © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_1

1

2

J. A. Beltrán-Fernández et al.

ankle instability include direct anatomical repair, anatomical reconstruction with an autograft, and arthroscopic repair. Knowledge of specific implant designs is useful for developing an appropriate mechanical test protocol, for reconstruction involving an autograft which is another promising short-term option, although the longevity of this procedure remains unclear. Studies are needed not only on treatment for the fracture in the ankle where a type B fracture occurs, but also on reducing the risk of deterioration of the ankle joint.

1.2 Materials and Methods Comparative analysis of the biomechanical performance of stabilization plates for ankle fracture type B was performed using the finite element method using segmentation and modeling techniques. The type B fracture in the ankle is centered in a male patient of 90 kg of weight with a height of 1.80 m and with an age of 40 years in which the selection of plaque is made for the stabilization of said fracture. By this procedure, a model was obtained and subjected to stress tests (Fig. 1.1) [1–6]. Obtaining 3D biomodel using ScanIP. Segmentation of the study area and creation of 3D biomodel.

Model SegmentaƟon

Design of the PCC. Parameterization of the plate, compression system and locking syste m using PTC Creo Parametrics. .

Plate Design

Assembly of the plate to the biomodel Fracture simulation and placement of the plate, hardware and compre ssion system.

Assembly of the Biomodel

Numerical Analysis - Experimental Numerical and experimental preparation of the biomodel. Numerical analysis in ANSYS. Experimental analysis in GOM Correlate.

Numerical and Experimental Analysis

Fig. 1.1 Methodology for numerical–experimental analysis

1 Biomechanical Study of the Distal Fibula Plate …

3

1.2.1 DICOM Images The patient was subjected to a computerized tomography of the pelvis without contrast. The scan was performed with a high resolution of 0.625. DICOM images, a universal medical imaging format, were obtained from the scanning service and analyzed in a MicroDicom scan viewer (open source) to account for the resolution and to verify that the entire sequence was present.

1.2.2 Segmentation Once the images were registered, segmentation is the most important step in generating an accurate 3D CAD model from scan images. In general, segmentation means splitting into separate parts or segments. Model development requires several steps: • • • • •

Obtain patient scans Segmentation of domains of interest Surface mesh creation for pre-segmented domains Refining the surface mesh manually Create the volumetric mesh based on the refined segmented mesh

The first step is to get the proper scans, and this depends on the organs being analyzed. Scan types can be used for the development of skeletal models; however, if the soft tissue is also modeled, then MRI scans are used. Depending on the problem being analyzed, scans can be obtained from a healthy person or a person who has an injury (ankle fracture); the scans obtained correspond to the neutral position and without weight (Fig. 1.2).

1.2.3 3D Models For the plate modeling, the extruded and combined tools were used within the ANSYS2020 R2® ACADEMIC interface, Space Claim® was used, and four cortical bolts, two locking bolts, and four spongy bolts were inserted (Fig. 1.3).

1.2.4 Contact Simulation Analysis was performed in the ANSYS2021 R1® ACADEMIC software. Using finite elements reduces the number of prototypes to none for design and optimization since the entire process is computer-based. The static study of the numerical model, the

4

J. A. Beltrán-Fernández et al.

Fig. 1.2 Mask definition of each anatomical section to be reconstructed

Fig. 1.3 Reconstructed model from segmentation after it was exported to an STL format

1 Biomechanical Study of the Distal Fibula Plate …

5

Fig. 1.4 Mechanical properties of medical grade Titanium ANSYS2020 R2® ACADEMIC

effect of muscle strength, the proper distribution of properties of bone materials on the distribution of tension in the ankle joint is studied separately [7–13]. All the elements were segmented, and the surface mesh of these elements was automatically generated and refined. Finally, the geometry command was used and a module was entered for each study section (Fig. 1.4). The contacts displayed on the model surfaces were modeled as joined contacts. These are defined as Bonded, except for the contact of the fracture surface presented by the model. The latter is defined as "No Separation" (SeeFig. 1.5). They were automatically detected by the computer program, assuming that contact must be defined at the place where the faces of the various materials overlap. Stress analysis was performed with von Mises failure criterion.

1.2.5 Meshing The mesh in this study was an important part, because of the solving process of the analysis. The program solved the problem individually for each item, the result is provided for the whole body, and 15,856 elements containing 24,094 nodes are provided (Fig. 1.6).

6

J. A. Beltrán-Fernández et al.

Fig. 1.5 Definition of contact for B-type fracture ANSYS2020 R2® ACADEMIC

Fig. 1.6 Mesh on the plate for type B fracture. ANSYS2020 R2® ACADEMIC

1.2.6 Loading Conditions A vertical compression force of the average Mexican model of 90 kg was applied to the upper surface, where contact occurs for the application of the load, because, when walking in the medium support phase, a discharge of 3 times the total body weight is found, making it a load of 2648.7 N (Fig. 1.7).

1 Biomechanical Study of the Distal Fibula Plate …

7

Fig. 1.7 Load conditions for type B fracture. ANSYS2020 R2® ACADEMIC

1.2.7 Image Correlation In digital image correlation (DIC), image analysis is used for the measurement of deformations. DIC is a technique of contactless measurement of complete field of deformation which used the GOM Correlate® software for the case study.

1.2.7.1

Cleaning

Clean the implant with 70% ethanol using absorbent paper to remove existing fat or dirt residues (Fig. 1.8).

1.2.8 Mottled with Stochastic Pattern For this study, a pattern of specks was applied by mixing a small amount of black enameled paint; the enamel is harder to work and requires diluent in this solvent case. Apply a pattern of specks by mixing a small amount of black enamel paint, the enamel is more difficult to work and requires diluent in this case solvent, which makes it more durable. This may be preferable if it involves testing an intact type of implant and then performing the implantation before re-testing, where there is a risk

8

J. A. Beltrán-Fernández et al.

Fig. 1.8 Implant for ankle fracture type B before to be painted

of damaging the speck pattern. There are several methods for applying the speckling pattern, but the pneumatic gun technique is flexible and economical. The mixture is made in the reservoir of the system with which it is to be painted to prevent the solvent from volatilizing, holding the equipment perpendicular to the surface at a distance of 20 cm from the sample. (Fig. 1.9).

1.2.9 Tests on Samples Printed on PLA. In the study, the models were fastened rigidly in the sample bracket on the mechanical tester platform to ensure that it does not move under load (Fig. 1.10). A minimum load of 90 kg is established on the device and the load is gradually increased to 270 kg as the average support stage gait cycle increases three times the body weight. As shown in Fig. 1.10, the camera is placed to perform the digital image correlation in a rigid bar at an appropriate height to capture normal images of the implant surface. In the experiments, test mount images are used with an image size of 10 × 16 pixels (Fig. 1.11).

1 Biomechanical Study of the Distal Fibula Plate …

9

Fig. 1.9 Pattern of mottling on the implant plate

Fig. 1.10 Holding of the implant paste

1.3 Results In relation to the results of numerical testing, under the von Mises criterion it was found that the maximum stress was 163.3 MPa and located in the diaphysis of the

10

J. A. Beltrán-Fernández et al.

Fig. 1.11 Stochastic pattern on plate implant number one for GOM Correlate®

plate, and a minimum stress of 8.13 MPa was obtained. In the joint of the plate fracture, 10.991 MPa of stress was reported (Fig. 1.12). A displacement of the fibula toward lateral, natural anatomical movement was observed (Fig. 1.13). The test was performed on a compact PLA-printed sample for plate number two loaded on a hydraulic testing machine (Fig. 1.14) and analyzed using a single camera DIC configuration in the GOM Correlate® software resulting in 0.02–0.027 of strain on the color spectrum scale.

Fig. 1.12 von Mises stress results in plate implant using ANSYS2021 R1® ACADEMIC

1 Biomechanical Study of the Distal Fibula Plate …

11

Fig. 1.13 Displacement results in the plate implant using ANSYS2020 R12® ACADEMIC

Fig. 1.14 Results for implant in GOM Correlate ®

1.4 Conclusions The results showed that the stresses decreased near the surfaces where the type B fracture occurs after the insertion of the modeled implant intended for this study. The current results coincide in that the implant that settles on the distal fibula can support the forces in the ankle, which consequently can contribute to the optimal rehabilitation of the patient. The analysis of the magnitude and distribution of the contact tensions in the ankle joint as a function of the load condition and ankle position is important to understand the fracture type B, and the understanding of the load distribution is the basis for the

12

J. A. Beltrán-Fernández et al.

biomechanics of the ankle joint, since changes in the biomechanics of the ankle lead to an altered load transmission through the ankle joint, which in turn can predispose the joint to real conditions of study. The main limitations of this study are the load conditions considered in the model. This selected load case corresponds to discrete support phase posture times. In fact, it is expected more complex load conditions—there are not enough computational resources to consider the entire load range of the support phase of the walk. There is no information in the literature about muscular forces, so they were not included in the present work. By completing all the digital imaging correlation, data collection, data analysis, and data presentation tests, the final results can be considered and interpreted from some biomechanical considerations. The digital imaging correlation test data is useful to be compared with a finite element model, specifically with the implants for type B fracture, because the strain and failure can be decreased with the inclusion of this implant. Medics and surgerists can evaluate the mechanical behavior and advantages from this type of implant and loading conditions. The medical criterion is very important for this numerical and experimental testing [14].

References 1. Moore KL, Dalley AF (2018) Clinically oriented anatomy. Wolters kluwer india Pvt Ltd 2. Murray WM, Buchanan TS, Delp SL (2002) Scaling of peak moment arms of elbow muscles with upper extremity bone dimensions. J Biomech 35(1):19–26. https://doi.org/10.1016/S00219290(01)00173-7 3. Rose J, Gamble JG, ProQuest (2006) Human walking, 3rd edn. Lippincott Williams & Wilkins 4. Arnold AS, Blemker SS, Delp SL (2001) Evaluation of a deformable musculoskeletal model for estimating muscle-tendon lengths during crouch gait. Ann Biomed Eng 29(3):263–274. https://doi.org/10.1114/1.1355277 5. Hallmann M, Goetz S, Schleich B (2019) Mapping of GD&T information and PMI between 3D product models in the STEP and STL format. Comput Aided Des 115:293–306. https://doi. org/10.1016/j.cad.2019.06.006 6. Pruitt LA, Chakravartula AM (2011) Mechanics of biomaterials: fundamental principles for implant design. Cambridge University Press 7. Synthes (2012) DLS Dynamic Locking Screw combined with LCP Locking Compression Plate. Instructions for use. (No. AB). Oberdorf, Switzerland. Johnson & Johnson. Recovered from: www.synthes.com/lit 8. DePuy Synthes (2017) LCP Locking Compression Plate. Surgical technique. Oberdorf, Switzerland. Johnson & Johnson. Recovered from: www.depuysynthes.com/ifu 9. Ghosh M (2021) Construction and simulation of a novel high altitude versatile armor comprising of X-Aerogel and Carbon fiber composite with Ansys 2020 R2. Mater Today Proc 44:3045–3049. https://doi.org/10.1016/j.matpr.2021.02.441 10. Bessho M, Ohnishi I, Matsuyama J, Matsumoto T, Imai K, Nakamura K (2007) Prediction of strength and strain of the proximal femur by a CT-based finite element method. J Biomech 40(8):1745–1753. https://doi.org/10.1016/j.jbiomech.2006.08.003 11. Dolan EB, Verbruggen SW, Rolfe RA (2018) Techniques for studying mechanobiology. In: Mechanobiology in health and disease. Elsevier, pp 1–53. https://doi.org/10.1016/B978-0-12812952-4.00001-5

1 Biomechanical Study of the Distal Fibula Plate …

13

12. Su Y, Zhang Q, Xu X, Gao Z (2016) Quality assessment of speckle patterns for DIC by consideration of both systematic errors and random errors. Opt Lasers Eng 86:132–142. https:// doi.org/10.1016/j.optlaseng.2016.05.019 13. Helgason B, Gilchrist S, Ariza O, Chak JD, Zheng G, Widmer RP, Ferguson SJ, Guy P, Cripton PA (2014) Development of a balanced experimental–computational approach to understanding the mechanics of proximal femur fractures. Med Eng Phys 36(6):793–799. https://doi.org/10. 1016/j.medengphy.2014.02.019 14. Beltran-Fernandez JA, Öchsner A (eds) (2021) Design and simulation in biomedical mechanics, vol 146. Springer International Publishing. https://doi.org/10.1007/978-3-030-65983-7

Chapter 2

Front Impact Simulation of Urban Bus Mijail A. Rivera-Hernández, Octavio Ramírez-Juárez, Alejandro Cuautle-Estrada, Victor M. Cantor-Mexquititla, and Christopher R. Torres-SanMiguel

Abstract A recurring accident that involves buses is the frontal impact against vehicles or obstacles; because of this, injuries and deaths take place in occupants and drivers. Most bus safety regulations are fundamentally concerned with rollover safety; therefore, frontal impact safety is relegated. Several works focus on cabin occupants of the bus like the international regulation ECE R 66, and in the absence of a specific standard for a frontal crash; it has been chosen to make a frontal simulation to evaluate the structure. The research is based on the nonlinear explicit dynamic simulation of a frontal impact of the frontal section of a bus using the finite element method to analyze the resistance of the structure configuration and verify that no component of the bus is exposed or has contact with the driver’s survival space. The geometry of the main body components was generated. The mechanical properties of the material and the boundary conditions, to recreate the event, were assigned the closest to reality. Then, it was established that the structure had not affected the driver’s survival space during the crash and that it is appropriate to perform models that can be evaluated under different test conditions. Keywords Bus · Frontal impact · Finite element · Survival space

M. A. Rivera-Hernández · O. Ramírez-Juárez · A. Cuautle-Estrada · V. M. Cantor-Mexquititla · C. R. Torres-SanMiguel (B) Escuela Superior de Ingeniería Mecánica Y Eléctrica, Unidad Zacatenco, Instituto Politécnico Nacional, 07738 Ciudad de México, México e-mail: [email protected] M. A. Rivera-Hernández e-mail: [email protected] O. Ramírez-Juárez e-mail: [email protected] A. Cuautle-Estrada e-mail: [email protected] V. M. Cantor-Mexquititla e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_2

15

16

M. A. Rivera-Hernández et al.

2.1 Introduction The increasing public traffic has become one of the most popular public transportations [1]. Meantime, the rising number of traffic accidents related to the bus has caused significant human lives [2]. Buses are rarely involved in road accidents in proportion to other vehicles. The casualties registered each year in these accidents are quite a few, making buses one of the safest means of transportation. In the USA, an average of 200 occupants have died each year [3], while in Europe, bus accidents constitute less than 1% of all traffic casualties [4]. The portion of passengers’ fatalities per kilometer traveled is close to those obtained in trains and airplanes. [5]. Nevertheless, the media impact when a bus accident occurs is astonishing. The outcomes in terms of injury severity for occupants of both the bus and its collision partners suggest that issues like compatibility and occupant protection in specific accident scenarios still have a significant highlight [6]. Safety regulation has become necessary to check the crash of the bus structure so that safety is achieved before it is introduced to the market. There are two ways by which this safety feature can be assessed: (a) performing an actual crash test, (b) simulating the crash with some finite element (FE) software. The first one is too expensive, complex, and dangerous, while FE simulations are practicable. As the dynamic behavior of structural members is different from the static one, the crashworthiness of the bus structure must be evaluated by impact analysis or by getting crash pulses [7]. Most bus safety regulations focus primarily on occupant safety, so passive driver safety is neglected. Although there are analyses on occupant safety in the cabin, this area called “survival space” should not be penetrated by the structure bus, and regulation No. 66 of the United Nations Economic Commission for Europe (UN/ECE) describes that, regarding the strength of the superstructure, there must be an approval, for large vehicles such as passenger buses in the event of a rollover [8, 16]. An analysis is carried out to evaluate the structure without a specific norm for buses regarding frontal collision. Many studies have evaluated the injuries in vehicle occupants [10,11,12,13,14,15] and safety measures to reduce the damage to them, mentioning a few examples: a test bench design, which is capable of reproducing impact scenarios, applying a compression force on the thorax, which is produced by the seat belt in a car accident [23]. Also, mannequins have been characterized to evaluate the injury criteria on the head in terms of acceleration and force, among other scenarios that have been evaluated [18,21,22]. A bus model has been discretized to evaluate its behavior in case of a frontal collision; software LS-DYNA® has been used to assess the displacements of the structure. The bus will crash at a speed of 16 0.67 m/s against a rigid barrier. The frontal frame must not penetrate the driver’s space, and once the structure has accomplished this aspect, the model can be used to perform different cases of accidents and observe its effectiveness.

2 Front Impact Simulation of Urban Bus

17

2.2 Longitudinal Position of the Center of Gravity The longitudinal position of the gravity center shall be determined in relation to the center of the contact point of the rear wheels. As shown in Fig. 2.1, where h is the height from the floor to the center of gravity, a, b, and c represent the distance between wheels in relation to the gravity center.

2.2.1 Transverse Position of the Center of Gravity The survival space is defined in regulation No. 66 of the United Nations Economic Commission for Europe (UN/ECE), as the space that must remain to preserve the driver’s, passengers’, and crew compartment(s), to provide better survival possibilities for them in the event of a crash scenario [25] (Fig. 2.2).

Fig. 2.1 Longitudinal position of gravity center

Fig. 2.2 Residual space size longitudinal arrangement

18

M. A. Rivera-Hernández et al.

2.3 Methodology The structure’s design in which the variables characterize the resistant behavior is acquired in the idealized or calculation way of the structure, subject to certain load conditions. Figure 2.3 shows the methodology used to carry out this research.

2.3.1 Basic Mathematical Models Elastic collisions: A perfectly elastic collision occurs when two or more bodies come into contact under internal conservative forces. It is a type of collision where the movement, such as the kinetic energy before the crash, Before crash E co = After crash E co =

Fig. 2.3 Flowchart of research path adopted

1 1 2 2 m a vao + m b vbo 2 2

(2.1)

1 1 m a va2 + m b vb2 2 2

(2.2)

2 Front Impact Simulation of Urban Bus

19

Inelastic collisions: A perfectly inelastic collision occurs when two or more bodies come into contact while being subjected to at least one dissipative force. This generates the amount of movement that is produced, but the kinetic energy does not. Before crash E co =

1 1 2 2 m a vao + m b vbo 2 2

After crash E co =

1 2 mv 2

(2.3) (2.4)

where basically, two concepts are used: conservation of movement and conservation of kinetic energy.

2.3.2 Finite Element Analysis Method The finite element method (FEM) is a general numerical method for approximating partial differential equations widely used in various engineering and physical problems [24]. The method is based on dividing the body, structure, or domain (continuous medium) on which certain integral equations that characterize the physical behavior of the problem are defined into a series of non-intersecting subdomains called “finite elements.” The finite element set forms a domain partition, also called discretization. Within each element, a series of representative points called «nodes» are distinguished. Two nodes are adjacent if they belong to the same finite element. Furthermore, a node on the boundary of a finite element can belong to several elements. The set of nodes considering their adjacency relationships is called “mesh” [16]. The calculations are carried out by a mesh or discretization created from the domain with special programs called mesh generators, in a previous stage to the calculations called preprocess. According to these adjacency or connectivity relationships, the value of a set of unknown variables defined in each node and called degrees of freedom is related. The FEM, therefore, is based on transforming a body of continuous nature into an approximate discrete model. This transformation is called model discretization “mesh.” Knowledge of what happens inside this approximate body model is obtained by interpolating the known values at the nodes [22].

2.4 Case of Study Starting in 1985, manufacturers began to incorporate steel-based materials and alloys into the chassis and bodywork that allow better impact resistance, are lighter, and absorb shock force much better. This is why steel-type high-strength steel (HSS), high-strength low alloy (HSLA), micro-alloyed and boron-treated steel (micro-alloy

20

M. A. Rivera-Hernández et al.

Table 2.1 Mechanical properties of materials Model parts

Material

Density (kg/m3 )

Modulus of elasticity (GPa)

Poisson coefficient

Yield stress

Bus

Steel

7.85e3

210

0.3

200 MPa

Barrier

Rigid wall

7.85e3

210

0.3

–

Fig. 2.4 a Full structure of bus, b middle section of the bus with rigid wall

and boron), and, lately, ultra-high-strength low alloy (UHSLA) appeared. Therefore, this research has decided to use UHSLA steel, which is present in most vehicles. Specifically, AISI A4340 steel is described in Table 2.1 [9]. To carry out the analysis, the first step is to draw the geometry of the bus superstructure, considering each of the structural elements that will intervene for the deformation analysis, as shown in Fig. 2.4. The geometry conditions are the basis for the analysis since it determines the restrictions that the model will have in certain planes so that the forces act on the body, since, if they did not exist, there would be no respective supports for the deformations to produce. The barrier has been restricted in all directions so that it does not have displacements in these axes. The barrier is considered a rigid, non-deformable solid. It used a speed of 16.67 m/s in the negative z-direction since the model was designed in the z-y plane. The barrier was considered a rigid, non-deformable solid. It used a speed of 16.67 m/s in the negative z-direction since the model was designed in the z-y plane to hit the car against the non-deformable barrier. In this simulation, the type of element used is a shell quad of a high order. The number of elements used in the quarter part of the bus is 828,914, and these have 838,157 nodes for the analysis. The software that was used for the validation is LS-DYNA® . The time established to corroborate was 150 ms. Therefore, a quarter part of the bus was established to reduce the time simulation since the complete model needs much more time to show results. In addition, the unions between the components were constrained with spot welds. Also, the length between the barrier and the bus is 5 mm, correspondingly to reduce the time simulation since the bus needs to translate until it hits the barrier.

2 Front Impact Simulation of Urban Bus

21

2.5 Results The simulation was carried out with the bus hitting a rigid wall at a speed of about 60 km/h. Figure 2.5 shows the behavior of the bus during the collision in a range of 0 to 150 ms from 30 to 30 ms, for a frontal impact scenario. The graphics show the behavior of the energy in simulation from 0 to 1.5 ms. It shows that the greater energy is 214 J, till it decelerates, reducing its energy, ending in the 1.5 ms of its simulation. The crashworthiness of the bus model’s impact on the rigid barrier is shown in Fig. 2.6. The model tended to bend and collapse during this type of collision. In this situation, the maximum displacement is 232 mm. Therefore, the structure has no intrusion into driver’s survival space. According to the law of energy conservation, the impact body collision wave can be generally simplified as shown in Figs. 2.7, 2.8, and 2.9: the waveform has two obvious platforms, according to the actual process of the collision energy absorption peak. The vehicle body would be in a constantly increasing trend, but it stops and

Fig. 2.5 Frontal bus impact simulation

Fig. 2.6 Z-displacement, frontal crash simulation

22

M. A. Rivera-Hernández et al.

Fig. 2.7 Energy balance simulation analysis

Fig. 2.8 Vehicle frame, Z-rigid body displacement

does not have any more intrusion in the driver’s survival space, enough to guarantee his safety.

2.6 Discussions This research was motivated by the people killed each year and caused severe causalities during impacts. Therefore, the crashworthiness performance of buses is of great importance in vehicle safety design. Conventionally, crashworthiness always depends on the body structure strength and energy-absorbing capacity, which directly relates to material thickness, structure design, and material strength grade. However, weight

2 Front Impact Simulation of Urban Bus

23

Fig. 2.9 Vehicle frame rigid body acceleration in Z

reduction of the bus body requires the re-evaluation or redesign of the safety-related body parts, such as the frontal structures. These frontal members are the main energyabsorbing components in a frontal impact, and they directly affect the crash safety of buses. It is thus essential to study the crash response and energy-absorbing design of these frontal thin-walled structures [19].

2.7 Conclusions In this study, a bus structure FE model was used to simulate a full-frontal impact. The simulation results of the rigid barrier showed the serious intrusion happened; for example, the longitudinal chassis structure became bent, the pillar “A” of the frame bus structure model did not move backward, and the frontal bus model was damaged. At present, most vehicles are designed to use the entire front end to absorb an impact. In this case, the longitudinal bus chassis structures were not bent, so the energy could be absorbed. Therefore, the model can be used to perform different accident scenarios. Future extensions of this research could include the structural behavior but now in a rollover scenario. Future work will simulate a rollover of the vehicle structure with dummies inside. Likewise, it is going to analyze the behavior of the body frame to guarantee the passengers safety. Acknowledgements The authors wish to gratefully acknowledge Consejo Nacional de Ciencia y Tecnología (CONACyT) and Instituto Politécnico Nacional through the support project 20210282, as well as an EDI grant, all by SIP/IPN.

24

M. A. Rivera-Hernández et al.

References 1. Cruz Jaramillo IL, Torres San Miguel CR, Cortes Vásquez O, Martínez Sáez L (2018) Numerical low-back booster analysis on a 6-year-old infant during a frontal crash test. Appl Bionics Biomech. https://doi.org/10.1155/2018/2359262 2. Cortes Vasquez O, Torres San Miguel CR, Urriolagoitia Sosa G, Cruz Jaramillo IL, Aguilar Pérez LA, Martínez Sáez L, Romero Ángeles B, Urriolagoitia Calderón GM (2017) Head injury criterion (HIC) numerical comparison in run over conditions at different speeds with a sedan vehicle type. Dyna (Spain) 489. https://doi.org/10.6036/8401 3. Australian Transport Safety Bureau (2005) Cross-modal safety comparisons: discussion paper. http://www.atsb.gov.au/media/36229/cross_modal_safety_comparisons.pdf 4. Niewöhner W, Berg F, Vorgerd D (2004) Accident overview and a selection of scenarios. In: Proceedingss of 4th DEKRA/VDI symposium safety of commercial vehicles 5. Olivares G, Yadav V (2007) Mass transit bus-vehicle compatibility evaluations during frontal and rear collisions. In: Proceedings of 20th international technical conference on enhanced safety of vehicles 6. Javier P, Arturo F, Francisco A, Enrique A (2014) Spanish frontal accidents of buses & coaches. Injury mechanism analysis. Proc Soc Behv 160:314 7. Siddhartha S, Sharad K (2019) Improving crashworthiness and dynamic performance of frontal plastic automotive body components. Mater Today Proc 1 8. Martinez L, García A, Espantaleón M, Torres C (2014) Design and validation of a child seat pretensor device. Facultad de Ingenieria 54–65I 9. Fakir R, Barka N, Brousseau J (2018) Mechanical properties analysis of 4340 steel specimen heat treated in oven and quenching in three different fluids. Met Mater Int 24:981–991 10. Cruz Jaramillo IL, Torres SanMiguel CR, Leal-Naranjo JA, Martínez Sáez L (2021) Numerical child restraint system analysis in 6 years old infant during a dolly rollover test. Int J Crashworthines. https://doi.org/10.1080/13588265.2020.1718464 11. Cruz Jaramillo IL, Torres San Miguel CR, Martínez Sáez L, Ramírez Vela V, Urriologoitia Calderón GM (2020) Numerical low-back booster analysis in a 6-year-old infant during a dolly rollover test. J Adv Transp. https://doi.org/10.1155/2020/5803623 12. Ramírez O, Torres San Miguel CR, Cuautle EA, Rivera Hernández MA (2021) Design of a test bench for a sternum prosthesis. J Phys. https://doi.org/10.1088/1742-6596/1723/1/012056 13. Rueda Arreguin JL, Ceccarelli M, Torres San Miguel CR (2021) Design of an articulated neck for testbed mannequin. In: Advances in Italian mechanism science, pp 94–101. https://doi.org/ 10.1007/978-3-030-55807-9_11 14. Rueda Arreguín CR, Ceccarelli M, Torres San Miguél CR (2020) Design and simulation of a parallel-mechanism testbed for head impact. Adv Serv Ind Robot 400–407. https://doi.org/10. 1007/978-3-030-48989-2_43 15. Calalpa Torres I, Torres SanMiguel CR, Urriolagoitia Sosa G, Cuautle Estrada A, Romero Angeles B, Urriolagoitia Calderón GM (2020) Antigravity device for intravertebral rehabilitation. In: Engineering design applications III. Structures, materials and processes, pp 13–21. https://doi.org/10.1007/978-3-030-39062-4_2 16. Tom W (2014) Improvement research on the initial solution prediction of the one-step algorithm for bus rollover collision. Research Square 17. Cuautle Estrada A, Torres SanMiguel CR, Urriolagoitia Sosa G, Martínez Sáez L, Romero Ángeles B, Urriolagoitia Manuel GM (2020) Simplified test bench used to reproduce child facial damage during a frontal collision. In: Engineering design applications III: structures, materials and processes, pp 23–29. https://doi.org/10.1007/978-3-030-39062-4_3 18. García G, Ramírez V, Ramírez O, Rueda JL, Torres CR (2019) Simplified design of a device for wrist rehabilitation. In: New trends in medical and service robotics, vol 65, pp 35–42.https:// doi.org/10.1007/978-3-030-00329-6_5 19. Nguyen PTL, Lee JY, Yim HJ, Lee SB, Heo SJ (2015) Analysis of vehicle structural performance during small-overlap frontal impact. Int J Automotive Technol 16(5):799–805

2 Front Impact Simulation of Urban Bus

25

20. Borovinšek M, Vesenjak M, Ulbin Z, Ren (2018) Simulation of crash tests for high 7 MATEC WEB CONF. https://doi.org/10.1051/matecconf/201823101005 21. Rueda Arreguín JL, Torres San Miguel CR, Ceccarelli M, Ramírez Vela V, Urriolagoitia Calderón GM (2019) Design of a test bench to simulate cranial sudden impact. In: New trends in medical and service robotics, pp 225–234. https://doi.org/10.1007/978-3-030-00329-6_26 22. Wilde K, Jamroz D, Bruski S, Burzy´nski J, Chró´scielewski W, Witkowski (2016) Numerical simulations of bus crash-test with barrier and truss supporting structure (in Polish). J Civ Eng Environ Archit 63:455–467 23. Rueda Arreguín JL, Ceccarelli M, Torres San-Miguel CR, Morales Cruz C (2021) Lab experiences on impact biomechanics of human head. In: New trends in medical and service robotics, pp 229–237. https://doi.org/10.1007/978-3-030-58104-6_26 24. Öchsner A (2020) Computational statics and dynamics: an introduction based on the finite element method. Springer, Singapore 25. Regulation No 66 of the Economic Commission for Europe of the United Nations (UN/ECE)— Uniform technical prescriptions concerning the approval of large passenger vehicles with regard to the strength of their superstructure (OJ L 321 06.12.2007, p. 55, CELEX: https://eur-lex.eur opa.eu/legal-content/EN/TXT/?uri=CELEX:42007X1206(02))

Chapter 3

Mechanical Behavior of an Interspinous Spacer Using the Finite Element Method Luis Manuel Valverde Cedillo, Juan Alfonso Beltrán-Ferndández, and Alejandro González Rebatú

Abstract This paper presents the numerical results of a functional unit integrated by L3 and L4 vertebrae under compression loads and instrumented by a vertebral separator installed between the spinous apophysis. Three experimental tests in a healthy vertebral porcine model of the same region (L3–L4) were considered as a point of start. Keywords Spine · Interspinous device · Intervertebral spacer · Vertebrae 3D model · Computed tomography The first considers the weight of the patient (80 kg), while the second is the maximum compression load recorded experimentally in a porcine lumbar spine, and the third considers the maximum load for a lumbar vertebra fracture. With this data, we performed a numerical model using two computer software package; the first Scan Ip and the second SolidWorks were performed. Finally, an intervertebral spacer is included in this model, and the three cases previously described were simulated. It was observed that the inclusion of the intervertebral spacer contributes to the stability of the column.

L. M. V. Cedillo (B) Tecnológico de Estudios Superiores de Chalco, Carretera Federal México Cuautla s/n, La Candelaria Tlapala, 56641 Chalco de Díaz Covarrubias, Estado de México, México e-mail: [email protected] J. A. Beltrán-Ferndández Instituto Politécnico Nacional-Escuela Superior de Ingeniería Mecánica Y Eléctrica Sección de Estudios de Posgrado e Investigación, Edificio 5, 2do. Piso, Unidad Profesional Adolfo López Mateos “Zacatenco”, Col. Lindavista., C.P. 07738 Ciudad de México, México A. G. Rebatú Instituto de Seguridad y Servicios Sociales de los Trabajadores del Estado ISSSTE, Hospital Regional 1ro de Octubre, Avenida Instituto Politécnico Nacional 1669, Magdalena de Las Salinas, Gustavo A. Madero, 07760 México City, México © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_3

27

28

L. M. V. Cedillo et al.

3.1 Introduction At present, more than 80% of world population suffers ailments related to the spine; the causes that can originate them are diverse, which go from poor posture to sports injuries and degenerative diseases. The conditions related to the spine are the most common cause of chronic disability in people under 45 years of age, being surpassed only by the hospital stays due to natural childbirth in patients younger than 65 years. Those who have suffered back pain know that the condition is sharp and stabbing; globally, it is said that 80% of the population suffer or will suffer a condition of this kind at some point in their life, and 15% will be on leave from work for it. This study considered an experimental lumbar portion, and the description of the components that comprise it is displayed in Fig. 3.1. Some of the degenerative diseases of the spine are facet osteoarthritis and spinal osteoarthritis (see Fig. 3.2), which can be corrected with surgery implanting a spinal fusion interspinous spacer between the spinous processes of two lumbar vertebrae (see Fig. 3.3). Due to the great importance of the backbone in the life of every human being, biomechanical studies of bone components of the column need to be performed, with the idea of mechanically evaluate current solutions that physicians offer and achieve profit optimization for the social sector. The first appearance of interspinous spacers was in the early 90 s and gained great popularity as the treatment of back pain conditions thanks to the fact that the implantation technique used was minimally invasive. The original idea was proposed by Dr. Jacques Senegas who developed a rigid stabilization system, which he called WALLIS, in 1986. In the first generation, a block of titanium and an artificial ligament of Dacron were included. Following controlled studies involving more than 300 patients in 1993, the use of titanium was replaced by PEEK (polyetherether ketone) Fig. 3.1 Anatomy of the healthy vertebrae

3 Mechanical Behavior of an Interspinous Spacer …

29

Fig. 3.2 Anatomy of a vertebrae with arthrosis

Fig. 3.3 Interspinous spacer “WALLIS” [1]

a thermoset polymer of high resistance. This implant is indicated for disk herniation, disk height decreased by degeneration and chronic pain in the lower back. The use of these devices is preferred because they block a smaller segment of the spine, thus limiting the flexolateral very small axial movement and rotation, and are usually indicated for the treatment of stenosis, chronic lower back pain syndrome facet, herniated disk, and degeneration of it.

30

L. M. V. Cedillo et al.

Fig. 3.4 Simplified model of a functional unit

3.2 Methods 3.2.1 Background of a Simplified Model As a preliminary experiment, using the computer program SolidWorks, a functional unit formed by the L3 and L4 vertebrae with their respective intervertebral disk was modeled, simplifying the vertebrae as elliptical blocks that have dimensions of 47 mm in its major axis and 28 mm in its modeled minor axis; these values are obtained based on the measurement obtained from a computed tomography (CT). Elastic and isotropic conditions of the material were assumed linear. In Fig. 3.4, the simplified model of a functional unit is shown (Table 3.1).

3.2.2 Loading and Boundary Conditions of the Simple Model A constraint in the bottom of the block V2 is assigned and defined as fixed geometry to the assembly, the application of the load; a compression force was distributed on the entire top face of the block V1. Contacts were assigned between components, Table 3.1 Material properties used in simplified model

Material

Young’ Modulus Poisson’s ratio Source E (MPa)

Trabecular bone

100

0.3

[2]

Cortical bone

12,000

0.3

[2]

Nucleus pulposus 1

0.4999

[3]

Fibrous annulus

0.3

[3]

550

3 Mechanical Behavior of an Interspinous Spacer …

31

Fig. 3.5 Boundary conditions of the simplified model

one between V1 and V2 disks and four between disks; this to achieve the effect of charge transfer [2]. In Fig. 3.5, these conditions are observed.

3.2.3 Model Based on an Axial Tomography Scan (CAT Scan) From the CAT scan, a series of images are obtained by projecting X-rays on a body; the data obtained can be translated into a gray scale depending on the level of absorption of different points of the object scanned. A CAT scan of a male adult patient of 46 years of age, suffering from osteoarthritis facet, was provided by the Regional Hospital “1° de Octubre” from the Instituto de Seguridad y Servicios Sociales de los Trabajadores del Estado (ISSSTE) to be used in this investigation. With this information, we were able to create a solid model to be analyzed numerically in a computer-aided engineering program of, was created. To do this, each of the images obtained from the computed tomography (CT) was drawn precisely to obtain the geometry of the observable skeletal elements. It must be noted that the basic procedure is to draw a 2D profile of each of the vertebrae according to the image displayed on the scan (see Fig. 3.6) and finally integrate them through the rendering function to observe a three-dimensional model, in this case of lumbar vertebrae L3 and L4, as shown in Fig. 3.7. The ScanIP program, which uses the information contained in the scan, uses the dimensions and densities of tissue. It should be noted that the program provides a surface model in stereolithography (STL) format, which is necessary to generate a model with volume of each component (intervertebral disk, trabecular, and cortical bone), which must retain the properties of the scan [3].

32

L. M. V. Cedillo et al.

Fig. 3.6 Vertebrae modeling from a CT

The intervertebral disk is drawn using the dimensions obtained from CT and known biometric dimensions; these elements have a thickness of 3, 5, and 9 mm at the cervical, thoracic, and lumbar regions, respectively; the lamellae between the disk and the vertebral body are on average 1 mm [4].

3.2.4 Finite Element Model Based on CAT Once the CAT-based generated model is obtained in ScanIP, it is exported as an STL file to a translator which in turn processes as a Parasolid file (.x_t) type, this in order to generate a volume in the model and to process it in SolidWorks. For the finite element analysis (FEA), it was necessary to assign real properties to the model components; these properties were collected from different studies that preceded this one, and properties used in this research are shown in Table 3.2.

3 Mechanical Behavior of an Interspinous Spacer …

33

Fig. 3.7 3D model of a functional unit generated in ScanIP

Table 3.2 Material properties used in FEA

Material

Young Module E Poisson’s ratio Source (MPa)

Trabecular bone

100

0.3

Cortical bone

12,000

0.3

[2]

Pulposus nucleus 1

0.4999

[3]

Fibrous annulus

550

0.3

[3]

ABS

2000

0.394

[4]

[2]

3.2.5 Load and Boundary Conditions Model from CAT The model was treated as a fixed geometry with a fastener on the bottom of L4, and the load applied on top of L5. A static analysis was performed, in which the model material is generalized as linear elastic isotropic. The mesh created was based on curvature because of the complexity of the geometry and counted with 32,481 nodes. Figure 3.8 displays the contacts between components that were used to ensure adequate load transmission.

34

L. M. V. Cedillo et al.

Fig. 3.8 Load and boundary conditions

3.3 Results In this research, 13 different loads, including the one generated by the weight of an 80 kg person; two thirds of the weight of a person, corresponding to the load on the spine in the lumbar area; and the maximum force needed to fracture a vertebra and equal to 6376 N, were simulated to obtain comparison charts. This was done so that the values of the offset between the intervertebral disk and the vertebral bodies did not exceed 3.5 mm, standard stabilization used by Müller [5], whereby an optimal stabilization of the spine making use of the interspinous spacer proposed for this research is ensured (Figs. 3.9 and 3.10). In Table 3.3, the stress and displacement maximum values, generated in this study, are presented; graphically, linear behavior can be observed.

3.4 Discussions As it can be appreciated in Fig. 3.11, the transmission load is carried from the upper to the lower vertebra resulting in a decrease in the thickness of the intervertebral disk. It is also observed that the spacer device absorbs some of the applied load protecting the disk, which could not resist the stresses transmitted. It should be also noted that the band holding the spacer device between the spinous processes is traversed by action of the load, but it is trapped due to the safety portion that was added to the design in this research; this in order to prevent the band from loosening the spacer.

Von Mises Stress (MPa)

3 Mechanical Behavior of an Interspinous Spacer …

35

4.00E+01 3.00E+01 2.00E+01 1.00E+01 0.00E+00

W1

Weight W3

W5

W7

W9

W11

W13

Loads

Displacements (mm)

Fig. 3.9 Graph from stress obtained from study

0.4 0.3 0.2 0.1 0. W1

Weight

W3

W5

W7

W9

W11

W13

Loads Fig. 3.10 Graph from displacements obtained from study

It is noteworthy that while the vertebrae are to be compressed, the band is in tension. In Fig. 3.12, stress concentration areas are shown where fastening and load application are occurring. This is because where greater tension is generated.

3.5 Conclusions In biomechanical studies, one can hardly perform mechanical tests on experimental organisms or biological samples; this is why conducting this studies on threedimensional models of the skeletal elements as realistic as possible is very useful. These models are generally coupled with finite element analysis, the reason why it has become a great tool for research and experimentation. The technique presented in this study is not unique; although there are various techniques for modeling, from the approximations based on photos or drawings to,

36

L. M. V. Cedillo et al.

Table 3.3 Results obtained in the FEM Cases

Load kg

N

40

392.40

Maximum stress of von Mises Maximum displacements (mm) (MPa) 1.88E + 00

0.019537

Trunk Body 53.21 522

2.50E + 00

0.0255990

Weight

81.55 800

3.84E + 00

0.039832

W2

100

981

4.71E + 00

0.048844

W3

150

1471.50 7.06E + 00

0.073265

W4

200

1962

9.41E + 00

0.097687

W5

250

2452.5

1.18E + 01

0.122109

W6

300

2943

1.41E + 01

0.146531

W7

350

3433.5

1.65E + 01

0.170953

W8

400

3924

1.88E + 01

0.195374

W9

450

4414.5

2.12E + 01

0.219796

W10

500

4905

2.35E + 01

0.244218

W11

550

5395.5

2.59E + 01

0.268640

W12

600

5886

2.82E + 01

0.293062

W13

650

6376.5

3.06E + 01

0.31748

W1

Fig. 3.11 Displacements occurring under the action of a compression load of 1522 N

3 Mechanical Behavior of an Interspinous Spacer …

37

Fig. 3.12 Tensions presented under a compressive load of 1800 N

generating surfaces from curves or modeled after CAT scans, this study presented a technique that is very practical and accurate since it combines the use of CAT scans with CAD programs. This provides the ability to generate extremely complex geometries that can be defined with the appropriate biological properties that seem to vary continuously reflecting the heterogeneity of biological samples. The finite element analysis displays the mechanical behavior results that one would expect from a real assay in which there is a load transmission, stress, and displacement. The results obtained from it did not compromise the stability of the column because they meet the criteria from Müller, i.e., displacements obtained are below 3.5 mm, in the case of 800 N load, corresponding to the total weight of an 80 kg person. The displacement is 0.039 mm; having a minimal disk displacement prevents the injury from propagating and ensures a rapid recovery. However, properties of a healthy disk were considered for this study. Another phenomenon that can be clearly observed is that adding the interspinous device leads to a greater rigidity in the implanted area. Analyzing the results of the study, the medical expert indicated that the design of the interspinous device is optimal and that the representation of the simulation is adequate to obtain the necessary information according to what is indicated by the results. Therefore, it is considered that the model represents a great tool for future research.

38

L. M. V. Cedillo et al.

References 1. Sénégas J (2002) Mechanical supplementation by non-rigid fixation in degenerative intervertebral lumbar segments: the Wallis system. Eur Spine J. https://doi.org/10.1007/s00586-0020423-9 2. Peng X, Wang Y, Guo Z, Shi S (2011) Numerical validation of a fiber-reinforced hyperelastic constitutive model for human intervertebral disc annulus fibrosus. J Mech Med Biol. https:// doi.org/10.1142/S0219519410003691 3. Kuo CS, Hu HT, Lin RM et al (2010) Biomechanical analysis of the lumbar spine on facet joint force and intradiscal pressure-a finite element study. BMC Musculoskelet Disord. https://doi. org/10.1186/1471-2474-11-151 4. Solidworks 2011. Concord, Massachusetts, EE. UU.: Dasault Systèmes Solidworks Corp (1993) 5. Müller W (1992) Manual of internal fixation. Editorial Científico-Medica, 3ra edn 6. Las breves de sumedico.com [Internet] México: Su médico (2012). http://www.sumedico.com/ nota12141.html. Accessed 12 Aug 2012 7. Schultz AB, Ashton-Miller JA (1991) Biomechanics of the human spine: basic orthopedic biomechanics. Lippincott-Raven 8. Tamburrelli FC, Proietti L, Logroscino CA (2011) Critical analysis of lumbar interspinous de-vices failures: a retrospective study. Eur Spine J. https://doi.org/10.1007/s00586-011-1763-0 9. Kapandji IA (2007) Fisiología Articular. Tomo 3. Panamericana, Madrid 10. Beltrán JA, Hernández LH, Urriolagoitia G et al (2005) Distribución de esfuerzos por la acción de cargas de compresión en la vértebra cervical C5, empleando el método del elemento finito, Científica, vol 9, núm 3, pp 135–142, México 11. Beltrán JA et al (2010) Assessment of the structural integrity of C3-C5 cervical porcine vertebrae model based on 2-D classic CAD, 3-D scanner and 3-D computed tomography. Springer VG 12. Valverde LM, Beltrán JA, Hernández LH et al (2012) Modelado 3D de una unidad funcional de vértebras lumbares a partir de una tomografía computarizada. XIII CNIES 13. Carrascal MT, Alonso A, Canca M et al (2010) Estudio comparativo de un modelo de fractura vertebral entre ensayos mecánicos y simulaciones de modelos de elementos finitos. XVIII CNIES

Chapter 4

Electrochemical Behavior of SnO2 Layer Deposited on Biomaterials Used in Bone Surgery Marcin Basiaga, Witold Walke, Anna Taratuta, Julia Lison, ´ Agata Sambok-Kiełbowicz, Wojciech Kajzer, Magdalena Szindler, Klaudiusz Gołombek, and Alina Domanowska Abstract Rutile tin dioxide (SnO2 ) layers have been used in many industrial applications due to their electrical, optical, electrochemical properties, and highchemical stability. Moreover, they can find application for coating in biomedical devices due to their antimicrobial effect and high biocompatibility. So far, for such applications, researchers have attempted to fabricate SnO2 nanorods as reinforcing fillers for biopolymer implants as scaffolds for tissue engineering. The biocidal activity of such structures against gram-positive bacteria S. aureus and gram-negative bacteria E. coli has been demonstrated, as well as their non-toxicity. Applying SnO2 using the sol– gel method, on the other hand, showed an increase in the corrosion resistance of A36 steel. In this study, SnO2 films were grown on 316LVM steel, commonly M. Basiaga · W. Walke (B) · A. Taratuta · J. Liso´n · A. Sambok-Kiełbowicz · W. Kajzer Silesian University of Technology, Roosevelta 40, Zabrze, Poland e-mail: [email protected] M. Basiaga e-mail: [email protected] A. Taratuta e-mail: [email protected] J. Liso´n e-mail: [email protected] A. Sambok-Kiełbowicz e-mail: [email protected] W. Kajzer e-mail: [email protected] M. Szindler · K. Gołombek Silesian University of Technology, Konarskiego 18, Gliwice, Poland e-mail: [email protected] K. Gołombek e-mail: [email protected] A. Domanowska Silesian University of Technology, Konarskiego 22, Gliwice, Poland e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_4

39

40

M. Basiaga et al.

used for implants as biocompatible and antibacterial layer. A number of different deposition techniques can be used to produce such a layer, however, the authors have chosen the atomic layer deposition (ALD) technique, which ensures high-layer uniformity, low density of defects, and high smoothness. The ALD method allows for even coverage of the component with a thin film. By controlling the process parameters, such as the number of cycles and temperature, we can obtain different layer thicknesses with various properties. Studies included chemical composition (AES), pitting corrosion resistance, potentiodynamic tests, electrochemical impedance spectroscopy (EIS), ion permeability, and scanning electron microscope (SEM) surface observations. According to the obtained data, it was found that the results strictly depend on the parameters of the process. Keywords 316 LVM · SnO2 layers · ALD method · AES · SEM · Corrosion resistance

4.1 Introduction Despite the great interest related to the issue of the biocompatibility of AISI 316LVM steel implants for contact with bone tissue, surface modification methods are still in use. As shown from the analysis of the literature data, they do not always guarantee the required biological and physicochemical properties for safe use [1–5]. The results presented in the literature, concerning the assessment of the suitability of coatings for this type of implant inserted into the skeletal system, and indicate a lack of synthesizing considerations. By limiting the scope of testing to hemolysis, coagulation and in vitro cell culture assays does not reflect the full spectrum of their functional properties. Many papers also fail to emphasize the role of the biomaterial surface treatment process, which shapes the microstructure and properties of the implant surface layer [6–8]. These issues are very important and determine the quality and adhesion of the surface layer to the biomaterial substrate. Furthermore, the lack of data on the microstructure of the produced layers, their deformability, surface topography, and corrosion resistance in relation to minimizing postoperative reactions and complications makes it difficult to comprehensively evaluate their role in implant applications for bone surgery and traumatology. The physical properties of biomaterials are also particularly important because of their potential to initiate bacterial infection. The most common causes of nosocomial infections are the following bacteria: staphylococci, streptococci, gram-negative bacilli (Enterobacteriaceae, Pseudomonas, Acinetobacter), anaerobic Clostridium difficile, and Mycobacterium tuberculosis. The greatest problem involves multi-resistant bacterial strains—alert pathogens, e.g., MRSA-methicillin-resistant Staphylococcus aureus, or MRSE-methicillin-resistant Staphylococcus epidermidis. Legionella bacteria, which are the etiological agent of legionellosis, i.e., an infectious disease of the respiratory system, are also a concern.

4 Electrochemical Behavior of SnO2 Layer …

41

In order to develop antibacterial surfaces for metals and alloys, it is necessary to understand the interaction that occurs between the bacterium and the surface. Interactions between bacteria and materials such as metal can be divided into four stages [9–11]. Stage I—Adhesion of bacteria to the material surface. Like the Campoccia indicated, bacterial adhesion to the material surface is critically influenced by numerous variables, including the type of pathogen, the nature of the physiological fluids, the morphometrics of the surface, and the physicochemical properties of the material surface. The process of bacterial adhesion is reversible. Stage II—Colonization of bacteria on the material. Colonization is influenced by specific molecules and interactions inside and outside the cell, but it also changes the chemical properties of the surface due to the metabolic by-products of the bacteria. This process is irreversible. Stage III—Biofilm formation and maturation. Bacterial microcolonies are formed, and bacteria produce exopolymeric substances (mainly polysaccharides) and other macromolecules that contribute to biofilm formation. The biofilm protects the bacteria from the shear stresses that are the products of physiological fluids and drug therapies. Stage IV—Multiplication of bacteria. Through the biofilm, bacteria begin to multiply on the surface. As a result, the entire surface becomes covered with bacteria. Many researchers have reported that Sn doping can play an important role in enhancing the antimicrobial activity [12–14]. A study by Verissimo [12] on the growth of S. aureus on Ti-35Nb-3Sn first showed that the addition of Sn to Ti alloys significantly reduced the adhesion of S. aureus but also improved the mechanical properties. The addition of Sn can also change the wettability of the surface from hydrophilic to hydrophobic, which results in repelling of the bacteria. It was also reported that the adhesion of bacteria with the presence of Sn in the Ti oxide layer decreased due to the change in physical and chemical properties. So far, researchers have tried to fabricate SnO2 nanowires for such applications as reinforcing fillers for biopolymer implants and as cradles for tissue engineering. The biocidal activity of such structures against gram-positive bacteria S. aureus and gram-negative bacteria E. coli and their non-toxicity has been demonstrated. On the other hand, the application of SnO2 by the sol– gel method showed an increase in the corrosion resistance of AISI316LVM steel. In this study, SnO2 films were grown on 316LVM steel, commonly used in implants as a biocompatible and antibacterial layer. In conclusion, studies on the effect of Sn addition on antimicrobial activity showed a positive relationship between the level of Sn doping and antimicrobial activity [15].

4.2 Material for Research The study was performed on a Cr–Ni–Mo steel alloy (type 316LVM) in the form of disks, diameter = 14 mm, thickness = 2 mm. The samples were subjected to surface treatments, including abrasive blasting (sandblasting) and electropolishing process.

42

M. Basiaga et al.

These are the basic treatments for obtaining the appropriate roughness (respectively: Ra = 0.25 µm, Ra = 0.10 µm) of surface recommended for metal implants in contact with bone tissue. Then, the SnO2 coating was applied onto the prepared surface using the atomic layer deposition (ALD) method. The precursors used were: Tris(dimethylamino)silane ((CH3)2 N )3SiH TDMAS and O3 . Runs were carried out with a P400 ALD reactor. The deposition process was carried out for different layer thicknesses, i.e., 1000, 1500, and 2000 cycles at constant temperature T = 300 °C.

4.2.1 Research Methodology 4.2.1.1

SEM Tests

They were performed using a FEI Inspekt S50 scanning electron microscope (SEM) in a high vacuum and at an accelerating voltage of 20 kV. The microscope was equipped with an Everhart–Thornley secondary electron detector (ETD-SE), which was used to obtain information about the topography of the surface, with vCD detector to register mainly back-scattered electrons and provide information about the atomic numbers of the elements forming the layer at which the electron beam is directed. The tests consisted of the observation of the surface layer at large magnification.

4.2.1.2

AES Tests

The chemical composition of the surface layer was studied by Auger electron spectroscopy (AES) using a PHI scanning nanoprobe system, model PHI670, developed by Physical Electronics. The instrument was equipped with a Schottky-type field emission (electron) gun and a cylindrical mirror analyzer (CMA) with a coaxial multichannel electron detector. Depth chemical profiling was performed at low Ar+ ion energy (500 eV). The angle of incidence of the ions on the sample was 58.6°, while the electron beam energy was 10 keV. During the measurements, the current of electrons discharged from the sample was 20 nA, while the angle of incidence of electrons on the tested surface was 30°. To increase depth resolution, measurements on the exposed surface were alternated with etching. The size of the ion beam crater was 1000 × 1000 µm, while the area from which the AES measurement signal was averaged for 50 × 40 µm.

4.2.1.3

Potentiodynamic Tests

Samples of AISI 316LVM steel in the initial state and with an SnO layer applied using ALD technology were subjected to potentiodynamic tests of pitting corrosion resistance according to the recommendations of PN-EN ISO 10993–15 [15]. The measuring station consisted of a VoltaLab PGP201 potentiostat (Radiometer,

4 Electrochemical Behavior of SnO2 Layer …

43

Villeurbanne Cedex, France), an Ag/AgCl 3 M KCl reference electrode, an auxiliary electrode in the form of a platinum wire, an anode (tested sample), and a PC with VoltaMaster 4 version 7.8 software. Corrosion tests were used to determine the opening potential of the EOCP under current-free conditions, and then, the polarization curves were recorded. Polarization curves were recorded from the value of initial potential Estart = EOCP − 100 mV. The potential change occurred in the anodic direction at a rate of 3 mV/s. Once an anodic current density of 1 mA/cm2 was achieved, the polarization direction was changed. On the basis of the obtained curves, the following were established: corrosion potential Ecorr, breakdown potential Eb, and by using the Stern method, the value of polarization resistance Rp. The pitting corrosion resistance test was conducted at T = 37 ± 1 °C in PBS saline solution (pH = 7.4 ± 0.2) with the following chemical composition: NaCl—8 g/dm3 , KCl—0.2 g/dm3 , Na2 HPO4 —1.44 g/dm3 , KH2 PO4 —0.24 g/dm3 .

4.2.1.4

EIS Tests

The study involved also tests using electrochemical impedance spectroscopy (EIS). The measurements were carried out using an AutoLab PGSTAT 302 N measurement system equipped with a frequency response analyze 2 (FRA2) module. The electrode system used was identical with the one used in the chronoamperometric tests. The impedance spectra of the studied system were presented as Nyquist plots for various frequencies (104 ÷ 10–3 Hz) and Bode plots. The amplitude of the sinusoidal voltage of the stimulation signal was 10 mV. The obtained spectra were interpreted after the adjustment to the equivalent electrical circuit using the least squares method. These were then used to calculate the numeric values of resistances (R) and capacitances (C) of the analyzed circuits. The impedance test was conducted at T = 37 ± 1 °C in a PBS saline solution (pH = 7.4 ± 0.2) with the following chemical composition: NaCl—8 g/dm3 , KCl— 0.2 g/dm3 , Na2 HPO4 —1.44 g/dm3 , KH2 PO4 —0.24 g/dm3 .

4.2.1.5

Metal Ion Concentration Analysis

The concentration of metal ions was determined with a JY2000 spectrometer developed by Yobin–Yvon using the inductively coupled plasma atomic emission spectrometry (ICP-AES) method. The excitation source was a plasma torch connected to a 40.68 MHz frequency generator. Diluted Merck standard materials were used in the preparation of the standard curve. Immersion tests were conducted under thermostated conditions for 7 days. For this purpose, the samples after mechanical and electropolishing and after mechanical and electrolytic polishing with SnO2 layer were used, which were kept in a PBS saline solution (0.1 dm3 ) at temperature T = 37 ± 1 °C and pH = 6.8 ± 0.2.

44

M. Basiaga et al.

4.2.2 Research Results 4.2.2.1

SEM Research Results

The study of the surface morphology of the samples in the initial state, as well as after surface modification, revealed differences in its morphology depending on the number of cycles in the SnO layer application process. The morphology and surface topography of SnO-coated steel were dependent on the number of cycles in the ALD application process. The inheritance of the substrate by the SnO layer was only apparent with thin layers obtained after 1000 cycles (Figs. 4.1 and 4.2).

4.2.2.2

AES Results

A quantitative and qualitative analysis of the chemical composition of the surface layer were conducted as part of the AES study to identify and distribute any substratederived alloying elements present. Figure 4.3 shows a summary plot including the elemental spectra of Fe, Cr, Ni, Mo, Sn, C, and O for successive etchings. The increased surface roughness from the blasting process was reduced by the application of tin oxide—no well-defined interphase. The components of the steel substrate from the very surface in the area of the expected passive layer were in a different chemical state than in the substrate—this applied to Mo and Fe. No clear chemical shift was found, but the shape of the spectrum allows deconvolution (Fig. 4.4). Figures 4.5 and 4.6 present the dependency between the chemical profile and etching time, which corresponds to the chemical depth profile. The plots cover the energy ranges of the recorded spectra for the Sn (LMM), O (KLL), Cr (LMM), Ni (LMM), Fe (LMM), and Mo (MNN) lines. The coating on an AISI316LVM base contained tin and oxygen located in a manner characteristic of SnO2 bonds. The coating was free of Ni and Si in the case of sandblasting and additionally in the case of the Mo and Fe electropolishing process. On the SnO2 /Cr2 O3 border, there was a strong chemical shift of the O (KLL) peak toward higher energies, which indicated a change from oxygen bonds with SiO2 to bonds with chromium, the signal of which appeared just after the coating border is crossed.

4.2.2.3

Potentiodynamic Test Results

The results of potentiodynamic tests of pitting corrosion resistance are shown in Table 4.1 and Figs. 4.7 and 4.8. The recorded curves indicate that the results were mainly influenced by the method of preparation of the metal substrate. It was found that for the samples subjected to sandblasting, followed by the ALD process of SnO2 layer deposition, the corrosion resistance had decreased. In particular, reductions in the values of corrosion potential, breakthrough potential, and polarization resistance were observed (Table 4.1).

4 Electrochemical Behavior of SnO2 Layer …

45

Fig. 4.1 Surface of AISI 316LVM steel (sanding process), SEM (50000x): a initial state, b SnO2 layer (1000), c SnO2 layer (1500), d SnO2 layer (2000)

Moreover, higher values of passive current density were found in the potential range 0.2–1.0 V compared to the uncoated samples (Fig. 4.7). In summarizing the results for this group of samples, it can be stated that the application of the SnO2 coating applied in the ALD process did not improve the corrosion resistance in relation to the uncoated samples, while the ALD 1000 cycle process had the least effect on reducing the corrosion resistance. On the other hand, for the samples subjected first to electrolytic polishing and then to the ALD process, it could be unambiguously inferred that the applied coatings had a positive effect on the corrosion resistance of the steel studied. In particular, we

46

M. Basiaga et al.

Fig. 4.2 Surface of AISI 316LVM steel (polishing process), SEM (50000x): a initial state, b SnO2 layer (1000), c SnO2 layer (1500), d SnO2 layer (2000)

observed a decrease in passive current density over the entire measurement range (Fig. 4.8), an increase in corrosion potential values, and an increase in breakdown potential values (Table 4.1). As far as the recorded values of polarization resistance are concerned, it was found that the highest value of this parameter was obtained for the samples coated with the SnO2 layer from the 1000 cycle process. In conclusion, it should be stated that the results obtained were clearly influenced by the method used to prepare the metal substrate surface.

4 Electrochemical Behavior of SnO2 Layer …

47

Fig. 4.3 Change of atomic concentration of elements—Auger deep profiling (sanding process)

Fig. 4.4 Change of atomic concentration of elements—Auger deep profiling (polishing process)

4.2.2.4

Results of EIS Tests

In order to obtain additional information about the electrochemical properties of the surfaces of the indicated surface treatment variants, electrochemical impedance spectroscopy (EIS) tests were performed (Figs. 4.9, 4.10, 4.11, 4.12, 4.13, 4.14, 4.15, 4.16 and Table 4.2). The analysis of the impedance spectra of the SnO2 —PBSr5 saline solution was performed using equivalent electrical circuits presented in Fig. 4.17. The result was used to establish the parameters of the equivalent electrical circuits representing the corrosion circuits (Table 4.2). Such a method enabled the analysis and interpretation of the processes and phenomena taking place on the coating–PBS border [16, 17].

48

M. Basiaga et al.

Fig. 4.5 Evolution of the peak for the samples AISI 316LVM with SnO2 layer (sanding process)

Fig. 4.6 Evolution of the peak for the samples AISI 316LVM with SnO2 layer (polishing process)

The impedance spectra obtained for the sample from AISI 316LVM steel after the sandblasting and electropolishing process were interpreted by comparison with an equivalent electrical circuit. The comparison indicates the presence of two sublayers [18–21]: a compact internal layer and porous external layer (two time constants visible in the plot), where Rs is the resistance of the electrolyte (PBS saline solutions), Rpore is the resistance of the electrolyte in the pores, CPEpore is the capacity of

4 Electrochemical Behavior of SnO2 Layer …

49

Table. 4.1 Results of potentiodynamic tests Lp.

Cycles

Ecorr

Eb

Rp

mV

mV

k · cm2 130

Sandblasted 1

Initial state

−87

+1242

2

1000

−52

840

15

3

1500

−103

752

7

4

2000

−103

628

5

1

Initial state

−211

+1239

2

1000

−62

+1406

407

3

1500

−101

+1421

141

4

2000

−100

+1867

110

Electropolished 190

Fig. 4.7 Polarization curves regarding AISI 316LVM after sandblasting at initial condition and after SnO ALD surface modification. Area of corrosion potentials

the double layer (porous, surface layer), and Rct and CPEdl are the resistance and capacity of the surface (passive) layer (Figs. 4.13 and Fig. 4.17a). The use of two solid phase elements in the equivalent electrical circuit had a beneficial influence on the quality of adjustment of the experimentally obtained curves. On the other hand, in the AISI 316LVM + SnO2 samples, the presence of an additional adsorption layer with a capacitive character was observed. The layer was described using an

50

M. Basiaga et al.

Fig. 4.8 Polarization curves regarding AISI 316LVM after electropolishing at initial condition and after SnO ALD surface modification. Area of corrosion potentials

Fig. 4.9 Impedance spectra determined for the initial state (sandblasted): a Nyquist plot, b Bode diagram

additional electrical circuit Rad , CPEad /cad (Figs. 4.9, 4.10, 4.11, 4.12, 4.14, 4.15, 4.16, and 4.17b). The presence of this layer was related to the adhesion of ions to the layer surface during its contact with the PBS saline solution [21–23].

4 Electrochemical Behavior of SnO2 Layer …

51

Fig. 4.10 Impedance spectra determined for 1000 (sandblasted): a Nyquist plot, b Bode diagram

Fig. 4.11 Impedance spectra determined for 1500 (sandblasted): a Nyquist plot, b Bode diagram

Fig. 4.12 Impedance spectra determined for 2000 (sandblasted): a Nyquist plot, b Bode diagram

52

M. Basiaga et al.

Fig. 4.13 Impedance spectra determined for initial state (electropolished): a Nyquist plot, b Bode diagram

Fig. 4.14 Impedance spectra determined for 1000 (electropolished): a Nyquist plot, b Bode diagram

Fig. 4.15 Impedance spectra determined for 1500 (electropolished): a Nyquist plot, b Bode diagram

4 Electrochemical Behavior of SnO2 Layer …

53

Fig. 4.16 Impedance spectra determined for 2000 (electropolished): a Nyquist plot, b Bode diagram

4.2.2.5

Metal Ion Concentration Analysis

The evaluation of the effect of 28-day exposure of artificial plasma on corrosion resistance was supplemented with studies on the permeation of Fe, Cr, Ni, Mo, and Sn ions into the solution. The ion concentration was converted to the mass of the element permeated from the unit sample area (µg/cm2 ). Coatings that are less resistant to long-term exposure have an increased amount of degradation products, as shown by Glusker in his study [23]. During exposure in Ringer’s solution, the SnO2 layer provided an effective barrier to Fe, Cr, Ni, and Mo ions (Table 4.3).

4.3 Summary Among the various surface treatment methods used for the modification of steel substrates, the ALD method is applied increasingly frequently due to the high repeatability and homogeneity of the chemical composition of the coatings obtained [24]. However, the problem with its application is in the proper selection of the technological parameters of the coating application, e.g., with Sn. Not without significance is the surface pre-treatment of the substrate, affecting its roughness, topography, and wettability. AISI 316LVM steel shows a tendency to self-passivation (formation of Cr2 O3 oxide on the surface), which is also important during the shaping of the surface layer with ALD coatings [25, 26]. One of the elements with beneficial antibacterial effects in the tissue environment is tin. This element is promoted as a component of composite coatings produced on the surface of implants used in the treatment of osteoarticular disorders. According to many authors, one of the basic criteria for qualifying various implant forms is their corrosion resistance and consequently, biocompatibility in solutions simulating physiological fluids. Consequently,

144

178

196

1500

2000

11

28

1500

2000

Rs = 67

15

1000

*

–

Initial state

Electropolished

141

1000

Y 0, −1 cm−2s−n

CPEpore

0.3203E-4

0.2658E-4

0.4150E-4

–

0.4587E-4

0.6987E-4

0.3584E-4

0.2658E-4

Rad , kcm2

Initial state

Sandblasted

Cycles

Table. 4.2 The results of EIS tests

0.75

0.72

0.71

–

0.69

0.69

0.62

0.68

n

58

53

46

28

231

228

263

254

Rpore , kcm2

0.5203E-4

0.2258E-4

0.0547E-4

0.9003E-4

0.3023E-4

0.2696E-4

0.5841E-4

0.1489E-4

Y 0,

−1 cm−2s−n

CPEpore

0.84

0.85

0.83

0.82

0.77

0.80

0.79

0.78

n

1251

1424

1125

1054

684

591

554

454

Rct , kcm2

0.2896E-4

0.5525E-4

0.3547E-4

0.9847E-4

0.2060E-4

0.2558E-4

0.2547E-4

0.1447E-4

Y 0 , −1 cm−2s−n

CPEdl

0.89

0.94

0.92

0.91

0.89

0.90

0.91

0.88

n

54 M. Basiaga et al.

4 Electrochemical Behavior of SnO2 Layer …

55

Fig. 4.17 Electrical replacement circuits for corrosive systems for samples: a initial state, b 1000, 1500, 2000

Table 4.3 Metallic ion concentration Cycles Metallic ion concentration, ppm (mean value) Fe

SD

Cr

SD

Ni

SD

Mo

SD

Sn

SD

Sandblasted Initial state

0.182 ±0.001 0.035 ±0.001 0.068 ±0.001 0.150 ±0.001 –

1000

0.121 ±0.002 0.024 ±0.002 0.059 ±0.001 0.132 ±0.001 0.150 ±0.001

1500

0.114 ±0.001 0.021 ±0.001 0.049 ±0.002 0.120 ±0.002 0.132 ±0.002

2000

0.109 ±0.002 0.018 ±0.001 0.037 ±0.001 0.109 ±0.001 0.115 ±0.001

–

Electropolished Initial state

0.205 ±0.002 0.055 ±0.002 0.064 ±0.002 0.144 ±0.002 –

1000

0.182 ±0.002 0.041 ±0.002 0.078 ±0.001 0.141 ±0.001 0.142 ±0.001

1500

0.160 ±0.002 0.029 ±0.002 0.062 ±0.002 0.132 ±0.002 0.129 ±0.002

2000

0.143 ±0.002 0.022 ±0.001 0.048 ±0.001 0.122 ±0.001 0.125 ±0.001

–

the issue of corrosion of individual variants of SnO2 coating was resolved by potentiodynamic and impedance tests conducted in a PBS saline solution, with constant pH and constant temperature (in vitro), according to the recommendations of the ISO and ASTM standards. Preliminary evaluation of the pitting corrosion resistance showed that the initial type of surface treatment and the number of cycles during its application (thickness) have the greatest influence on the barrier properties of the SnO2 coating. On the basis of the results obtained at this stage of the research, it has been established that the thickness of the SnO2 coating obtained after 2000 cycles of its application favorably influences the improvement of corrosion resistance only in the case of the substrate after electropolishing process. The best barrier properties of the surface layer were obtained for this variant. Reactive and immunological reactions associated with biochemical processes, in addition to the basic criterion of

56

M. Basiaga et al.

corrosion resistance, are fundamentally influenced by the chemical composition of the surface layer. For this reason, the next test stage involved analysis of the chemical composition of the surface layer to identify and distribute any substrate-derived alloying elements present. The analyzes of the chemical composition show that the SnO2 coating applied through the ALD method, with the adopted process parameters, effectively eliminates the alloying elements from the surface layer, and thus increases the biotolerance of the analyzed AISI316LVM steel only in the case of a post-electropolishing substrate. Besides the presence of Sn, the share of Cr2 O3 oxide originating from the passive layer obtained at the final stage of the electropolishing process was also found in the surface layer. The depth profile determined for the surface layer showed the diffusive character of the SnO2 coating, which is favorable and improves its adhesion to the substrate. The results obtained from the study made it possible to formulate the following generalizations: • The SnO2 coating applied to the substrate of AISI 316LVM steel subjected to electropolishing improves its corrosion resistance and constitutes an effective barrier, after 28-day exposure in PBS saline solution, for Fe, Cr, Ni, and Mo ions that are part of the substrate material. • The application of compact SnO2 coating by the ALD method under the conditions proposed in this paper ensures its diffusion character, which has the effect of improving its adhesion to steel substrate. • Analyzes of morphological features of the SnO2 coating using SEM revealed a tendency to inherit stereometric parameters of the surface of the studied steel substrates only in the case of the substrate after electropolishing process, regardless of the number of cycles (coating thickness). Acknowledgements The project was funded by the National Science Center, Poland allocated on the basis of the decision No. 2018/29/B/ST8/02314.

Literature 1. Godbole N, Yadav S, Ramachandran M, Belemkar S (2016) A review on surface treatment of stainless steel orthopedic implants. Int J Pharm Sci Rev Res 36 2. Basiaga M, Kajzer W, Walke W, Kajzer A, Kaczmarek M (2016) Evaluation of physicochemical properties of surface modified Ti6Al4V and Ti6Al7Nb alloys used for orthopedic implants. Mater Sci Eng C 68. https://doi.org/10.1016/j.msec.2016.07.042 3. Marin E, Guzman L, Lanzutti A, Ensinger W, Fedrizzi L (2012) Multilayer Al 2O 3/TiO 2 atomic layer deposition coatings for the corrosion protection of stainless steel. In: Thin Solid Films 4. Pantoja M, Velasco F, Abenojar J, Martinez MA (2019) Development of superhydrophobic coatings on AISI 304 austenitic stainless steel with different surface pretreatments. Thin Solid Films 671. https://doi.org/10.1016/j.tsf.2018.12.016 5. Hedberg Y, Karlsson ME, Blomberg E, Odnevall Wallinder I, Hedberg J (2014) Correlation between surface physicochemical properties and the release of iron from stainless steel AISI

4 Electrochemical Behavior of SnO2 Layer …

6.

7. 8.

9. 10. 11. 12.

13.

14.

15. 16.

17..

18.

19.

20.

21.

22. 23. 24.

57

304 in biological media. Colloids Surf B Biointerf 122. https://doi.org/10.1016/j.colsurfb. 2014.06.066 Iqbal J, Jilani A, Ziaul Hassan PM, Rafique S, Jafer R, Alghamdi AA (2016) ALD grown nanostructured ZnO thin films: effect of substrate temperature on thickness and energy band gap. J King Saud Univ Sci 28. https://doi.org/10.1016/j.jksus.2016.03.001 Jang JT, Ryu H, Lee WJ (2013) Effect of ALD surface treatment on structural and optical properties of ZnO nanorods. Appl Surf Sci 276. https://doi.org/10.1016/j.apsusc.2013.03.133 Yuan NY, Wang SY, Tan CB, Wang XQ, Chen GG, Ding JN (2013) The influence of deposition temperature on growth mode, opticaland mechanical properties of ZnO films prepared by the ALD method. J Cryst Growth 366. https://doi.org/10.1016/j.jcrysgro.2012.12.024 Campoccia D, Montanaro L, Arciola CR (2013) A review of the biomaterials technologies for infection-resistant surfaces. Biomaterials 34 Zhang E, Zhao X, Hu J, Wang R, Fu S, Qin G (2021) Antibacterial metals and alloys for potential biomedical implants. Bioact Mater 6 Ferraris S, Spriano S (2016) Antibacterial titanium surfaces for medical implants. Mater Sci Eng C 61 Verissimo NC, Geilich BM, Oliveira HG, Caram R, Webster TJ (2015) Reducing Staphylococcus aureus growth on Ti alloy nanostructured surfaces through the addition of Sn. J Biomed Mater Res Part A 103. https://doi.org/10.1002/jbm.a.35517 Kang Y, Park J, Kim DW, Kim H, Kang YC (2016) Controlling the antibacterial activity of CuSn thin films by varying the contents of Sn. Appl Surf Sci 389. https://doi.org/10.1016/j. apsusc.2016.08.041 Vasanthi M, Ravichandran K, Jabena Begum N, Muruganantham G, Snega S, Panneerselvam A, Kavitha P (2013) Influence of Sn doping level on antibacterial activity and certain physical properties of ZnO films deposited using a simplified spray pyrolysis technique. Superlattices Microstruct 55. https://doi.org/10.1016/j.spmi.2012.12.011 ISO/ES10993–15 (2001) Biological evaluation of medical devices—Part 15: Identification and quantification of degradation products from metals and alloys. Int Stand Pan J, Thierry D, Leygraf C (1996) Electrochemical impedance spectroscopy study of the passive oxide film on titanium for implant application. Electrochim Acta 41. https://doi.org/ 10.1016/0013-4686(95)00465-3 Barranco V, Escudero ML, García-Alonso MC (2007) 3D, chemical and electrochemical characterization of blasted TI6Al4V surfaces: Its influence on the corrosion behaviour. Electrochim Acta 52. https://doi.org/10.1016/j.electacta.2006.12.031 Vlasak R, Klueppel I, Grundmeier G (2007) Combined EIS and FTIR-ATR study of water uptake and diffusion in polymer films on semiconducting electrodes. Electrochim Acta 52. https://doi.org/10.1016/j.electacta.2007.07.003 Mohan L, Anandan C, Rajendran N (2015) Electrochemical behaviour and bioactivity of selforganized TiO2 nanotube arrays on Ti-6Al-4V in Hanks’ solution for biomedical applications. Electrochim Acta 155. https://doi.org/10.1016/j.electacta.2014.12.032 Hodgson AWE, Mueller Y, Forster D, Virtanen S (2002) Electrochemical characterisation of passive films on Ti alloys under simulated biological conditions. Electrochim Acta 47. https:// doi.org/10.1016/S0013-4686(02)00029-4 Lee KM, Chen CY, Tsai YT, Lin LC, Wu CG (2013) Efficient and stable back-illuminated sub-module dye-sensitized solar cells by decorating SiO2 porous layer with TiO2 electrode. RSC Adv 3. https://doi.org/10.1039/c3ra41687a Lasia A (2002) Electrochemical impedance spectroscopy and its applications BT—modern aspects of electrochemistry. In: Modern aspects of electrochemistry Zheng X, Cheng W, Ji C, Zhang J, Yin M (2020) Detection of metal ions in biological systems: A review. Rev Anal Chem 39 Basiaga M, Walke W, Staszuk M, Kajzer W, Kajzer A, Nowi´nska K (2017) Influence of ALD process parameters on the physical and chemical properties of the surface of vascular stents. Arch Civ Mech Eng 17. https://doi.org/10.1016/j.acme.2016.08.001

58

M. Basiaga et al.

25. Walke W, Paszenda Z, Pustelny T, Opilski Z, Drewniak S, Ko¨scielniak-Ziemniak M, Basiaga M (2016) Evaluation of physicochemical properties of SiO2-coated stainless steel after sterilization. Mater Sci Eng C 63. https://doi.org/10.1016/j.msec.2016.02.065 26. Szewczenko J, Jaglarz J, Basiaga M, Kurzyk J, Paszenda Z (2013) Optical methods applied in thickness and topography testing of passive layers on implantable titanium alloys. Opt Appl 43. https://doi.org/10.5277/oa130121

Chapter 5

Integrating the Lean System Concepts and the Theory of Constraints in a Medical Emergency Jocieli Francisco da Silva, Flávia Luana da Silva, Pedro Paulo Barbosa Feitosa, Luiz Alberto Oliveira Rocha, and Ágata Maitê Ritter Abstract There is a high demand for care in the health area, especially in hospital emergencies, causing problems such as overcrowding, long waiting times, and, in some cases, even the closing of the units. This work uses the concepts of lean system and theory of constraints (TOC) to propose improvements in the care process, focusing on reducing patients’ waiting time. The object of study was the emergence department of a large hospital located in the south of Brazil. A literature review was carried out to conduct the study, looking for the main tools used in the methodologies. Subsequently, a case study was conducted, suggesting the integrated application of the lean system’s tools and the five steps of focusing the TOC in this environment to minimize waiting times. As a result, it is expected, after the reallocation of the doctors’ scale framework together with the application of these tools, more than 11% reduction in waiting time, contributing to improving the efficiency of care. Keywords Theory of constraints · Lean system · Health care · Hospital emergency

5.1 Introduction Health is defined by the World Health Organization (WHO) as a state of complete physical, mental, and social well-being, and not just the absence of disease. It is present in a broad context, including the social, economic, physical environment, and people’s characteristics and behaviors [19]. Hospitals are environments that promote health care. They are considered institutions that resist change because there is little interaction between departments and professions, service users are extremely subordinate, and there is little corporate governance [24]. J. F. da Silva (B) · P. P. B. Feitosa · L. A. O. Rocha Polytechnic School, Graduate Program in Production Engineering, Universidade de São Paulo—USP, Butantã, SP CEP 05508-010, Brazil e-mail: [email protected] F. L. da Silva · Á. M. Ritter Mechanical Engineering Graduate Program, Universidade do Vale do Rio dos Sinos—UNISINOS, São Leopoldo, RS CEP 93022-750, Brazil © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_5

59

60

J. F. da Silva et al.

The hospital’s emergency department is the main entrance to care, offering immediate services for different assistance needs. Due to this heterogeneity of demand, combined with multiple resource needs and significant variability in patients’ arrival, emergencies are overcrowded. There are several signs of this problem in different hospitals, such as patients being treated in corridors due to lack of adequate space, excessive waiting time for care, and in some cases, the closure of these units [13]. According to statistics from the National Confederation of Industry—[7], in 2018, 46% of Brazilians pointed out health as the main problem in Brazil when asked about the country’s three main problems. Once again, unemployment was designated as the biggest problem, with 47% of the votes, followed by health and corruption with 41% and 36% of the votes, respectively. The research repeatedly exposes the Brazilian’s dissatisfaction with their health service. There is a worldwide trend of reducing beds per inhabitant, and this trend is repeated in Brazil. According to the Federal Council of Medicine, between 2010 and 2018, Brazil lost 34,254 hospitalization beds in hospitals in the Unified Health System (SUS) and 11,693 in hospitals not connected to SUS, totaling a reduction of 45,945 beds in the country. Although WHO did not establish a minimum value of beds per inhabitant, Brazil has a rate equivalent to America’s average but lower than the world average [6]. The health area constitutes a relevant expense in the world budget. According to WHO, health spending in 2016 reached 10% of world GDP. Health spending is a problem that affects high-, medium-, and low-income countries, in which there is an increasing dependence on public funding to fund this investment [40]. When compared to other segments, health services present a more significant challenge because customers are part of the process. This fact emphasizes the importance of safety and efficiency in the service process [29]. Due to its high variation in demand, it is common for health systems to have overcrowding, limited capacity for physical resources and labor, which creates instability and delays in the flow of care, impacting the quality of care and patient safety [36, 38, 39]. The lean philosophy has the principle of generating value for the customer, for society, and the economy and reducing waste [18, 23]. Although it appeared in manufacturing, its techniques have been applied in several segments, including health, in which they show significant improvement in variables of interest [20]. The theory of constraints (TOC) is a set of principles that explain the company’s overall goal [5]. In the view of TOC, the main objective of the company is to make money now and in the future. Therefore, increasing productivity and reducing operating expenses are paramount [16]. There are successful examples of applying this technique in several areas, such as production, logistics, supply chain, distribution, project management, accounting, research and development, sales and marketing, and others [35, 41]. Also, according to [32], OCD can be applied to health systems. Studies applying the concepts lean and TOC in hospital environments, although scarce, show positive results in eliminating system losses. Among the results obtained by integrating the methods, there is a reduction in the cycle times of the processes and an increase in the capacity to meet the demand [12].

5 Integrating the Lean System Concepts and the Theory …

61

This study seeks to answer the following research question considering the context: How to integrate the application of lean system tools and the theory of constraints (TOC) to decrease waiting time in a hospital emergency? Thus, this research aims to apply, in an integrated way, the tools of the lean system and the theory of constraints in a hospital environment, based on a case study of patient flow in a medical emergency. Two steps were taken to meet this objective: First, a systematic review of the literature was carried out to identify which tools of the lean system or the theory of constraints are being used in medical emergency environments, and subsequently, a case study was carried out to apply the tools in a medical emergency department in the Vale do Rio dos Sinos region. This study is relevant and has a very significant contribution to the management area. The study identified that doctors are the restrictions in the care process in the hospital emergency sector, but that the capacity for daily care can be increased by using tools from the lean system and support areas (nurses and administration). For the academic world, the main contribution is to demonstrate how the integration of lean and TOC concepts can be used together. The second contribution is to demonstrate how these concepts from manufacturing can be extended to other areas and present good results. In addition, the study also identified that there is a vast field of study to be explored in the area of health, in which methods from manufacturing can be used. Next, the research’s theoretical framework is presented, followed by the method, presentation of the results, and conclusions.

5.2 Literature Review This section presents a review of the literature on the themes that support the work: medical emergencies and lean system tools and the theory of constraints applied in medical emergencies.

5.2.1 Hospital Emergencies The emergency department is a unit open 24 h a day and 365 days a year, designed to assist patients in emergencies. However, the types of care have been expanded to cases that are not only emergency [11]. Reference [15] state that the high degree of uncertainty in the patient arrival process and the various types of diseases affect operations in the emergency sector. For Ref. [30], the variability in the type of care, the patient arrival process, and the need for a more elaborate diagnosis affect operations in the emergency sector. Consequently, there is a long waiting time, which is usually the leading cause of patient dissatisfaction.

62

J. F. da Silva et al.

Emergency departments have increased their resources, becoming large, complex, and dynamic units to meet the demand. It turns out that despite the number of consultations performed has grown, it also grows as the sector’s efficiency is high. Consequently, medical emergencies are always overcrowded, and the waiting time for patients increases. In contrast, the quality of service decreases [11]. Overcrowding of emergencies has become a global concern since the number of countries with emergency care has grown, and the burden of trauma and non-communicable diseases has increased among middle- and low-income countries [1]. Reference [] states that overcrowding puts pressure on doctors and nurses to care for a more significant number of patients in a shorter time, resulting in medical errors and long waiting times, as well as the rise in costs, the increase in the level of mortality, and the low patient satisfaction level. For Ref. [42], one of the factors responsible for overcrowding is the poorly sized work team. Kaushal et al. [22] state that it should be increased the number of beds in an emergency or its layout (layout) to reduce overcrowding. However, these improvements are not possible in most cases due to space constraints or even increased costs.

5.2.2 Lean System and Theory of Constraints in the Health Area The lean system is based on the search for the total elimination of losses. Losses are activities that consume resources, generate costs, and do not add value to the product [28, 34]. It consists of a management strategy that involves improving processes and has been applied in several organizations. For the theory of constraints, organizations are like chains of interdependent processes, in which the performance of each process depends on the previous one. TOC argues that the system can only be improved by strengthening its weakest link, the system constraint. If the system had no restrictions, it would grow infinitely. Therefore, any improvement effort should be focused on restricting the system [14]. Value chain mapping is the most used tool in the application of the lean methodology in hospital emergencies. Hines and Rich [17] point out that the mapping of the value chain acts on the seven types of waste proposed by the Toyota Production System, being strongly correlated to the types: waiting, transportation, unnecessary processing, and unnecessary movement. Its application aims to describe the existing flows, patient care processes and indicate waste and possible opportunities to apply lean practices [10, 20, 27, 33, 37]. There are five stages for the application of this tool [17]: 1. 2. 3. 4.

The study of the process flow; The identification of waste; Identification of where the process can be changed for a more efficient flow; Identification of a better standard flow, through a change in layout or routing; and

5 Integrating the Lean System Concepts and the Theory …

5.

63

Assessing whether everything that is being done at each stage is really necessary to remove superfluous tasks.

Voice of customer is used to identify consumer needs. One way to use voice of customer is to apply a questionnaire among patients to find out which factors are most important for their satisfaction and from the answers to develop a set of metrics to be observed and worked by the hospital emergency [2, 3]. The kaizen event/lean training. Kaizen events are workshops held with a team focused on continuous improvement. These are meetings that seek to identify improvements, analyze processes, propose solutions, and test new methods, resulting in immediate improvements in the workflow [27]. Among the concepts of the theory of constraints, the five steps of focusing, presented by Goldratt in the best seller ‘The goal,’ is the one that appears most frequently in the findings. This technique is used to identify and exploit system bottlenecks [12, 20]. Standard operation is one of the techniques used to eliminate losses in the process, reduce errors, and maximize quality since it was designed to create a predictable result based on a consolidated and reproducible reference [4, 27]. The 5 s methodology is a tool for application in work environments to organize them. The tool’s principles ensure that only essential materials and equipment are available and what is available in the work environment to ensure more agility when it is necessary to use it [33].

5.3 Methodology The study method is classified as qualitative. Qualitative research works with the interpretation of data inductively. It does not require the use of statistical methods and techniques for this. In this scenario, the natural environment is the source of data collection, and the researcher is the key instrument of the process [9]. A case study was used to conduct the research. The case study aims to describe a phenomenon, test hypotheses, and develop a theory. It is empirical research, which seeks to understand a complex phenomenon in an actual context, allowing for indepth investigation and understanding [9].

5.3.1 Unit of Analysis The unit of analysis selected is a medical emergency from a large hospital located in the state of Rio Grande do Sul, in Brazil. The hospital has 1068 m2 of built area, is open 24 h a day, and in 2018, 264.204 people attended. The hospital emergency care process is carried out as follows: The patient checks in by taking out a password at the machine, is asked to fill out the care record, then goes

64

J. F. da Silva et al.

Fig. 5.1 Mapping the flow of care in the emergency. Source Created by the authors (2021)

through the screening process where he/she receives the priority rating according to the colors: red: high; orange: medium; green: low. Following this, the patient awaits service. If she/he needs additional tests, he/she is accompanied by nurses to perform the tests and later re-consult. Otherwise, he is released. The service flow is shown in Fig. 5.1.

5.3.2 Data Collection The data used in the study were collected by request via e-mail to the IT team, based on the hospital’s screening database. Data referring to the consultations performed in January, February, and March 2017 were considered. The following variables were selected for verification: the date and time of patients’ arrival, their classification, the date and time of beginning and end of the screening activities, registration, and consultation. The calculation of the duration time of the stages was performed by subtracting the start time from the end time of each stage, and the calculation of the waiting time was calculated by subtracting the end time of one stage from the start time of the next stage. The database totaled 39,637 valid records [25]. Patients who are referred for screening receive a password and await the call in waiting room 1. There are two screening rooms. One is usually used, and the second only when there is a queue of more than 15 patients or when the waiting time of patients in the screening queue is more than 30 min. In the screening process, the patient’s signs and symptoms are evaluated, which allows them to be classified according to the severity and complexity of each case. The hospital’s classification protocol is the Manchester Screening System, which uses a color scale to ensure that prioritization is done according to the patient’s clinical condition. The services

5 Integrating the Lean System Concepts and the Theory …

65

Fig. 5.2 Average number of patient arrivals over the day. Source Adapted from [25]

are classified first in order of priority and later in the order of arrival to respect the service time indicated by the protocol used. After screening, if the patient is classified as red, he is considered ‘emergency’ and needs immediate care. In these cases, the patient’s registration is not always entirely done before the service and is done later at an appropriate time or by a family member. If the patient is classified as orange, he receives the classification ‘very urgent’ and needs to receive care within 10 min. For those classified as yellow or ‘urgent,’ the maximum time to answer is 60 min. For those classified as green or ‘not urgent,’ the maximum time is 120 min. For those classified as blue or ‘not urgent,’ the patient’s maximum time should wait is 240 min. Medical care can be performed in one of the four exclusive medical offices for emergency care. It can be performed in one of the three intermediate rooms, which have 19 beds, or in the emergency room, with ten beds. After attending the doctor, the patient can be referred either for medication, which has 14 seats, or for exams, hospitalization, or check out. In the case of medication or exams, the patient may need a consultation before being released. Figure 5.2 shows the average number of patient arrivals over the day, and Fig. 5.3 shows the average number of patient arrivals over the week. In this scenario, it was observed that in some moments of peak arrival of patients, the scale of doctors is below demand, which causes long waiting times and the formation of queues for care. Thus, the scale of doctors was identified as the bottleneck in the care process in this emergency. The scale was higher in the afternoon, as shown in Table 5.1, not being prepared for the service peaks that occur in the morning.

66

J. F. da Silva et al.

Fig. 5.3 Average number of patient arrivals over the week. Source Adapted from [25]

5.4 Results and Discussions From the results found, it was proposed to apply the five steps of focusing on the theory of constraints to mitigate the problem with waiting for patients. Figure 5.4 shows the cycle of the five steps as continuous improvement. Step 1: Identification of the bottleneck: From the results collected, it was identified that the existing medical scale does not precisely match the need for doctors in the emergency sector. Based on these data, the doctors’ scale was considered the restriction of this process due to the long waiting time for care at certain times. Step 2: Explore the constraint: To identify the current patient flow and possible losses in the process, it is suggested to redesign the process using the value flow map (VSM) to help understand the patient flow visually, mapping all processes, as well as in the flow shown in Fig. 5.5. This tool is the most popular for describing the system from a lean perspective, indicating waste and possible opportunities for applying lean practices [20]. From the value flow map, losses in the process were identified, such as the fact that the doctor leaves the office to pick up the patient when the patient needs medication the doctor has to wait for a nurse to pick up the patient, some instruments, and documents were mixed making the doctor have to look for what he needed. These factors fall into the losses below: 1. 2. 3.

Loss due to waiting time; Loss from transportation; Loss due to movement.

In this case, to minimize losses, the standard operation technique was suggested, in which it is suggested to develop the standardization of all procedures, identifying necessary adjustments to make hospital care more agile. Other authors have already

5 Integrating the Lean System Concepts and the Theory …

67

Table 5.1 Availability of doctors in the offices Hour

Saturday

Sunday

Monday

Tuesday

Wednesday

Thursday

Friday

1

1

1

1

1

1

1

1

2

1

1

1

1

1

1

1

3

1

1

1

1

1

1

1

4

1

1

1

1

1

1

1

5

1

1

1

1

1

1

1

6

2

1

2

2

2

2

2

7

2

1

2

2

2

2

2

8

2

1

2

2

2

2

2

9

2

1

2

2

2

2

2

10

2

1

2

2

2

2

2

11

2

1

2

2

2

2

2

12

2

1

2

2

2

2

2

13

2

1

2

2

2

2

2

14

2

1

2

2

2

2

2

15

4

1

4

4

4

4

2

16

4

1

4

4

4

4

2

17

4

1

4

4

4

4

2

18

4

1

4

4

4

4

2

19

2

1

2

2

2

2

2

20

2

1

2

2

2

2

2

21

2

1

2

2

2

2

1

22

2

1

2

2

2

2

1

23

1

1

1

1

1

1

1

24

1

1

1

1

1

1

1

Source Adapted from [25]

used the standardization method [4, 27, 33] to define how tasks should be performed, standards to be met are defined, identifying more easily the deviations and allowing to identify with why these deviations occurred. Another suggestion in this step is the elimination of activities that do not add value. The ‘doctor–nurse’ technique, whose objective is to remove performed bureaucratic functions from doctors that can be redirected to nursing and administrative professionals, can be adopted to solve this problem. This finding corroborates [31], who claim that using the medical-nurse technique ensures greater doctors’ availability to perform activities that add value and contribute to reducing waiting times. The 5S tool is an exciting strategy for application in the office. Sánchez et al. [33] suggested it can establish what materials and equipment have to be in place and how and where they had to be placed. Thus, the following steps were performed as the tool indicates:

68

J. F. da Silva et al.

Fig. 5.4 Application of the focus steps in the study. Source Created by the authors (2021)

Fig. 5.5 Process value flow map. Source Created by the authors (2021)

5 Integrating the Lean System Concepts and the Theory …

69

Use (seiri): Separation of what was important for the service and what was not, eliminating obsolete or unnecessary documents left on the desk in the office. Medical tools rarely used in the visits were kept in a cabinet. Organization (seiton): The equipment and documents most used in the visits were strategically placed close to the doctor, and access to the stretcher was improved. Besides, it was established that at each shift change interval, the nursing team is responsible for making the room checklist, providing care kits for the next consultations, and checking that all equipment is perfect. This action collaborates so that there are no problems at the time of service. The senses of cleanliness (seiso) and hygiene (seiketsu): As it is a hospital, it is already strictly applied. Discipline (shitsuke): A conversation with all participants in the process is suggested to have a sense of continuous organization, putting the proposed measures into practice and ensuring the program’s efficiency. The 5 s is one of the tools used in healthcare environments and is considered a tool for assessing, improving, and monitoring the problem [8]. In the scenario studied here, the tool was used in only one step of the process, composing a broader improvement plan. However, in this case, the 5 s is better suited to the improvement step, corroborating with the statement of the authors [8] that it can be used at different stages of the process. For applying all these tools, it is suggested to create a group of employees who master the concepts of lean and TOC to support the process and carry out kaizen events. This action is in line with the findings of [27], who state that kaizen events are a team workshop, focused on improvements, in which the team meets to analyze a process, propose solutions, and test new processes, resulting in immediate improvements in the workflow. Step 3: Subordinate all activities to the bottleneck: Patient screening already occurs and is done according to the degree of urgency and procedures to be taken with the patient, being identified by colors. With the screening, the doctor is directed to an order of more severe patients to less serious ones and makes the bottleneck, in this case, the doctor, always busy according to the screening rules’ progress. The screening process already guarantees everyone’s subordination to the bottleneck since it places the entire care process operating in the medical capacity available at the moment. At this stage, the impact of providing a doctor instead of a nurse to perform the screening could be analyzed. According to Ref. [21], there are cases in which a doctor would already solve the care in the screening sector, this is for cases in which patients need imaging tests or a single medical consultation, or even discharge already would be dismissed at this point. On the other hand, there could be an increase in the screening time, as the doctor’s check would be more intense than by the nurse. Hence the need to test the scenario and compare the results. Step 4: Raise the restriction: According to the service peaks presented, it is suggested as a lifting of the restriction, a redistribution of the medical scale. Table 5.2 shows the redistribution of the hospital emergency’s medical scale, according to

70

J. F. da Silva et al.

Table 5.2 Adjusted scale proposal for doctors in the offices Hour

Saturday

Sunday

Monday

Tuesday

Wednesday

Thursday

Friday

1

1

1

1

1

1

1

1

2

1

1

1

1

1

1

1

3

1

1

1

1

1

1

1

4

1

1

1

1

1

1

1

5

1

1

1

1

1

1

1

6

4

1

4

4

4

4

2

7

4

1

4

4

4

4

2

8

4

1

4

4

4

4

2

9

4

1

4

4

4

4

2

10

4

1

4

4

4

4

2

11

4

1

4

4

4

4

2

12

4

1

4

4

4

4

2

13

4

1

4

4

4

4

2

14

4

1

4

4

4

4

2

15

4

1

4

4

4

4

2

16

4

1

4

4

4

4

2

17

4

1

4

4

4

4

2

18

4

1

4

4

4

4

2

19

2

1

2

2

2

2

2

20

2

1

2

2

2

2

2

21

2

1

2

2

2

2

2

22

2

1

2

2

2

2

2

23

1

1

1

1

1

1

1

24

1

1

1

1

1

1

1

Source Adapted from [25]

a simulation study carried out. In this proposal, there will be more doctors available in the hours with the highest peak of patients, reducing the waiting time. Step 5: Do not let inertia take over the system: In this step, it is suggested to analyze other possible bottlenecks in the process after eliminating the bottleneck related to the medical scale, identified through kaizen events or through tools such as voice of the customer (VOC) which aims to understand the most important aspects for customers (quality) and work on these aspects to improve the quality of care [2]. Once a new bottleneck has been identified, the process must be performed again.

5 Integrating the Lean System Concepts and the Theory …

71

5.5 Conclusion From the use of the principles of the theory of constraints and the tools of the lean system, it was possible to suggest improvements in the process of patient care in a hospital emergency department. The five-step method of focusing on the theory of constraints allowed us to identify the bottleneck, explore it, and propose a process of continuous improvement. The lean system tools were suggested to be used integrated to the principles of the theory of constraints. Among the tools, the value flow map was suggested for redesigning the process and identifying losses. The process standardization tool can be used to improve care. The doctor–nurse technique can redistribute tasks that can be performed by support areas and the application of the 5 s tool in doctors’ offices to eliminate losses. Besides, it is suggested that kaizen events and the application of voice of the customer be carried out, guaranteeing the monitoring and continuation of the improvement process. This study has limitations, including the fact that the suggested improvements have not been tested. Given this, there is no way to quantify the results obtained by these improvements. It is known that the study carried out previously by Magalski and Vaccaro [25], with the same data, in this same context and using only the simulation method, points out that the readjustment of the medical scale contributed to an average reduction of 12% in the time of waiting for assistance. The use of the improvements proposed by this study, which encompass the concepts of the theory of constraints and the lean system, associated with the readjustment of the medical scale should contribute to an even more significant reduction, since, with these methods, system losses were eliminated and not there was only the adjustment of capacity. The literature review shows that there is interest in studies that seek solutions to problems related to health. The review showed that the application of the theory of constraints and the lean system can be favorable to manage health processes. Therefore, it is suggested as a future work to implement the improvements suggested in this work, in this medical emergency, and in other departments of this and other hospitals, and to quantify the results obtained. The main focus of the work was the association of these two principles to promote a reduction in the waiting time for assistance, contributing to improving the health sector’s performance. Considering that this study used the integration of two methods already tested in healthcare environments, which presented positive results, and that the research was produced with actual data, it is believed that there is potential for this work to be used as a source of consultation for future research and assist in solving problems in this area.

72

J. F. da Silva et al.

References 1. Aaronson E, Mort E, Soghoian S (2017) Mapping the process of emergency care at a teaching hospital in Ghana. Healthcare. https://doi.org/10.1016/j.hjdsi.2016.12.001 2. Al Owad A, Karim MA, Ma L (2014) Integrated Lean Six Sigma approach for patient flow improvement in hospital emergency department. In: Advanced materials research, vol 834, pp 1893–1902. Trans Tech Publications Ltd. https://doi.org/10.4028/www.scientific.net/AMR. 834-836.1893 3. Al-Munayes D, Al-Mahdi F, Bahman S et al (2018) Reduction of patient prolonged length of stay in the emergency department using lean six sigma. IEOM Soc Int 27:29. http://ieomso ciety.org/dc2018/papers/363.pdf. Accessed 14 Oct 2021 4. Allaudeen N, Vashi A, Breckenridge JS et al (2017) Using lean management to reduce emergency department length of stay for medicine admissions. Qual Manag Health Ca. https://doi. org/10.1097/QMH.0000000000000132 5. Antunes J (2009) Production systems: concepts and practices for lean production management and projects. bookman editor, Porto Alegre. Online document (no DOI available) 6. CFM—Federal Council of Medicine (2018) Brazil loses 34.2 thousand beds in the SUS. Cremeb. https://www.cremeb.org.br/index.php/noticias/em-oito-anos-brasil-perde-342-mil-lei tos-de-internacao-no-sus/. Accessed 14 Oct 2021 7. CNI—National Confederation of Industries (2020) Education and employment are the main priorities for 2020. https://noticias.portaldaindustria.com.br/noticias/economia/empregoe-saude-prioridades-em-2021/. Accessed 14 Oct 2021 8. Daultani Y, Chaudhuri A, Kumar S (2015) A decade of lean in healthcare: current state and future directions. Glob Bus Rev. https://doi.org/10.1177/0972150915604520 9. Eisenhardt KM (1989) Building theories from case study research. Acad Manage Rev. https:// doi.org/10.5465/amr.1989.4308385 10. El Sayed MJ, El-Eid GR, Saliba M et al (2015) Improving emergency department door to doctor time and process reliability: a successful implementation of lean methodology. Medicine. https://doi.org/10.1097/md.0000000000001679 11. Flores ECC (2013) Optimisation via simulation for healthcare emergency departments. Universitat Autònoma de Barcelona. https://www.tdx.cat/handle/10803/129148#page=9. Accessed 14 Oct 2021 12. Garza-Reyes JA, Villarreal B, Kumar V, Diaz-Ramirez J (2019) A lean-TOC approach for improving Emergency Medical Services (EMS) transport and logistics operations. Int J Log Res Appl 22(3):253–272. https://doi.org/10.1080/13675567.2018.1513997 13. Ghanes K, Wargon M, Jouini O et al (2015) Simulation-based optimization of staffing levels in an emergency department. SIMULATION. https://doi.org/10.1177/0037549715606808 14. Groop J, Reijonsaari K, Lillrank P (2010) A theory of constraints approach to health technology assessment. IEEE. https://doi.org/10.1109/etelemed.2010.28 15. Gul M, Guneri AF (2015) A comprehensive review of emergency department simulation applications for normal and disaster conditions. Comput Ind Eng. https://doi.org/10.1016/j.cie.2015. 02.018 16. Gupta MC, Boyd LH (2008) Theory of constraints: a theory for operations management. Int J Operat Prod Manage. https://doi.org/10.1108/01443570810903122 17. Hines P, Rich N (1997) The seven value stream mapping tools. Int J Oper Prod Man. https:// doi.org/10.1108/01443579710157989 18. Holweg M (2007) The genealogy of lean production. J Oper Manag. https://doi.org/10.1016/ j.jom.2006.04.001 19. IBGE—Brazilian Institute of Geography And Statistics (2010) Coordination of population and social indicators. health statistics: medical and health care. https://biblioteca.ibge.gov.br/visual izacao/livros/liv46754.pdf. Accessed 14 Oct 2021

5 Integrating the Lean System Concepts and the Theory …

73

20. Improta G, Romano M, Di Cicco MV et al (2018) Lean thinking to improve emergency department throughput at aorn Cardarelli Hospital. Bmc Health Serv Res. https://doi.org/10.1186/ s12913-018-3654-0 21. Joubert E, Espinasse MA, Nakhla M (2015) Patients flow optimization in ed: an operational research on the impacts of physician triage. IESM. https://ieeexplore.ieee.org/abstract/doc ument/7380220?casa_token=HUSeBCke9y4AAAAA:ofQJYGDt89YIrWq5LvyajqF4Dxw Wgaq57JFp9FjyKm_JQNvVxpPM1fNkRHkqgklz2ngENNLDUlU. Accessed 14 Oct 2021 22. Kaushal A, Zhao Y, Peng Q, Strome T, Weldon E, Zhang M, Chochinov A (2015) Evaluation of fast track strategies using agent-based simulation modeling to reduce waiting time in a hospital emergency department. Socio-Econ Plann Sci 50:18–31. https://doi.org/10.1016/j.seps.2015. 02.002 23. Lander E, Liker JK (2007) The Toyota production system and art: making highly customized and creative products the Toyota way. Int J Prod Res 45(16):3681–3698. https://doi.org/10. 1080/00207540701223519 24. Lorenzetti J, Lanzoni GMDM, Assuiti LFC et al (2014) Health management in Brazil: dialogue with public and private managers. Texto Contexto Enfer. https://doi.org/10.1590/0104-070720 14000290013 25. Magalski D, Vaccaro G (2017) Improvement of the patient care process in a hospital emergency: a simulation-based study. Sigepro. https://even3.blob.core.windows.net/anais/51319.pdf?v=2. Accessed 14 Oct 2021 26. Municipal Health Secretary (2018) Annual management report. Federative republic of Brazil. https://www.saoleopoldo.rs.gov.br/download_anexo/Relat%C3%B3rio%20Anual%20de% 20Gest%C3%A3o%20de%202018%20com%20ata%20%20e%20%20lista.pdf. Accessed 14 Oct 2021 27. Naik T, Duroseau Y, Zehtabchi S et al (2012) A structured approach to transforming a large public hospital emergency department via lean methodologies. J Healthc Qual. https://doi.org/ 10.1111/j.1945-1474.2011.00181.x 28. Ohno T (1997) The Toyota production system in addition to production. Bookman editor, Porto Alegre 29. Patwardhan MB, Sarría-Santamera A, Matchar DB (2006) Improving the process of developing technical reports for health care decision-makers: using the theory of constraints in the evidencebased practice centers. Int J Technol Assess. https://doi.org/10.1017/s026646230605080x 30. Rohleder TR, Lewkonia P, Bischak DP et al (2011) Using simulation modeling to improve patient flow at an outpatient orthopedic clinic. Health Care Manag Sc. https://doi.org/10.1007/ s10729-010-9145-4 31. Rosso CB, Saurin TA (2018) The joint use of resilience engineering and lean production for work system design: a study in healthcare. Appl Ergon. https://doi.org/10.1016/j.apergo.2018. 04.004 32. Sadat S, Carter MW, Golden B (2013) Theory of constraints for publicly funded health systems. Health Care Manag Sci. https://doi.org/10.1007/s10729-012-9208-9 33. Sánchez M, Suarez M, Asenjo M et al (2018) Improvement of emergency department patient flow using lean thinking. Int J Qual Health C. https://doi.org/10.1093/intqhc/mzy017 34. Shingo S (1996) The Toyota production system. Bookman editor, Porto Alegre 35. Sim¸sit ZT, Günay NS, Vayvay O (2014) Theory of constraints: a literature review. Procd Soc Behv. https://doi.org/10.1016/j.sbspro.2014.09.104 36. Taylor LJ, Nayak S (2012) Goldratt’s theory applied to the problems associated with an emergency department at a hospital. Admin Scis. https://doi.org/10.3390/admsci2040235 37. Tejedor-Panchon F, Montero-Perez FJ, Tejedor-Fernandez M et al (2014) Improvement in hospital emergency department processes with application of lean methods. Emergencias. https://www.researchgate.net/publication/287630964_Improvement_in_hospital_eme rgency_department_processes_with_application_of_lean_methods. Accessed 14 Oct 2021 38. Vermeulen MJ, Stukel TA, Guttmann A et al (2014) Evaluation of an emergency department lean process improvement program to reduce length of stay. Emergen Med. https://doi.org/10. 1016/j.annemergmed.2014.06.007

74

J. F. da Silva et al.

39. Vose C, Reichard C, Pool S et al (2014) Using lean to improve a segment of emergency department flow. J Nurs Admin. https://doi.org/10.1097/nna.0000000000000098 40. WHO—World Health Organization (2018) Public spending on health: a closer look at global trends. World Health Organization. https://www.who.int/publications-detail-redirect/WHOHIS-HGF-HFWorkingPaper-18.3. Accessed 14 Oct 2021 41. Wu F, Jia T, Liu S et al (2009) The analysis of service station allocation in the hospital based on bottleneck model. Int J Serv Technol Manage. https://doi.org/10.1504/ijstm.2009.025236 42. Zeltyn S, Marmor YN, Mandelbaum A et al (2011) Simulation-based models of emergency departments: operational, tactical, and strategic staffing. Acm T Model Comput. https://doi. org/10.1145/2000494.2000497

Chapter 6

Numerical-Experimental Study of the Behavior of an Implant for the Stabilization of Radius and Cubit Fractures Juan Alfonso Beltrán-Fernández, Luis Héctor Hernández-Gómez, Jesús Efraín Domínguez-Ramírez, Juan Carlos Hermida-Ochoa, Cesar Antonio Pérez-Trujillo, and Alejandro González Rebattú y González

Keywords Volar plate · Distal radius · Locking plate · Osteosynthesis

6.1 Introduction Distal radio fractures are among the most common bone lesions. The objectives after surgical treatment are to achieve and maintain anatomical reduction while consolidating the fracture, restore the movement, and recover the force of the wrist [1–4]. The technique of open reduction and internal fixation has become the common method of treatment for fractures of this type. It has also been shown that internal fixation by plates has become the ideal treatment for distal radio fractures [5, 6]. The application of these by a flying approach allows the effective reduction and fixation of articular fragments, even in fractures J. A. Beltrán-Fernández (B) · L. H. Hernández-Gómez · J. E. Domínguez-Ramírez · C. A. Pérez-Trujillo Instituto Politécnico Nacional-Escuela Superior de Ingeniería Mecánica y Eléctrica-Sección de Estudios de Posgrado e Investigación Edificio 5, 2do Piso, Unidad Profesional Adolfo López Mateos “Zacatenco” Col. Lindavista, C.P. 07738 Ciudad de México, México e-mail: [email protected] C. A. Pérez-Trujillo e-mail: [email protected] J. C. Hermida-Ochoa Centro de Investigación y Laboratorio de Biomecánica, Carmen #18, Col.Chimalistac San Ángel, C.P. 01070 Ciudad de México, CDMX, México A. G. R. González ISSSTE, Hospital Regional 1° de Octubre. Av. Instituto Politécnico Nacional 1669, Gustavo A. Madero, 07300 Ciudad de México, CDMX, México © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_6

75

76

J. A. Beltrán-Fernández et al.

with dorsal displacement, decreasing the incidence of tendinitis and tendon ruptures associated with the use of treatments by a dorsal approach [7–12]. However, despite being a treatment that is used in certain cases, there are certain situations related to weight, design, application functionality, and interfragmentary compression that require improvement and function as a backbone in this research. The objective of this work is to study the mechanical behavior of a flying plate, for distal radio fractures, installed by the RAFI technique. This should be designed in such a way as to allow controlled inter-fragmentary compression. The fractures analyzed are classified by the Association for the Study of Internal Fixation (AO) and the Orthopedic Traumatology Association (OTA), as a distal radius fracture covering extra-articular type, partial articular and complete joint, 23A, 23B and 23C, respectively. This research allows deepening in the medical area learning surgical techniques, post-traumatic treatments, technical concepts, as well as the use of tools and knowledge of biomechanics, which related to mechanical engineering become fields of great professional interest.

6.2 Materials and Methods The implant, together with distal radius, were generated and analyzed using different computational tools. ScanIP was generate the biomodel of the distal radius from the computerized tomography of a patient, SolidWorks was used for the creation of the implant, as well as for the assembly of this to the biomodel (distal radius) and programs like ANSYS worked for the numerical analysis, while for experimental analysis, the biomodels were 3D printed (PLA). Furthermore, they underwent different loads in a LIVE AMTI simulator. The experimental test was recorded and studied in an image correlation program (GOM Correlated), which allowed to observe the deformations behavior in the plate (Fig. 6.1).

6.2.1 ScanIP Segmentation Through the tools of this ScanIP, the study area was segmented, being this, the full radius of the left arm. It was segmented in such a way that we could get only the cortical bone, and Fig. 6.2 shows the cortical bone and the gap generated by the lack of spongy bone. After it was previewed and the appropriate model generated, the file was exported to STL to continue editing.

6 Numerical-Experimental Study of the Behavior of an Implant … Obtaining 3D biomodel using ScanIP.

77 Model Segmentation

Segmentation of the study area and creation of 3D biomodel. Design of the PCC. Parameterization and ergonomics of the board, compression system

Plate Design

and locking system using SolidWorks. . Assembly of the plate to the biomodel Fracture simulation 23A and placement of the plate, hardware and co

Assembly of the Biomodel

mpression system.

Numerical analysis - experimental Numerical and experimental preparation of the biomodel. Numerical analysis in ANSYS. Experimental analysis AMTI VIVO in GOM Correlate.

Numerical and Experimental Analysis

Fig. 6.1 Methodology for numerical—experimental analysis

a)

b)

c)

d)

Fig. 6.2 Image segmentation. a Distal image of the radio. b and c Diaphyseal image of the radio. d Proximal radio image

78

J. A. Beltrán-Fernández et al.

Fig. 6.3 Reconstructed model from segmentation after it was exported to an STL format

6.2.2 3D Models Once the model was created, it was continued to be exported in STL file for best manipulation in CAD programs (computer-aided design). The STL file of the radio was imported into SolidWorks using a file format known as: solid body. In turn, it was necessary to find zero interference in the solid to obtain an optimal model, moving from the model obtained in ScanIP to one ideal to work in the CAD program (Fig. 6.3).

6.2.3 Plate Design For the design of the plate, it was necessary to know information about geometry, ergonomics, and material, among other aspects of the current commercial background and plates. Knowing this information helped to lay the foundation for the implant to generate sketches, innovate, and look for alternatives to current models.

6.2.4 Compression System The main objective of this work was to achieve a controlled inter-fragmentary compression system. It was sought to have a simple system capable of generating a slippage that performs an inter-fragmentary compression. The proposal consisted of a conventional rack-pinion system, straight gear. The board consists of three parts: head, body, and compression mechanism. The body shall have a rack and a pinion attached, which shall be mounted on the head by means of an axle. After placing

6 Numerical-Experimental Study of the Behavior of an Implant …

79

Fig. 6.4 Parts of the compression system

the parts on the bone, a twist is applied and the zipper is slid by compressing the fragments of the fracture, as shown in Fig. 6.4.

6.2.5 Compression System LOCK-UP To block the plate movement, a “Badge” system was designed. It is similar to that used in tools that require a spin. The system consists of a pinion, rack, and wedge. It was designed considering the wedge allows the clockwise rotation (Fig. 6.5a) and blocks the anti-clockwise rotation of the pinion (Fig. 6.5b), thus allowing inter-fragmentary compression and avoiding the displacement of the rack outside the head geometry. Once the separation between fragments is adequate, according to the physician’s judgment, the wedge is placed in such a way as to prevent the displacement of the zipper, as shown in Fig. 6.5b.

Fig. 6.5 Compression system lock. a Starting position where the system allows the rack to be moved. b Locking position, movement is blocked by a rattle, a wedge is placed in such a way that it blocks the rack offset

80

J. A. Beltrán-Fernández et al.

Fig. 6.6 Results of the analysis of the second system proposal. Module 0.4

6.2.6 Zipper-Pinion System Based on the gears and zippers provided by solidworks, as well as the morphological measurements that the volar zone of the distal radius consider. To continue with the design, it was necessary to evaluate in the ANSYS program whether the proposed system was capable enough to support the biomechanical understandings loads that operate on the wrist (radio). For the system, the 150 N compression load was applied to the rack end, and the pinion rotation was fixed. The material proposed as a study for the preparation of the plate is a titanium alloy (Ti6Al4V). It is a medical grade metal for implants and hardware. Its behavior is fragile and rigid with a 965 MPa yield stress value. The results were favorable with the design 592.55 MPa as maximum stress of von Mises (Fig. 6.6).

6.2.7 Plate Head and Body The measurements and geometry of the board depend on the aspects that the manufacturer needs to consider. The width of the board is between 19.5 and 29 mm, and the length between 42 mm and 175.5 mm, and the east depends on the fracture extending to approximately [13–16]. The selection of the screws, as well as the measurements and geometry of the board, depends on the type of fracture and the consideration given by the specialist. However, the diameter of the screws is not very varied, with the thinnest screws between 1.8 and 2.4 mm for the head of the board, i.e., for the epiphysis, and thick screws, between 2.7 and 3.5 mm, for the board body, the metaphysis. Slim screws are for fastening the fractures fragments and thick screws as the primary support for securing the plate to the bone [13–16]. In order to compete with the different flying plates on the market, it is essential to make the board fit as best as possible to the surface of the bone to improve ergonomics.

6 Numerical-Experimental Study of the Behavior of an Implant …

81

For this purpose, the base was created in the xz drawing with the morphological measures [17]. This facilitated the parameterization of the fly surface of the distal radius (Fig. 6.7). SolidWorks® extruded the parameterizations with the tools that the software provides. The cut for the pinion and rack space were important (Fig. 6.8a). Subsequently, a cut was made with the space where the wedge is placed (Fig. 6.8b). In the final phase, the holes corresponding to the 2.4 mm cortical screws (Fig. 6.8c) were drilled, the location of the cortical screws was according to the expert physician’s suggestions. For the body creation, a rectangular solid was created, and a zipper was attached with the same pinion module. 2 holes corresponding to the 3.5 mm cortical screws and an adjustment hole were punched, allowing the board to be moved more accurately before being fully seated (Fig. 6.9).

iL

rL

WD 25 mm

a)

C

b)

Fig. 6.7 Parameterization of the surface to fly applied to the board

Fig. 6.8 Plate modification. a Cuts corresponding to the space occupied by the pinion and rack. b Cutting for wedge space. c Punch the holes corresponding to the 2.4 mm cortical screws

82

J. A. Beltrán-Fernández et al.

Fig. 6.9 Plate body measurements

Epífisis

Metáfisi

Fig. 6.10 Simulation of the dorsal fracture 23C with an angle of 30°

6.2.8 Assembly of the Plate in the Model It was necessary to simulate a 23 A dorsal fracture with an angle of 30° generating two solids, one with the epiphysis and one with the metaphysis (Fig. 6.10) [18–20]. Subsequently, the plate assembly was added, and the collinear plate axis was adjusted to the radial bone axis, then the board head was placed near the radius divider basin, as shown in Fig. 6.10. For fastening, in both parts of the model, the diameter of the cortical screws for the fracture considered 2.4 mm for the epiphysis and 3.5 mm for metaphysis with no rope. Each screw was modeled as pins with the same length and were placed concentrically in their corresponding holes of the plate and bone (Fig. 6.11).

6.3 Numerical Analysis 6.3.1 Preparing For the numerical analysis, a solid was extruded into the radius epiphysis where the loads could be applied evenly. The two parts that make up the board (head and body) were placed in the same area as the radio. However, the inter-fragmentary gap was strategically adjusted in three different locations without changing the path, for

6 Numerical-Experimental Study of the Behavior of an Implant …

83

Fig. 6.11 The final assembly of the model. Items: epiphysis, metaphysis, head and body of the board, pinion with hex head, wedge and cortical screws of 2.4 and 3.5 mm

position 1 to 0 mm, position 2 to 1.4 mm, and position 3 to 3.9 mm, as shown in Fig. 6.12a–c, respectively. The three proposed positions were restricted on the surface of the near end. The loads were applied on the extrusion designed and centered on the articular radiocarpian surface (Fig. 6.12). They were made for each position in the plate for each numerical analysis. The first place for the compression load of 100 N, the second place for twist time 1 Nm, the third place for bending time 1 Nm and the last one for the combination of the previous. The idea is to reproduce the rehabilitation loads that should not be exceeded, in accordance to the therapy process [21–27]. To perform the position and the results, it was necessary to list each hole where the cortical screws are placed, as shown in Fig. 6.13.

6.3.2 Results The total deformation values are presented in millimeters (mm). These are reflected in image form through a minimum value scale, that is, the resting state of the implant at the application of the load. Figure 6.14 shows the point with the greatest deformation or displacement in the most distal area of the plate head. Figure 6.15 shows the equivalent von Mises (MPa) stress. For position 1, the maximum stress was presented in the hole T3.5.1 in the board body in the farthest zone, reaching 296.83 MPa for combined loads, followed by 203.03 MPa in T2.4.7 for the flex load, 191.38 MPa in T2.4.4 7 for twist time, and finally 57,535 MPa at T2.4.7 for compression load. Unlike the study at position 1, at position 2 and 3 regardless of load type, the maximum stress was found in the first teeth of the rack. In position 2, the maximum stress value reached 1102.5 MPa for the combined loads, followed by torsion with

84

J. A. Beltrán-Fernández et al.

Loading

a)

1.4 mm

3.9 mm

b)

c)

Constraints Fig. 6.12 Plate positions. a Position 1. There is no separation between the head and body of the plate. b Position 2. The head-to-plate spacing is 1.4 mm. c Position 3. The head-to-plate spacing is 3.9 mm

Fig. 6.13 Marked of the holes according to their order and diameter

615.95 MPa, bending with 597.45 MP, and finally, compression with 566.32 MPa. In position 3, the maximum stress of 1182.9 MPa was reached when the combined loads were applied, followed by torque with 705.92 MPa, flex with 697.21 MPa, and finally, compression with 547.9 MPa.

6 Numerical-Experimental Study of the Behavior of an Implant …

85

Deformacion Total (mm)

Deformación Total 3.00 2.50 2.00 1.50 1.00 0.50 0.00 Posición 1 Posición 2 Posición 3

Compresión 0.43 0.97 0.64

Flexión 0.68 0.96 0.98

Torsión 1.05 1.33 1.57

Combinados 1.67 2.38 2.67

Tipo de Carga

Esfuerzo Equivalente von Mises (MPa)

Fig. 6.14 Total deformation results for the board at different locations

Esfuerzo Equivalente von Mises 1000 800 600 400 200 0 Posición 1 Posición 2 Posición 3

Compresión 97.5 566.3 547.9

Flexión 191.4 615.9 705.9

Torsión 203.0 597.5 697.2

Combinados 296.8 1102.5 1182.9

Tipo de Carga Fig. 6.15 von Mises equivalent stress results for the plate in different positions

6.4 Experimental Analysis 6.4.1 Preparation Replicates of the models, affected bone and implant were made by 3D printing in poly lactic acid (PLA) material. Because of the manufacturing process, the plates are complex and expensive in titanium alloy metals.

86

J. A. Beltrán-Fernández et al.

Different aspects were taken into account to make the printing, the AMTI VIVO system has an aluminum head for vertical tests and a fastening base that was manufactured for tests prior to this. A solid was designed that connects the head with the model using prefabricated steel screws. In turn, two solids were projected to the model; one that assembled in the connector and another that was assembled in the fastening base of the AMTI VIVO. Making a set of four pieces for the assembly to AMTI VIVO, the aluminum vertical head, the connector between head and model of PLA, the model (with the upper and lower projections already mentioned), and the base fastener of PLA (Fig. 6.16). GOM correlate software® develops a technique of digital image correlation of a specimen subjected to normal or sharp stresses for later analysis. For this, once the model is printed, it must be speckled with a contrasting pattern. The base was painted white and the mottling was generated with black paint (Fig. 6.17). To initiate the experimental test, the AMTI VIVO system was configured in such a way that a sine wave was created with the necessary characteristics so that, like the numerical analysis, an axial load of compression of 110 N, bending of 1 Nm, and torsion of 1 Nm was applied. Each wave represents a cycle, so the required cycles for the model to fail were made so that the most critical results were obtained.

Fig. 6.16 Essential parts for the experimental test

6 Numerical-Experimental Study of the Behavior of an Implant …

a)

87

b)

Fig. 6.17 Model before and after to be tested. a Non-optimized plate and b optimized plate

6.4.2 Results The results are given by displacement graphs and deformation percentage. The results obtained for the different model zones were geometrically validated in the numerical testings. Figure 6.18 shows the results for the deformation percentage just before the model fracture, reaching its peak of 28.145% on the head of the plate, i.e., at the height of the fracture 23 A, where the contact between the pinion and the zipper is found.

Fig. 6.18 Labeling in GOM Correlate® for more accurate analysis

88

J. A. Beltrán-Fernández et al.

First Cycle

Second Cycle

Fig. 6.19 Time plot versus deformation percentage for optimized plate

The experimental analysis with applied loads generated the following time versus percentage of deformation plot which showed that, due to the material, the model only supported two cycles (Fig. 6.19). At the same time, it confirmed that the most critical points of deformation correspond to the middle zone of the head, followed by T2.4 screws and T3.5 screws that receive the lowest percentage of deformation.

6.5 Conclusions From the results obtained, it can be deduced that although the total deformation is greater, in any case for the optimized plate over the not optimized plate, both implants support the maximum individual and combined forces that the patient can reach in his rehabilitation period, in reference to the yield value of the titanium alloy (Ti6Al4V) of 965 MPa. It should be noted that the values of stress and deformation increase while the distance between the head and body of the plate is greater (Position 1– Position 3), emphasizing the bending load, since while this distance increases, and the lever arm is greater. Because of the 2 and 3 positions are exaggerated cases and not recommended for fixation, it that was added an adjustment hole, which allows to insert a cortical screw that works as a guide and allows to move the plate to an ideal position before being fixed, thus achieving a proper compression with the distance between the head and the body as small as possible. In order to have greater confidence that the numerical analysis showed with certainty that the plate is adequate, it was necessary to compare this with an experimental analysis, and thus, determine if the zones of concentration of stress coincide. In the first instance, it should be noted that the results obtained in the experimental

6 Numerical-Experimental Study of the Behavior of an Implant …

89

analysis are not all comparable with those obtained in the numerical analysis. This is because the models were made in 3D printing and not in the material proposed by the doctor. For the experimental case of the image correlation method, deformation percentage values were obtained where stress concentrators are seen in the numerical analysis. However, the model did not reach the applied loads and the fracture occurred from the first cycle, i.e., it did not exceed the load proposed in the numerical analysis. This was because the models were made in 3D printing and not in the material proposed by the doctor. For the experimental case of the image correlation method, deformation percentage values were obtained where the stress concentrators seen in the numerical analysis exist. However, the biomodel did not reach the applied loads and the fracture occurred from the first cycle, i.e., it did not exceed the load posed in the numerical analysis. In turn, it can be concluded that the experimental analysis in printed biomodels in PLA, apart from serving as a demonstrative exercise, can also help to corroborate stress concentration areas, and thus, be able to make modifications in some proposed implant. The proposed implant can be a viable option to correct and achieve a more precise bonding between bones. Also, good use of this can achieve primary bone consolidation, that is, an automatic welding without soft callus formation. The medical criterion is very important for this numerical and experimental testings [28].

References 1. Mäyränpää MK, Mäkitie O, Kallio PE (2010) Decreasing incidence and changing pattern of childhood fractures: a population-based study. J Bone Miner Res 25(12):2752–2759 2. García-Valadez LR, Guzmán-Espinosa SI, Montelongo-Mercado E (2013) Epidemiología de las fracturas en el Servicio de Urgencias del Hospital Central Militar. Rev Sanid Milit 67(4):147–151 3. Hedström EM, Svensson O, Bergström U, Michno P (2010) Epidemiology of fractures in children and adolescents: increased incidence over the past decade: a population-based study from northern Sweden. Acta orthopaedical 81(1):148–153 4. Domínguez Gasca LG, Orozco Villaseñor SL (2017) Frecuencia y tipos de fracturas clasificadas por la Asociación para el Estudio de la Osteosíntesis en el Hospital General de León durante un año. Acta medica grupo Ángeles 15(4):275–286 5. Canale ST, Beaty JH (2012) Campbell’s operative orthopaedics e-book. Elsevier Health Sciences 6. AO Fundation (2020) of AO Fundation Surgery Reference website: https://surgeryreference. aofoundation.org/. Accessed on 04 Jun 2020 7. Kääb MJ, Frenk A, Schmeling A, Schaser K, Schuetz M, Haas NP (2004) Locked internal fixator: sensitivity of screw/plate stability to the correct insertion angle of the screw. J Orthop Trauma 18(8):483–487 8. Alter TH, Sandrowski K, Gallant G, Kwok M, Ilyas AM (2019) Complications of volar plating of distal radius fractures: a systematic review. J Wrist Surgery 8(3):255–262 9. Martineau PA, Berry GK, Harvey EJ (2007) Plating for distal radius fractures. Orthop Clin North Am 38(2):193–201

90

J. A. Beltrán-Fernández et al.

10. Tavakolian JD, Jupiter JB (2005) Dorsal plating for distal radius fractures. Hand Clin 21(3):341– 346 11. Ruch DS, Papadonikolakis A (2006) Volar versus dorsal plating in the management of intraarticular distal radius fractures. J Hand Surgery 31(1):9–16 12. Thorninger R, Madsen ML, Wæver D, Borris LC, Rölfing JHD(2017) Complications of volar locking plating of distal radius fractures in 576 patients with 3.2 years follow-up. Injury 48(6):1104–1109 13. Acumed (2018) Acu-Loc® 2 Wrist Plating System Surgical Technique https://www.acumed. net/wp-content/uploads/2018/06/Acumed-Surgical-Technique-EN-Acu-Loc-2-HNW00-06AB.pdf 14. Biomet (2018) DVR anatomic volar plating system surgical technique. https://homeorthoped ics.com/wp-content/uploads/2018/11/DVR%C2%AEAnatomicVolarPlatingSystemSurgical Technique.pdf 15. DePuySynthes (2016) Placa VA-LCP 2.4 bicolumnar para radio distal palmar Técnica quirúrgica. http://synthes.vo.llnwd.net/o16/LLNWMB8/INT%20Mobile/Synthes%20International/ Product%20Support%20Material/legacy_Synthes_PDF/DSEM-TRM-0815-0464-1c_LR.pdf 16. Synthes (2009) 2.4 mm LCP Distal Radius System. A comprehensive plating system to address a variety of fracture patterns. http://synthes.vo.llnwd.net/o16/Mobile/Synthes%20N orth%20America/Product%20Support%20Materials/Technique%20Guides/SUSA/SUTG2. 4DRPltJ4569F.pdf 17. Cho HJ, Kim S, Kwak DS (2017) Morphological study of the anterior surface of the distal radius. BioMed Res Int 18. Muratore Á, Rodríguez GLG, Dal Lago J, Robador N, Nazur G, Clembosky G (2015) Biomechanics of distal fixation in distal radius fracture: screws versus smooth pegs. Study in cadaveric models. Revista de la Asociación Argentina de Ortopedia y Traumatología 80(4):292–302 19. Osada D, Fujita S, Tamai K, Iwamoto A, Tomizawa K, Saotome K (2004) Biomechanics in uniaxial compression of three distal radius volar plates. J Hand Surgery 29(3):446–451 20. Peine R, Rikli DA, Hoffmann R, Duda G, Regazzoni P (2000) Comparison of three different plating techniques for the dorsum of the distal radius: a biomechanical study. J Hand Surgery 25(1):29–33 21. Lin YH, Lin CL, Kuo HN, Sun MT, Chen ACY (2012) Biomechanical analysis of volar and dorsal double locking plates for fixation in comminuted extra-articular distal radius fractures: a 3D finite element study. J Med Biol Eng 32(5):349–355 22. Osada D, Viegas SF, Shah MA, Morris RP, Patterson RM (2003) Comparison of different distal radius dorsal and volar fracture fixation plates: a biomechanical study. J Hand Surgery 28(1):94–104 23. Crosby SN, Fletcher ND, Yap ER, Lee DH (2013) The mechanical stability of extra-articular distal radius fractures with respect to the number of screws securing the distal fragment. J Hand Surgery 38(6):1097–1105 24. Putnam MD, Meyer NJ, Nelson EW, Gesensway D, Lewis JL (2000) Distal radial metaphyseal forces in an extrinsic grip model: implications for postfracture rehabilitation. J Hand Surgery 25(3):469–475 25. Wolfe SW, Lorenze MD, Austin G, Swigart CR, Panjabi MM (1999) Load-displacement behavior in a distal radial fracture model. The effect of simulated healing on motion. JBJS 81(1):53–59 26. Chen ACY, Lin YH, Kuo HN, Yu TC, Sun MT, Lin CL (2013) Design optimization and experimental evaluation of dorsal double plating fixation for distal radius fracture. Injury 44(4):527–534 27. Osorio A, Rodríguez D, Gámez B, Ojeda D (2010) Análisis numérico de una placa para fijación de fracturas de radio distal utilizando el Método de Elementos Finitos. Revista Ingeniería UC 17(1):28–36 28. Beltran-Fernandez JA, Öchsner A (eds) Design and simulation in biomedical mechanics, vol 146. Springer International Publishing. https://doi.org/10.1007/978-3-030-65983-7

Chapter 7

A Numerical Evaluation of the Structural Integrity of the Primary Containment of a BWR-5 Under LOCA Condition Jesús I. E. Palacios-Hernández, Luis A. Arenas-Magos, Yunuén López-Grijalba, Luis H. Hernández-Gómez, Juan Cruz-Castro, Israel A. Alarcón-Sanchez, and Juan A. Beltrán-Fernández Abstract In the first, the structural integrity of the primary containment was analyzed. The mechanical behaviour of the concrete and the reinforced concrete was evaluated with an equivalent modulus of elasticity. This is a simplified procedure. In a second alternative, the interaction between both materials was introduced in the evaluation. A sub-model was developed. A great number of elements was required. As a result, the computing resources increased. In the third procedure, beam elements were used in a sub-model of the zone of interest. The computing time was reduced. However, the development of the finite element mesh demands the skill of the designer. In all the cases, the results were in agreement. Keywords Reinforced concrete · Loss-of-coolant accident · Nuclear power plant · Beam element · Equivalent modulus of elasticity

7.1 Introduction The use of concrete structures as pressure vessels considers many operating factors: pressure conditions, temperature changes, corrosion, cyclical loads, material selection, etc. Their failures commonly occur in areas with geometric discontinuities.

J. I. E. Palacios-Hernández · L. A. Arenas-Magos · L. H. Hernández-Gómez (B) · J. Cruz-Castro · I. A. Alarcón-Sanchez · J. A. Beltrán-Fernández Instituto Politécnico Nacional, SEPI ESIME Zacatenco Unidad Profesional Adolfo López Mateos, Edificio 5, Segundo Piso, Colonia Lindavista, Alcaldía Gustavo A. Madero, C.P. 07738 Ciudad de México, Mexico e-mail: [email protected] J. I. E. Palacios-Hernández e-mail: [email protected] Y. López-Grijalba Instituto Politécnico Nacional, Unidad Profesional Interdisciplinaria de Ingeniería campus Hidalgo, Carretera Pachuca-Actopan km 1+500, Ciudad del Conocimiento y la Cultura, C.P.42162, San Agustín Tlaxiaca, Hidalgo, Mexico © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_7

91

92

J. I. E. Palacios-Hernández et al.

These structures store liquids or gases, which produce more complex operating conditions due to the internal pressure and the variation of temperature. These types of structures are used particularly in nuclear installations, in the chemical industry and in other areas. In the nuclear industry, the primary containment is made of reinforced concrete. Its main functions are the pressure suppression and the radioactivity control to protect the personnel, public and environment. Guidelines related with its inspection and its ageing management have been reported in: NUREG/CR-6424 [1], NUREG/CR-5466 [2], NUREG/CR-CR-4652 [3] and NUREG-1800 [4]. The reinforced concrete properties play an important role in the evaluation of the structural integrity. The characterization of concrete depends on the aggregates, the water-cement ratio and the concrete-steel interaction, mainly. Besides, normal and critical operating conditions, hydrostatic pressure, overpressure, etc., promote degradation of the structure and can affect the structural integrity of the containment. It is crucial to provide procedures or methodologies to evaluate the structural integrity of concrete structures and demonstrate that they fulfil the standards requirements. However, it becomes a complex process when an analytical method is used, and moreover, when the design of the structure represents a challenge to evaluate. Therefore, numerical methods have been widely used in the design of pressure vessels [5, 6]. During the life of the primary containment, normal, emergency and extraordinary conditions take place. All these events are transitory, in which pressure and temperatures vary. This is also the case for a loss of coolant accident (LOCA). In this paper, the macro-local mechanical response of the primary containment of a BWR-5 under critical operating conditions due to LOCA has been reported. Due to the characteristics of the materials, its structural integrity evaluation is not straightforward. Therefore, it is tried to find the best alternative for its numerical evaluation.

7.2 Statement of the Problem The mark II primary containment of a BWR-5 must maintain its structural integrity under different conditions of operation. The LOCA event is a severe condition that can take place. A variation of pressure and temperature is expected. In this event, the range of the temperature in the dry well is 608–630.7 °C (1126.4–1167.26 °F), whilst in the wet well is 30–177 °C (86–350.6 °F). On the other hand, the pressure variation in the primary containment is between 0.101325 MPa (14.690 psi) and 0.310264 MPa (45 psi). The primary containment is made of concrete and steel. The first one is a fragile material, and its strength depends on its components. On the other hand, the steel bars are ductile. In a simplified analysis, reinforced concrete may be assumed as homogeneous, isotropic and linear elastic with an equivalent modulus of elasticity. Alternatively, the interaction of both materials must be considered. A numerical

7 A Numerical Evaluation of the Structural Integrity …

93

analysis demands several informatic resources. For this reason, it is important to determine the adequate procedure. Three approaches have been followed in the numerical evaluation: (1) a model of the complete containment with an equivalent modulus of elasticity, (2) a sub-model, which considers the interaction between the concrete and steel and (3) a sub-model using beam elements as structural reinforced steel. In order to compare these three cases, the stress field close to the intersection of the base of the primary containment with the side wall of the wet well has been selected.

7.3 Materials and Method The primary containment is a cylindrical conical shaped structure, which is housed within the reactor building. The internal radius at the base is 11.55 m (454.72 in), and its thickness is 1.5 m (59 in). The minimum and maximum internal radiuses of the conical section are 5.563 m (219.015 in) and 11.55 m (454.72 in), respectively. The wall thickness of this section is the same as in the cylindrical section. The primary containment has a semi-elliptical removable lid, which is known as the head of the dry well. Its diameter is 4.236 m (166.77 in) (see Fig. 7.1a). The wall of the primary containment was made with reinforced concrete. For this analyzes, four

Fig. 7.1 a Primary containment evaluated with an equivalent modulus model, b the analysis of this sub-model was made considering the interaction between the concrete and steel and c sub-model analyzed with beam elements. Dimensions in metres

94

J. I. E. Palacios-Hernández et al.

circumferential layers of steel bars, combined with four layers of longitudinal bars, were considered. The diameter of each steel bar was 25.4 mm (1 in). Initially, the complete structure was used for the first alternative method and its deformation was obtained. Due to the complexity and quality mesh required, two sub-models were developed for the other alternative methods (Figs. 7.1b, c). The displacements on the boundaries for the sub-models were imported from the original model (Fig. 7.1a). In all the cases, the finite element analysis (FEA) was carried on with Ansys® Mechanical, release R20 on an Intel Xenon® workstation with 64 GB of RAM.

7.3.1 Analysis with an Equivalent Modulus of Elasticity Initially, the structural integrity of the whole containment was evaluated. The transient conditions that take place in a LOCA event were considered. There was an increase in pressure and temperature on the internal faces of the primary containment model (the variation of these parameter was described in Sect. 7.2). The bottom of the primary containment was fixed, and the weight of the containment was considered (see Fig. 7.2a). A transient thermal analysis was carried out.

Fig. 7.2 Pressure was applied on the internal surfaces of the containment, a complete model of the containment, b the concrete and steel bars were modelled in this sub-model and c sub-model generated with beam elements

7 A Numerical Evaluation of the Structural Integrity …

95

Fig. 7.3 Transformed section method

As the numerical evaluation requires several hours, the containment was modelled as a unique solid. An equivalent modulus of elasticity was introduced in the calculations. The methodology described in [7] was used for this purpose. It is described schematically in the Fig. 7.3. Ac is the area of concrete, whilst As is the area of steel. Ag is the homogeneous concrete section. Initially, the moduli of elasticity of the steel and concrete were used to obtain a modular ratio ‘n’. The moduli of elasticity of the concrete and steel were 30 GPa (4.35 Mpsi) and 193.38 GPa (28.04 Mpsi), respectively. The last was adjusted in accordance with temperature conditions. n=

193.38 Es = = 6.44 Ec 30

(7.1)

Under bending conditions, the strains of the concrete-steel interaction are the same at equal distances from the neutral axis. The stress field is different due to the different values of the moduli of elasticity of each material. The transformed section area corresponds to the cross sections of concrete, which can be treated as a homogeneous elastic material. The equivalent areas of concrete can be obtained by the modular ratio (Eq. 7.2) and the steel areas by Ac = n As

(7.2)

The equilibrium and compatibility of the deformations between the steel and the concrete must be considered, ∈s =∈c . It is fulfilled because the steel rod is corrugated, so there is mechanical adherence between both materials. In terms of stresses and moduli of elasticity. fc Es fs = → fs = fc → fs = n fc Es Ec Ec

(7.3)

In this case, the concrete-steel section is non-homogeneous. In accordance with the following equation: Ac + n As = A g + (n − 1)As

(7.4)

96

J. I. E. Palacios-Hernández et al.

At this point, the steel cross-section transformed to an equivalent concrete section is added. It is the term: n As . A g + (n − 1)As is obtained from the sum of forces. FT = Fc + Fs Substituting: FT = Ac f c + As f s Replacing: f s = n f c ; and Ac = A g − As FT = (Ac + n As ) f c → FT = (A g − As + n As ) f c Factoring the steel area As FT = (A g + (n − 1)As ) f c

(7.5)

The term in the parenthesis is the transformed concrete section. The deformation of a material can be obtained by δl = Pl/AE where: P: is the applied force, l: is the initial length of the workpiece, A: is the cross-section area and E: modulus of elasticity of the material. Rearranging the equation, the strain is defined as ε = δl/l and the axial stress σ = P/A. By replacing in the initial equation: which is the Hooke’s law. E = σ/ε. Considering the transformed crossE = P/A δl/l section equation and replacing it in the deformation equation, the areas of steel and equivalent concrete were obtained. PL PL = Ar E r At E t

(7.6)

The equivalent modulus of elasticity for this case of study was 24.980 GPa (3623.04 kpsi). Once the full-scale model has been obtained, it was discretized (Fig. 7.1a). 472,054 element and 972,328 nodes were required. The element used in the analysis was Solid 186. The simulation of this transient took 98 h.

7.3.2 Analysis with the Interaction Between the Concrete and the Steel Bars In the second approach, the steel rods, embedded in concrete, were modelled. Figure 7.4 shows only the inner and outer grids just for clarity. However, 4 grids were evaluated. It required 1,160,793 elements and 1,686,095. The rod assembly was modelled with the Solid 187 element. Bonded and contact conditions are generated along the circumferential and longitudinal rods, so contact 174 and target 170

7 A Numerical Evaluation of the Structural Integrity …

97

Fig. 7.4 Sub-model with the steel roads embedded in concrete

elements were used for this purpose. The moduli of elasticity of the reinforced steel and concrete were 200 GPa (29.01 Mpsi) and 30 GPa (4.35 Mpsi), respectively. The simulation time required a total of 260 h.

7.3.3 Analysis with Beam Elements In the last approach, each one of the steel roads were modelled with REINF264 beam elements. They consider the interaction between both materials. Figure 7.5a illustrates a solid model of the steel grid. Figure 7.5b shows the steel grid, which was modelled with REINF264 elements. 43,792 elements and 75,453 nodes were used. The simulation time was 12.5 h.

7.4 Results The results of an initial calculation have shown that the intersection of the base floor and the lateral walls was under high stresses. In order to make a comparison, all the results were compared close to such intersection. It was avoided the peak stresses developed at such intersection. In this way, the circumferential and longitudinal stresses were calculated.   The thickness-diameter ratio was D t = 23.10 m 1.5 m = 15.4 > 10. Therefore, thin-walled conditions were assumed. Table 7.1 summarizes the results obtained. They were compared with those calculated with three approaches proposed in this paper.

98

J. I. E. Palacios-Hernández et al.

Fig. 7.5 Beam element model, a solid model of the reinforcing steel beams and b element REINF264

Table 7.1 Circumferential and longitudinal stresses

Maximum principal stress (circumferential) [MPa]

σc =

PR t

= 2.39(346.49 psi)

Longitudinal stress [MPa]

σl =

PR 2t

= 1.19(173.24 psi)

7.4.1 Results of the Analysis with an Equivalent Modulus of Elasticity In the problem at hand, a simplified evaluation with an equivalent modulus of elasticity was used. Figure 7.6a shows that the maximum deformation was 5.69 mm (0.022 in). Figure 7.6b illustrates the maximum principal stress field. The maximum value was 2.39 MPa (346.64 psi), and it was at the zone of interest. Figure 7.6c shows that the minimum principal stress (longitudinal stress) was 1.21 MPa (75.50 psi). These results are in line with those reported in Table 7.1.

7 A Numerical Evaluation of the Structural Integrity …

99

Fig. 7.6 Transient analysis of the mark II primary containment. a Deformation field, b maximum principal stress field and c longitudinal stresses field

7.4.2 Results of the Analysis with the Interaction Between the Concrete and the Steel Bars In this case, the common surfaces of both materials, such as concrete and steel, were considered as perfectly joined. Besides, the discretization of the structural steel was more refined. This procedure implied the generation of a larger number of elements, which resulted in a longer processing time. Figure 7.7a illustrates the deformation of the sub-model. The maximum principal stress (see Fig. 7.7b) was 2.39 MPa (346.64 psi). The maximum longitudinal stress was 1.19 MPa (172.59 psi) (Fig. 7.7c). These results are in line with those reported in Table 7.1.

7.4.3 Results of the Analysis with Beam Elements The maximum principal stress at the area of interest was 2.388 MPa (346.35 psi) (Fig. 7.8b), and the longitudinal stress was 1.19 MPa (172.59 psi) (Fig. 7.8c).

7.5 Discussion of the Results The results have been compared in Table 7.2. They were evaluated at the cylindrical surface of the wet well at 0.5 m (19.68 in) from the base of the primary containment. Table 7.3 compares the computing time (hours) required each approach. It was found that evaluation of the complete model with an equivalent modulus of elasticity

100

J. I. E. Palacios-Hernández et al.

Fig. 7.7 Sub-model which considered the interaction between the steel and concrete. a deformation field, b maximum principal stresses field, c longitudinal stresses field

was 2.65 times lower than the time required of the sub-model which considers the steel and concrete interaction. However, the sub-model with beam element is better in terms of time of evaluation. It took only 1/20 of the computer time required by the other sub-model.

7.6 Conclusions The primary containment of a BWR-5 reactor was evaluated under LOCA condition. Three different approaches were applied with Ansys® Mechanical, release R20. They compare the simulation time and complexity of evaluation. The approach, in which the complete concrete structure was evaluated with an equivalent modulus of elasticity, is general-purpose procedure. However, there is an uncertainty with respect to the material performance. An alternative is to consider the interaction between the concrete and steel. Nevertheless, a finite element mesh with a great number of elements was required. As a result, a great number of computer resources were required. The computing time was reduced when beam elements were used. However, the skill and experience of the designer is required. The results showed that all the results were in agreement. The differences lie in the time of evaluation.

7 A Numerical Evaluation of the Structural Integrity …

101

Fig. 7.8 Sub-model with beam elements. a deformation field, b maximum principal stress field, c longitudinal stress field Table 7.2 Primary containment under LOCA conditions Equivalent modulus of elasticity

Reinforced concrete

Beam elements

Maximum principal stress (circumferential) [MPa]

2.3931

2.3902

2.388

Longitudinal stress [MPa]

1.2182

1.1938

1.19

102

J. I. E. Palacios-Hernández et al.

Table 7.3 Computation time Method

Time [h]

Evaluation of the complete container with an equivalent modulus of elasticity

98

Sub-model which considered the interaction between concrete and steel

260

Sub-model with beam elements

13

When a quick evaluation is required, the used of beam elements in conjunction with the sub-model methodology is advisable. However, these types of elements do not fulfil the requirement for a fracture analysis. Acknowledgements The authors acknowledge the support and endorsement for project 211704 granted by the National Council of Science and Technology CONACYT.

References 1. Naus DJ, Oland CB, Ellingwood BR (1996) Report on aging of nuclear power plant reinforced concrete structures. NUREG/CR-6424 (Washington, DC: US Nuclear Regulatory Commission, pp 17–152 2. Clifton JR, Knab LI (1989) Service life of concrete. NUREG/CR-5466 (Washington, DC: United States Nuclear Regulatory Commission, pp 3–62 3. Naus DJ (1986) Concrete component aging and its significance relative to life extension of nuclear power plants. NUREG/CR-4652 (Washington, DC: United States Nuclear Regulatory Commission, pp 87–122 4. United States Nuclear Regulatory Commission (2010) Standard review plan for review of license renewal applications for nuclear power plants. NUREG 1800R2 United States Nuclear Regulatory Commission, pp 2-i-4.7-1 5. Megyesy Eugene F (1995) Pressure vessel handbook pressure. Vessel Publishing Tenth Edition, p 15 6. Arthur B, Schmidt Richard J (2003) Advanced mechanics of materials, 6th ed. Wiley, pp 389–418 7. Darwin D, Dolan C, Nilson A (2016) Design of concrete structures, 15th ed. McGraw Hill Ed, pp 69–78

Chapter 8

Quasi-Static Ropeway Simulation Using Parallel Computing Markus Wenin, Maria Letizia Bertotti, and Giovanni Modanese

Abstract In this work, we present the results of a quasi-static simulation of a ropeway. The mathematical background is sketched, and the system of equations is solved numerically for a typical example. The whole computational problem is immediately parallelizable and therefore fast executable. It represents the first approximation of an exact time-dependent calculation. Keywords Ropeway · Quasi-static motion · Parallel computation · Visualization

8.1 Introduction In this article, we present simulation results relative to the quasi-static movement of a ropeway. The problem is in fact an old one, but the requirements on the solution (accuracy of the model, accuracy of the solution, computational time, etc.) grow with the improvements in computer power and the available software [1–5]. The quasistatic solution is important for constructors since it provides all numbers required by the standards and can be the basis for a more precise and detailed full time-dependent analysis of the ropeway motion [6, 7]. In particular, from its knowledge one may already capture the kinks of the cable at the time-dependent positions of the cabins, which are otherwise difficult to model [8–15]. Another important advantage which a quasi-static treatment offers is that the computations are intrinsically suitable for

M. Wenin (B) CPE Computational Physics and Engineering, Weingartnerstrasse 28, 39011 Lana, BZ, Italy e-mail: [email protected] M. L. Bertotti · G. Modanese Faculty of Science and Technology, Free University of Bozen/Bolzano, Piazza Università 1, 39100 Bolzano, BZ, Italy e-mail: [email protected] G. Modanese e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_8

103

104

M. Wenin et al.

parallelization. Of course, the solution should be obtained in reasonable time. A real system should be possibly simulated in less than a few minutes, all post-processing tasks being included.

8.2 Theory In this section, we briefly recall the theory referring to a simple two-span system loaded with a single mass m at the cable position l10 . In other words, l10 denotes the length of the cable span between an end point and the mass. See in this connection Fig. 8.1, where also other details and some notations are illustrated. We assume the equation for the empty cable given and identified by the cable parameters which are the linear mass density ρ L , the cross section A and the modulus of elasticity E. The supports are located at given positions {X j , Y j }, with j = 1, ...3, where j = 1, 3 denote the anchorages of the cable. At the position j = 2, the cable is frictionless movable. The empty cable is stressed at {X 1 , Y1 } with a prescribed tension F0 . The 0 of the cable (strained by the proper weight) is a derived quantity and total length ltot is supposed to be known. We consider isothermal processes only. We start with the usual catenary for a single span in Cartesian coordinates x, y (neglecting corrections for the elastic cable)   x −b −c, (8.1) y = a cosh a involving three cable parameters {a, b, c}. For the case with one support and a single mass, the complete system, loaded with the point mass, contains three piecewise defined catenary curves y1,2,3 (x) (corresponding to three spans) and is denoted as yld (x). The fast and accurate computation of yld (x) together with the support forces

Fig. 8.1 Simple cable system to explain the computational strategy

support 2

+ 3

y

l 02

l 03 y 2 (x)

1 + 1

l 01

y 3 (x)

+ 2

load y 1 (x)

3

x

8 Quasi-Static Ropeway Simulation Using Parallel Computing

105

and cable tension is the main goal of any cable computation with ropeway application. If g denotes the earth acceleration and x z the x coordinate of the mass point, the cable tension as a function of x is given by F(x) = Fld0 + ρ L g [yld (x) − y(0)] + F (x − x z ) , F(x) > 0 ∀ x

(8.2)

where the jump of the tension at x = x z , described with the unit step function (x − x z ), is   − α1 + α2+ cos(α2+ ) − cos(α1− ) . (8.3) ≈ mg sin F = mg 2 sin(α2+ − α1− ) We remark that F depends on the local quantities only (mass and tangent angles) but not on the global ones. The given approximated expression is valid for a small kink angle, which is indeed the case in our applications. We use it to avoid a 0/0 division in the numerical computations. In our model, the cable tension F(x) is continuous at the supports (because we neglect the friction resistance) and discontinuous at the positions of the mass points (for m = 0). Furthermore, F(x) must be strictly positive in the whole range, which is a first useful check in a simulation. The cable tension Fld0 at the left anchorage is a priori unknown and must be determined, Fld0 = F0 +

l1 − l10 AE , l10

(8.4)

where l1 is the cable length measured from the left anchorage to the mass point, expressed by the variables for the first span y1 (x) and x z ; l1 = a1 sinh[(x z − b1 )/a1 ] − a1 sinh[(X 1 − b1 )/a1 ]. In total, our toy model contains ten unknowns, namely {a j , b j , c j }, j = 1, 2, 3 and the position x z . For the general case with N supports (including the endpoints, where the cable is held fixed) and Nm mass points (cabins), the number of variables is 3(N + Nm − 1) + Nm .

8.2.1 Equations to Determine the Equilibrium Configuration The system required to determine the equilibrium configuration consists of ten nonlinear equations. These express the following: • continuity of the cable curve at the supports and cabins: y1 (X 1 ) = Y1 , y2 (X 2 ) = Y2 , y3 (X 2 ) = Y2 , y3 (X 3 ) = Y3 , y1 (x z ) = y2 (x z ) . (8.5) • continuity of the horizontal component of the cable tension, evaluated for the three spans: (8.6) F j+ cos(α +j ) − F j− cos(α −j ) = 0 , j = 1, 2, 3 .

106

M. Wenin et al.

Here F j± denote the cable tensions at the bounds of each cable span indexed by j, with + for the right side, − for the left side, respectively (F1+ corresponds to the left anchorage, F1− the left side at the mass point, etc.). • balance of forces at the mass points in y-direction: F2+ sin(α2+ ) − F1− sin(α1− ) = mg .

(8.7)

• relation of the cable length and tension between the mass point and the second anchorage (l20 and l30 are the lengths of the empty cable, between mass point position–support and support–right anchorage, respectively, whereas the lengths l2 and l3 have the same mining for the loaded cable): l20

+ l30

 0   F23  − F23 . = (l2 + l3 ) 1 − AE

(8.8)

All expressions (angles, lengths, mean cable tension within spans 2 and 3, F23 , 0  corresponding to the known value for the empty cable) are built with the ten with F23 unknowns to form a well-defined system. We remind that Eq. (8.4) enters in F j± and F23 . To find a numerical solution of this system by means of a traditional gradientbased solver, we must start with a “good” initial guess. For the cable parameters, we use the values for the empty cable and for x z the value corresponding to l10 . An appropriate generalization of Eqs. (8.5)–(8.8) leads to 3(N + Nm − 1) + Nm equations needed to solve the problem for an arbitrary number of supports and loads.

8.3 Implementation A practical implementation must obviously be general with regard to the number of supports and mass points (with arbitrary masses) as well as with regard to their positions and all other cable parameters. We have encoded the whole program in MATLAB and used the standard fsolve command to solve the system of nonlinear equations. We support the solver by the analytical Jacobian matrix. In the quasi-static case, all quantities depend on the position of the loads, but not explicitly on time. We cut the rope loop of the assumed ropeway at the position of the driving engine (usually in the mountain station) and unfold the system as shown in Fig. 8.2, which builds the basis of the computations. We use a marked point at the cable (tracer), which runs from left to right (in Fig. 8.2) for a complete ride to define uniquely the state of the mechanical system. This makes it possible to parallelize the computational task without any complications. The change of the mass point positions from one span to the nearby span requires some attention: It is necessary to distinguish well support and cabin in the code. The main parameters of the simulation are listed in Table 8.1. To give an impression of the results, we present few relevant figures. Figure 8.3 gives some information about the accuracy of the solution using the balance of forces in

8 Quasi-Static Ropeway Simulation Using Parallel Computing

107

loaded cable (unfolded system)

600

A

B

y [m]

400

200

0 -1170

-778-689

-531

-227

-76 0 76

227

531

689 778

1170

x [m]

Fig. 8.2 Simulation is based on the unfolded system. The green star at the left side represents the tracer Table 8.1 Main values used in the numerical computations ρ L [kg/m] A [mm2 ] E [N/mm2 ] F0 [kN] m [kg] 9.75

1121

160,000

200

1060

N

Nm

13

10

both horizontal and vertical directions. The accuracy is limited not only by errors due to the numerical method but also due to errors resulting from theoretical approximations [e.g., the linear density ρ L is not a true constant in Eq. (8.2)]. Figures 8.4, 8.5 and 8.6 demonstrate the possibilities of graphical output: Cable configuration, arbitrary geometrical quantities for given mountain profile, support forces as well as position-dependent cable tension are encoded in graphics. Figure 8.7 shows a plot of the normal support force versus tracer position for the fourth support. The values are always negative, which indicates there is no risk that the cable takes off from the support head. In the last plot, Fig. 8.8 shows the elastic lengthening of the cable again as a function of the tracer position together with the mean value. The lengthening of the empty cable due to the proper weight is also shown. In principle, at this stage there are all quantities of the mechanical system already computed or immediately available (power of the driving engine, specific pressure on the support rolls, etc.). We have done a numerical experiment to check the performance of the code (using a 3.3 GHz Intel with 6 cores), whereas for Nm = 10 cabins, the computation time (without post-processing) was 6.4 s, for Nm = 20/30, and there were 12.1/18.1 s (always with 880 tracer positions).

8.4 Summary and Outlook The main final goal of this research is the development of a numerically stable and sufficiently fast computer program, able to simulate the movement of a ropeway as a full time-dependent problem. As a starting point, we use the quasi-static, full parallelized “time evolution”, which gives the first approximation of the true time evolution. For this purpose, we solve numerically a non-sparse system of nonlin-

108

M. Wenin et al. Fx

error [N]

2 1 0 -1 0

100

200

300

500

600

700

800

600

700

800

calc. no. Fy

80

error [N]

400

60 40 20 0 0

100

200

300

400

500

calc. no.

Fig. 8.3 Insights to the solving process. The two panels show balances of forces as a measure for the accuracy of the results

Fig. 8.4 “Real” structure with indicated tracer position (green star, left bottom). The support forces on support no. 4 are indicated as arrows, for the magnitude, including the sign; see Fig. 8.7

8 Quasi-Static Ropeway Simulation Using Parallel Computing

109

Fig. 8.5 “Cable tension map”. The density plot gives the complete information of the cable tension during the ride at any position. When the friction resistances at the supports are included (which here is not the case), one can use this data to find out the maximum value of the cable tension occurring at a certain tracer and x–position

Fig. 8.6 Cable tension as a function of position for the same tracer position as in Fig. 8.4

110

M. Wenin et al.

-60

normal force on supp. no. 4

-61 -62

Fn [kN]

-63 -64 -65 -66 sect. A sect. B

-67 -68 -1000 -800 -600 -400 -200

0

200

400

600

800 1000

tracer position [m]

 Fig. 8.7 Normal force at support no. 4. The figure shows the quantity Fn = sign(Fy ) Fx2 + Fy2 versus tracer position 3.4

cable elastic lengthening

3.3 3.2 3.1

l [m]

3 2.9 2.8 2.7

loaded cable empty cable mean loaded cable

2.6 2.5 2.4 -1000 -800 -600 -400 -200

0

200

400

600

800 1000

tracer position [m]

Fig. 8.8 Elastic lengthening of the cable as a function of the tracer position. The red line corresponds to the lengthening due the proper weight

8 Quasi-Static Ropeway Simulation Using Parallel Computing

111

ear equations, consisting of geometrical conditions and force balance equations. A typical example with main simulation results is given. The computational time is currently of the order of a minute, where the included analytical Jacobian plays a significant issue. The determination of superimposed sag- and in-plane oscillations (eigenfrequencies and eigenmodes of the multi-span system charged with loads) as well as oscillations of the cabins when passing a support will be the next steps. The quasi-static solution is also an important part to calculate generalized mass and stiffness matrices [16, 17]. Acknowledgements M. Wenin acknowledges financial support by the “Amt für Innovation, Forschung und Universität” Bozen, Südtirol, Italy.

References 1. Brownjohn JMW (1998) Dynamics of an aerial cableway system. Eng Struct 20(9):826–836 2. Bryja D, Knawa M (2011) Computational model of an inclined aerial ropeway and numerical method for analyzing nonlinear cable-car interaction. Comput Struct 98:1895–1905 3. Renezeder H Chr (2006) On the dynamics of an axially moving cable with application to ropeways. Dissertation TU Wien 4. Li C, He J, Zhang Z, Liu Y, Ke H, Dong C, Li H (2018) An improved analytical algorithm on main cable system of suspension bridge. Appl Sci 8(8):1358 5. Lässer Th (2016) Das Dynamische Verhalten von Seilbahnfahrzeugen in Wechselwirkung mit der Dynamik der Seile. Dissertation TU Wien 6. CEN-Norm (2009) Sicherheitsanforderungen für Seilbahnen für den Personenverkehr, Amtsblatt der EU C51 7. Czitary E (1962) Seilschwebebahnen, 2nd edn. Springer, Wien 8. Sofi A (2013) Nonlinear in-plane vibrations of inclined cables carrying moving oscillators. J Sound Vib 332:1712–1724 9. Arena A, Carboni B, Angeletti F, Babaz M, Lacarbonara W (2019) Ropeway roller batteries dynamics, modeling, identification, and full-scale validation. Eng Struct 180:793–808 10. Ferretti M, Piccardo G (2013) Dynamic modeling of taut strings carrying a traveling mass. Contin Mech Thermodyn 25:469–488 11. Wu J-S, Chen C-C (1989) The dynamic analysis of a suspended cable due to a moving load. Int J Num Methods Eng 28:2361–2381 12. Petrova R, Karapetkov St, Dechkova S, Petrov Pl (2011) Mathematical simulation of cross-wind vibrations in a mono-cable chair ropeway. Proc Eng 14:2459–2467 13. Sofi A, Muscolino G (2007) Dynamic analysis of suspended cables carrying moving oscillators. Int J Solids Struct 44:6725–6743 14. Wang L, Rega G (2010) Modelling and transient planar dynamics of suspended cables with moving mass. Int J Solids Struct 47:2733–2744 15. Yi Z, Wang Z, Zhou Y, Stanciulescu I (2017) Modeling and vibratory characteristics of a mass-carrying cable system with multiple pulley supports in span range. Appl Math Model 49:59–68 16. Irvine HM, Caughey TK (1974) The linear theory of free vibrations of a suspended cable. Proc R Soc London A 341:299–315 17. Wenin M, Irschara M, Obexer S, Bertotti M L, Modanese G (2019) Cable railway simulation: a two–span oscillator model. In: Öchsner A, Altenbach H (eds) Engineering design applications. Advanced structured materials, vol 92. Springer, Berlin

Chapter 9

Exploring the Contact FEA Functionalities in Catia v5™ Nader G. Zamani

Abstract The contact capabilities in the Catia program are not fully explained in the software documentation and therefore not quite accessible to the novice users such as the undergraduate students. This paper considers a simple geometry, the axially loaded bar, and explores in an elementary and heuristic fashion the different functionalities associated with “contact” feature within the software. This assists the users/students in planning their strategy when solving certain assembly problems with finite elements. Keywords Finite elements · Assembly analysis · Contact connection properties · Axially loaded bar

9.1 Introduction The finite element technique [1] has become an integrated part of engineering analysis in both the industrial and the academic sectors. This tool is used routinely in the design and analysis of mechanical components employed in daily life. This has led to incorporating FEA into the undergraduate mechanical engineering curriculum globally and some of the challenges for teaching the subject are highlighted in [1]. The rapid advancement of finite elements is due to two factors. These are the availability of inexpensive computer hardware and the access to user friendly and efficient commercial FEA/CAE software [2–5]. Even software houses which primarily dealt with CAD packages have incorporated some FEA capabilities as a module within their code. Two well-known examples are Catia v5 whose solver is “Elfini” and NX with “Ideas” as the solver. This paper primarily deals with the former software. Since Catia v5 is primarily targeting the designers, its generic FEA capabilities are fairly basic. In fact, its solver is the “stripped down” version of the” Elfini” code. There are severe limitations in its finite element formulations. To be more specific, these limitations are listed below. N. G. Zamani (B) Department of Mechanical, Automotive, and Materials Engineering, University of Windsor, Windsor, ON N9B 3P4, Canada e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_9

113

114

(a) (b) (c)

N. G. Zamani

Small displacements and rotations Infinitesimal strain formulation Linear elastic material behavior.

These limitations clearly classify the solver as one that is “linear.” However, the developers have managed to extend the capabilities so that subject to the mentioned limitations, a simple class of contact problems can also be handled. In fact, one can refer to this more appropriately as “contact light.” Needless to say that generally speaking contact is taking place between two different parts; therefore, it needs to be discussed in the context of an assembly analysis. An assembly consists of many parts which can potentially come in contact with each other. The first step in such an endeavor is to define which two parts are interacting with other. In Catia, this is achieved by defining the “analysis supports” whose tool bar is shown in Fig. 9.1a. Within this toolbar, one frequently uses the “General Analysis Connection” icon in the left side of the toolbar. Once this icon is selected, the associated dialogue box appears as shown in Fig. 9.2. At this point, the user must select the two components (i.e., the two faces from the parts interacting). These are referred to as the first component and the second component. Note that there are other types of analysis supports which can be defined, for example, “point-point” analysis connection. However, such connections cannot be used when dealing with contact cases in Catia. In this software, contact can take

Fig. 9.1 Toolbars leading to the contact definition in Catia: a Analysis supports, b connection properties, c face connections

Select the face from Part 1 Select the face from Part 2 Ignore Fig. 9.2 Dialogue box for defining the components interacting with each other

9 Exploring the Contact FEA Functionalities in Catia v5™

115

Fig. 9.3 Four different selection choices in the contact dialogue box

Contact Opons

place only between faces interacting with each other. Recall that one is dealing with “contact light.” The next step is to define the nature of the interaction between the two components. This is achieved through the “connection properties” toolbar shown in Fig. 9.1b. The first hidden tool bar within “connection properties” is “face connection properties” on the far left side and is depicted in Fig. 9.1c. Here, one should select the “Contact” icon

which in turn leads to the

dialogue box depicted in Fig. 9.3. Note that there are three options available, and together with the possibility of ignoring these, there are four possible choices for the dialogue box. The four possibilities refer to, selecting none of the options or selecting one of the remaining three. Needless to say that for the support, one should select the analysis connection discussed earlier. In the remaining part of the paper, the effect of each option as applied to an axially loaded bar will be discussed in detail.

9.2 The Benchmark Problem Under Consideration The benchmark is intentionally selected to be very simple. This is represented on the far left side in Fig. 9.4. It is bar cut in the middle and fixed at the two ends. The face ABCD is subject to a downward displacement which eventually reached EFGH, establishes contact, and compresses the bottom section. The cross section of the bar is 1 in × 1 in, and the top and bottom sections are 2 in and 4 in long, respectively. The gap between the two sections is 1 in. Clearly, there are two planes of symmetry involved in the problem; therefore, these are used to reduce the model as shown in Fig. 9.4. The bar is made of steel with Young’s modulus E = 2.901×107 psi and Poisson’s ratio ν = 0.266. As far as the end restraints is concerned, one can use the “clamped” condition where all the translations for the nodes on those end faces are zero. This however creates large localized stresses at the ends. To avoid this, we impose roller conditions on those faces. In Catia, the roller restraint has a different name and is called “surface slider” represented by the

icon. The artificially introduced

116

N. G. Zamani

0.5 in Fixed End

2 in B A

C

D

1 in F

E

G

H

4 in

Fixed End Fig. 9.4 Geometry under consideration and the reduced model

faces due to the cuts by the symmetry planes are also subject to the surface slider restraints as shown in Fig. 9.5. As indicated earlier, the face ABCD is displaced downward until it closes the gap and establishes contact with the bottom face EFGH, further compressing it. In Catia, a nonzero displacement cannot be specified directly. In needs to be done in two steps. In the first step, using the “User Defined Restraint” icon

, a zero displacement

is applied to that face in the desired direction as shown in Fig. 9.6. This restraint can then be changed to the desired nonzero value using the “Enforced displacement” icon

as depicted in Fig. 9.7.

The Meshing and Discretization The default element available in the software is the tetrahedron type which can be linear or parabolic. Needless to say that the parabolic elements are more accurate than the linear ones. In this paper, parabolic elements are employed. It is also reasonable that there needs to be a finer mesh at the interface where interaction takes place. Because of this, a local mesh refinement is undertaken on the two faces ABCD and EFGH. The details of the mesh discretization are depicted in Fig. 9.8.

9 Exploring the Contact FEA Functionalities in Catia v5™

117

Fig. 9.5 Symmetry and the end restraints require the surface sliders on six faces

Fig. 9.6 Step 1, applying zero vertical displacement

B A E

D

C

F G H

118

N. G. Zamani

Fig. 9.7 Step 2, applying nonzero vertical displacement of the desired value

Fig. 9.8 Mesh and discretization details for the assembly

Creating the Contact Connections Using the “General Analysis Connection” icon, the two faces ABCD and EFGH are selected as the first and second components as shown in Fig. 9.9.

9 Exploring the Contact FEA Functionalities in Catia v5™ Fig. 9.9 Defining the general analysis connection between the two faces

119

B

A

C D F

E

G H

Upon defining this general analysis connection, its nature should also be defined. Obviously, we use the “Contact” type as the desired icon. Selecting the icon leads to the corresponding dialogue box shown in Fig. 9.10. The default choice is used, i.e., the other three boxes are left unchecked. Displaying the Mesh After Defining the Contact Connections At this point, it is possible to display the mesh as shown in Fig. 9.8 and successfully define the “Contact” connection properties. However, once you try to display the mesh once again, the error message shown in Fig. 9.11. This error message is due to the fact that the current “gap” size between the two parts is 1in as displayed in

Three boxes unchecked

Fig. 9.10 Defining the connection as contact with the default choice

Fig. 9.11 Error message regarding the gap size after the contact connection definition

120

N. G. Zamani

0.2 in

Internal Contact elements, they are not displayed on the le mesh

Fig. 9.12 Reduced gap geometry and the mesh

the far right of the Fig. 9.4. Within the error box, under item 1, it is indicated that the projection tolerance is calculated to be 0.208607 in. The contact calculation is Catia (and all other packages) which is based on creating internal contact elements based on the projection of the contact/target surfaces onto each other. To be more specific, the surfaces are ABCD and EFGH. Since the 1 inch current gap exceeds the tolerance value, the software cannot proceed. To alleviate this problem, the gap between the upper and the lower pieces of the bar is reduced to 0.2 in as displayed in Fig. 9.12. This allows the software to generate the internal contact elements. The internal elements are also displayed in the same figure; however, they can be removed from the view for visualization purpose. The user needs not be concerned with internal elements as they operate in the background. This gap reduction does not influence the local mesh refinement already specified. Which Contact Options to Use and What are the Implications? The user is now in a position to run the problem but has to decide on the options to be selected in the contact dialogue box in Fig. 9.10. In fact, the driving force behind the preparation of this paper was to explore this matter. The paragraphs below are directly taken from the Catia online documentation [2] which in principle should be clearly stating the role of the options. However, these descriptions are not very informative for the students and an average user. Contact (no options selected) Nodes in the first and second components are prevented from inter-penetrating at the common interface and will behave as if they were allowed to move arbitrarily relative to each other as long as they do not come into contact within a user-specified normal clearance. When they come into contact, they can still separate or slide relative to each other in the tangential plane, but they cannot reduce their relative normal clearance. The default normal clearance is dictated by the actual geometry.

9 Exploring the Contact FEA Functionalities in Catia v5™

121

Contact (Clearance specified) The Clearance field can be used to enter an algebraic value for the maximum allowed normal clearance reduction. A positive clearance value (used to model a known gap between the surfaces) means that the surfaces can still come closer until they come in contact. A negative clearance value (used for instance to model a pressfitted clamp between the surfaces) means that the surfaces are already too close, and the program will have to push them apart. By default, the clearance represents the actual geometric spacing between surfaces. For contact between 2D properties, the automatic computation of the clearance takes into account the thickness and does not take into account the offset. Contact (Friction ratio specified) If you select this check box, the friction behaviors are taken into account in the contact algorithm with the specified value. The friction ratio should be positive maximum being unity. A ratio equal to zero corresponds to contact with no friction. The friction forces that are tangential to the contact area must not exceed the normal forces at contact location multiply by the specified friction ratio. Contact (No sliding specified) If you select this check box, the displacements are constrained along the tangential direction on surface. It is worth mentioning the options “No Sliding” and “Friction ratio” cannot be selected simultaneously.

9.3 Results of Different Scenarios Case 1, none of the available options of the “Contact” connection dialogue box is selected Here, the surface ABCD is pushed down by 0.25 in with the gap distance being 0.2 in. Therefore, the net result is that the bottom bar is compressed by 0.5 in. The displacement of the top and the bottom pieces are shown in Fig. 9.13a. It appears that the surface ABCD has in fact penetrated the bottom piece and therefore the contact calculation has not worked properly. This however is not true. Selecting the “Amplification Magnitude” icon

opens the dialogue box shown in Fig. 9.13a

which indicates that the displacements has been magnified by a factor of 2.9043. Therefore, the magnified displacement gives the illusion that the surfaces have penetrated each other. Upon changing the factor to “1” and closing the dialogue box, the deformation appears as shown in Fig. 9.13b does not shown any penetration. Since the displacement of the top bar overwhelms the bottom one, one should display only

122

N. G. Zamani

Fig. 9.13 Displacement plot of the contact problem with no options selected, a amplification factor of 2.9043, b amplification factor of 1

the bottom bar contour as shown in Fig. 9.13c. The bottom portion has half the stiffness of the top one. The von Mises stress distribution of the entire model, the lower bar, and the upper bar is displayed in Fig. 9.14. One should keep in mind that the different colors in Fig. 9.14b, c are misleading. The entire upper and lower bars are in the state on constant stress as expected. In the next paragraph, the theoretical stress distribution is also calculated. 1 AEδ Eδ F 1 =F× = × = A A L lower A L lower   2.901 × 107 (0.25 − 0.2) = 3.627 × 106 psi = 4

σlower =

1 AEδ 1 Eδ F =F× = = A A L upper A L upper   2.901 × 107 × (0.25) = 3.627 × 106 psi = 2

σupper =

These values are identical to the stress indicated in the contour legends. One should note that the von Mises stress is a combination of the six stress components and therefore not quite the compressive axial stress. However, in the present problem, the axial stress is the dominant component and comparable to the von Mises stress. Another interesting observation is that the” star” pattern in Fig. 9.14b is strictly coincidental and lacks any physical significance.

9 Exploring the Contact FEA Functionalities in Catia v5™

123

Fig. 9.14 von Mises stress distribution in the entire bar (a), the lower portion (b), and the upper portion (c)

The final point to raise is that the above calculation is consistent with the phrase in the online documentation, “The default normal clearance is dictated by the actual geometry.” Case 2, The “Clearance” check box is selected with a clearance value of 0.3 in The face ABCD is pushed down by 0.25 in and the clearance value is specified to be 0.3 in. Before starting any discussion, the displacement of the top and the bottom pieces is shown in Fig. 9.15a. Once again, as in Case 1, there seems to be a penetration of the two bars. This however is due to the default “Amplification Magnitude.” Once the “Amplification Magnitude” is set to unity, the correct (the true) deformation is displayed in Fig. 9.15b. Furthermore, the displacement of the bottom portion of the bar is depicted by Fig. 9.15c. This behavior is puzzling. Note that the actual physical gap in the created model is 0.2 in. The face ABCD is moved downward by the amount 0.25 in. It seems that the face ABCD goes through the bottom portion without imposing any displacement. This was precisely the motivation behind preparing this paper. Here is the reason. When “Clearance” is specified, the actual modelled gap in the model is totally ignored. The value of the “Clearance” is the amount that the face ABCD can

124

N. G. Zamani

Fig. 9.15 Displacement plot of the “Clearance” of 0.3 in and a downward displacement of 0.25 in

be displaced before it clashes with the “target” surface which is the face EFGH in the bottom piece. In the present case, the face ABCD will not reach the bottom part until it has traveled 0.3 in (clearance = 0.3 in). Since this face is specified to be pushed down by 0.25 in, it will actually never reach the bottom part. To reinforce this idea, once again, when “Clearance” is specified, the actual modeled gap is the model is totally ignored. For the sake of completeness, the von Mises the stress distribution in the two portions is depicted in Fig. 9.16. It is not surprising that the hand calculated stresses below are in perfect agreement with the Catia generated values. 1 AEδ Eδ F 1 =F× = × = A A L lower A L lower   2.901 × 107 (0.25 − 0.2) = 3.627 × 106 psi = 4

σlower =

σupper = 0 psi Case 3, The “Clearance” check box is select with a clearance value of 0.2 in The face ABCD is pushed down by 0.25 in, and the clearance value is specified to be 0.2 in. Here, the specified clearance is purposely taken to be the actual physical gap between the two portions. Therefore, there is no contact until the face ABCD is

9 Exploring the Contact FEA Functionalities in Catia v5™

125

Fig. 9.16 von Mises stress distribution in the entire bar, a both bars are shown, b the bottom bar displayed, c the top bar displayed

traveled for 0.2 in (clearance = 0.2 in), and at that point, the contact established. Therefore, the behavior is precisely the run in Case 1. The displacement and the von Mises stress contours are identical to Figs. 9.13 and 9.14 and therefore will not be presented. Case 4, The “Clearance” check box is selected with a clearance value of 0.2 in and “No sliding” check box is selected This is the same problem as in Case 4 except that two options are specified. Since clearance is specified, the actual physical distance between the two parts is ignored. The face ABCD establishes contact only after it has traveled by the clearance of 0.2 in. It then compresses the bottom part but “No sliding” is allowed. This leads to a complicated von Mises stress distribution (and displacement) pattern at the interface where a curvature is created. The zoomed stress contour for “No sliding” additional checked box, and the one where the box is not checked, are presented in Fig. 9.17. Case 5, The “Clearance” check box is selected with a clearance value of 0.2 in and “Friction ratio” check box is also selected Here, the “Friction ratio” is equated to 0.9 The reader is reminded that 0 < Friction ratio ≤ 1 and that the “Friction ratio” check box and the “No sliding” check box cannot be simultaneously selected otherwise the “Error” dialogue box depicted by Fig. 9.18 appears. Another issue that one

126

N. G. Zamani

Fig. 9.17 Zoomed von Mises stress distribution for both situations

Fig. 9.18 “Error” message when both the “Friction ratio” and “No sliding” is checked

should realize is that the friction value of unity, does not imply the “No sliding” condition. In general, when the “Friction ratio” is specified, the run time estimate by Catia can be several orders of magnitude larger than without friction. This is applied to both cases whether “Clearance” is specified or not. Of course, to a great extent, whether those estimates are actually correct or not depends on the number and the types of elements employed. For Case 5 under consideration, the zoomed view of the von Mises stress in the interface area is shown in Fig. 9.19. Note that due to the friction effect, a curvature is created at the interface but sliding also takes place.

9 Exploring the Contact FEA Functionalities in Catia v5™

127

Fig. 9.19 Zoomed von Mises stress distribution at the interface

Case 6, The “Clearance” check box is selected with a clearance value of “0” in The face ABCD is pushed down by 0.25 in and the clearance value is specified to be “0” in. Since clearance is specified, the actual physical distance between the two parts is ignored. The face ABCD establishes contact only after it has traveled by the clearance of “0” in. This means that the contact is immediately established. The displacement of the top and the bottom pieces is shown in Fig. 9.20. The pattern in Fig. 9.20a is for the default “Amplitude Magnification,” whereas Fig. 9.20b is for the unity magnification. Finally, Fig. 9.20c is the displacement of the bottom bar. One should not be surprised that even the configuration Fig. 9.20b has a gap between the upper and lower parts. The von Mises stress distribution of the entire model, the lower bar, and the upper bar is displayed in Fig. 9.21. Once again, keep in mind that the different colors in Fig. 9.21b, c are misleading. The entire upper and lower bards are in the state on constant stress as expected. Aa in Case 2, the “star” pattern in Fig. 9.21b is strictly coincidental and lacks any physical significance. Next, the theoretical stress distribution is also calculated. 1 AEδ 1 Eδ F =F = = A A L lower A L lower   2.901 × 107 (0.25) = 1.814 × 106 psi = 4

σlower =

σupper =

1 AEδ 1 Eδ F =F = = A A L upper A L upper

128

N. G. Zamani

Fig. 9.20 Displacement plot of the “Clearance” of “0” in and a downward displacement of 0.25 in, a amplification factor of 2.9403, b amplification factor of 1

Fig. 9.21 a von Mises stress distribution in the entire bar, b the lower portion, and c the upper portion

9 Exploring the Contact FEA Functionalities in Catia v5™ Fig. 9.22 Shrinking fitting of two rings

129

Steel

Bronze

  2.901 × 107 × (0.25) = = 3.627 × 106 psi 2 These values are almost identical to the stress indicated in the contour legends. Note that since the “Clearance” is “0,” the deformation in both bars is 0.25 in. Case 7, The “Clearance” check box is selected with a clearance value of “ –1 ” in The clearance value is specified to be “–1” in but no load (downward displacement” is specified. A few comments may clarify the last statement. Consider the shrink fitting (pressure fitting) of the two rings shown in Fig. 9.22 [6]. Although the two rings are assumed to be made of different materials, this is not a requirement. It is assumed that the outer diameter of the bronze ring is slightly bigger that the inside diameter of the steel ring. The process behind achieving this goal is to heat the outer ring (steel), and once it expands, insert the inner ring (bronze) inside of the hole and let it cool down. This can be viewed as a contact problem where there is an initial overlap between the two parts and the heating/cooling leads to its resolution. Note that there are no external forces/load involved in the problem. The initial overlap in Catia is represented by specifying a “negative clearance.” This clearly justifies the state in the online documentation “A negative clearance value (used for instance to model a press-fitted clamp between the surfaces) means that the surfaces are already too close, and the program will have to push them apart.” For the Case 7 under consideration, a negative clearance means that we are effectively dealing with the scenario depicted in Fig. 9.23. The von Mises stress distribution of the entire model, the lower bar, and the upper bar is displayed in Fig. 9.24. One should point out that the “Amplitude Magnification” is unity. Therefore, one should not be surprised that even after the overlap has been resolved, there is a 1.2 in gap is present. The contour plot in Fig. 9.24a shows that once the overlap is resolved, and the stress in bulk of the top and bottom portions is constant; however, at the interface, there is a complex stress distribution. If the top and the bottom parts are individually plotted as in Fig. 9.24b, it is still not possible to easily detect the level of stress.

130

N. G. Zamani

Fig. 9.23 Effect of specifying a negative clearance F 0.2 in A E

E

D H

G H

B C G

1 in overlap

B A C

Problem being solved

Actual modelled geometry

D

To resolve the issue, the “groups” toolbar

functionality is

used to display the stress level away from the interface region. These are groups of elements roughly within the elliptical region shown in Fig. 9.24b. The results are displayed Fig. 9.24c where the stress level in both pieces is 4.83 × 106 psi. Next, the theoretical stress distribution is also calculated. To resolve the overlap, the face ABCD must move upward by an amount δ1 and the face EFGH move downward by the amount δ2 . Both of these values are unknown. However, one can also write, δ1 − δ2 = 1 in Compatibility equation (displacement) E × δ1 E × δ2 =− Force balance at the interface L top L bottom Solving these two equations simultaneously gives the follow information leading to a stress value that is identical to the contour legend in Fig. 9.24c. δ1 = 0.3333 in δ2 = −0.6667 in

9 Exploring the Contact FEA Functionalities in Catia v5™

131

Fig. 9.24 Effect of specifying a negative clearance, “Amplitude Magnification” is unit

σ =

E|δ1 | E|δ2 | = = 4.837 × 106 Psi L top L bottom

Case 8, Repeating Case 7 without the use of “Clearance” option It is instructive to repeat the problem in Case 7 where the two bars are overlapping (have already penetrated) and without using the “Clearance” option. The first observation is that, if the gap between the top and the bottom is assumed to be 1 in, one will get the same error message as in Fig. 9.11. This is because the internal contact elements cannot be generated as the calculated gap tolerance as taken by Catia is 0.208607 in. To accommodate this, the cut between the faces ABCD and EFGH is reduced to 0.2 in as shown in Fig. 9.25c. The von Mises stress and the displacement contours are displayed in Fig. 9.25a, b. Note that if the “Amplification Magnitude” is selected to be unity, the true shape appears, and there is no gap between the top and the bottom bars. This type of plot was not possible when the “Clearance” option was used. In order to have a better idea of what the actual stress in the top and bottom pieces are, we use the “group” functionality one more time. These are displayed in Fig. 9.26 with the stress value

132

(a)

N. G. Zamani

(b)

(c)

E A

F

G

H C

D 0.2 in overlap

Fig. 9.25 Overlapping parts solved with “Contact” with no options, a amplification factor of 1, b amplification factor of 1, c the parts already in clash

Group to select only these elements

Fig. 9.26 Groups are created and then hidden to display the stress in the desired elements away from the interface area

9 Exploring the Contact FEA Functionalities in Catia v5™

133

of 9.67 × 105 psi. This value is to be compared with the analytical solution below. Next, the theoretical stress distribution is calculated. To resolve the overlap, the face ABCD must move upward by an amount δ1 and the face EFGH move downward by the amount δ2 . Both of these entities are unknown. However, one can also write, δ1 − δ2 = 0.2 in Compatibility equation (displacement) E × δ1 E × δ2 =− Force balance at the interface L top L bottom Solving these two equations simultaneously gives the follow information and stress value is identical to the contour legend in Fig. 9.26. δ1 = 0.0667 in δ2 = −0.1333 in σ =

E|δ1 | E|δ2 | = = 9.67 × 105 psi L top L bottom

9.4 Conclusions The goal of this expository paper was to shed some light on the contact functionalities in the finite element solver in the Catia v5 program. Unfortunately, the brief remarks in the documentation of the software not clear enough for the students and average users to benefit from. The paper considered eight cases dealing with the different scenario that one can encounter in Catia FEA module. Internal contact calculations in Catia relies on the normal projection distance. In most software other than Catia, the “first component” and the “second component” are referred to as the “contact surface” and the “target surface” (or in the other order). It is always recommended that the side with the finer mesh to be called “contact surface” and the coarser one to be used as “target surface.” The determining factor in the strategy adopted by the user hinges primarily on whether the “Clearance” option is selected or not. Scenario 1: No options for contact are selected

.

For the sake of illustration consider the node “A” whose normal projection to other surface is the point “B” as shown in Fig. 9.27. The distance AB is referred to as the “Default normal clearance.” Under this scenario, the distance is not zero, the point “A” can get closer to the bottom surface. Otherwise, it will not penetrate the

134

N. G. Zamani

Nodes in the “First Component” “Contact surface” (finer)

Nodes in the “First Component” “Contact surface” (finer)

A Contact with no op ons selected

A

Default normal clearance

Contact with “Clearance” ∆ specified

∆ C B

B Nodes in the “Second Component” “Target surface” (coarser)

Nodes in the “Second Component” “Target surface” (coarser)

Contact is ac vated once “A” reaches “C” AC = Clearance ∆

Contact is ac vated once “A” reaches “B”

Fig. 9.27 Snapshot of how the “Contact” functionality works in Catia v5

surface and pushes it away. Therefore, the “Default normal clearance” plays a role and cannot be ignored. Scenario 2: The “Clearance” option is selected and set to be

∆

.

When the “Clearance” is specified. The “Default normal clearance” is totally ignored. Therefore, in reference to Fig. 9.27, as long as the node “A” lies in the segment AC, no contact feature is activated. Beyond “C,” contact kicks in and the bottom surface is pushed away. Therefore, the “Default normal clearance” plays no role and is totally ignored. The eight cases considered throughout the paper demonstrate the validity of the interpretation and clearly shows the user on how to plan their strategy. The Catia calculations are excellent agreement with the hand calculations using the standard stress analysis formulas. Acknowledgements The author gratefully acknowledges the support of the Faculty of Engineering at the University of Windsor under the internal grant 809153.

References 1. Zamani NG (2016) Challenges of teaching finite element analysis in the undergraduate curriculum. In: Proceedings of the LACCEI conference, San Jose, Costa Rica 2. Dassault Systems Inc (2018) The 3DEXPERIENCE Company. Catia v5 Software, Paris, France. https://www.3ds.com/about-3ds. Accessed 19 Jan 2018 3. Siemens PLM Automation Company (2018) The NX Software, Plano Texas. https://www.plm. automation.siemens.com/global/en/products/nx/. Accessed 1 Mar 2017 4. Autodesk 2018. San Rafael, California. https://www.autodesk.com/products/inventor/overview 5. Hibbeler RC (2017) Mechanics of materials. Pearson Publishing, Toronto 6. Zamani NG (2012) Catia v5 FEA tutorials. SDC Publications, Mission Kansas

Chapter 10

Design and Manufacturing of an IC and Electrical Engine Race Car Marco Magdy, Omar Abdelhamed, Mahmoud A. Essam, Noha M. Abdeltawab, and Ahmed Yehia Shash

Abstract As the oil crisis started to appear, hybrid cars became the main trend in technology and started taking all the headlines in the car industry and also for providing help to reduce environmental pollution. The claim is to manufacture a hybrid racing tricycle with the lowest cost available in the market. The automobile body was designed in a unique way that can be nicely balanced and it is roomy for the driver. Also, a cockpit was added in order to protect the driver from front impact injuries. Moreover, the wind shield was fabricated from E-type glass. The chassis was manufactured from tubes that have a lightweight and can bear excessive torsion and strain; the IC engine was mounted at the back of the vehicle where it is connected to a differential and a four-speed gearbox and connected to the rear wheels. Furthermore, an extension has been added and welded to the chassis so that the electrical engine was mounted on. The AC engine was a three-phase motor, and it is connected to an inverter in order to invert it into a two-phase motor and also to convert it to be able to work with two 12 V DC batteries. A custom pulley and belt system was manufactured in order to translate the motion from the AC engine to the wheels. Throughout the whole project, the designing and the implementing of the experimental procedure was done by using the computer aided engineering techniques that has been a transitional step for fulfilling the achievement of designing a lightweight and a safe race car; moreover, the safety precaution has been taken into consideration for the driver. Furthermore, air dynamic testing using Ansys was taken

M. Magdy · O. Abdelhamed · N. M. Abdeltawab · A. Y. Shash (B) Faculty of Engineering and Materials Science, German University in Cairo, Cairo, Egypt e-mail: [email protected]; [email protected] N. M. Abdeltawab e-mail: [email protected] M. A. Essam Mechanical Engineering Department, Higher Technological Institute, 10Th of Ramadam City, Egypt A. Y. Shash Mechanical Design and Production Department, Faculty of Engineering, Cairo University, Cairo, Egypt © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_10

135

136

M. Magdy et al.

into consideration, and the choice of the car body material and its wind shield was also tested, and every aspect of these was accomplished using the help of CAE. Keywords Electrical vehicle engines · Finite element analysis (FEA) · Computer aided engineering (CAE) · Design optimization · Race car · Manufacturing processes

10.1 Introduction Birth of an industry in 1900, consumers shopping for motorized transportation were offered a choice of steam-powered or gasoline-powered internal combustion engines (ICEs) or electric vehicles (EVs). The marketplace was divided, with no clear indication of which type would dominate. Steam-powered vehicles had speed and were less expensive but required a long time to fire up and frequent stops for water [1]. The ICEs were dirtier, more difficult to start and moderately more expensive but could travel longer distances at a reasonable speed without stopping. EVs were clean and quiet but slow and expensive. Each fought to be competitive in the open market in performance and price. It was known that the first working electric motor and electric vehicle used two electromagnets, a pivot and a battery, and was built by Thomas Davenport, an American from Vermont, in 1835 [1]. The material for Davenport’s electromagnetic design, however, was simply too expensive at the time, and it would take several decades before electric cars would be practical. Other electric car inventors around this early period including Robert Anderson from Scotland, who may have designed an electric carriage sometime between the years of 1832 and 1839, and Sibrandus Stratingh, a Dutch inventor who built an electromagnetic cart during the 1830s. If we are talking about practical electric cars that were mass produced and driven practically, however, the first practical electrical cars were invented by the British inventor Thomas Parker in around 1884 [1]. Another famous example of early electric cars was The Flocke Elektrowagen, which was produced in Germany in 1888. Unfortunately, poor roads outside of urban centers made it difficult for early electric cars to venture far beyond the city limits. As it was a primitive car design, the ride mimicked the rough jolting of the horse-drawn carriage, subjecting both passengers and batteries to the bumps and ruts in the roads. Creative minds of the day saw a need for improving the ride. Pneumatic tires were introduced, smoothing out the ride and helping in reducing the damage vibration caused to the batteries. Batteries were a main concern for producing a dependable car that can cover larger distance exceeding the gasoline cars. At about the time Ford Motor Co. was founded in 1903, Edison had made inroads with battery technology and started offering nickel–iron batteries for several uses. The batteries included in the automobile developed an alkaline cell utilizing iron for the negative terminal and nickelic oxide for the positive terminal [2]. The electrolyte solution that conducts electricity was potassium hydroxide, similar to today’s nickel–cadmium and alkaline batteries. The cells were well suited to industrial and railroad use. Later that year, he announced

10 Design and Manufacturing of an IC and Electrical …

137

plans to convert four large touring cars into electric power using his own batteries, a plan that reeks of a publicity stunt to sell batteries but was enough to get him listed in the Standard Catalog. The Edison Electric Company was the battery supplier to S. R. Bailey Company which only manufactured electric automobiles. The company built these electric automobiles in their Amesbury, Massachusetts plant from 1907 to 1915 [2]. Their showcase model was the Bailey Electric Phaeton. It was touted as a cross country vehicle which could drive hundred miles on a full charge under ideal conditions. This was a very impressive claim since electric cars in this era had a very limited drive time per battery charge of twenty miles. Bailey and Edison did not simply make this battery endurance claim; they set off to prove it. On September 17, 1910, they competed with gas-powered cars in a challenge the thousand mile auto endurance run [3]. Development of batteries was taking its place, and in the fall of 1905, there was a run from Paris to Frouville that covered about hundred and thirty miles on one battery charge, and the hundred-mile trek from Cleveland to Erie over ordinary country roads, some of sand, others with steep hills that taxed the battery charge, showed expanded potential for this auto that usually averaged thirty-five miles on a single charge The first hybrid car was built in the year 1899 by the engineer Ferdinand Porsche [4]. Jacob Lohner, a coach builder in Vienna in the late 1800s, was interested in the development of motor cars that incorporated coaches of the period. He asked the young Porsche, a graduate of the Vienna Technical College, to build a silent electric carriage. The gas-powered vehicles of the era were noisy, smelly, shaky, and difficult to start. Porsche integrated battery-powered electric motors directly into the front-wheel hubs, producing one of the first front-wheel-drive cars [3]. He later added an internal combustion gasoline engine to drive a generator, which charged the batteries. The Lohner–Porsche vehicle could reach a maximum speed of only about thirty-five miles an hour, but the proto-hybrid was born. He called the System Lohner–Porsche Mixte; it used a gasoline engine to supply power to an electric motor that drove the car’s front wheels. The Mixte was well-received, and over three hundred cars were produced [3]. The demand for hybrids began to wane, however when Henry Ford started the first automobile assembly line in 1904 [4]. Moving forward, the most famous hybrid car and the first mass-produced hybrid vehicle Toyota Prius appeared on the Japanese market in December 1997. Over the next three years, this vehicle was sold in more than fifty thousand units. Until today, this vehicle has achieved the greatest commercial success of all hybrid electric vehicles with a total of six million units sold worldwide. The main advantage of this vehicle is its ability to use exclusively battery power in the city environment, and at the same time, at higher speeds and longer journeys, an ICE would automatically be switched on to charge the battery through the generator. Since the vehicle contains a reservoir, the problem with the range has been solved. Two other well-known hybrids are the Honda Insight, which was introduced in 1999, and the Honda Civic Hybrid. Ford introduced the first hybrid SUV, the Ford Escape. Many other car manufacturers have developed their own version of the hybrid, including Volvo, Volkswagen, Nissan, and Lexus.

138

M. Magdy et al.

10.2 Methodology Hybrid cars became the main trend in technology and started taking all headlines in the car industry. The claim is to manufacture a hybrid racing tricycle with the lowest coast available in the market.

10.3 Experimental Investigation This chapter is summarizing an investigation that has been carried out starting from the material selection of chassis, chassis design, stress analysis on the chassis to check whether the design and material of it would stand such conditions; the tests were carried out by Ansys software and drawn by SolidWorks software. Moreover, the selection of the IC engine, electrical engine was carried out in that chapter. There was a problem that associated during the mounting of the IC engine, and its solution was discussed here in this chapter. Also, the suspension, the breaks, and the tricycle steering system were discussed in that chapter.

10.3.1 The Chassis The most known type of chassis is the subframe chassis for its various and generous advantage. One of the most useful advantages is that it can be adapted to various components in the car. For example, if a new engine is needed to be installed in the car, a new adjustment in the old engine bed can be made easily to be able to mount the new engine with its new size. Also, the chassis can accommodate multiple crumble zones to protect the passengers during crash [5]. The chassis dimensions were as follows: the frame length is 3500 cm and its height is 1100 cm and its width is 1200 cm. It has a tip that is 900 cm, as shown in Fig. 10.1. Describing our chassis style there are main sections in the chassis, the small front cockpit, it was designed to protect the driver with the front bumper during a crash by absorbing the impact of the crash. The rigid part is the cabin of the car and the engine compartment which is designed to carry an engine about 130 kg, the tank and the rear suspension system of the car, Fig. 10.2 explain the final structure of the used chassis. This chassis was drawn using the SolidWorks software, and it was tested by using the Ansys software using the finite element method as shown in Fig. 10.3. After testing the chassis for the first time, a failure had appeared in the passenger compartment due to the assumed weight of the passengers in the car. Compression and deflection beams were added to prevent that failure that were added as presented in Fig. 10.4.

10 Design and Manufacturing of an IC and Electrical …

Fig. 10.1 Dimensions of the chassis, drawn by the SolidWorks software

Fig. 10.2 Chassis body drawn by the SolidWorks software

Fig. 10.3 Static structural test for how much stress the structure can hold before deformation

139

140

M. Magdy et al.

Fig. 10.4 Assembly of IC engine and the seats

10.3.1.1

Material Selection of Chassis

It is the most important thing to select the right material to make a good structure that can serve for many years without facing problems like rust. During choosing a good material, many factors were taken into consideration like strength, weight, cost, availability, corrosion resistance, and weld ability. Table 10.1 states the most adequate material that is used to manufacture that type of chassis is SAE 1018. The chassis cross-sectional dimensions are 40 mm × 40 mm × 4 mm square tubes and pipes of cross-sectional dimensions of 26.9 mm × 3.2 mm; Fig. 10.5 shows the places of chassis cross section.

10.3.1.2

The Chassis Extension

After installing the IC engine, the space left was very small for installing the electric engine so a new solution for increasing the space was to introduce which was the chassis extension. It is a frame which was made to hold the electric motor. It consists of L-sections with cross-sectional dimensions 5 cm × 5 cm × 5 mm; this frame consists of four main links of 90 cm and 30 cm length. Also, for additional supports and mounting points, five cross members, each 25 cm, were added, as shown in Fig. 10.6 [6].

10 Design and Manufacturing of an IC and Electrical … Table 10.1 Properties of selected material according to SAE 1018

141

Material selected

SAE 1018

Tensile strength

630 MPa

Yield strength

385 MPa

Poisson’s ratio

0.29

Modulus of elasticity

210 GPa

% Elongation at failure

27

Carbon

0.182%

Manganese

0.645%

Sulfur

0.64%

Phosphor

0.03%

Geometry

Square tubes

Weld ability

Good

Fig. 10.5 Isometric view of the chassis

This extension had its base which was 80 cm tall attached to the original chassis of the car, and the rest of its length which was 30 cm was to carry the electric engine, as explained in Figs. 10.7 and 10.8. The type of weld used was lap welding. After assembly, it was noticed that a torsional stress will appear, and it will be clearly visible due to motor and belt-pully movement. Accordingly, additional fortyfive degrees supports were added between the frame and the wheel’s mounting point as shown in Fig. 10.9.

10.3.1.3

Weldments Made in the Chassis

The oxy-acetylene gas was used to weld all the body parts together as it has many advantages like: better control over the temperature, better control over filler-metal deposition rate, low cost and maintenance which is shown in Fig. 10.10.

142

M. Magdy et al.

Fig. 10.6 Manufacturing of chassis extension for holding the electrical engine

Fig. 10.7 Butt weld

10.3.2 Electric Engine Setup The electric engine was a three-phase asynchronous AC engine. Its properties are at electricity frequency of 50 Hz and power factor of 0.76. Before mounting the engine, it was needed to convert that engine so that it can take its power as a two-phase motor and that its power is maintained from two batteries each 12 V instead of AC source. To make that conversion, a UBS source was added to supply the motor with power from batteries but unfortunately, the UBS source we had was designed to supply a two-phase electrical engine so a three-phase inverter was used to change the voltage

10 Design and Manufacturing of an IC and Electrical …

143

Fig. 10.8 Assembly of back wheel

Fig. 10.9 Forty-five degrees supports that were added

supply from two-phase to a three-phase voltage supply to the engine; Table 10.2 summarizes the electric engine specifications. Cables were connected through terminals in a delta connection to the three-phase motor and were then connected to the three-phase inverter all the way to the UBS and then to the batteries and at last to the switch. The inverter was adjusted to accelerate to 5 s and decelerate in 5 s, with an output frequency of 50 Hz, as shown in Figs. 10.11 and 10.12.

144

M. Magdy et al.

Fig. 10.10 Oxy-acetylene welding

Table 10.2 Electric engine specs Horse power

1.5 hp

Rated power

1.1 kW

Delta voltage

230 V

Delta current

5A

Star volt

400 V

Star amper

2.9 A

Rated motor RPM

1390 RPM

Gear box reduction ratio

63.64: 1

Fig. 10.11 Connections of electrical motor

Unfortunately, due to hardware limitations, the maximum output power was 40%, as the UBS maximum supply and intake is 1.2 A and the electrical engine was 5 A. Although the engine was not working on full supply, it was able to travel at speed 10 km/h while carrying a load of three persons each 130 kg, two children—one of them weights 60 kg and the other one was 50 kg—and me 70 kg. The batteries

10 Design and Manufacturing of an IC and Electrical …

145

Fig. 10.12 Describing the type of connection between the terminals which is delta connection

weighted 100 kg, and at last, the original weight of the car was 450 kg. That means the electric engine could carry a load up to 1120 kg.

10.3.2.1

Mounting the Electric Engine

On the axe of the gear, a fixed pulley’s wheel had been installed on it. That pulley can carry double conveyers and it was fixed using a key way of cross-sectional dimension 8 mm × 4 mm; Fig. 10.13 explained the fixation of pulley. A drive shaft of a tricycle with a disk rotor was welded to it, the drive shaft had different diameters along its length, two bearings were installed on it, and the bearings had the same outer diameters but different inner diameters. Using the turning machine, a hollow shaft was made so that the bearings were installed on them, and the hollow shaft acts as a fixture to fix and hold the drive shaft to the car chassis. Then a V-shaped steel bar was welded to the hollow shaft and the chassis. After that, another pulley was attached from the left side of the axle, and an 8 inch wheel was attached to the disk rotor on the right side of that axle as shown in Figs. 10.14 and 10.15 [7].

Fig. 10.13 Pully with keyway

146

M. Magdy et al.

Fig. 10.14 Wheel and pully

Fig. 10.15 Two conveyers were installed between the two pulleys that measure 13 mm × 1225 mm

10.3.3 The IC Engine The IC engine was a single cylinder engine, and its specifications are summarized in Table 10.3. The engine was mounted on two engine mounts. The engine origin was made for a three-wheeler transportation vehicle, and to switch between the gears, the driver uses his hands as it had a handlebar and the gears was attached to it. An adjustment Table 10.3 IC engine’s specification

Type

Single cylinder, water coolant

Displacement

150 cc

Max power

7 HP, 5.15 kW at 5000 RPM

Max torque

12.1 Nm at 3500 RPM

Transmission

4 forward and one reverse

Gear ratios

0.20, 0.34, 0.54, 0.89

10 Design and Manufacturing of an IC and Electrical …

147

was made, and a manual car clutch, a gear shift lever, and shift linkages (shift rods and shift forks) had been installed as shown in Figs. 10.16, 10.17, and 10.18 Fig. 10.16 Shifters; there are two shift rode one for the reverse and the other for the four forward

Fig. 10.17 Tank which has a maximum capacity of 10 L

Fig. 10.18 Drive shaft coming out the gear box and connected to the wheel

148

M. Magdy et al.

10.3.4 The Vehicle Breaks The breaks are of the front and rear hydraulic expanding friction shoe type. The interior extending brakes are utilized almost exclusively as wheel brakes. This sort of brake allows an increasingly conservative and economic development. The brake shoes and brake-working component are upheld on a brake shield appended to the vehicle pivot [8]. The brake drum, appended to the rotating wheel, goes about as a spread for the shoe operating mechanism and have a frictional surface for making the brake operation. The brake shoe is forced outward against the drum to deliver the braking action. One end of the shoe is pivoted to the sponsorship plate to stay stick, while the opposite end is unattached and can be moved along the working mechanism. When the driver presses on the brake pedal the unattached end of the shoe grows and brakes the wheel. A withdrawing spring restores the shoe to the unique position when braking activity is no longer required as shown in Figs. 10.19 and 10.20 [9]. Fig. 10.19 Drum breaks

Fig. 10.20 Break’s oil tank

10 Design and Manufacturing of an IC and Electrical …

149

10.3.5 The Suspension The suspension type is a double acting hydraulic shock absorber. Where the gadget is the safeguard, it is the most widely recognized kind of safeguard utilized on current vehicles, the twofold acting. Since it permits the utilization of increasingly adaptable springs. The immediate activity safeguard comprises of an inward chamber loaded up with exceptional pressure driven oil separated into an upper and lower chamber by a twofold acting cylinder [10]. The safeguards protract and abbreviate, as the wheels meet abnormalities in the street. As they do this, the cylinder inside the safeguard moves inside the chamber loaded up with oil; in this manner, the liquid is put under high weight and compelled to move through little openings where the liquid can just go through the openings gradually. This activity moderates cylinder movement and limits the spring activity during pressure and bounce back [11]. In case of hitting a very high bump, there are little valves in the safeguard that open when inward weight ends up over the top. At the point when the valves are open, a marginally quicker spring development happens, notwithstanding, restriction is as yet forced on the spring, an external metal spread shields the safeguard from harm by stones that might be kicked up by the wheels. One end of the safeguard associates with a suspension part, ordinarily a control arm. The opposite end secures to the edge. Along these lines, the safeguard cylinder bar is hauled in and out and opposes these developments. Likewise called a MacPherson swagger, is like a traditional safeguard, it is longer and has sections and associations for mounting and holding the directing knuckle in front of vehicle. The swagger consists of a safeguard, curl spring, and an upper damper unit; parts of the suspensions system were shown in Fig. 10.21.

10.3.5.1

The Front Suspension System of the Vehicle

A spring helical coil compression hydraulic shock absorber with double acting single suspension arm and damper was assembled in SolidWorks before being assembled in real. In the front a mono shock absorber in the shape of MacPherson struts was used. These struts actually combine the spring and strut assembly into one serviceable component [12]. The MacPherson strut was installed to make the same function as the telescopic fork design as shown in Fig. 10.22.

10.3.5.2

The Rear Suspension System of the Vehicle

The rear suspension is of the trailing arm type. The advantage of this design is that it allows both rear wheels to move independently [13]. The arm is attached to the rear wheel hub and also broadens it. The differential is fixed to the frame, and the drive shafts have universal joints [14]. The parts were drawn and assembled in SolidWorks before being assembled in reality as shown in Fig. 10.23.

150

M. Magdy et al.

Fig. 10.21 Parts of suspension system were drawn using the SolidWorks software and then assembled before being assembled in real. Here are some parts of displayed separately of our suspension system

10.3.6 The Car’s Steering System The steering system was a rack and pinion, and the calculations were carried according to Ackermann system [15], here are the results. The calculations were carried out using MATLAB software and were validated graphically using the SolidWorks software; Table 10.4 summarizes the steering details.

10.3.6.1

The Written MATLAB Code

In the following lines, the written MATLAB code was explained; the aim of this code is to test the maximum angles that can be achieved in the steering system. Calculations of the steering angles have been done according to Ackermann theorem with dimensions W × L = 100 × 240 mm, respectively, and then Grashof theorem was applied. Briefly by using the following MATLAB code, the maximum steering angles were achieved as shown in Figs. 10.24, 10.25, 10.26, and 10.27.

10 Design and Manufacturing of an IC and Electrical …

151

Fig. 10.22 Front suspension with a coil over suspension

Fig. 10.23 Assembly of back suspension. The helical spring and the shock absorber were not a coil over, they were separate as they give a more smoother and comfortable ride

152

M. Magdy et al.

Table 10.4 Steering details Theta2, Theta1

31 °, 25 °

Street width

6m

The required space for turning is a ring with width

1.6 m

Steering ratio

18:1

Number of turns

3

Effort of driver on steering wheel

54.5 N

Fig. 10.24 Screen shot of the results while manipulating on MATLAB

%akermann calculation theta2=31*(pi/180); theta2x=31; w=100; L=240; theta1=acot((w/L)+cot(theta2))*(180/pi); %grashouf therom L4=w; L1=122.58; s=(L1+L1)-L4; S=50;

10 Design and Manufacturing of an IC and Electrical …

153

Rack and pinion

Front of the car

Steering wheel

Fig. 10.25 Here is the 2D graphically drawing and live interactive assembly using the blocks tools in the SolidWorks software:

Fig. 10.26 Steering wheel drawn by the SolidWorks software

Fig. 10.27 Assembly of front suspension with chassis on the SolidWorks software

154

%grashouf therom for akermann use betadraw=11.77*(pi/180); l1=122.58; h=l1*cos(betadraw); l4=100; ss=50; ans1=l4-ss; ans2=2*h; ans3=ans1/ans2 beta=atan(ans3); betax=beta*(180/pi); epslon=90-betax; SS=l4-2*l1*sin(beta); LL1=0.5*sqrt((l4-SS)^2+4*h^2);

%getting L2 L2=S; angle = 78.23 * pi / 180 syms theta4; eqn = L2 == sqrt(2*L1^2 + L4^2 + 2*(L1^2)*cos(2*angle+theta4theta2)- 2*L1*L4*(cos(angle-theta2)+cos(angle+theta4))); solx = solve(eqn,theta4) %the street width a2=L/2; thetaavg=acot((cot(theta1 * pi / 180)+cot(theta2))/2)*(180/pi); avg=cot(thetaavg*(pi/180)); r=sqrt(a2^2+(L^2*avg)); width=r*2; %the required space for turning is a ring with width Rmin=L/tan(theta1*(pi/180))-w; g=20; Rmax=sqrt((Rmin+w)^2+(L+g)^2); ringwidth=Rmax-Rmin;

M. Magdy et al.

10 Design and Manufacturing of an IC and Electrical …

%radius of the outer wheel R=cot(theta1 * pi / 180)*L; z=R+w; I20=z/cos(theta1 * pi / 180); %max angle acheived by vehicle validated to akermann Ans1=R+(w/2); Ans1a=R-(w/2); outer=atan(L/Ans1)*180/pi; inner=atan(L/Ans1a)*180/pi;

%steering ratio pr=0.884; denimenator=2*pi*pr; totalangleturnedbysteeringwheel=w/denimenator; totalangleturnedbysteeringwheeldegree=totalangleturnedbysteeringwheel*360; totalsteeringangles=theta2x+theta1; totalangleturnedbysteeringwheeldegreeforratio=totalangleturnedbysteeringwheel*totalsteeringangles;

steeringratio=totalangleturnedbysteeringwheeldegreeforratio/totalsteeringangles; NO1=theta2x*steeringratio; NO2=NO1*2; nofturns=NO2/360; %steering ratio validation fullracktravellength=108.097; O=fullracktravellength/nofturns; inputsteering=2*pi*15.89957881; outputsteering=2*pi*pr; denimenator2=2*pi; outputsteeringvalid=O/denimenator2; validsteeringratio=inputsteering/outputsteering; %effort of driver on steering wheel Dsteeringwheel=15.89957881*2; weightononewheel=100*9.8; coefficientoffriction=1; torqueonpinion=weightononewheel*pr; forceonsteeringwheel=torqueonpinion/15.89957881;

155

156

M. Magdy et al.

Fig. 10.28 Steering system after assembly

10.4 The Real Assembly Stage This chapter is talking about the assembly part, how to gather all the chosen parts in the previous chapter and to choose whether to decide which is about joining some parts of the body whether nails and screws or to weld them, and what is the best type of welding to use in each part whether butt welding or overlap. First of all, how to setup a steering system of a car on a tricycle? A normal steering system of a car has at the end of each side of the rack and pinion a tie rod and a tie rod end. A tie rod with all of its components was removed from one end and the other end was kept. The kept end was connected to the strut of the tricycle, and a steering shaft was installed and connected between the pinion and the steering wheel; Fig. 10.28 summarizes the setup of steering system.

10.5 Car’s Body This chapter is talking about designing the car body; a selection was carried out between two designs according to the feasibility, the ease of manufacturing. Moreover, the aerodynamics test was carried out on the car body to calculate the coefficient of drag. Also, a crash test was carried out to see how much effective is the cockpit in the design of car body for more safety.

10 Design and Manufacturing of an IC and Electrical …

157

Before talking about the car’s body, there are two aspects that needed to be taken in consideration the coefficient of drag and the air foil. What is the coefficient of drag [16]? Any object moving through a fluid experience drag is the force generated opposing the direction of motion, so the coefficient of drag is a dimensionless quantity that is used to quantify the drag or resistance of an object in a fluid environment, such as air or water; Eq. 1 states how to calculate drag coefficient. C D = D/0.5 × ρ × U 2 × s

(10.1)

The drag Eq. (10.1) is as follows; the lower drag coefficient indicates the object will have less aerodynamic or hydrodynamic drag. The drag coefficient is always associated with a particular surface area. D is the drag force, ρ is the air density, U is vehicle speed, and S is the frontal area [17]. One of the nice aspects of this formula is that the coefficient does not change much with speed, and it basically represents how smoothly the vehicle slices through the oncoming airstream. Recall that the power (P) to overcome the aerodynamic resistance is simply the drag (D) times velocity (U). As noticed from Eq. (10.1), the less the drag coefficient value become the better the car aerodynamics [7]. The airfoil shape is the one of the best shapes that have a very low drag coefficient. The less drag, the faster a car can accelerate and the higher its top speed. Other factors affecting drag are, a pocket of vacuum created behind the car, usually behind the rear window and behind the boot, called “flow detachment,” as well as turbulence created as a result of the detachment. Other forces that needed to be taken in consideration are the lift force, where it is the force which forces the vehicle up off the road. It is created due to the difference in speed, and therefore pressure, of air flowing above and below a car. Most car shapes are prone to generating low air pressure above them hence creating the lift effect. Most aerodynamic aids installed on time attack cars minimize lift by converting it to negative lift. Negative lift is the force which pushes the vehicle down and is more commonly known as downforce [18]. A rear spoiler can be added to the car in order to help to increase the downward force. The car body was drawn using the SolidWorks software, and the blue print was used to help to turn the car shape from 2D into a 3D body, as shown in Fig. 10.29. It was difficult to manufacture the car body, so a new simple shape was drawn also by the SolidWorks software using blue print and several tests took place on it using Ansys software. The shape drawn with dimensions in cm is shown in Figs. 10.30 and 10.31.

158

Fig. 10.29 First body design, the first trial of drawing the car

Fig. 10.30 New car with its body dimensions

M. Magdy et al.

10 Design and Manufacturing of an IC and Electrical …

159

Fig. 10.31 Body drawn in SolidWorks before testing on Ansys. A spoiler was made built in the body to help to increase the down force

10.5.1 The Aerodynamics Test The aerodynamics test of the car is described in the following Fig. 10.32. It was carried under ambient air conditions with air temperature of 20 degrees Celsius, and the speed of the vehicle was 120 KPH.

10.5.2 Crash Test The crash test of the car is described in the following. A tip was considered in the design in order to take the crash force during a crash and deform preventing the force from entering into the cabin of the car. The conditions where the car was moving at a speed of 60 km/h are shown in Fig. 10.33.

10.6 Conclusion Throughout the whole project, designing and implementing the experimental procedure was carried out by using the computer aided engineering techniques that has been a transitional step for fulfilling the achievement of designing a light weight and safe race tricycle, also safety precaution has been taken into consideration for the driver. Air dynamic testing was carried out using Ansys and the choice of car body material with its wind shield was also tested and every aspect of these was accomplished using the help of CAE.

160

M. Magdy et al.

Fig. 10.32 Aerodynamic test carried out in Ansys under conditions: ambient air temperature was 20 °C; the speed of the vehicle was 120 KPH

10 Design and Manufacturing of an IC and Electrical …

161

Fig. 10.33 Crash test using Ansys

Acknowledgements I would like to express my gratitude and appreciation for Prof. Dr. Ahmed Yehia Shash, Eng. Mahmoud A. Essam, and Eng. Noha M. Abdeltawab whose guidance, support, and encouragement havebeen invaluable throughout this study. I would also want to thank my Family members, my father Magdy Faragalla, and mother Manal Victor whom have been a great source of support.

References 1. Strohl D, Ford, Edison (2010) The cheap EV that almost was. Wired, San Francisco 2. Prajapati KC, Patel R, Sagar R (2014) Hybrid vehicle: a study on technology. Int J Eng Res 3(12):1076–1082

162

M. Magdy et al.

3. Joseph K, Garcia D, Sluder R (2004) Aerodynamics of Race Car Liftof. SAE Technical Paper 01:3506 4. D’Agostino S (1993) The electric car. IEEE Potentials 12(1):28–32 5. Milliken WF, Milliken DL, Olley M (2002) Chassis design: principles and analysis. SAE Warrendale, PA 6. Katz J (2016) Automotive aerodynamics. Wiley, Hoboken, NJ 7. Niculescu AI et al (2019) Solutions in the vehicle suspension. J Kones 26(4):185–196 8. Mohamad M et al (2017) Design and static structural analysis of a race car chassis for Formula. J Phys 908(1):012042 9. Westbrook M (2001) The electric and hybrid electric car. SAE, Warrendala, London 10. Abdullah MA et al (2013) Design, analysis and fabrication of chassis frame for UTeM formula varsityTM race car. Int J Min Metall Mech Eng 1(1):75–77 11. Santa Rao K, Musalaiah G, Chowdary KMK (2016) Finite element analysis of a four wheeler automobile car chassis. Indian J Sci Technol 9(2):2–6 12. Scibor Rylski AJ (1984) Road vehicle aerodynamics. Pentech Press Limited, England 13. Perrot H (1924) Four-wheel brakes. SAE Int J 355–383 14. Breuer BJ, Bill K (2008) Brake technology handbook. SAE Int J 375 15. Erd A et al (2018) Experimental research of effectiveness of brakes in passenger cars under selected conditions. In: 11th International Science Technology Conference Automotive Safe Automotive SAFe. IEEE, New York, XI: 1–5 16. White RA, Korst HH (1972) The determination of vehicle drag contributions from coast-down tests. SAE Transact 1:354–359 17. Strassberger M, Guldner J (2004) An active stabilizer bar system. IEEE Control Syst Mag 24:28–29 18. Faieza A et al (2009) Design and fabrication of a student competition based racing car. Sci Res Essays 4(5):361–366 19. Theander A (2004) Design of a suspension for a formula student race car. Vehicle dynamics, Aeronautical and vehicle engineering, Royal Institute of Technology 20. Baviskar A, Bhamre V, Sarode S (2013) Design and analysis of a leaf spring for automobile suspension system: a review. Int J Emerging Technol Adv Eng 3(6):407–410 21. Aly AA, Salem FA (2013) Vehicle suspension systems control: a review. Int J Control Autom Syst 2(2):46–54 22. Anderson CD, Anderson J (2010) Electric and hybrid cars: a history. McFarland, NC 23. Erjavec J (2005) Automotive suspension and steering. Thomson/Delmar Learning, Kansas

Chapter 11

Visualization Approach to Presentation of New Referral Dataset for Maritime Zone Video Surveillance in Various Weather Conditions Igor Vujovi´c, Miro Petkovi´c, Ivica Kuzmani´c, and Joško Šoda Abstract This chapter discusses problems in the creation of datasets for maritime surveillance. The chapter also deals with visualization of the dataset and previewing it over the Internet. This is a part of research in creating a new dataset. Three videos are presented first. The dataset deals with the video monitoring of the sea area in different weather conditions. Three conditions are presented: cloudy, snowing, and sunny. The ground truth is generated in Matlab Ground Truth Labeler. Keywords Visualization · Video dataset · Sea area surveillance · Influence of weather conditions · Ground truth

11.1 Introduction This chapter presents a visualization approach for presenting a new reference dataset. When working with a large dataset, it would be appropriate to have a presentation that allows an interested researcher to determine if this dataset represents what is needed for their research. A new dataset is presented. The dataset covers the same ocean zone with stationary camera in different weather conditions. There are also plans to expand the dataset to include on-board camera sequences (moving camera case). It is intended to serve researchers interested in comparing novel algorithms that are robust to the influence of weather conditions on motion detection in real outdoor situations on sea surfaces. To present the dataset, the multiresolution approach [1] has proven useful in previewing images and videos. To test the reliability of algorithms, I. Vujovi´c (B) · M. Petkovi´c · I. Kuzmani´c · J. Šoda - Boškovi´ca 37, 21000 Split, Croatia Faculty of Maritime Studies, University of Split, Rudera e-mail: [email protected] M. Petkovi´c e-mail: [email protected] I. Kuzmani´c e-mail: [email protected] J. Šoda e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_11

163

164

I. Vujovi´c et al.

different measures are often used [2]. Finally, typical errors should be avoided when programming a useful dataset [3]. The chapter is organized as follows. The second section briefly reviews some literature within the scope of the paper. The third section presents problems in manual and automatic ground truth generation in a tool called Ground Truth Labeler (GTM)—an application in Matlab. This tool was used in the generation of the dataset. In the fourth section, the developed initial phase of the dataset is presented. Finally, a conclusion is drawn.

11.2 Literature Overview Plotting frames is associated with computational power. If frames are sent over the Internet, an additional problem is downloading large amounts of data, where link speed plays a significant role. Datashaders are a good way to display large data sets quickly and meaningfully [4]. Real-time visualization of large volume datasets is discussed in [5]. An efficient, high quality volume rendering algorithm using GPUs for rendering large CT datasets is presented. Four things to consider when searching for high quality datasets are addressed in [6]. One interesting approach is “deeply learned attributes for crowded scene understanding” [7]. An interesting dataset is “moments in time” [8]. Fast visualization of terabytesized images is addressed in [9]. However, it is not acceptable for users without powerful GPUs. A distributed system for interactive visualization of remote datasets on a variety of modern mobile devices has been developed [10]. Traffic safety, as a part of traffic, has great potential for automated analysis of large video data [11]. A study on hierarchical visualization of video searches is presented in [12]. It is implemented as an app for the iPad, not for other devices, which is a major drawback. A dataset is defined as large if—given the resources of a single machine— processing the dataset exceeds an allocated time budget [13]. Three difficulties in visualizing large datasets have been identified [13]. The use of geotagged videos is considered in [14]. The proposed framework is of interest for smart cities applications. A Zebrafish Larvae dataset for video segmentation and tracking evaluation is presented in [15]. An approach to remove background from original videos is presented in [16]. Visual saliency in videos is presented in [17]. In this paper, two main contributions are presented: a new human-labeled ground truth is constructed for video datasets, and the performance of sixteen different visual saliency algorithms is evaluated and compared. The largest dataset currently available for comprehensive instructional video analysis is presented in [18]. A new toolbox for efficient annotation and statistics is developed. The survey presented in [19] helps researchers to select an appropriate video dataset to evaluate their algorithms on challenging scenarios.

11 Visualization Approach to Presentation of New Referral …

165

The mentioned examples are just a few in a sea of references. Therefore, each dataset must have its niche.

11.3 Illustrations of Ground Truth Generation Problems During our project, we encountered many problems in ground truth generation [20–23]. Fig. 11.1 shows problems in remote detection: there are not enough pixels for the algorithms to distinguish between a lighthouse and a sailboat, for example. However, this is not the first problem, but the last. To create a functional dataset, ground truth (GT) should be available with the original scenes. GT is obtained by manually tagging each pixel or zone of interest for the dataset. The final result is a black image (white pixels, black background) or an image with multiple colors (e.g., different shades of gray such as shadows, reflections, horizon lines, or the like). The details of how some phenomena are marketed should be explained in the references of the dataset and/or on the website. It is an extensive and time consuming work that is explored in many references, including from this project [20–23].

Fig. 11.1 a Position of the camera mounted on the ship, b example image from the videos, c ship with bounding box GT, d semantic segmentation GT of image b, where the sea is colored blue, the land is colored yellow and the sky is colored orange. In addition, the objects of interest are marked with a bounding box GT

166

I. Vujovi´c et al.

In order to correctly mark regions of interest (ROIs), the operator must zoom in on a portion of the image. The zoomed parts of some captured videos are used in Figs. 11.2 and 11.3. Figure 11.2 shows the problem of blurred contours of the moving object and the problem of shadow on the sea surface (not reflection, which could also be a case). Other problems could be caused by different weather conditions, which are within the scope of our project. Figure 11.3 illustrates the problem of poor visibility when marking the boundaries of ROI. Figure 11.4 illustrates a problem with zooming: it is not possible to distinguish between a lighthouse and a boat in a zoomed image. Zooming in space presents the problem of blurred contours and makes it difficult to distinguish between moving objects and the background. Figure 11.4.b shows two similar objects in the lower right part—a lighthouse and a boat. However, without prior knowledge of a real scene, it is not possible to know which is which. The human operator cannot be completely accurate. Therefore, the same objects may be labeled differently in two consecutive images. The example is shown in Fig. 11.5. Note that this figure shows zoomed part of the frame. Blue color area is the marked ferry. The area painted in orange is the tugboat. Pink is color used for pilot boat. Other vessels are private small boats. To illustrate these differences (to see them better), the Matlab function imshowpair is used to produce Fig. 11.6. The background is shown as black pixels. Even more, black pixels are also pixels belonging to the foreground, which are detected as foreground in the both compatible images. This section illustrates only some of the problems encountered when creating GT.

Fig. 11.2 A problem of blurred contours in part of the region of interest and shadow (see [22])

11 Visualization Approach to Presentation of New Referral …

167

Fig. 11.3 Illustration of the problem of poor visibility

11.4 Presentation of the Developed Dataset on the Web Another problem is the presentation of the dataset on the web. A video is usually data and time consuming if we want to see and download it. Then it is possible that it is not what we expected. Therefore, it would be useful to have a method to watch the video quickly. Wavelet transform (WT) has long been used in various codecs for voice, video or audio compression for communication purposes. Therefore, it is logical to try to implement it in this case for previewing. For example, using wavelet approximation coefficients at the 2nd or 3rd level significantly reduces the amount of data that needs to be transmitted over the Internet for previewing. WT is suitable for fast preview of the sequences of the dataset. Fig. 11.7 shows the same image at different levels of wavelet decomposition (only the approximations are visualized). The developed dataset currently includes three videos. GT is stored as a GTL session in Matlab. The web page of the dataset is: http://www.pfst.hr/~ivujovic/ERD BSIWCMVS_webpage.html. The dataset deals with the same ocean zone in three (so far) different weather conditions: sunny, snowy, and cloudy. Examples of each video are shown in Fig. 11.8. To be more present for the users, the one click preview is enabled (see Fig. 11.9).

168

Fig. 11.4 Sunny weather: a original frame, b zoomed frame

I. Vujovi´c et al.

11 Visualization Approach to Presentation of New Referral …

169

Fig. 11.5 Example of three adjacent frames with labels. It can be seen that each object is labeled differently in other frames: a the first consecutive frame, b the second consecutive frame, c the third consecutive frame

170

I. Vujovi´c et al.

Fig. 11.6 Differences between successive frames in ground truth labeling, zoomed ROI: a using the “dif” option in the Matlab function shows changed pixels with white color and unchanged ones with black color, b difference between “current” and previous frame, c difference between “current” and following frame

11.5 Conclusions and Discussion A method for interframe validation of moving objects would be useful to correct pixel label discrepancies between adjacent frames. The reason for this lies in the characteristics of the human operator, who occasionally makes mistakes in such tasks. It would be ideal to have many human operators to label the same video sequences and compare and determine the correct GT, but it is not realistic. In a novel methodology,

11 Visualization Approach to Presentation of New Referral …

171

a)

b) Fig. 11.7 Example frame: a original, b the first level of wavelet decomposition, c the second level of decomposition, d the third level of decomposition

these results should then be fused to obtain the most reliable ground truth. Some efforts have been made in that direction. For example, three human operators ground truth segmentation results are provided at the project’s webpage.

172

I. Vujovi´c et al.

c)

d) Fig. 11.7 (continued)

Acknowledgements This research is carried out within the framework of the scientific project “Establishment of a reference database to study the influence of weather conditions on maritime video surveillance”, funded by the Faculty of Maritime Studies, University of Split, and the project “Functional integration of University of Split, Faculty of Maritime Studies, Faculty of Chemistry and Technology, and Faculty of Science through Development of Scientific and Research Infrastructure in the Building of 3 Faculties, KK.01.1.1.02.0018” financed by EU. It is conducted by the research group new technologies in maritime (leader I. Vujovi´c).

11 Visualization Approach to Presentation of New Referral …

Fig. 11.8 Weather cases: a cloudy, b sunny, c snowy

173

174

I. Vujovi´c et al.

Fig. 11.9 Web page of the project: a clicking on the link to the video sequence leads to video playback, b video playback after one click

11 Visualization Approach to Presentation of New Referral …

175

References 1. Vujovi´c I (2015) Multiresolution approach to processing images for different applicationsinteraction of lower processing with higher vision. Springer, Heidelberg 2. Vujovi´c I, Kuzmani´c I (2017) Case study on wavelet choice based on statistical image quality measures. Turk J Elec Eng Comp Sci 25:2846–2859 3. Szczepa´nski C, Ciopcia M (2019) How to avoid mistakes in software development for unmanned vehicles. Trans marit sci. https://doi.org/10.7225/toms.v08.n02.005 4. Qiao F (2018) Large scale visualizations and mapping with datashader. https://towardsdatascie nce.com/large-scale-visualizations-and-mapping-with-datashader-d465f5c47fb5. Accessed 3 January 2020 5. Xie K, Yang J, Zhu YM (2008) Real-time visualization of large volume datasets on standard PC hardware. Comput Methods Progr Biomed 90:117–123 6. Stanford S, Iriondo R, Shukla P (2020) The best public datasets for machine learning and data science. https://medium.com/towards-artificial-intelligence/the-50-best-public-datasetsfor-machine-learning-d80e9f030279 7. Shao J, Kang K, Loy CC, Wang X (2015) Deeply learned attributes for crowded scene understanding. In: Proceeding of IEEE conference on computer vision and pattern recognition. https://amandajshao.github.io/projects/WWWCrowdDataset.html 8. Monfort M, Andonian A, Zhou B, Ramakrishnan K, Bargal SA, Yan T, Brown L, Fan Q, Gutfruend D, Vondrick C, Oliva A (2019) Moments in time dataset: one million videos for event understanding. IEEE Trans Pattern Anal Mach Intell. https://doi.org/10.1109/TPAMI. 2019.2901464 9. Big data. https://imaris.oxinst.com/big-data. Accessed 23 January 2020 10. Pa´nka M, Chlebiej M, Benedyczak K, Bała P (2011) Visualization of multidimensional data on distributed mobile devices using interactive video streaming techniques. MIPRO 2011, May 23–27, Opatija, Croatia, pp 246–251 11. Saunier N, Ardö H, Jodoin JP, Laureshyn A, Nilsson M, Svensson Å, Åström K (2014) A public video dataset for road transportation applications. In: 93th TRB Annual Meeting, Washington DC, United States 12. Jiang YG, Wang J, Wang Q, Liu W, Ngo CW (2016) Hierarchical visualization of video search results for topic-based browsing. IEEE Trans Multimed 18:2161–2170 13. Budiu M, Isaacs R, Murray D, Plotkin G, Barham P, Al-Kiswany S, Boshmaf Y, Luo Q, Andoni A (2016) Interacting with large distributed datasets using sketch. In: Eurographics symposium on parallel graphics and visualization, Groningen, the Netherlands 14. Zhu Y, Liu S, Newsam S (2017) Large-scale mapping of human activity using geo-tagged videos. SIGSPATIAL’17, Redondo Beach, California USA. https://arxiv.org/pdf/1706.07911. pdf Accessed 28 Nov 2019 15. Wang X, Cheng E, Burnett IS, Huang Y, Wlodkowic D (2017) Crowdsourced generation of annotated video datasets: a Zebrafish Larvae dataset for video segmentation and tracking evaluation. In: IEEE life sciences conference, Sydney, pp 274–277 16. Zhang S, Wang X, Liu A, Zhao C, Wan J, Escalera S, Shi H, Wang Z, Li SZ (2019) A dataset and benchmark for large-scale multi-modal face anti-spoofing. CVPR 2019:919–928 17. Zeeshan M, Majid M, Nizami IF, Anwar SM, Din IU, Khan MK (2018) A newly developed ground truth dataset for visual saliency in videos. IEEE Access 6:20855–20867 18. Tang Y, Ding D, Rao Y, Zheng Y, Zhang D, Zhao L, Lu J, Zhou J (2019) COIN: A large-scale dataset for comprehensive instructional video analysis. CVPR 2019. https://arxiv.org/pdf/1903. 02874.pdf 19. Kalsotra R, Arora S (2019) A comprehensive survey of video datasets for background subtraction. IEEE Access 7:59143–59171 20. Kuzmani´c I, Vujovi´c I (2018) Maritime zone surveillance with video cameras. In: International conference on transport science, 14–15 June 2018, Portorož, Slovenia, pp 180–183

176

I. Vujovi´c et al.

21. Vujovi´c I, Kuzmani´c I (2018) Investigation of weather conditions’ influence to the maritime zone surveillance—ground truth generation. In: 21th international research/expert conference trends in the development of machinery and associated technology, 18–22 September 2018, Karlovy Vary, Czech Republic, pp 289–292 22. Vujovi´c I, Kuzmani´c I (2019) Some problems in establishing maritime zone surveillance dataset. In: 8th international maritime science conference, 11–12.4, Budva, Montenegro, pp 239–245 23. Petkovi´c M, Vujovi´c I, Kuzmani´c I (2020) An overview of horizon detection methods in maritime video surveilance. Trans marit sci. https://doi.org/10.7225/toms.v09.n01.010

Chapter 12

Design of a Neuro-Fuzzy System in the Characterization of Wear Images of Rotor Blades of a Gas Turbine Luz Yazmin Villagrán-Villegas, Luis Héctor Hernández-Gómez, Miguel Patiño-Ortiz, Miguel Ángel Martínez-Cruz, Julián Patiño-Ortiz, Juan Alfonso Beltrán-Fernández, and José de Jesús García-Mejía Abstract It is reported in this paper, the case of a turbine, which was operating on an offshore platform. The intake air flow had solid particles. Therefore, the blades of the compressor of the gas turbine were analyzed. Such blades were impacted by particles and environmental pollutants such as salts, sands, and sulfurs. Under these conditions, wear and friction reduced the useful life of the mechanical equipment. The loss of a relatively small amount of material in certain zones of the blades can affect the performance of a gas turbine. As a result, this research characterized images of the seventh stage of a compressor of a gas turbine. Deterministic and non-deterministic variables were considered. The proposed evaluation focused on the early detection of any mechanical failure. It prevents the total loss of the gas turbine in operation. The objectives set out in this research were obtained with techniques and tools considered L. Y. Villagrán-Villegas Facultad de Ingeniería Mecánica Eléctrica, Universidad Veracruzana, Prolongación Venustiano Carranza S/N, Col. Revolución, Poza Rica, Veracruz 93390, México e-mail: [email protected] L. Y. Villagrán-Villegas · L. H. Hernández-Gómez (B) · M. Patiño-Ortiz · M. Á. Martínez-Cruz · J. Patiño-Ortiz · J. A. Beltrán-Fernández Sección de Estudios de Posgrado e Investigación. Escuela Superior de Ingeniería Mecánica y Eléctrica. Unidad Profesional Adolfo López Mateos “Zacatenco” Col. Lindavista, Instituto Politecnico Nacional, Ciudad de México C.P. 07738, México e-mail: [email protected] M. Patiño-Ortiz e-mail: [email protected] M. Á. Martínez-Cruz e-mail: [email protected] J. Patiño-Ortiz e-mail: [email protected] J. A. Beltrán-Fernández e-mail: [email protected] J. de Jesús García-Mejía Instituto Tecnológico de Veracruz—Av. Miguel Ángel de Quevedo 2779, Col. Fernando Hogar, Veracruz 91897, México © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_12

177

178

L. Y. Villagrán-Villegas et al.

in a systematic approach. It allowed the characterization and interpretation of images of gas turbine blades by means of artificial intelligence techniques. The neuro-fuzzy system was designed with a backpropagation neural network of five layers of neurons and a Takagi–Sugeno fuzzy system with two inputs and one output. The last one is a set of images with areas of wear. Keywords Blades · Gas turbine · Systems · Analysis of images · Neuro-fuzzy system

12.1 Introduction Aero-derived gas turbines have been used in the generation of electricity in industrial plants and in oil installations; among their main characteristics are their great reliability and their high power/weight ratio. As they are lighter than the conventional turbines, they are easy to install and simple to start. However, they have less mass, and it is difficult to detect vibrations in troubleshot problems. Aero-derived gas turbines have two basic components: a gas generator and a power turbine. The last is not mechanically coupled. Both components are aerodynamic coupled [1]. The environment plays a relatively passive role in the operating cycle of a gas turbine, since there are atmospheric conditions that can affect its operation (Pettit and Goward [2]). The main action of the rotor blades is to increase the air speed and the dynamic pressure. Such rotor collects the energy delivered by the turbine. Static pressure also increases in the rotor. The outlet section of the blades is greater than the inlet. It causes a diffusing effect (Fig. 12.1). The mechanisms that cause turbine degradation [3] are: scale, corrosion, hot corrosion, oxidation, erosion, abrasion, particle fusion and mechanical degradation. Therefore, it is important to take actions to get a great level of reliability and availability.

Fig. 12.1 C40 blades

12 Design of a Neuro-Fuzzy System in the Characterization of Wear …

179

Besides, the end users are those who carry out the repair and reconditioning of the gas turbines. In the case, that the turbine disks require a repair, they are sent to the manufacturer. Based on these ideas, the objective of this work is the development of an evaluation system that allows the analysis of the wear mechanism in gas turbine blades [4]. The proposed system was applied in the analysis of a blade of the 7th stage of the gas turbine compressor. The images have been characterized. The aim is cost reduction of this type of analysis. It currently is around US $2764.75 [5].

12.2 Methodology The Jenkins–Wilson methodology [6] was applied in the development of the proposed system. It has four phases and facilitates decision-making and problem solving (Fig. 12.2). Phase 1: Systems analysis. The activities of this stage are: Identification and formulation of the problem, project organization, definition of the system, definition of the supra-system, definition of the objectives of the supra-system (Fig. 12.3), definition of the objectives of the system, definition of the performance of the system Fig. 12.2 Jenkins–Wilson methodology

Fig. 12.3 Supra-system (blade)

180

L. Y. Villagrán-Villegas et al.

and collection of data and information. All these steps make clear the vision of the problem and make easier the decision making. Phase 2: Systems design. A future environment of the system is provided. A quantitative model of the system is developed. An evaluation of the generated alternatives is carried out and the one that optimizes the operation of the system is selected. The system is tested (Fig. 12.4). Phase 3: Systems implementation. The results must be presented to the decisionmakers. Once that it is approved, the system is implemented (Fig. 12.5). Phase 4: Operation and retrospective evaluation of the system. Once the system is built, it should be kept under observation. The feedback is very important [7]. The objective of image processing [8] is to transform or analyze an image to extract new information that before was not evident (Fig. 12.6). For the analysis of images, it was necessary to carry out a series of previous steps [9] (Fig. 12.7). Therefore, it was necessary to review the paradigm proposed by González and Woods [10]. The following ideas have been proposed: Lighting is a factor that influences the development of the images (Fig. 12.8). This situation becomes more critical in the case of small elements. The scanning electron microscope (10–15 kV) was used for this purpose. In the design of the proposed expert system, the model view controller (MVC) architecture was implemented (Fig. 12.9). It has three main components: 1.

Model: It saves the data and updates the information.

Fig. 12.4 Design of system (blade)

Fig. 12.5 Scheme of image screenshot

12 Design of a Neuro-Fuzzy System in the Characterization of Wear …

181

Fig. 12.6 Graphic representation of a scene digitization

Fig. 12.7 Scheme of screenshot

2.

3.

View: It is the visual part of the system that allows an interaction between the user and the system and maintains a constant communication with the system controller. Its function is to show the data to the user. Controller. It is the logic of the system and manages the requests of the user. Besides, it communicates with the database to obtain the necessary information, processes all the data, and delivers it.

182

Fig. 12.8 Screenshot

Fig. 12.9 Model view controller

L. Y. Villagrán-Villegas et al.

12 Design of a Neuro-Fuzzy System in the Characterization of Wear …

183

12.3 Design Expert System The parameters of the fuzzy system were calculated with the ANFIS neural learning method [11]. It was available as a module of the MATLAB code. In the ANFIS method, the fuzzy system was required to be of the Takagi–Sugeno-Kan (TSK) type, with inference rules of the form:     IF e (k − 1) is |L E r AND e(k) is |LE r THEN U r (k) = pr e(k − 1) + q r e(k) + k r

(12.1)

where r = 1, 2, …, R is the rule number. LEr and LΔEr are the linguistic values of the input signals e and e, respectively. In the rth rule, u is the contribution of the rth rule at the total output of the fuzzy system, and pr , qr , and k r are the coefficients of the consequent of the rth rule. The fuzzy inference system TSK was represented by a five-layer feedforward neural network, as shown in Fig. 12.10. Each input had three triangular membership functions (linguistic values). Broadly speaking, the neural network fuses the inputs in layer 1, implements an inference rule for each horizontal row in the three intermediate layers, and composes the change in the value of pixel in the last layer. In a fuzzy inference system of the TSK type, the membership functions and the constants in the consequents of the rules can be adjusted to reproduce a set of input and output patterns [12]. The learning process, or equivalently of the adjustment of the membership functions and the constants in the consequents of the inference rules, was developed as follows: First, a set of input and output data patterns was used as data training. It must be generated from the pre-processing images. Another set of patterns was used as post-workout check

Fig. 12.10 Neuro-fuzzy system

184

L. Y. Villagrán-Villegas et al.

data. Second, the initial structure of the fuzzy inference system was specified by the number of membership functions and their shape for each of the inputs (Berenji and Khedkar [13]. Finally, the learning process was executed. The set of training data patterns generated the inference rules, adjusted the membership functions, and determined the parameters of the consequents. The inference system obtained was verified with the set of data patterns for the check.

12.4 Characterization of the Wear Images of a Gas Turbine Rotor Blade Once that the model view controller in the design of expert system was adapted, the following results were obtained. A model is the database. It contains the synaptic thresholds and weights (data resulting from neural network training), the record of characterization of images of the axial compressor’s blade (data from characterization of the images of wear mechanisms), and a knowledge base. Figure 12.7 shows the entity relationship diagram proposed for the database model of system. A typical image is illustrated in Fig. 12.11. The processing steps, which analyze and characterize the images, are described in the following paragraphs [14]. (a)

Pre-processing: The data of an image is adapted and improved for a better analysis in later steps. Some examples of this are the brightness and contrast operations. The images (Fig. 12.12) used in this analysis were obtained with a JEOL_5001 brand scanning electron microscope. In this stage, six filters were applied, and wear was observed with a Laplacian filter in pre-processing stage.

(b)

Segmentation: In the partition of the image, several regions are created. Each one has the information for the solution of the problem. In this process, the

Fig. 12.11 Model view controller

12 Design of a Neuro-Fuzzy System in the Characterization of Wear … Gaussian

Laplacian

Logarithmic

Prewitt

Roberts

Sobel

185

Fig. 12.12 Image pre-processed with different filters. Specific properties of the trailing edge of 7th stage compressor blade were identified

images of the blade in different areas (trailing edge, leading, and root) were analyzed with Laplacian filters. The quality image in the processing stage was improved with a Gabor filter. The results were verified with 14 images of the trailing edge, 11 images of the leading edge, and 14 images of the root blade (Fig. 12.13). (c)

Object detection and classification: It was determined and classified the objects of the image (Fig. 12.14).

(d)

Image analysis: A high-level information was obtained from the images.

The proposed system was validated with the analysis of a compressor blade of the 7th stage of a C40 gas turbine. The intelligent system (Fig. 12.15) was integrated with the following elements: a PC MacOs Big Sur with a 2.3 GHz Intel Core i9 Octa-Core processor, 16 GB, MATLAB R_2019b code and a neuro-fuzzy system model. In the designed system, the inputs of the neuro-fuzzy system are the images of Image of MEB Trailing edge

Pre-proccesing Laplacian filter

Processing Gabor filter (texture)

Fig. 12.13 Several regions of the trailing edge of 7th stage compressor blade were pre-processed and processed with Laplacian and Gabor filters

186

L. Y. Villagrán-Villegas et al. Trailing edge (MEB)

Laplacian filter

Mesh

Bar

Blak and white image

Area by pixel

Histogram

Gabor filter

Fig. 12.14 Images of the trailing edge of 7th stage compressor blade were processed and specific properties were identified

Fig. 12.15 Model of neuro-fuzzy system

pre-processing and processing of each sample. The membership rules are the values of the wear observed in the material (weights), and the output of the system is the image with wear.

12.5 Results A sample, after 30,000 h of operation, is commonly sent to the manufacturer. In this research, with a reduced cost, it was sent to a laboratory. For the design of the neuro-fuzzy system, the configuration, the structure of the inference system, and two strategies for the generation of training patterns were defined.

12 Design of a Neuro-Fuzzy System in the Characterization of Wear …

187

Scanning electron microscope images of three sections of the blade were obtained: 14 images of the trailing edge, 11 images of the leading edge, and 14 images of the root of a blade. The intelligent system detected the wear mechanisms in a direct and a simple way, without a negative impact in the acquisition of the input images of the samples. Good feasibility and performance were obtained in the evaluation of all the images. Figure 12.16 illustrates a typical result of each zone. The first row shows leading edge images, two inputs of the NF system (Laplacian filter image and Gabor filter image), and the output of the ND system. Wear is in color blue. The second row shows two inputs of the trailing edge images (pre-processing and processing) and the output of the neuro-fuzzy system. The last characterizes the wear in the sample. Input

Leading edge

Trailing edge

Root Fig. 12.16 Outputs of neuro-fuzzy system

Output

188

L. Y. Villagrán-Villegas et al.

Finally, in the root of the blade, two inputs were introduced of the ND system. In a similar way, the wear areas have been identified with blue.

12.6 Conclusions The methodology, which was followed, has many advantages. It makes easier the planning, control, monitoring of the project, and the evaluation of results. The objectives were fulfilled. The neuro-fuzzy system detected wear in the blade of the compressor, reducing cost in the overhaul maintenance in gas turbines of oil and gas sector. The expert system is adequate in the analysis of the wear of the blades of an axial compressor of a gas turbine. A set of filters was used in the pre-processing of the images. The Laplacian filter allows a best analysis of the wear mechanisms. Besides, the Gabor filter was used to observe the texture of the sample. The results showed that the system is adequate in the characterization of wear in super alloys. Different types of analysis were carried out of the trailing and leading edges of blade. Degradation of the surfaces in areas of high pressure mixed with particles and wear mechanisms were observed. They were characterized by large craters and grooves. The mechanisms had diverse characteristics such as corrosion damage, irregular cavities, wear debris, flattened foreign particles on surface, and parallel grooves. The last showed the trajectory of solid particle impacted on blade during its operation [15].

References 1. Boyce M (2002) Gas turbine engineering handbook. Gulf Professional Publishing (ed) 2a edn. vol 1 Houston, Tx, USA 2. Pettit F, Goward G (1981) High temperature corrosion and use of coatings for protection. Metall Treatises 1:603–619 3. Kurz R (2014) Gas turbine degradation. Turbomachinery. Laboratory 1:1–36 4. Villagrán L, Hernández L et al (2019) Advanced structured materials. Springer Nature (ed) 92:221–236 5. Posma M (2014) Mexico Oil&Gas Review. New Energy Connections (ed) 1a edn. Vol. 1 México, México 6. Brulé J, Bount A (1989) Knowledge acquisition. Computing McGraw Hill, US 7. Wasserman PD (1989) Neural computing, theory and practice. Van No strand Reinhold, New York 8. Buchanan BG et al (1983) Constructing an expert system. Build Expert Syst 1:127–267 9. Weiss S, Kulikowski C (1984) A practical guide a designing expert system. Rowman & Littlefield Publishers (ed), 1st edn. US 10. Sossa H (2019) Procesamiento y análisis digital de imagen. Alfa Omega Ra-ma (ed) 1a edn España 11. Jang J (1993) ANFIS: adaptive-network-based fuzzy inference system. IEEE Trans Syst Man Cybern 23:665–685

12 Design of a Neuro-Fuzzy System in the Characterization of Wear …

189

12. Glover F (1986) Future paths for integer programming and links to artificial intelligence. Comput Oper Res 5:533–549 13. Berenji H, Khedkar P (1993) Learning and tuning fuzzy logic controllers through reinforcements. IEEE Trans Neural Netw 3:724–740 14. Schreiber G et al (1999) Knowledge engineering and management: the common KADS methodology. MIT Press (ed) 1st edn. US 15. Villagrán LJ et al (2016) A study of the wear damage on gas turbine blades. Eng Fail Anal 61:88–99

Chapter 13

Integration of ISO 45001 for Health and Safety Applications in the L’Oréal Cairo Plant Mirna Osama, Nader Nishan, and Ahmed Y. Shash

Abstract One of the L’Oréal’s Cairo plant intentions is to acquire the international standard certificate of “occupational health and safety management systems” which is the ISO 45001:2018 certificate. Therefore, to obtain such a certificate, ISO requirements must be fulfilled. In correspondence to a specified clause in the ISO 45001 standard, stating that all the performed procedures in the factory must be documented. During this study, the documentation process of the occupational health and safety procedures concerning the general life risks, maintenance, packaging, and processing lines is documented in accordance to the previously mentioned ISO. By writing down these procedures, the foundation of a reliable occupational health and safety system is established. Keywords ISO 45001 · Life risks · Safety procedures · Environmental health · Safety

13.1 Introduction Every day, horrific statistics on health and safety incidents, accidents, and their associated costs are recorded, as international labor organization (ILO) estimates that, there are currently more than 2.78 million deaths a year as a result of occupational accidents or work-related diseases [1], in addition to 374 million non-fatal injuries and illnesses. The cost for people and organizations is enormous. Furthermore, poor risk management of health and safety may have a negative impact on financial, reputational, operational, compliance risks, and continuity of business. Effective risk management is crucial for employees, industry, and society to prevent workrelated injury. It is very challenging for companies around the world to manage M. Osama · N. Nishan · A. Y. Shash (B) Faculty of Engineering and Materials Science, German University in Cairo, New Cairo, Egypt e-mail: [email protected]; [email protected] A. Y. Shash Department of Mechanical Design and Production, Faculty of Engineering, Cairo University, Giza, Egypt © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_13

191

192

M. Osama et al.

occupational health and safety (OH&S) risks. A systematic approach to managing safety risks is provided by health and safety management systems. A health and safety management (HSMS) system is a systematic approach that an engineer has put in place to minimize the risk of injury and illness. It involves determining and controlling risks to employees in all workplace operations. An effective HSMS is a key component of any business; it will vary in scope and complexity depending on the type of workplace and the nature of its business. To successfully, effectively, and efficiently develop and implement a HSMS, it needs to be based on a formal structure of defined elements. Therefore, harmonization of health and safety management systems using an international standard and sharing of best practices was needed worldwide [2]. This applies to both developing and developed countries at local, national, regional, and global level. With an international standard to be referred to, organizations will be able to address these risks better in future along with the right infrastructure and training. The new ISO 45001 occupational health and safety management system requires organizations to develop and promote a positive health and safety culture in the organization. ISO 45001 is a milestone as the world’s first international standard for workplace health and safety. ISO 45001, occupational health and safety management systems—guidance requirements for use, provides a single, clear framework for all organizations wishing to improve their performance in occupational health and safety. Directed at an organization’s top management, it aims to provide employees and visitors with a safe and healthy workplace [3]. To achieve this, it is essential to control all factors that could lead to disease, injury, and in extreme cases death by mitigating adverse effects on a person’s physical, mental, and cognitive condition; all these aspects are covered by ISO 45001. Therefore, this article aim is to document the occupational health and safety procedures concerning the general life risks, packaging, and processing lines and ETN maintenance in order to receive ISO 45001:2018 certification and produce a system that is non-dependent on people.

13.2 Background 13.2.1 ISO 45001 ISO 45001, which was published in March 2018, is an extremely important step forward to make occupational health and safety standards better all-around the word. ISO 45001 is a mixture between ISO 9001 which is the quality management ISO and ISO 14001 which is the environmental management ISO. The ISO 45001 replaces the OHSAS 18001 [4], which was released 1999 and revised in 2007 [5]. It is the first international standard to provide a conceptual structure for management systems tackling occupational health and safety issues. The standard sets out the crucial steps for an occupational health and safety management system to be built and how to implement such a system in the organization leading to better and safer

13 Integration of ISO 45001 for Health …

193

working space. The occupational health and safety management system approach applied through ISO 45001 is based on the concept of Plan-Do-Check-Act (PDCA) as shown in Table 13.1. This concept is a repetitive process that can be used in different organizations to fulfill regular development within the system. It can be applied to a management system and to each of its individual elements as follows [5]: Table 13.1 Plan-Do-Check-Act application criteria based on ISO 45001 clauses ISO 45001 clauses

ISO 45001 sub-clauses

Plan-Do-Check-Act criteria

1. Scope

–

–

2. Normative references

–

3. Terms and definition

–

4. Context of the organization

–

5. Leadership and worker participation

Clause 5.1 leadership and commitment Clause 5.2 OH&S policy Clause 5.3 organizational roles, responsibilities, and authorities Clause 5.4 consultation and participation of workers

6. Planning

Clause 6.1 actions to address risks and opportunities Clause 6.2 OH&S objectives and planning to achieve them

Plan

7. Support

Clause 7.1 resources Clause 7.2 competence Clause 7.3 awareness Clause 7.4 communication Clause 7.5 documented information

Do

8. Operation

Clause 8.1 operational planning and control Clause 8.2 emergency preparedness and response

9. Performance evaluation

Clause 9.1 monitoring, measurement, analysis, and performance evaluation Clause 9.2 internal audit Clause 9.3 management review

Check

10. Improvement

Clause 10.1 general Clause 10.2 incident, nonconformity, and corrective action Clause 10.3 continual improvement

Act

194

M. Osama et al.

(a)

Plan: determine and assess risks, opportunities, build OH&S targets, and procedures necessary to show results that are expected with the organization’s OH&S policy. Do: perform the processes that were conducted in the planning process. Check: observe and check the activities and procedures with respect to the organization’s OH&S policy and OH&S targets and record the results. Act: do actions to develop the OH&S performance to reach the results the organization is going after.

(b) (c) (d)

13.2.2 ISO 45001:2018 Structure The ISO standard is written in customary business English. ISO 45001 has three clauses of introduction. These clauses are the introduction, the purpose, and the terms and definitions. Then, there are seven main clauses that contain the actual safety content. Sections 4 through 10 in ISO 45001 are: 4. 5. 6. 7. 8. 9. 10.

Context of the organization [6] Leadership and worker participation [7] Planning [6] Support [8] Operations [9] Performance evaluations [10] Improvement [11].

At the conclusion of the standard, an appendix which is detailed explanation of how to correctly implement each clause as shown in Table 13.1.

13.2.3 ISO 45001 Benefits There are numerous benefits for applying ISO 45001 such as • • • • • • •

Reduce work injuries and illnesses. Reduce the level of absence that can be caused by work injuries. Reduced cost of insurance. Improve safety procedures. Improve consumer loyalty by gaining workers’ loyalty. Gain upper hand on competitors who do not apply the standard. Better leadership involvement and worker participation in the system.

13 Integration of ISO 45001 for Health …

195

13.3 Methodology 13.3.1 Implementation of ISO 45001:2018 in L’Oréal’s Factory in Egypt One of L’Oréal’s factories in Egypt main concerns is to produce a strong-based system concerning the safety of its workers. Therefore, the factory decided to start applying the required steps to gain the ISO 45001:2018. It is already known that to obtain an ISO, the factory must comply with specific checklist in regards to the clauses of ISO 45001:2018. A huge part of the ISO 45001:2018 is writing down the procedures for everything to ensure safety of workers and the fulfillment of the factory’s safety rules. There are few steps according to ISO 45001:2018 to implement it (in the part concerning the documentation section): 1.

2.

3.

4.

5. 6. 7.

A GAP analysis is performed by the safety department in the factory (gap analysis was done comparing relevant L’Oréal group existing OS&H management system documentation vs those currently applied in L’Oréal Egypt as well as ISO 45001:2018 requirements. The purpose of conducting the gap analysis is to identify the gaps in each activity, evaluate relevant impact, and identify required actions and documents that are need to be produced to comply with ISO 45001:2018). Risk assessment is performed by the safety department in the factory according to clause 6.1.2.2 in ISO 45001:2018 (risk assessment was done to evaluate the medium, high, and very high risks and possible steps for mitigation to lower relevant risks as possible. Mitigation steps identified in the risk assessment have been considered while developing procedures). Project plan was conducted after risk and gap assessments revealed that 42 organization procedures need to be developed customized for L’Oréal Egypt in order to map relevant processes and address related risks, roles, and responsibilities as well as fulfilling the requirements of section 5, 6, and 8 in ISO 45001. Moreover, all relevant permits were reviewed and updated as required. Start documenting all the required procedures according to clause 6.1.2.1 in ISO 45001:2018 (the procedures and all the information concerning them are mentioned through this paper). The documents then are revised and issued internally in the factory. All the L’Oréal workers must be informed about the procedures and take training as everyone must know his/her role and responsibility. Internal and external audits are performed to ensure the compliance with ISO 45001:2018 and ensure effectiveness of implementation.

196

M. Osama et al.

13.3.2 Documentation Through the section, the documentation process will be discussed, at which a total 42 procedures were newly developed in this project. Those procedures are divided into main life risks procedures, maintenance procedures, packaging, and processing procedures. Before writing the procedures, the general safety procedures and their directives of L’Oréal must be read and recognized as shown in Table 13.2. Documented procedures cover all aspects such as the purpose, scope, roles and responsibility, flow of activity, as well as reference documents such as work permits and other critical forms. To write any kind of procedure, a meeting was held with each activity engineer and witnessed all related interventions in order to understand and comprehend each process and relevant workflow. Developed procedures were discussed with relevant team of each activity and validated by EHS manager and finally got approved by L’Oréal zone EH&S director as shown in Table 13.3. Relevant identified gaps, risks, and possible areas for improvement were reviewed in order to consider in the documentation. Table 13.2 L’Oréal’s general safety procedures Number

Life risks

Comments

1

Work at height

Risks of falling associated with the use of a ladder or stepladder, access to and work on platforms and roofs, use of a lift table, scaffolding, etc.

2

Hazardous energies

Risks caused by exposure to electricity, pressure, fluids, steam, hot water, high temperature, and contact with mobile equipment

3

Confined spaces

Entry to confined spaces and/or risks of anoxia

4

Driving

Risk of an accident during a work-related car travel

5

Lone worker

Risks associated with a person working alone for long periods of time

6

Powered industrial truck (PIT) and automated guided vehicle (AGV)

Risks caused by interactions between forklift trucks, AGV, and pedestrians

7

Fire

Risk due to flammable products and materials

8

Hazardous chemical products

Risks from exposure to dust and dangerous chemical products through inhalation, ingestion, and contact with the skin

9

Construction work

Risks for sub-contractors during building work

10

Slips, trips, and falls

Risks of slipping on a slippery floor and falls from low-level heights as stairs

13 Integration of ISO 45001 for Health …

197

Table 13.3 Procedures review Procedures

Process reviewed by

Procedure validation by

Approved by

Confined spaces entry

EHS engineer

EHS manager

Zone EH&S director

Work at height

EHS engineer

EHS manager

Zone EH&S director

External company intervention

EHS engineer

EHS manager

Zone EH&S director

Hot point

EHS engineer

EHS manager

Zone EH&S director

Unloading of raw materials and ammonia/H2 O2

EHS engineer

EHS manager

Zone EH&S director

Truck reception

EHS engineer

EHS manager

Zone EH&S director

Training

Learning team

Human resources manager

Zone EH&S director

Safety validation equipment

EHS engineer

EHS manager

Zone EH&S director

External rented equipment (crane/man lift/scissors lift)

EHS engineer

EHS manager

Zone EH&S director

Maintenance of boilers

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance of compressors/blowers

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance in H2O2/ammonia room

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance of transformers/main panels

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance of ETP tanks

Environmental engineer

EHS manager

Zone EH&S director

Maintenance of sewage manholes

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance of WiMAX tower

IT infrastructure manager

EHS manager

Zone EH&S director

Maintenance of UPS

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance of pumps

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance of water treatment plant

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Introduction of new MP/formula

ETN engineer and processing manager

EHS manager

Zone EH&S director

Maintenance of storage racks

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director (continued)

198

M. Osama et al.

Table 13.3 (continued) Procedures

Process reviewed by

Procedure validation by

Approved by

Unloading ETP chemicals

Environmental engineer

EHS manager

Zone EH&S director

O&M of compactor machine

Environmental engineer

EHS manager

Zone EH&S director

Operation of wheel loader

Environmental engineer

EHS manager

Zone EH&S director

Maintenance of PIT

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance of fire alarms

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance and cleaning of roof

ETN engineer and EHS engineer

ETN manager and EHS manager

Zone EH&S director

Maintenance of packaging valves

Maintenance manager

Maintenance manager Zone EH&S director and EHS manager

Maintenance of processing valves

Processing technical manager

Processing technical manager and EHS manager

Zone EH&S director

Maintenance of skids

Processing technical manager

Processing technical manager and EHS manager

Zone EH&S director

Maintenance of packaging line

Maintenance manager

Maintenance manager Zone EH&S director and EHS manager

Maintenance of overhead pipes

Processing technical manager

Processing technical manager and EHS manager

Zone EH&S director

Maintenance of dust collectors

Processing technical manager

Processing technical manager and EHS manager

Zone EH&S director

Operation and maintenance of glue machine

Maintenance manager

Maintenance manager Zone EH&S director and EHS manager

Operation and maintenance weighing boxes

Processing technical manager

Processing technical manager and EHS manager

Zone EH&S director

Transfer using mobile vessels

Processing technical manager

Processing technical manager and EHS manager

Zone EH&S director

Maintenance of case packers

Maintenance manager

Maintenance manager Zone EH&S director and EHS manager

Operation of automatic shrink machine

EHS engineer

EHS manager

Zone EH&S director (continued)

13 Integration of ISO 45001 for Health …

199

Table 13.3 (continued) Procedures

Process reviewed by

Procedure validation by

Approved by

Operation of vacuum lifter

Processing technical manager

Processing technical manager and EHS manager

Zone EH&S director

The main life risks procedures were • • • • • • • • •

Confined spaces entry Work at height External company intervention Hot point Unloading of raw materials and ammonia / H2O2 Truck reception Training (mandatory steps) Safety validation equipment External rented equipment (crane/man lift/scissors lift). The maintenance procedures were

• • • • • • • • • • • • • • • • • • •

Maintenance of boilers Maintenance of compressors/blowers Maintenance in H2 O2 /ammonia room Maintenance of transformers/main panels Maintenance of ETP tanks Maintenance of sewage manholes Maintenance of WiMAX tower Maintenance of UPS Maintenance of pumps Maintenance of water treatment plant Introduction of new MP/formula Change management (QMS) Maintenance of storage racks Unloading ETP chemicals O&M of compactor machine Operation of wheel loader Maintenance of PIT Maintenance of fire alarms Maintenance and cleaning of roof. The packaging and processing procedures were

• Maintenance of packaging valves • Maintenance of processing valves • Maintenance of skids

200

• • • • • • • • •

M. Osama et al.

Maintenance of packaging line Maintenance of overhead pipes Maintenance of dust collectors Operation and maintenance of glue machine Operation and maintenance weighing boxes Transfer using mobile vessels Maintenance of case packers Operation of automatic shrink machine Operation of vacuum lifter.

13.4 Results Safety procedures have been developed, a sample of procedures is shown in Figs. 13.1 and 13.2, comprising all mitigations for risks identified in the risk assessment and gap assessment as well as identifying clear roles and responsibilities for all relevant processes. Developed procedures are not only to ensure the flow of the activities and identifying relevant roles and responsibilities but should address relevant expected risks and put relevant mitigation to eliminate or lower it. This is reflected in the 42 procedures developed in this project, where all identified gaps and risks have been addressed and mitigated; ISO 45000 is a system that requires management involvement and all workers and staff to promote the safety culture in the whole organization. Safety implementation requires cultural change in the corporate promoting the responsibility of every personnel toward safety. In order to achieve this, everyone should be aware of the overall corporate safety objective as well as his/her role in relevant tasks and activities.

13.5 Conclusion The L’Oréal factory in Cairo wants to obtain the ISO 45001:2018 certificate “occupational health and safety management systems” and to produce an occupational health and safety system that is non-dependent on people. Therefore, in compliance to clause 6.1.2.1 in ISO 45001:2018 and to build a strong base for the occupational health and safety system, documentation to general life risks, maintenance, packaging, and processing must occur. Through the article, the general life risks, packaging, and processing procedures were documented and discussed, and all of the procedures were done meeting all the people involved in it wither they were engineers, operators, or technicians; also interventions were attended to ensure the adequacy of the procedures that were written down. After writing down the procedures, they were checked by the zone manager, ETNEHS manager, and EHS manager and then issued.

13 Integration of ISO 45001 for Health …

Fig. 13.1 Procedure sample part 1

201

202

M. Osama et al.

Fig. 13.2 Procedure sample part 2

Finally, by writing down these procedures, an important clause of ISO 45001:2018 was fulfilled, and a strong base for the occupational health and safety is accomplished.

13.6 Future Recommendation Training to the staff involved in developed procedures for this project must be conducted to ensure everyone is aware of his/her role, promoting safety culture

13 Integration of ISO 45001 for Health …

203

in L’Oréal Egypt factory. Further internal assessment, e.g., gap and risk assessments should be conducted to discover any probable incompliance or expected risks as well the implementation effectiveness. In addition, KPIs must be developed for periodic monitoring the effectiveness of implementation of the system and capture areas for improvement and to help safety stewardship during management reviews.

References 1. ISO 45000 family—occupational health and safety. ISO (2018). https://www.iso.org/iso45001-occupational-health-and-safety.html. Accessed June 2019 2. Journey to a new strategy. ISO (2019). https://www.iso.org/files/live/sites/isoorg/files/store/en/ PUB100385.pdf. Accessed June 2019 3. ISO (2018) ISO 45001—occupational health and safety management systems: requirements with guidance for use 4. OHSAS. Project Group, National Standards Authority of Ireland, OHSAS Project Group, British Standards Institution & National Standards Authority of Ireland (2007) Occupational health and safety management systems. National Standards Authority of Ireland 5. Patrick B (2019) What is ISO 45001? ISO 45001 Store. https://45001store.com/safety-standa rds/what-is-iso. Accessed Sept 2019 6. ISO 45001 OH&S Management in Plain English (2018) http://www.praxiom.com/iso-45001. htm. Accessed Feb 2019 7. Smith D (2018) What you need to know about ISO 45001. IMS Risk solutions. https://iosh. com/media/2521/iso-45001-david-smith-iom-february-2018.pdf. Accessed Oct 2019 8. ISO 45001—Clause 7: Support; Clause 7.1: Resources. Pegasus (2018) https://www.pegasu slegalregister.com/2018/04/23/2463iso45001/. Accessed Mar 2019 9. Preteshbiswas (2019) ISO 45001:2018 OH&S management system. ISO consultant in Kuwait. https://isoconsultantkuwait.com/2019/02/12/iso-450012018-oh-s-management-sys tem/. Accessed Oct 2019 10. ISO45001 Implementation Guide. NQA (2018) https://www.nqa.com/medialibraries/NQA/ NQA-Media-Library/PDFs/NQA-ISO45001ImplementationGuide.pdf. Accessed July 2019 11. Venter P (2019) ISO 45001:2018 simplified (clause 10 improvement). ISOQAR Africa. https://www.isoqar.co.za/post/iso-45001-2018-simplified-clause-10-improvement. Accessed Nov 2019

Chapter 14

The Role of NGOs, Associations, and Certification Foundations in the Development and Awareness of Producers and Consumers: A Case Study in the Field of Organic Products Ágata Maitê Ritter, Flávia Luana da Silva, Luiz Alberto Oliveira Rocha, and Jocieli Francisco da Silva Abstract This article aimed to identify the challenges and actions that NGOs, associations, and foundations facing regulating the organic production face to promote the production and sale of organic products. The research was carried out with NGOs, associations, and nonprofit foundations and certifiers of organic products from Brazil’s South and Southeast regions. The data were analyzed through content analysis to identify the challenges and actions taken about the practice of regulation, the economic development of producers, and consumers’ awareness. The results suggest that the migration of producers to organic production is hampered by the fall in revenues of these producers. Consumers are afraid of the credibility of the certificates of organic producers due to corruption scandals in Brazil. NGOs, associations, and foundations promote consumer awareness events, seek to make organic products available at the points where their customers are, and follow international standards for organic certification, aiming at exporting their products in the future. This research becomes relevant because it identifies the challenges and actions taken to promote the production and sale of organic products, a culture that is growing today. Keywords NGOs · Association · Foundation · Organic products · Green products

Á. M. Ritter · F. L. da Silva Production and Systems Engineering, University of Vale do Rio dos Sinos—UNISINOS, CEP 93.022-750, São Leopoldo, RS, Brazil L. A. O. Rocha Mechanical Engineering Graduate Program, University of Vale do Rio dos Sinos—UNISINOS, CEP 93.022-750, São Leopoldo, RS, Brazil e-mail: [email protected] J. F. da Silva (B) Polytechnic School, Graduate Program, University of São Paulo—USP, CEP 05508-010, Butantã, SP, Brazil © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_14

205

206

Á. M. Ritter et al.

14.1 Introduction The insertion of non-governmental organization (NGO) and nonprofit civil associations in civil society aims to protect the population, inspect companies, and promote discussions around laws and public policies that benefit less politically influential minorities [1]. The main objective of these actions focuses on the search for a more sustainable society. In this context, sustainable production and consumption appear as the axis of NGOs’ axis, and other institutions focused on sustainability [2]. Sustainable consumption can reduce the level of consumption, but it is also the preservation of the environment and the application of fair social practices. Sustainable consumption meets the basic needs of society without compromising the environment [3, 4]. In the context of sustainable consumption, organic products are included. Organic products have a less environmental impact and are less harmful to human health than traditional products, making them a more friendly option for both the environment and the population [5]. The production of organic products respects rural cultures, acting on social inclusion, and uses practices to improve the quality of life of those who produce and consume these products [6, 7]. Besides, organic products stand out for being produced naturally, without synthetic chemicals, such as pesticides and fertilizers [7]. In this context, NGOs, associations, and foundations can be considered a link between producers and consumers. They help protect consumers, guarantee environmentally friendly production, carry out legal actions that reassure the consumer, and contribute to producers based on production guidelines [8]. Through the certification process for organic products, associations, foundations, and NGOs seek to minimize the consumption of natural resources, reduce pollution, and increase the life span of scarce resources [9]. There is an effort by NGOs, associations, and foundations to promote sustainable development, but there is a lack of discussions regarding the impact of global issues on the transition to a more sustainable future [10]. Current public policies are deficient and based on vague documents. Therefore, it is essential to reformulate public policies to promote sustainable development [11, 12]. In addition to these aspects, the role of NGOs, associations, and foundations is also highlighted by the fact that there is a worldwide trend of growth in the global organic food market, estimated at US $77 billion in 2015 and expected to reach the US $320 billion by 2025 [13]. According to [14], there is a greater concentration of organic production in developing countries, such as Brazil. Given this scenario, there is an urgent need for actions for environmental preservation [15]. This study considers the context presented in which NGOs, associations, and certifications can promote actions to leverage sustainable performance. For this, a case study was carried out with NGOs, foundations, and associations, which work in the certification of products from Brazil’s South, Southeast, and Midwest regions. The objective is to identify the challenges faced and the actions taken by NGOs, associations, and foundations to promote the development of the production and commercialization of organic products in Brazil.

14 The Role of NGOs, Associations, and Certification …

207

This study makes three main contributions to the existing literature on organic products and sustainable consumption. Firstly, it demonstrates the challenges that exist in the promotion of organic products. Second, it presents the actions taken by NGOs, associations, and foundations to promote sustainable consumption. Third, it describes how the certification process of associations, NGOs, and foundations is carried out to meet international standards. Practical contributions and research limitations are also presented.

14.2 Theoretical Review This section presents the theoretical review, which will support the research. The topics to be addressed are sustainable economic development, consumer awareness, and public policies.

14.2.1 Sustainable Economic Development Economic development based on sustainability involves financial, operational, and training aspects. However, NGOs carry out operational initiatives aimed at wellbeing, rehabilitation, and restructuring for the less favored sector, operating in a wide area of development and social change. It can be considered a complementary innovation force for the country [15]. NGOs and foundations linked to environmental preservation are making efforts to protect the environment and generate social and economic development in rural areas and encourage the formation of associations to present projects that meet the needs [16]. Sustainable economic development, also known as the “green economy,” has been increasingly promoted as a form of socially viable development [17]. According to the author, the concept of a green economy is closely related to “sustainable development,” but with some differences, once the “green economy” reflects the growing concern for environmental well-being and the growing population. The United Nations Environment Program (UNEP) defines the green economy as a result of improving human and social well-being concerning equity. Meanwhile, significantly reducing environmental risks and ecological scarcity [18]. In this type of economy, NGOs and foundations carry out improvement projects for families and work to insert farmers into new production concepts [17]. The economic aspect represents the main barriers to the development of the work of NGOs, since small farmers suffer from the lack of access to financial resources, affecting the updating of equipment and, consequently, productivity [19]. These challenges about the lack of financial resources and low levels of investment are becoming increasingly difficult to overcome due to multiple crises worldwide [20].

208

Á. M. Ritter et al.

14.2.2 Consumer Consciousness With the support of governments from different regions, NGOs, associations, and foundations have endeavored to promote various environmental awareness actions [21, 22]. These actions are necessary for consumers to become aware of environmental problems’ current and urgent nature [5]. Therefore, the incorporation of sustainable consumption actions into the organizations’ practices contributes to the performance of prominent companies, especially in terms of competitive advantage, and the awareness of consumers, and the improvement of the corporate reputation [23]. These actions are necessary because consumers believe that environmental problems are somewhere in the future. However, it is not something to worry about today. Consequently, their actions best serve their interests and not the environment [24]. One way to minimize this thought is to make environmental problems more current and urgent in consumers’ minds, thus stimulating action and providing innovative solutions [5]. Aitken et al. [25] state that the certifications of organic products influence the purchase intention. This suggests that improving labeling systems, including health and environmental benefits, would increase and strengthen purchase intentions concerning organic foods. According to [26], another way of raising people’s awareness is in education, inserting environmental themes in children’s and children’s literature in the educational system, seeking to promote assimilation in issues related to the quality of the environment. Literature collaborates, supporting NGOs in local schools with relevant materials, strengthening the link between NGOs and educators, facilitating the exchange of knowledge [26]. Liobikien and Bernatonien [5] list some decisive factors for the purchase of organic products, but environmental awareness is the determining factor and should be explored in the promotion of products. Companies aim to promote an environmentally friendly product, thus educating and changing buyers’ views about the consumption [27]. However, [28] highlight that consumer awareness is the main barrier or challenge for promoting organic products, as it is centered on the way the consumer thinks and the context in which the consumer is inserted. The consumer may have access to information and retain knowledge, but his choices tend to be volatile. Also, it is necessary to communicate green activities, reflecting its commitment to the environment through advertisements, sales promotions, publicity, and social responsibilities. In this way, customers identify value in corporate activities [9].

14.2.3 Public Policy Public policy is associated with regulatory issues. In this way, NGOs and public bodies can be allies for the benefit of social and economic changes [29]. Generations

14 The Role of NGOs, Associations, and Certification …

209

classify NGOs, and these are focused on the development of sustainable systems concerning involving it in the institutional, social, and political context and in participation in the policy-making process by governments and multilateral organizations [30]. The NGOs’ strategy is to seek changes in specific policies and institutions at national and global levels, and it is also a long-term political challenge [2]. The expansion of consumption of organic products in the countries is a way to reconcile the development of small-scale agriculture, the revitalization of rural cultures, and environmental protection, with the approval of laws to encourage ecological agriculture, which benefits or not the benefit of organic certification [31]. In Brazil, the promotion of laws to encourage agroecological alternatives aims at new perspectives for family farming workers, who in 2012 were the main ones responsible for the production of food for Brazilian families, reaching 70% of the food consumed in Brazil. Another vital role is the certification standards for organic products carried out abroad by the International Federation of Organic Agriculture Movements (IFOAM). It generates efforts to define and apply quality certificates in products of organic specification, guaranteeing industrialization and commercialization, to the detriment of organic values [32]. Ariztía [1] point out that an increasing number of NGOs and consulting groups are engaged in raising awareness and promoting sustainable consumption, helping producers obtain certifications for the marketing of organic products. However, they had limited visibility and are focused on a particular sector. In Brazil, NGOs, associations, and foundations dominate the certification process for organic products. The certification process is carried out through an audit (the producer hires a certifier) or in a participatory manner (seal issued by associations of producers, consumers, and technicians), following the basis of the organic law (Law 10.831/03), which establishes the international IFOAM standards, but still awaiting regulation [33]. Rocha et al. [34] highlight that the challenge for public sustainability policies is creating a new form of democratic participation through the organization of civil society and political councils. Such participation requires information, training, and posture that many representatives of Brazilian civil society organizations do not yet have, which leads to environmental degradation in agriculture and respect for environmental sustainability. Choi [35] also points out that the lack of governance is the cause of the inefficiency in the development of political measures, regulations, and subsidies for sustainable development.

14.3 Methodology The research method used to guide this article was to study multiple cases, with a qualitative and exploratory/descriptive approach [36]. First, a bibliographic search was carried out on the central themes of the study. Based on the results of this research, the theoretical framework and the data collection protocol, available in Annex A, were used to conduct the interviews. Besides, the literature review findings were used to

210

Á. M. Ritter et al.

Table 14.1 Steps of the working method Study steps

Objective

Phase 1—construction of the Understand how the central theoretical basis elements of the research relate Develop the constructions that will be questioned

Data collect Bibliographic survey on articles, books, and materials that support this theme

Phase 2—sample identification and definition

The NGOs, associations, and foundations participating in the research needed to be directly linked to the regulation of organic products, marketing, incentives, production, and awareness

The definition came from consulting governmental and non-governmental websites

Phase 3—definition of the method and carrying out the Case Studies

Multiple case studies with NGOs, associations, and foundations

The interview was conducted with the support of a semi-structured questionnaire and with questions of a more open focus

Phase 4—data triangulation and study completion

Discuss how the elements raised in empirical research are related to the literature

Bibliographic research Semi-structured interviews, direct observations, and document analysis

Source Prepared by the authors (2021)

discuss the research results and complete the study. Table 14.1 summarizes the steps of the working method.

14.3.1 Sample Selection and Data Collection Procedures Case selection is an important aspect in case studies [36]. The units of analysis for this research are composed of NGOs, associations and foundations, located in the South and Southeast regions of Brazil. Table 14.2 shows the definition of each of these institutions. This sample was chosen because Brazil has the 9th World GDP [40]. According to the Ministry of Agriculture, Livestock, and Supply (MAPA), currently in Brazil, the area of organic production covers 950 thousand hectares, with 20,788 producers in the National Register of Organic Producers. The database is led by the states of Rio Grande do Sul (3744), Paraná (3632), São Paulo (1918), and Santa Catarina (1695), which represent 53% of Brazilian production [41] and are the states NGOs, foundations and associations chose to be researched. The selected institutions are directly linked to the regulation of organic products, their marketing, financial incentives, production, and awareness. The certifications

14 The Role of NGOs, Associations, and Certification …

211

Table 14.2 Definition of each institution Definition

Authors

ONGs

NGOs are a non-governmental Atack [29], Costa and Visconti [37], organization in Brazil. Its characteristics Fuchs [38] are nonprofit purposes; i.e., they are not aimed at generating profit. They take care of the rights of civil society, environmental preservation, a better quality of life, assistance with political training, assistance to people affected by disasters, and act in the certification of green products, among other actions

Associations

According to the Civil Code, Brasil [39], Fuchs [38] Association is the “union of people for non-economic purposes” (art. 53). However, the Association can carry out economic activities when characterized for this purpose in its constitution. The Association is also the union of two or more people, with common goals, such as sustainable development or actions aimed at protecting the environment and developing organic products

Foundations

Foundations are generally formed with a Costa and Visconti [37], Fuchs [38] definite purpose even though they are nonprofit purposes. The founder allocates a free asset, which will be used for the final objective in which the Foundation intends to act in its constitution. This is the main difference concerning the Association, as it focuses on the individual and the Foundation on heritage

Source Prepared by the authors (2021)

issued by these institutions aim to guarantee the origin and organic quality of the products. The selection of units took place through consultation with governmental and non-governmental websites, such as the Brazilian Association of Non-Governmental Organizations—ABONG, NGO BRASIL, APOEMA, with NGOs in its broad sense, with no search restrictions. To obtain more precision in the search, citation in national or international articles on topics related to sustainability, sustainable consumption, and agroecology was used as a guiding criterion. The researched NGOs are characterized by being nonprofit and certifying organic products in organic fairs in Brazil’s South and Southeast regions. The associations are composed of rural producers and are linked to NGOs, providing the development of their region and the certification of members. The foundations operate in awareness campaigns and courses, aiming at sustainable and environmental development.

212

Á. M. Ritter et al.

Table 14.3 presents a summary of the characteristics of the NGOs, associations, and foundations interviewed based on the information provided by the interviewees and the data collected in the direct observations. Data collection in case studies can occur using different methods, such as interviews, observations, and existing archival sources, as long as they are particularly common [36]. In this research, data collection took place through interviews, direct observations, and analysis of documents. The interviews lasted an average of 50 min, and all were recorded and transcribed for later analysis. The analysis of the results of the data collection was done through content analysis. Content analysis is a research method that seeks to interpret and analyze data through coding [42]. He started by coding the excerpts of the interviews. Then, the coded sections were grouped according to the categories to reduce them according to the topics of interest to the research. These results were complemented with information from direct observations and analyzed documents and compared with the results found in the literature.

14.4 Results and Discussions In this section, results of field research with NGOs, associations, and foundations will be present. The results will be analyzed from the perspective of the characteristics: sustainable economic development, environmental awareness, development, and public policies to support the research data.

14.4.1 Sustainable Economic Development The NGOs, associations, and foundations interviewed are legitimized in sustainable development, participating in the formulation of policies, developing farmers, engaged in environmental awareness, developing new products, and in the consumption of energy. Also, NGOs regulate organic fairs, courses on the eco-house, green design and assist in the insertion of new producers. Associations, NGOs, and D and G foundations have practices aimed at attracting financial subsidies for projects, analyzing prices in urban and rural centers, and monitoring the economic development of producers. NGO B raises external resources based on the elaboration of specific projects for specific actions and activities. With the capital from these resources, NGO B is structured to contribute to less favored families, providing these families with a better quality of life and greater space to express themselves. NGO F conducts empirical research that includes an analysis of sales and profits in recent years and assesses the need for its producers to increase production and the need for NGO F to act on new fronts or in a larger geographic area. Besides, NGO F makes financial investments with the agroecological community to

Dairy production, courses in organic production, ecotourism, awareness activities

1989

Foundation D

Act in the awareness of the population, carrying out ecotourism and the production of organic products, and participating in fairs

Production of juices, grains and cereals

Association C Assist rural producers and other 1999 producers and mobilize them for organic products fairs, support members concerning the production process, issues related to public policies, and regulation

2000

Organic products in general

Certify organic products, products from associations and foundations that intend to commercialize organic products. Assist in the development of public policies

NGO B

Founded in Product type Citrus and fresh produce

Function

Association A Assist producers in producing and 1998 developing new methods for pest control, inspection, incentives, and mobilization for organic fairs

Classification

Table 14.3 Characterization of NGOs, associations, and foundations

Administrator

President

Regional officer

Coordinator

(continued)

It is composed of a family. However, it involves the region in its projects

It consists of 12 families

It consists of 26 nuclei, which are composed of hundreds of associations, foundations, and entities

Ten families. The total cultivation area is close to 200 hectares

Person in charge Participant number

14 The Role of NGOs, Associations, and Certification … 213

Work with community awareness 1987 and integration projects with a view to sustainability and rehabilitation of areas. Perform activities with the community to use medicinal herbs and different materials, generating less aggression to the environment

Foundation G

Source Prepared by the authors (2021)

Act in the awareness of consumers and producers; conduct campaigns with the community; assist in producing organic products, projects for the insertion of new families, and being responsible for organic product fairs

NGO F

1986

2005

Act in the awareness of the population, aiming at the well-being and reduction of consumption—conduct ecotourism, courses, and production of organic products and eco-house

Foundation E

Coordinator

Awareness lecture, work with fauna and flora, soil recovery projects, sale of organic products

President

About ten people work at the foundation. However, the number of people benefiting from the work is not informed due to the high number

Farmers’ families benefited from our activities/actions—850; associations 30. However, there are still hundreds of people from civil society who benefit

It is formed by 18 people who act as educators and in the NGO infrastructure

Person in charge Participant number

Insertion of women in the field, an Coordinator inspection of organic fairs, courses for recycling, educational programs, draft laws, and greenhouse and green design

Organic production, greenhouse, design house, exchanges, and ecotourism

Founded in Product type

Function

Classification

Table 14.3 (continued)

214 Á. M. Ritter et al.

14 The Role of NGOs, Associations, and Certification …

215

increase production, improve the quality of life, provide well-being and contribute to decision making. All these actions taken to raise funds are still insufficient. Many families of traditional family farming have financial difficulties when entering organic production, with financial difficulties being one of the main barriers to the entry of new producers in this environment. This is due to the change in the form of cultivation, which results in a reduction in the production volume from about 30 to 40%. Thus, the main identified factor that inhibits the change in the cultivation style is the fear of not adapting to the “new” market or getting space in it. Second, associations, NGOs, and some certifying foundations, this fear is reinforced by the fact that families do not have the green seal and do not receive financial support like other families with the seal. One of the actions to mitigate this impact was creating a space at organic fairs so that these families can sell their products. Foundation E has a contradictory view concerning the other interviewees and believes that these actions carried out by NGOs, associations, and other foundations are a way of stimulating capitalism and are against a sustainable world view. Foundation E does not agree with the elaboration of researches to evaluate the economic development and does not make high investments for the development of the producers. The economic aspect is still one of the most significant barriers to the insertion of new producers in organic production, with the statements of [19, 20]. Pan et al. [20] claim that the lack of financial resources and low levels of investment are increasingly difficult to overcome due to global crises. The findings of this study converge with the authors’ statement since NGOs, associations, and foundations finance the development of producers of their projects and are not at the mercy of government entities. Also, NGOs, associations, and foundations do not report fundraising. They report that resources are insufficient to guarantee the financial stability of producers who enter the process.

14.4.2 Environmental Consciousness In the process of developing environmental awareness, NGOs, associations, and foundations have a similar view. According to NGOs, associations, and foundations, all movements and changes in norms occur from the mobilization of people. An example of this is the organic fairs that arose and were authorized at the request of consumers. This reinforces the idea that organic consumption is not a momentary fashion, but something that is here to stay, converging with the idea presented by [2] that the consumer is the main element for sustainable change and must be supported by doing your part to “save the planet” by buying greener products. NGOs focus on raising farmers’ awareness of new techniques and forms of cultivation and harvesting and establishing a relationship between men and nature. According to NGO B, agroecology is a science that results from the interaction between academic knowledge and popular and historical knowledge. In this way,

216

Á. M. Ritter et al.

agroecology proposes to think and work on integrating agricultural cultivation, nature, and how people organize their lives and relationships. On the other hand, foundations work with farmers to minimize fears of shifting from traditional to organic production to show that the market they are inserted is a select market but with a great prospect of growth. In a complementary way, the associations have several actions aimed at consumers, as they believe that expanding consumers’ perception about the impact that their choices generate in the present is the fundamental one. Associations identify consumers as the main element in the chain and that having that consumer close by is crucial to raising environmental awareness. These actions corroborate the ideas of [9]. The authors state that the client must know the activities carried out by the company, its commitment to the environment, and social well-being to identify value in these actions. Among the actions taken by the associations to make consumers aware, a monthly forum is held for consumers and associates, aiming at the exchange of ideas, the expansion of the consumers’ perception of value concerning the products sold, and the benefits to the environment through the choice of organic products. From these forums, the associations identified that the consumer public of organic products is located in large urban centers and capitals. According to the associations, this is due to the lifestyle that combines concern for health, the environment, and the high stress that these consumers suffer daily. The consumption of organic products is one way that consumers find to balance their lifestyle and personal values. This finding differs from the idea that the consumption of organic products is based only on the discourse of conscience and environment, as suggested by the authors [5], and for these consumers, the choice is linked to the search for a healthier life and focused. The associations point out that consumers are afraid of the credibility of the seal, as they believe that there may be a fraud and even the improper purchase of the seal, causing fake organic products to be sold, that is, the sale of products traditionally grown and with the use of pesticides as organic products. This lack of confidence in labels and certifications results from the Brazilian cultural context, which has a history of acts of corruption at different levels. This finding corroborates [43], who believe that the growth in consumption of green products is not more significant due to doubts about labeling/certification, which have been pointed out as one of the common barriers in studies. To minimize the impact of this barrier and the lack of consumer confidence, associations offer consumers the possibility to visit certified farms to learn about the process and how the products are grown. NGOs in partnership with foundations have projects with schools, working with children and young people. Its projects focus on promoting the ideas of healthy eating, organic production, care for the environment, and facing social responsibility. The work occurs from activities that involve the supply of organic food, the realization of organic gardens in schools, students’ collaboration, and engaging students in this idea. NGOs believe that, through interaction in schools, it is possible to raise the perception of value and the benefits of contraction and organic products. The foundations carry out complementary activities such as ecotourism, courses, and lectures. These activities are aimed at adults and children, but mainly at children because, according to the interviewees’ vision, they will be the consumers of

14 The Role of NGOs, Associations, and Certification …

217

the future. School trips (ecotourism) and activities involving children with animals and planting organic food are carried out for children. For adults, several courses are offered, in addition to ecotourism and camping. For the elderly, relaxation and ecotourism activities are offered. These actions carried out by NGOs, associations, and foundations corroborate the authors [26] about the importance of raising people’s awareness about education, inserting environmental practices in the educational system of children and young people. These projects also strive to highlight the need to care for the environment and social responsibility, which are considered decisive in the acquisition of organic products, as pointed out by Liobikien and Bernatonien [5]. According to [23], incorporating actions that maximize sustainable consumption becomes a competitive advantage and contributes to improving the corporate reputation. This perception is shared by the foundations, which offer courses, lectures, trips, and other activities for audiences of different ages to disseminate information about their work and attract new consumers. Besides, NGOs advise associations, foundations, and producers to hold fairs in large urban centers and be present in supermarket chains and natural products stores. These guidelines aim to make products available where consumers are.

14.4.3 Public Policies The association A highlights the initiative of the School Lunch Law (Law nº 11.947/2009), which predicted that about 30–40% of the “volume” of meals must come from the municipality where the food will be consumed. Therefore, the association’s actions aim to comply with the law and ensure the delivery of organic food to schools. NGO B mentioned some examples of participation in the induction of public policies, among which are: “fight for the approval of the pesticides law”; “alternative technologies project,” and “promotion of regional and national alternative agriculture meetings.” For the interviewees of NGO F, the new law on agroecology is an excellent advance for organic agriculture, and this was only possible thanks to the union of forces with foundations, associations, and NGOs. For the NGOs interviewed, the approval of laws to encourage agroecology, as [31] stated, was a significant advance, as it provided NGOs with credibility with producers and society. For NGOs, the contribution to the development of public policies has made it possible to transmit more security to the community and granted greater recognition for the certificates. The certification priority is to generate safety for the organic product for commercialization, as highlighted by [25]. The promotion of these laws converges with the authors’ findings, who claim that improving labeling systems, including information on health and the environment, is a way of strengthening the intention to purchase organic products [25]. Foundation D does not participate in the drafting of laws. However, it advises sustainable projects with the Technical Assistance and Rural Extension Company (EMATER) in the region.

218

Á. M. Ritter et al.

The great challenge in the scope of public policies is not always in the approval but in the formalization in the law format. This occurs, according to associations and foundations, as its members tend to have a low level of education, which makes it difficult and restricts the participation of these members in political acts or the possibility of being present at certain events for the discussion of regulatory laws that assist in the development of organic production. Besides, NGOs comment that they have the same difficulty as associations and that the situation is aggravated when it comes to organic family farming. This finding converges with [34], who emphasize that the challenge of public sustainability policies is democratic participation since civil society representatives often do not have the requirements to guarantee their participation in important decisions. Another essential role developed by NGOs, associations, and foundations is the certification process. This process is similar between associations, NGOs, and certifying foundations, following international IFOAM standards. The process consists of analyzing the product, visiting the farm of the rural producer, analyzing the process of growing and harvesting the product and organic packaging. These visits occur as follows: The first visit is carried out by the association, NGOs, or certifying foundation, and this visit is repeated every six months. During this period, producers receive monthly visits from other certified producers to regularize and transmit the best cultivation practices. The need to be certified to participate in fairs comes from a requirement of NGOs. NGOs determine that for farmers to participate in organic fairs, they must be associated with an agroecological or environmental association, foundation, or cooperative. Otherwise, their participation is prohibited. According to the NGOs, this request aims to overcome the knowledge barrier of farmers and the formalization of public policies. This occurs from the understanding of the reality of each farmer during the visits to the certification process.

14.4.4 Summary of Results Figure 14.1 presents a synthesis of the main results found in the construction covered in the research. The following section presents the study’s conclusions and future research gaps.

14.5 Conclusion The consumption of organic products tends to grow worldwide. In Brazil, NGOs, associations, and foundations are the incentives for producing and consuming organic products. This work aimed to identify the challenges and actions that NGOs, associations, and foundations carry out to promote the development of the production and commercialization of organic products in Brazil to contribute to research on organic

14 The Role of NGOs, Associations, and Certification …

219

Fig. 14.1 Summary of results. Source Prepared by the authors (2021)

products and sustainable consumption. The gathering of this information was carried out through a survey with NGOs, associations, and foundations that work to promote organic products in the South and Southeast regions of Brazil. The results show that the main challenges faced by NGOs, associations, and foundations for the promotion of organic products are. 1. 2. 3.

barriers to insert new families due to the transition cost, the reduction of productive capacity, and the drop in revenues; consumer credibility lack regarding the legitimacy of certified products because in Brazil, there are many cases of corruption; and the difficulties in elaborating public policies and participation in political acts due to the low level of training of farmers/associates.

To mitigate these challenges, NGOs, associations, and foundations promote fairs for the sale of organic products. NGOs and associations responsible for the certification process make visits to producers to understand more about farmers’ challenges and have a basis for the formulation and discussion of public policies that can leverage organic and sustainable production. NGOs, associations and foundations promote actions to raise funds through projects, economic analysis of profits and billing and financial investments with the community. This fundraising is intended to contribute to the economic development of producers, increase production and improve the quality of life for producers. To improve consumer awareness, NGOs, associations and foundations promote forums, visits, ecotourism, courses and lectures. There are also projects with schools, promoting activities that involve animals, the environment and the planting of organic food so that the population can perceive the urgency of taking care of the environment.

220

Á. M. Ritter et al.

14.5.1 Practical Implications The article addressed the certification process carried out by associations, NGOs, and foundations. This process meets international IFOAM standards. The work described how the process is composed, what points need to be improved and how associations, NGOs, and foundations are working on these improvements. These findings can be used by other organizations interested in starting the certification process for organic products. The market for organic products is in a growth phase in Brazil. However, the research results show that producers have difficulties in migrating to the production of organic products due to the drop in production. Given this, this research shows that there is a need to create laws on organic production as a way to encourage the agriculture of organic products. The results show that the consumer profile is changing. People are more concerned with health, well-being, and environmental issues, and the consumption of organic products is a growing trend. Given this, food companies can use the findings of this work to design actions that aim to promote consumer awareness with organic products and thus increase their sales and sales.

14.5.2 Academic Contributions The study advances in the literature on organic products, showing that Brazil’s supply of organic products is limited. The leading cause of this limitation is the entry of new producers. Organic production generates a drop of up to 40% to traditional production, which causes many producers to give up producing organic food and value the volume of production of traditional products. Also, many families in traditional family farming have financial difficulties when entering organic production due to the transition period of cultivation, generating a “drop” in revenue. This drop in revenue is yet another motivator for families to remain in traditional farming. Regarding the profile of consumers, the results of the research show that consumers of organic products are concerned with health and see the consumption of organic products as a means of achieving quality of life, which differs from the researched literature. In the region studied, the structuring of organic fairs took place at the request of these consumers. This finding of the consumer profile opens a discussion for the literature on environmental awareness, pointing out that the increase in the consumption of organic products can be the object of speeches aligned with health and well-being, focusing on the individual and not in the collective. The study also addressed public policy issues and showed that the low level of education of producers and associates makes it difficult for these groups to enter parliaments to draft laws to promote the production of organic products. The study also points out that in a country with a history of corruption, such as Brazil, consumers

14 The Role of NGOs, Associations, and Certification …

221

do not trust certification. Scandals involving the country damage the credibility of customers concerning certification, even if that certification has international value.

14.5.3 Study Limitations and Directions for Future Research This study has limitations concerning the sample studied. NGOs, associations, and foundations in the South and Southeast of Brazil were researched. Future studies may develop the replication of the same research in other regions of Brazil to generate a map that shows how NGOs, associations, and foundations in the country are being carried out. Government officials can use this map to invest public money better, to improve people’s awareness and understanding that organic products are one of the pillars for achieving sustainable development. The market for organic products has been growing in Brazil. Future research can be developed to identify what the production capacity of organic products is currently needed in Brazil to ensure compatibility with the consumption growth. It is relevant to carry out studies on the price elasticity of organic products to define better price limits for these products compared to traditional ones.

Appendix 1: Research Protocol General Understand the category of (NGO, Foundation or Association), its objective, its organizational structure, its coverage area, its focus, as well as the audiences involved.

Policy Development Do NGOs, Foundations, or Associations participate in the formulation of public policies? Do NGOs, Foundations, or Associations stand before the government in order to shape it? What actions do they take? How do NGOs, Foundations, or Associations participate in the formulation of public policies? What is the role of NGOs, Foundations, or Associations before the government mobilizes them and assists it in elaborating public policies linked to environmental sustainability? Do they position themselves? What are the main challenges faced for the development of public policies? Do NGOs, Foundations, or Associations have a clear understanding of the needs and challenges of producers to develop/suggest regulatory policies?

222

Á. M. Ritter et al.

Environmental Awareness Do NGOs, Foundations, or Associations identify the consumer as a critical element in changing production patterns? How do they work, and what are the awareness actions focused on stimulating the development, production, and consumption of organic products? How are potential producers identified, companies that can join the development or expand it, and how are the production and marketing of organic products processed? How are consumers made aware of the benefits of organic products and their availability? Do NGOs, Foundations, or Associations carry out early childhood education activities? Has the NGO already prepared material aimed at children? Here it would not be just a child audience—it would be all audiences (education of the producer, companies, consumers—children, youth, adults, representatives of public agencies). What are the main challenges faced by consumers when it comes to buying organic products? What are the challenges encountered in raising farmers’ awareness of the development of organic production?

Economic Development Do NGOs, Foundations, or Associations research the economic development of the region or producers? Have NGOs, Foundations, or Associations already made financial investments in order to boost local economies? How do NGOs, Foundations, or Associations collaborate for the economic development of a region or community? Detail how these actions are, how this result is measured. What are the main challenges identified regarding the economic development of producers?

References 1. Ariztía T, Kleine D, Brightwell M et al (2014) Ethical consumption in Brazil and Chile: institutional contexts and development trajectories. J Clean Prod. https://doi.org/10.1016/j.jcl epro.2013.04.040 2. Seyfang G (2006) Ecological citizenship and sustainable consumption: examining local organic food networks. J Rural Stud. https://doi.org/10.1016/j.jrurstud.2006.01.003 3. Nazzal D, Batarseh O, Patzner J et al (2013) Product servicing for lifespan extension and sustainable consumption: an optimization approach. Int J Prod Econ. https://doi.org/10.1016/ j.ijpe.2012.10.017

14 The Role of NGOs, Associations, and Certification …

223

4. Prothero A, Dobscha S, Freund J et al (2011) Sustainable consumption: opportunities for consumer research and public policy. J Public Policy Mark. https://doi.org/10.1509/jppm.30. 1.31 5. Liobikien˙e G, Bernatonien˙e J (2017) Why determinants of green purchase cannot be treated equally? The case of green cosmetics: literature review. J Clean Prod. https://doi.org/10.1016/ j.jclepro.2017.05.204 6. Bauer HH, Heinrich D, Schäfer DB (2013) The effects of organic labels on global, local, and private brands: more hype than substance? J Bus Res. https://doi.org/10.1016/j.jbusres.2011. 12.028 7. Martins VA, Filho WPC, Bueno CRF (2006) Prices of fruits and vegetables from organic agriculture in the retail market of the city of São Paulo. Inform Econ. http://www.iea.sp.gov. br/ftpiea/ie/2006/tec4-0906.pdf. Accessed Oct 2021 8. Rex E, Baumann H (2007) Beyond ecolabels: what green marketing can learn from conventional marketing. J Clean Prod. https://doi.org/10.1016/j.jclepro.2006.05.013 9. Walia SB, Kumar H, Negi N (2019) Consumers’ attitude and purchase intention towards’ green products: a study of selected FMCGs. J Clean Prod. http://www.pbr.co.in/2014/2014_month/ Dec/2.pdf 10. Giagnocavo C, Galdeano-Gómez E, Pérez-Mesa JC (2018) Cooperative longevity and sustainable development in a family farming system. Sustainability. https://doi.org/10.3390/su1007 2198 11. Fox O, Stoett P (2016) Citizen participation in the UN sustainable development goals consultation process: toward global democratic governance? Glob Gov. https://brill.com/view/journals/ gg/22/4/article-p555_7.xml. Accessed 14 Oct 2021 12. Loiseau E, Saikku L, Antikainen R et al (2016) Green economy and related concepts: an overview. J Clean Prod. https://doi.org/10.1016/j.jclepro.2016.08.024 13. Grand View Research (2017) Organic food and beverage market size worth $320.5 billion by 2025. https://www.grandviewresearch.com/press-release/globalorganic-food-bevera ges-market. Accessed 14 Oct 2021 14. Chakrabarti S (2010) Factors influencing organic food purchase in India–expert survey insights. Brit Food J. https://doi.org/10.1108/00070701011067497 15. Rajarajeswari R (2013) A study on sustainability of non-governmental organizations in Tamil Nadu. Golden Res Thoughts. https://pt.scribd.com/document/101829949/A-Study-on-Sustai nability-of-Non-Governmental-Organizations-in-Tamilnadu. Accessed 14 Oct 2021 16. Nikoi KS (2008) Information needs of NGOs: a case study of NGO development workers in the northern region of Ghana. Inf Dev. https://doi.org/10.1177/0266666907087696 17. Rasmussen BM (2012) Greening the economy: articulation and the problem of governance in the Andes. Mt Res Dev. https://doi.org/10.1659/MRD-JOURNAL-D-11-00106.1 18. UNEP—United Nations Environment Programme (2011) Introduction: setting the stage for a green economy transition. https://wedocs.unep.org/bitstream/handle/20.500.11822/22005/1. 0_introduction.pdf?sequence=1&isAllowed=y. Accessed 14 Oct 2021 19. Banson KE, Nguyen NC, Bosch JO (2018) A systems thinking approach to the structure, conduct and performance of the agricultural sector in Ghana. Syst Res Behavioral Sci. http:// www.emater.tche.br/docs/agroeco/revista/n2/08-artigo2.htm. Accessed 14 Oct 2021 20. Pan SY, Gao M, Kim H et al (2018) Advances and challenges in sustainable tourism toward a green economy. Sci Total Environ. https://doi.org/10.1016/j.scitotenv.2018.04.134 21. Foo KY (2013) A vision on the role of environmental higher education contributing to the sustainable development in Malaysia. J Clean Prod. https://doi.org/10.1016/j.jclepro.2013. 05.014 22. Kabdiyeva A (2013) Developing sustainable NGOs in Kazakhstan. Asian Soc Sci. https://doi. org/10.5539/ass.v9n7p299 23. Mathiyazhagan K, Govindan K, Noorul Haq A (2014) Pressure analysis for green supply chain management implementation in Indian industries using analytic hierarchy process. Int J Prod Res. https://doi.org/10.1080/00207543.2013.831190

224

Á. M. Ritter et al.

24. Polonsky MJ (2011) Transformative green marketing: Impediments and opportunities. J Bus Res 64(12):1311–1319. https://doi.org/10.1016/j.jbusres.2011.01.016 25. Aitken R, Watkins L, Williams J et al (2020) The positive role of labelling on consumers’ perceived behavioural control and intention to purchase organic food. J Clean Prod. https://doi. org/10.1016/j.jclepro.2020.120334 26. Baratz L, Hazeira HA (2012) Children’s literature as an important tool for education of sustainability and the environment. Int Electron J Environ Educ. https://files.eric.ed.gov/fulltext/EJ1 057481.pdf. Accessed 14 Oct 2021 27. Dangelico RM, Vocalelli D (2017) “Green Marketing”: an analysis of definitions, strategy steps, and tools through a systematic review of the literature. J Clean Prod. https://doi.org/10. 1016/j.jclepro.2017.07.184 28. Harris F, Roby H, Dibb S (2016) Sustainable clothing: challenges, barriers and interventions for encouraging more sustainable consumer behaviour. Int J Consum Stud. https://doi.org/10. 1111/ijcs.12257 29. Atack I (1999) Four criteria of development NGO legitimacy. World Dev. https://doi.org/10. 1016/S0305-750X(99)00033-9 30. Korten DC (1987) Third generation NGO strategies: A key to people-centered development. World Dev 15:145–159. https://doi.org/10.1016/0305-750X(87)90153-7 31. Blanc J (2009) Family farmers and major retail chains in the Brazilian organic sector: Assessing new development pathways. A case study in a peri-urban district of São Paulo. J Rural Stud. https://doi.org/10.1016/j.jrurstud.2009.01.002 32. Raynolds LT (2004) The globalization of organic agro-food networks. World Dev. https://doi. org/10.1016/j.worlddev.2003.11.008 33. Senate Agency (2019) Regulation of the organic law is under discussion. Agência Senado. https://www12.senado.leg.br/noticias/especiais/especial-cidadania/alimentos-organi cos/regulamentacao-da-lei-dos-organicos-esta-em-discussao. Accessed 14 October 2021. 34. Rocha C, Burlandy L, Maluf R (2012) Small farms and sustainable rural development for food security: the Brazilian experience. Dev South Afr. https://doi.org/10.1080/0376835X.2012. 715438 35. Choi Y (2019) Challenges of Asian models and values for sustainable development. Sustentabilidade. https://doi.org/10.3390/su11051497 36. Yin R (2015) Case study: planning and methods. Bookman Publisher 37. Costa SC, Visconti RG (2001) Third sector and social development. https://www.bndes.gov. br/SiteBNDES/bndes/bndes_pt/Galerias/Convivencia/Publicacoes/Consulta_Expressa/Setor/ Questoes_Sociais/200107_2.html. Accessed 14 Oct 2021 38. FUCHS R (2013) Third sector manual. Instituto Pro Bono https://www.abong.org.br/final/dow nload/manualdoterceirosetor.pdf. Accessed 14 Oct 2021 39. Brazil (2002). Law no 10.406, Jan 10th. http://www.planalto.gov.br/ccivil_03/leis/2002/l10 406.htm. Accessed 14 Oct 2021 40. International Monetary Fund (2019) Six charts on boosting growth in Brazil. https://www.imf. org/en/Countries/BRA. Accessed 14 Oct 2021 41. MAPA—Ministry of Agriculture, Livestock and Supply—(2020) National register of organic producers. https://www.gov.br/agricultura/pt-br/assuntos/sustentabilidade/organicos/cadastronacional-produtores-organicos. Accessed 14 Oct 2021 42. Moldavska A, Welo T (2017) The concept of sustainable manufacturing and its definitions: a content-analysis based literature review. J Clean Prod. https://doi.org/10.1016/j.jclepro.2017. 08.006 43. Kushwah S, Dhir A, Sagar M (2019) Understanding consumer resistance to the consumption of organic food. A study of ethical consumption, purchasing, and choice behaviour. Food Qual Prefer. https://doi.org/10.1016/j.foodqual.2019.04.003

Chapter 15

Impact of the Encyclical Laudato Si on the Transition to a Green Economy Angele Kedaitiene and Maja Micevska Scharf

Abstract The article deals with the impact of the Encyclical Laudato Si by Pope Francis on the various dimensions of economic and social transitions aimed at a better future, but especially on the transition to a Green Economy in respect of mitigating climate change and reducing greenhouse gas emissions. The pandemic associated with the coronavirus disease outbreak in 2019 is also expected to accelerate the Encyclical’s impact in a post-pandemic world striving for greater environmental and social justice as well as inclusion and equality. The paper reports on a research survey and text analysis conducted to ascertain whether the Encyclical will have the enduring impact anticipated and whether that would accelerate achievement of the United Nations Sustainable Development Goals, fulfilment of the undertakings in the Paris Agreement on mitigating climate change and support for the Fridays for Future school strikes as well as other political and civil society events aimed at protecting the environment. The research results demonstrate society is ready to accept a new economic system based on greater equality and social justice—much like the notion of Inclusive Capitalism proposed by Pope Francis in 2016, based on the Laudato Si and that this will provide momentum in transitioning to the Green Economy. Keywords Laudato Si · Green economy · Inclusive capitalism · Equality and social justice · UN sustainable development goals · Green peace

15.1 Introduction Almost everyone agrees that the transition to a Green Economy as envisaged in many forms since the Rio Declaration on Environment and Development after the United Nations Earth Summit in 1992 would be impossible without the involvement of civil A. Kedaitiene (B) Lulea University of Technology, Brussels, Sweden e-mail: [email protected] M. M. Scharf Brussels Academy of Governance, Brussels, Belgium e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Öchsner and H. Altenbach (eds.), Engineering Design Applications IV, Advanced Structured Materials 172, https://doi.org/10.1007/978-3-030-97925-6_15

225

226

A. Kedaitiene and M. M. Scharf

society and grass-roots movements, without changing our consumption habits, and without touching the hearts of the people. Many politicians have spoken and issued statements about the topic, but little research has been done on the influence of what is arguably the most powerful spiritual appeal ever made to the hearts of the people in this regard: The Encyclical by Pope Francis of 2015 entitled Laudato Si: On care for our common home. This article reports on research conducted to assess the influence of Laudato Si on climate change movements and policies in the European Union (EU) and further afield. The research hypothesis states that, if Laudato Si is not an ordinary text, and if social awareness will magnify its influence, then it paves the way for bottom-up as well as top-down policy solutions—especially those related to the mitigation of climate change. To prove the hypothesis, we used both quantitative and qualitative methods, tailormade for the purpose. Although the results are of a pilot nature only and should be augmented by extended research, they show the hypothesis can be accepted. Thus, the influence of Laudato Si is significant and far-reaching: The Encyclical has indeed influenced several policy documents, has impacted civil society, has paved the way for behavioural change, etc. The content is structured as follows: Sect. 1 focuses on the crux of the compilation and message of the Laudato Si, and points to evidence of changes in global thinking after its issuance; Sect. 2 presents the research methodology applied to test the stated research hypothesis. In Sect. 3, the various sets of results are presented. The article ends with the conclusions and the way forward.

15.2 Compilation of the Laudato Si and Indications of Its Global Influence The tone, extent and urgency of recent calls for change worldwide would probably not have happened if Pope Francis had not issued the May 2015 Encyclical Laudato Si— the most notable paper by the Catholic Church on the long-term global challenges it faces, including those of the environment and climate change. The Encyclical spawned a global Catholic climate change movement and paved the way for muchneeded policy decisions at various levels. The Laudato Si defines the concept of integral ecology, which is very similar to what researchers [1–4] have termed the green economic transition. Thus, paragraph 141 of the Encyclical states the following: Economic growth, for its part, tends to produce predictable reactions and a certain standardization with the aim of simplifying procedures and reducing costs. This suggests the need for an “economic ecology” capable of appealing to a broader vision of reality. The protection of the environment is in fact “an integral part of the development process and cannot be considered in isolation from it” [Rio Declaration on Environment and Development (14 June 1992), Principle 4]. We urgently need a humanism capable of bringing together the different fields of knowledge, including economics, in the service of a more integral and integrating vision.

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

227

The Laudato Si took years to prepare. It was drafted in close cooperation with the scientific community, most notably the Potsdam Institute for Climate Impact Research. It has 172 footnoted citations, several being from Pope Francis’s predecessors John Paul II and Benedict XVI. Other sources outside the Catholic Church included Bartholomew I, Archbishop of Constantinople and Ecumenical Patriarch of the Eastern Orthodox Church as well as an ally of the Pope. The Laudato Si has been hailed around the globe since its issuance. An editorial of the influential British journal Nature in June 2015 praised the Encyclical for its focus on sustainability, poverty and the transition from fossil fuels to renewable energy sources. According to the editorial (ibid.), Scientists and political leaders in favour of climate action have rightly expressed gratitude and admiration for Pope Francis’s brave move. In doing so, President Barack Obama said that the United States must be a leader in efforts to cut carbon pollution and protect the environment. Other nations must follow suit. It will take more than spiritual aid to set the course for a clean-energy future, but the political weight of the Pope’s appeal to the moral conscience and reason of millions of people must not be underestimated.

In an August 2015 article on the Laudato Si in The New York Review of Books, Bill [5] echoes Nature.com’s editorial, as follows: So no one could have considered more usefully the first truly planetary question we’ve ever faced: the rapid heating of the earth from the consumption of fossil fuels. Scientists have done a remarkable job of getting the climate message out, reaching a workable consensus on the problem in relatively short order. But national political leaders, beholden to the fossil fuel industry, have been timid at best – Barack Obama, for instance, barely mentioned the question during the 2012 election campaign. Since Francis first announced plans for an encyclical on climate change, many have eagerly awaited his words.

A few months later, the United Nations (UN) issued the Sustainable Development Goals adopted by the world’s governments [6] as well as the Paris Agreement concluded among UN Member States after their Climate Change Conference, committing them to keeping global warming levels well below 1.5 and 2.0 °C compared to pre-industrial levels [7]. These global undertakings were a breakthrough in battling climate degradation. Several political and academic leaders around the world, including Ban Ki-moon, Kofi Annan, Christiana Figueres, Jim Yong Kim, Naomi Oreskes, Nicholas Stern, Herman Daly and Hans Joachim Schellnhuber (one of the Encyclical’s contributors) applauded the publication of the Encyclical. Subsequently, several initiatives supporting it emerged around the globe. One of the more prominent among these was blessed by Cardinal Peter Turkson, Prefect of the Holy See’s Dicastery for Promoting Integral Human Development. The initiative in question is a non-governmental organisation known as the Laudato Si Challenge Foundation, which was launched in 2017. The Foundation seeks the sustainable improvement of the lives of ten million people excluded from what it terms “Our Common Home” by 2020, and it aims to achieve this through “businesses that are sustainable and ethical” [8]. To this end, the Foundation launched nine start-ups, representing 20 countries, five continents and every major faith, to work not only for Pope Francis’s vision of an economic ecology,

228

A. Kedaitiene and M. M. Scharf

also referred to as Inclusive Capitalism, but also for the vision anticipated by the Sustainable Development Goals of being “a human dignity narrative that leaves no one behind” (ibid.). Another example is the Global Catholic Climate Movement, a respected international organisation that organises a Laudato Si week in May each year to boost the Encyclical’s publicity and impact. Feuerherd [9], citing Cardinal Joseph Tobin of Newark, New Jersey, from a seminar on capitalism and church social teaching at Fordham University’s Lincoln Centre campus in New York in September 2018, states that Pope Francis’s rhetoric against capitalism could be “blunt”, and that, being from Argentina, whose dictatorship he witnessed at first hand, Pope Francis was familiar with the ways in which inequality, for example, could almost become an accepted norm of the established order. It is self-evident that the Pope Francis, as Head of the Catholic Church, does not only have views on religious issues, but also on many secular issues, such as the economy. Furthermore, like some of his predecessors, Pope Francis believes that the Church should have a voice in shaping the world’s economic order. For example, it was Pope Leo XIII who in 1891, i.e. almost 150 years ago, issued the landmark social Encyclical Rerum Novarum to warn humanity against the excesses of capitalism. The 1971, the World Synod of Bishops of the Catholic Church called on the Church to act on behalf of justice. Pope Benedict XVI, in his 2009 Encyclical Caritas in Veritate, described charity as a value that inspired social justice. Pope Francis has gone even further, speaking about Inclusive Capitalism as a new model for the economy. This model emphasises economic and social justice, fairness, and greater equality and rights for the poor and for the environment. Further efforts by the Church came in October 2018, when a Joint Statement on Climate Justice by Bishops’ Conferences was signed in Rome [10], based on the principles of urgency, intergenerational justice and human rights in tackling and overcoming “the devastating effects of the climate crisis.” The Joint Statement demands policies that include the following elements: • Keeping global warming below a 1.5 °C increase, • Shifting towards sustainable lifestyles, • Listening to, effectively protecting and preserving the knowledge of indigenous communities, • Implementing a financial paradigm shift in line with global climate accords, • Transforming the energy sector by putting an end to the fossil fuel era and transitioning to renewable energy, and • Rethinking the agriculture sector to ensure it provides healthy and accessible food for everyone, with a special emphasis on promoting agro ecology. The year 2018 was also a major turning point in terms of accelerating global action related to mitigating climate change. Among other milestones, there were the Intergovernmental Panel on Climate Change report on global warming of 1.5 °C above pre-industrial levels [11], the Nobel Prize for Economics being awarded to William Nordhaus and Paul Romer for their research on climate change economics, and Greta Thunberg’s initiation of school strikes to protest the lack of action on the

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

229

climate crisis. The world at large appeared to have understood that there was no way back: climate change was on its way, and the next ten years were crucial for completing the transition to a Green Economy [12, 13]. The European Union, too, made sweeping changes. The European Commission, led by President Ursula von der Leyen, issued the European Green Deal in 2019, which foresees a continent free of greenhouse gas (GHG) emissions by 2050. A new Climate Law promulgated by the Commission in 2020 now legally obliges European Union Member States to become GHG-emission-free by 2050. At the time of writing in mid-2020, the world had already witnessed six months of an unprecedented health crisis by way of the coronavirus disease (COVID-19) pandemic, the mitigation of which requires responsible behaviour from both a social and an environmental perspective. The year has also seen global movements calling for poverty alleviation and social justice—all echoing the norms espoused in the Laudato Si. From the above, it can be assumed that the issuance of the Laudato Si has influenced a global shift in thinking on climate change at all levels of society. The next section describes how this assumption was empirically tested.

15.3 Research Methodology Due to a lack of statistical data on the impact of the Laudato Si on global and European climate change mitigation efforts, the research methods we chose were geared towards attempting to quantify some of its effects. The methods allowed us to obtain a first-hand, albeit provisional, impression of the possible impacts as a foundation from which further research could draw. We employed the following three interrelated methods, which were quantitative as well as qualitative in nature: • A non-probability, convenience survey online via the Survey Monkey website using a specially designed questionnaire, to determine opinions related to various aspects of the Laudato Si’s impacts, • Statistical tests of the validity of results of the Laudato Si survey and • Text analytics to which a sentiment analysis was applied, to measure the textrelated impacts of the Laudato Si.

15.3.1 Online Survey A convenience survey is a non-probability sample-based survey in which a researcher uses the nearest available participants for a study. This technique, also referred to as accidental sampling, is commonly used in pilot studies prior to launching a larger research project. Although with statistical tests in place, the application of the convenience surveys for the research purposes spreads fast.

230

A. Kedaitiene and M. M. Scharf

The survey took place online during February and March 2020, using the Survey Monkey platform. A link to the survey was posted on Facebook and Twitter accounts of the author and was sent to the Holy See’s Dicastery for Integral Human Development, the European Commission, the European Parliament, the Commission of the Bishops’ Conferences of the EU (COMECE), to the Jesuit European Social Centre, the employees and students of the Vesalius College in Brussels and the staff of Lulea University of Technology, among others. A total of 88 respondents answered the questionnaire, including high-profile personalities from the Holy See, the Cabinets of the European Commission and COMECE. Most respondents were Catholics. Those that were familiar with or interested in the Laudato Si Encyclical varied in age, profession, gender and geographic origin. Around 80% of all participants became aware of the survey through social media. In this respect, the survey is unbiased and does not account for the opinion of the Church. The online questionnaire contained 10 questions and took an average of seven minutes to answer. The first three questions comprised between 11 and 16 statements requiring the participant to select one of a range of optional responses. The first question focused on the impact of the Laudato Si on climate change actions; the second focused on Inclusive Capitalism; and the third focused on achieving carbon neutrality by 2050. In the fourth question, respondents were asked to express any other opinions they wished to mention. The remaining six questions requested some basic personal information from each respondent.

15.3.2 Statistical Tests Besides needing to determine the importance of various aspects of Laudato Si and whether it had influenced the raising of awareness about climate change worldwide, the research also needed to ascertain differences in the respondents’ opinions based on their gender, age and other demographic characteristics. We therefore performed a series of tests to conduct inference-comparing proportions (see Annex 1). The small sample size of 88 questionnaire participants meant their responses had to be grouped into two separate categories. The first category contained the responses Agree and Strongly agree, which were grouped together under the label Agree, while the second category, labelled Other, contained the responses Neither agree nor disagree, Disagree and Strongly disagree. Grouping the responses in this way allowed the conditions for inference using categorical data to be satisfied. Since most of the responses were in the Agree category, the tests were only conducted on questions that had a reasonable number of responses in the Other category. A total of 79 out of the 88 participants answered Question 5 about their gender, revealing that 42 were female and 37 were male.1 We could not find any statistically 1

Twelve (13%) of the total survey participants did not respond to the gender question. One respondent who answered “Gender is a social construct” was also classified as a missing observation on gender.

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

231

significant differences based on gender when it came to opinions about the influence of the Laudato Si on global climate change movements. Most women and men agreed or strongly agreed about its decisive influence. Interestingly, there were statistically significant differences when it came to opinions about the nature of the proposed new economic system, namely Inclusive Capitalism. Most women agreed that Inclusive Capitalism should favour spirituality, brotherhood, solidarity and other universal values, while most men had either a neutral opinion or disagreed with the given statement (X 2 (1, N = 77) = 5.8; p < 0.05). There was also a statistically significant difference in respect of gender when it came to opinions about the need for an annual conference to discuss the implementation of Inclusive Capitalism: the overwhelming majority of women supported the idea, while support among the men was comparatively weaker (X 2 (1, N = 77) = 5.4; p < 0.05). The difference in opinion between females and males is interesting since in Laudato Si Pope Francis talks at length about the need for social change that emphasises a respect for universal values, e.g. in paragraph 35: Today, however, we have to realize that a true ecological approach always becomes a social approach; it must integrate questions of justice in debates on the environment, so as to hear both the cry of the earth and the cry of the poor.

Men and women seem to perceive the influence of the Laudato Si differently. Women might see it influencing discussions on the need for a better social system, while men might perceive its impact through other channels. Regarding age, there was considerable variability. The youngest respondent was 19 and the oldest 96. To be able to conduct chi-square tests, we first created three age categories: respondents younger than 40 were classified as Young (25% of the respondents); those between 40 and 59 years of age were classified as Middle-aged (35%); and those over 60 were classified as Old (40%). Interestingly, chi-square tests of independence showed that there was a significant association between age and agreement with the statement about the Laudato Si having a decisive influence on global climate change movements (X 2 (2, N = 77) = 6.3, p < 0.05). There was also a significant association between age and agreement with the statement about establishing a new economic system of Inclusive Capitalism (X 2 (2, N = 77) = 7.2, p < 0.05). These statistically significant results are due to participants in the Young category expressing a different opinion to those in the other two categories: younger people were less likely to choose the Agree or Strongly agree options than their older counterparts. While our survey is small and, therefore, not sufficiently representative for us to be able to draw definitive conclusions, we can nevertheless point to an important policy implication when it comes to the Laudato Si and people under 40. It appears that this group is not convinced of the Encyclical’s importance in respect of global climate issues—although it is exactly their future which is at stake. When it came to the religious affiliation variable, most respondents identified as Catholics (78%), with the second most frequent category being Christian (11%).

232

A. Kedaitiene and M. M. Scharf

Thus, insufficient variation in this variable prevented us from conducting useful statistical tests. In fact, it appears our survey did not measure this variable adequately, as borne out by responses to questions about gender and religious affiliation in our survey, e.g. “Female and marginalised by the Church” or “Catholic who believes that women should be ordained”. The usual way in which researchers try to measure these concepts might, therefore, not be able to capture the full complexity of the issues at hand. As regards the level of education variable, all of the survey respondents were either students or had at least a Bachelor’s degree, which indicates a high level of education relative to the population in general. Owing to its low variation, it was not possible to conduct tests on this variable either. We also investigated whether nationality played a role in opinions about the Laudato Si. The nationality of our respondents was quite variable, having included participants from Asia, Australia, Europe, North America and South America. To make the nationality measure manageable for statistical testing, we regrouped the respondents into three categories: EU (34%), USA (37%) and Other (29%). Chisquared tests of independence showed that there was no significant association between nationality and opinions on the Laudato Si.

15.3.3 Text Analytics with a Sentiment Analysis The Laudato Si was compared with two other similar public texts in respect of their broad treatment of the topics at hand. This was achieved using the technique of creating word clouds (or tag clouds) to present a visual summary of a document. The documents in our case were processed by converting all capitalised words to lower case and by removing all so-called stop words (e.g. a, of , and, to) that were not likely to contribute to semantic understanding. The remaining words were then tokenised, i.e. separated from the body of the text. Each token is generally a word. The more frequently a word occurred, the larger the font in which it appears in the word cloud. Because emotions are essential in effective communication between humans, we also subjected the three texts to a sentiment analysis to measure respondents’ emotional responses to them. When humans read a text, they use their understanding of the emotional meaning of words to conclude whether the text is positive or negative, or maybe characterised by some other emotions such as pride or fear. Thanks to recent developments in machine learning, we can use the tools of text mining to approach the emotional content of a text. One way to analyse the sentiment of a text is to consider the text as a combination of its individual words and the sentiment content of the whole text as the sum of the sentiment content of the individual words. In our sentiment analysis process, we relied on a variety of existing lexicons for evaluating opinions or emotions in the texts concerned. In this regard, the tidytext text-mining package in R provides access to three general-purpose lexicons, namely AFINN by Finn Årup Nielsen; bing by Bing Liu and others; and nrc by Saif Mahammad and Peter Turney. All three of these lexicons are based on unigrams that are usually single

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

233

words. The lexicon in bing, for example, was used to categorise words in a binary fashion as positive or negative. This is the approach we follow, using the word clouds derived in the first step of our text analytics. More sophisticated methods such as probability surveys or big data analyses for mining Twitter and other data accounts were not considered owing to their cost.

15.4 Analysis of the Results of the Research 15.4.1 The Results of the Survey 15.4.1.1

Impact of the Laudato Si on Climate Change Movements

The first statement requiring a response from the survey participants was whether the Laudato Si have had a decisive influence on global climate change actions and movements. Around 80% agreed or strongly agreed that it had (see Fig. 15.1). Nearly 90% of the respondents ascribed this influence to the fact that the text spoke to the heart of the people. Slightly over 50% of the participants felt that its influence was due to the authority of the Catholic Church, while around 40% believed the Encyclical’s influence was due to governments and policymakers having read it. Only about 25% thought that businesspeople had been influenced in respect of taking action against climate change, whereas 35% disagreed that the Laudato Si had influenced businesses. Thus, to boost the impact of this already excellent Encyclical,

Responses Strongly agree Disagree

Agree Strongly disagree

Neither agree nor disagree

Fig. 15.1 Responses to the statement (The statement text is cited verbatim from the original online questionnaire.) “There is decisive influence of Laudato Si on global climate change movements” (% of respondents)

234

A. Kedaitiene and M. M. Scharf

the Holy See should sharpen its focus on influencing businesspeople and governments to mitigate climate change. The study also tried to determine whether respondents felt that the Laudato Si’s influence had increased with time. Most participants (around 70%) believed that the Encyclical’s effects would last over several generations. This was borne out in their responses to another statement, namely that the importance of care for our common home and for the common good was continuously increasing: almost all of the participants (90%) either agreed or strongly agreed (Fig. 15.2). The notions of our common home and the common good are fundamental to the Encyclical and its climate change statements. The notion of the common good is also at the centre of the attention in relation to COVID-19. There is an increased emphasis on public policies and on the state-come-back effects, meaning the increased role of the state around the globe in an attempt to resolve the problems that are currently emerging as a result of the pandemic. Respondents were also asked for their opinion on what constituted the best way to channel the Laudato Si’s influence on the public. Their responses showed that 80% would favour appointing goodwill ambassadors for the Encyclical and boosting its publicity; 76% believed more research related to the Laudato Si would enhance its influence; and 70% thought that new administrative structures related to spreading the message of the Laudato Si (e.g. Boards, Councils and Dicasteries) would increase its impact. The responses revealed that the appointment of goodwill ambassadors drew the highest support in term of raising awareness about the Encyclical.

Fig. 15.2 Responses to the statement “Understanding of the care for the common house and of the common good is increasing” (% of respondents)

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

15.4.1.2

235

Inclusive Capitalism

In the second question of the survey, participants were asked to respond to several statements relating to the existing economic order and to Pope Francis’s alternative, Inclusive Capitalism. Almost all of the respondents (93%) agreed or strongly agreed with, or were neutral to, the statement that the existing neoliberal economic system based on profit-seeking should be changed. Of the 93%, 75% agreed or strongly agreed with the statement. The message is clear: people want the economic system to change. Moreover, as Fig. 15.3 shows, they were positive about Inclusive Capitalism: around 60% of the respondents found the system acceptable. Fig. 15.3 also reveals that 31% of the respondents were neutral in respect of replacing the current system. Perhaps they felt they needed more information before deciding, or perhaps they wanted to replace the term capitalism with one that was not associated with injustice. Whatever the case, 64% of the respondents agreed that Inclusive Capitalism should be substantially different from the existing system. The good news from these results is that respondents wanted the status quo to change soon. If one considers that the current COVID-19 pandemic is already impacting the economic status quo, the situation presents a unique opportunity to take positive action to change the necessary changes to the system. The participants were also asked to assess various policies associated with Inclusive Capitalism, such as favouring people rather than profits by way of corporate social responsibility; emphasising social justice and poverty reduction; highlighting equality in respect of class, gender, age/generation, income and opportunity; emphasising climate change mitigation and environmental protection; alignment with the

Fig. 15.3 Responses to the statement “new economic system—capitalisms 2—shall be put in place” (% of respondents)

236

A. Kedaitiene and M. M. Scharf

UN’s Sustainable Development Goals; favouring a universal basic income to ensure adequate material wealth; guaranteeing full employment with decent salaries; and favouring spirituality, brotherhood, solidarity and other universal values. The highest level of agreement, namely 85%, was associated with the statement about Inclusive Capitalism emphasising climate change mitigation and environmental protection (see Fig. 15.4). In respect of the statement on Inclusive Capitalism highlighting equality of various kinds and the one highlighting social justice and poverty reduction, 80% of the respondents agreed these were positive aspects of the proposed new economic order. The statement about emphasising corporate social responsibility also had high support, namely 76% agreement. The participants’ prioritisation of these social issues shows that they found responsibility towards them to be lacking in their current economic reality. In respect of targeted economic issues, namely that Inclusive Capitalism should guarantee full employment with decent salaries and emphasise a universal basic income, the respondents’ replies were slightly less positive at 56% and 62%, respectively. A higher percentage, namely 72%, favoured the statement about aligning Inclusive Capitalism with UN Sustainable Development Goals. These findings show that, although many countries have begun discussing the concept of a universal basic income, and although its potential to eradicate poverty lies at the very heart of the Church’s social teaching, the concept still needs time to break through to policymakers. Another important statement was the one related to the spiritual dimension of Inclusive Capitalism, which fosters spirituality in general as well as solidarity and

Fig. 15.4 Responses to the statement “Inclusive Capitalisms shall put the emphases on climate change and environment protection” (% of respondents)

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

237

other universal values such as human rights. A total of 72% of the respondents agreed that this dimension should be part of Inclusive Capitalism (see Fig. 15.5). This is an important and promising evaluation: it means that people aspire to more collective and collaborative societies with a safety net and well-developed social capital. Under these conditions, human capital could be liberated, prosper emotionally, share resources and live in peace—instead of the alternatives. Furthermore, 66% of the respondents strongly agreed to establishing annual Inclusive Capitalism conferences (see Fig. 15.6). These would allow progress to be monitored and the road ahead to be discussed. Finally, even 40% of the respondents stayed neutral, and only 20% indicated that they preferred Inclusive Capitalism to be a voluntary system, i.e. one that would not oblige them to contribute monthly sums to support special foundations geared to implementing the new order as envisaged by the Laudato Si. Nonetheless, 55% agreed with the statement that the goals of Inclusive Capitalism should be reflected in corporate statutes corporate founding documents and policies. Thus, once launched, Inclusive Capitalism would already have a social foundation on which to build. It is worth thinking about an inaugural Inclusive Capitalism Conference, initiated by the Holy See and attended by representatives of governments around the world, by religious and other opinion leaders, by representatives of EU and other international organisations to start the conversation about the new economic system. COVID-19 is an additional impediment of this. Once the devastation associated with the COVID-19 pandemic has been brought under control, the world will have a unique opportunity to rebuild itself by way of a new economic system.

Fig. 15.5 Responses to the statement “inclusive capitalisms 2 shall favour spirituality, brotherhood, solidarity and other universal values” (% of respondents)

238

A. Kedaitiene and M. M. Scharf

Fig. 15.6 Responses to the statement [sic] “annual conference on implementation of inclusive capitalisms 2 shall be in place” (% of respondents)

In 2008, prominent economic thinkers at a summit of world leaders (the so-called G20) were considering a new global financial deal being referred to as the Bretton Woods II. It still has not happened—but the Global Financial Crisis of 2008–2012 did, and nine years later, the coronavirus has struck. These events should act as a reminder of the considerable homework that still has to be done to, among other things, advance our economic systems with the changes urgently needed.

15.4.1.3

Achieving Carbon Neutrality By 2050

Since the Laudato Si is largely about the Christian view on the environment, the questionnaire contained a series of statements about carbon neutrality and about the European Green Deal. The responses revealed that just over 72% of the respondents agreed or strongly agreed that carbon neutrality was possible by 2050 (see Fig. 15.7). This result implies that all pro-climate campaigns, i.e. including those facilitated by the Laudato Si, have yielded good results: people have started to believe that the transition to a Green Economy is necessary, they are ready to change, and they think the transition is achievable. However, the respondents were less certain about whether the commitments of the Paris Agreement would be enough to ensure carbon neutrality by 2050. More than half of them, i.e. nearly 55%, were either negative or they had no opinion either way in respect of the statement that the Paris Agreement would lead to carbon neutrality. Indeed, more than 82% of the respondents thought that the world needed a new and stronger agreement if carbon neutrality was to be achieved, e.g. by 2050.

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

239

Fig. 15.7 Responses to the statement “CO2 neutrality by 2050 is possible” (% of respondents)

Furthermore, the respondents were only moderately positive about the European Green Deal achieving carbon neutrality in the EU by 2050. Thus, 56% thought that the European Green Deal was a competent policy tool in this regard, but the remaining 44% believed the Deal would fall short of its target. These findings imply that the Deal would most likely need to be adjusted or elaborated in order to reach its goals. Finally, two-thirds of the respondents (around 66%) either had no opinion either way or said they disagreed with the statement that the European Green Deal would help to achieve carbon neutrality for the entire planet by 2050. In addition, the vast majority of participants (85%) thought there was a need for a Global Green Deal (see Fig. 15.8). Thus, the findings reveal that society is ready for the transition to a Green Economy, and it wants global action to be taken. People care about and understand the importance of climate change mitigation. Other statements in the questionnaire dealt with measures that could potentially boost the green economic transition, such as increased public and private investment in it, increased civil activism, changing unsustainable or brown consumption patterns, mass adoption of new technology, tax incentives (e.g. the carbon tax), control over lobbying for the fossil fuel industry and other brown interests, and the subsidising of green initiatives. All these measures were assessed rather positively, with the highest support recorded for subsidising green initiatives (88%), then increased public investment (86%) and then changing consumption patterns (85%). On the one hand, this implies that people see the need for top-down support for the green economic transition; on the other hand, however, the respondents appeared to appreciate bottom-up initiatives, seeing themselves at the core of the green economic transition and assuming responsibility for it (Fig. 15.9).

240

A. Kedaitiene and M. M. Scharf

Fig. 15.8 Responses to the statement “there is need for the Global Green Deal and the following administration” (% of respondents)

Fig. 15.9 Responses to the statement “green initiatives shall be subsidised by the Governments and industries” (% of respondents)

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

241

Other measures that would foster this transition were equally positively assessed: 84% of the respondents agreed that more private investment was necessary, 82% agreed that massive technological change was needed, 81% agreed that protests by civil society should be increased, 80% agreed that lobbying for brown industries should be controlled, and 75% agreed that that incentives such as carbon taxes should be established. The relatively low level of agreement in respect of carbon taxation is not surprising since people already pay high taxes and do not want an additional tax burden. Moreover, charging taxes is clearly the easiest way of increasing the government’s budget revenues; however, doing so also means that other, more specifically targeted options to achieve the same goal would not be explored. The green economic transition requires several complex approaches because it affects several policies; primary among these are social and economic policies. Our respondents agreed: almost 90% of them believed that the green economic transition needed to happen at the same time as a social and general economic transition (see Fig. 15.10). The fact that these various transitions should happen simultaneously, with the green economic transition as their driving force, was further borne out by the participants’ responses in respect of the statement on the green economic transition needing to ensure full employment, i.e. 86% were positive or neutral to the statement.

55.42%

34.94%

Strongly agree

6.02% 1.20% 2.41% Agree Neither agree nor disagree RESPONSES

Disagree

Strongly disagree

Fig. 15.10 Responses to the statement “green economic transition shall happen along with economic and social transition” (% of respondents)

242

A. Kedaitiene and M. M. Scharf

15.4.2 Text Analytics and Sentiment Analysis This section focuses on the text analytics and sentiment analysis conducted in respect of the Laudato Si in comparison with the UN’s Transforming Our World: The 2030 Agenda for Sustainable Development [6] and the Global Standard for CSO Accountability’s 12 commitments [14]. Comparing the Laudato Si with the Agenda is particularly relevant as both documents were published in 2015. As noted in an editorial in Nature [15]: The papal calls to end poverty and share the world’s ecological space in a fair way are objectives that mirror the United Nations’ Sustainable Development Goals, to be released in September.

Moreover, all three documents intrinsically link environmental concerns to poverty and inequality issues. In the Laudato Si, for example, the Pope writes the following (LS 35, emphasis in original): Today, however, we have to realize that a true ecological approach always becomes a social approach; it must integrate questions of justice in debates on the environment, so as to hear both the cry of the earth and the cry of the poor.

In the Agenda’s introduction, point 2 makes this declaration: We recognize that eradicating poverty in all its forms and dimensions, including extreme poverty, is the greatest global challenge and an indispensable requirement for sustainable development.

So, too, members of the Global Standard for CSO Accountability under the heading of “Justice and Equality” commit themselves to being accountable for addressing “injustice, exclusion, inequality, poverty and violence to create healthy societies for all”. Furthermore, all three documents also draw on current scientific research findings to influence international policy. However, the Laudato Si differs from the Agenda and the Global Standard in one important way, namely that, in addition to addressing various scientific, technological and economic aspects of the state the world is in, it places significant emphasis on the moral dimension of how these problems were caused and of any problem-solving approach. For example, the Pope is particularly critical of consumerism, the use of fossil fuels and irresponsible development, and argues for the urgent need for “swift and unified global action”. The following figures show the results of the word cloud exercise. Figure 15.11 shows the word cloud that was built from the Laudato Si; Fig. 15.12 does so for the Agenda; and Fig. 15.13 is that for the Global Standard. The word clouds show that the three documents use different terminology to address similar concerns. Key tokens in the Laudato Si are the words human, world, God, life and environment. The most frequent tokens in the Agenda are sustainable, development and countries. The Global Standard uses people, work, ensure and accountability most often. While the Laudato Si and the Global Standard are focused on individuals (using terms such as human beings and people), the Agenda is oriented

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

Fig. 15.11 Word cloud—Laudato Si

Fig. 15.12 Word cloud—agenda for sustainable development

243

244

A. Kedaitiene and M. M. Scharf

Fig. 15.13 Word cloud—global standard for CSO accountability

towards countries. All three documents are concerned about future actions, indicated by the frequent use of the word will. The results in Fig. 15.14 illustrate that the Pope used a more negative tone in his Encyclical compared with the other two documents. This should not be surprising, as a large portion of the Laudato Si is devoted to describing the current state of

Fig. 15.14 Sentiment analysis

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

245

Fig. 15.15 Words determining positive and negative sentiments in the Laudato Si

environmental degradation and a lack of concern for the poor, whereas the other two documents are mostly focused on defining goals and commitments. One advantage of having the data frame with both sentiments and words is that we could analyse word counts that contributed to each sentiment. Thus, Fig. 15.15 shows which words contributed most to the positive and negative sentiments in the Laudato Si.

15.5 Conclusions and the Way Forward The Laudato Si issued in May 2015 by Pope Francis aimed to explain the position of the Catholic Church on a number of issues, especially those related to the care for our common home, today’s throwaway culture, the environment, socio-economics, equality and the rights of the poor. According to Monsignor Alain Paul Lebaupin, Apostolic Nuncio of the Holy See to the European Union, the Encyclical text aimed to speak directly to ordinary people so that they would recognise themselves in it and be prompted to act. After its issuance, the Encyclical was hailed around the globe as a welcome and important contribution to the discourse. Many policy documents have been written for and by the so-called advanced part of society: the educated, the wealthy. These policies often leave the socioeconomically disadvantaged out on the margins because they are unable to compete in the market, and unable to conduct a business for profit. But it is precisely this marginalised segment to which Pope Francis speaks directly. Examples of how successful a bottom-up approach can be include the movement Fridays for Future

246

A. Kedaitiene and M. M. Scharf

launched by Greta Thunberg in 2018 to protest the lack of action on the climate crisis. The movement, which has since had an overwhelming global impact, was initiated not by multinational corporate giants such as Google, Facebook, Amazon or Microsoft, but by a teenager still at school. Initially, our research attempted to quantify only the influence of the Laudato Si on global climate change movements, but it was soon expanded to include a focus on the new economic system proposed by Pope Francis, namely Inclusive Capitalism. To this end, the study used various methods, including a survey and text analytics. Our survey findings overwhelmingly demonstrated the influence of the Laudato Si. Around 80% of the respondents agreed that the Encyclical had had a decisive influence on global climate change movements, while almost 90% agreed that the Laudato Si’s influence was due to the text speaking to the hearts of the people. Around 70% of the respondents also agreed that the Encyclical’s influence would increase with time—even lasting over several generations. In respect of curbing global warming, as dictated in the European Green Deal and espoused in the Encyclical, more than 70% of the respondents were positive that carbon neutrality could be achieved by 2050. Close to 88% of the respondents the participants thought that the green economic transition should be subsidised by the public and private (industrial) sectors, with just 1.2% disagreeing. Similarly, close to 87% of the respondents favoured boosting public investment in the green economic transition, while 85% agreed that changing consumption to behaviours that were sustainable and green would foster the transition. When it came to changing the existing profit-seeking system to one that would instead achieve the ideals set out in the Laudato Si and those of the green economic transition, almost all of the respondents (93%) agreed or strongly agreed with, or were neutral to, the statement that the existing neoliberal economic system based on profit-seeking should be changed. Of the 93, 75% agreed or strongly agreed with the statement. Moreover, they were positive about Inclusive Capitalism: around 60% of the respondents found the system acceptable. In respect of the text analytics and sentiment analysis, these revealed a slightly negative tone in the Laudato Si. One may therefore ask why, despite this, the Laudato Si has evidently succeeded in speaking to the heart of the people and is spurring them into action. This positive effect can be explained by the forthrightness of the text. It does not try to cover up the problems facing the world; rather, it spells them out clearly, with insight and concern as to their origin, and offers advice on how to address them. It diagnoses the “disease”—our throwaway culture, the White Right, the neglect of the poor, the all-encompassing dominance of the rich and powerful—and provides hope and “medicine” for a “cure”. The findings from our statistical analyses indicated that attitudes towards the Laudato Si in respect of its influence in changing the world’s climate crisis should be investigated further with a larger sample that should include more young people. If such further research confirms our results, Pope Francis may need to rethink his strategy to reach young people about issues of importance for their future. The good news from these combined results is that respondents wanted the status quo to change

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

247

soon. If one considers that the current COVID-19 pandemic is already impacting the economic status quo, the situation presents a unique opportunity to take positive action to effect the necessary changes to the system.

Annex 1: Results of the Statistical Independence Tests of the Survey See (Tables 15.1, 15.2, 15.3, 15.4, 15.5, 15.6, 15.7, 15.8, 15.9 and 15.10).

Table 15.1 Cross-tabulation of gender and opinion on the statement “the Laudato Si has had a decisive influence on global climate change movements” Gender category

Opinion Other

Agree

Total

Female

9 (10.6)

33 (31.4)

42

Male

11 (9.4)

26 (27.6)

37

Total

20

59

79

Notes Expected counts in parentheses. Pearson’s chi-square (1) = 0.7169, Pr = 0.397

Table 15.2 Cross-tabulation of gender and opinion on the statement “a new economic system— inclusive capitalism—should replace capitalism” Gender category

Opinion Other

Agree

Total

Female

14 (17.5)

28 (24.5)

42

Male

19 (15.5)

18 (21.5)

37

Total

33

46

79

Notes Expected counts in parentheses. Pearson’s chi-square (1) = 2.6256, Pr = 0.105

Table 15.3 Cross-tabulation of gender and opinion on the statement “inclusive capitalism should favour spirituality, brotherhood, solidarity and other universal values” Gender category

Opinion Other

Agree

Total

Female

7 (11.7)

35 (30.3)

42

Male

15 (10.3)

22 (26.7)

37

Total

22

57

79

Notes Expected counts in parentheses. Pearson’s chi-square (1) = 5.5799, Pr = 0.018

248

A. Kedaitiene and M. M. Scharf

Table 15.4 Cross-tabulation of gender and opinion on the statement “an annual conference on the implementation of inclusive capitalism should be established” Gender category

Opinion Other

Agree

Total

Female

8 (12.8)

34 (29.2)

42

Male

16 (11.2)

21 (25.8)

37

Total

24

55

79

Notes Expected counts in parentheses. Pearson’s chi-square (1) = 5.4447, Pr = 0.020 Table 15.5 Cross-tabulation of gender and opinion on the statement “carbon neutrality by 2050 is possible” Gender category

Opinion Other

Agree

Total

Female

14 (11.7)

28 (30.3)

42

Male

8 (10.3)

29 (26.7)

37

Total

22

57

79

Notes Expected counts in parentheses. Pearson’s chi-square (1) = 1.3428, Pr = 0.247 Table 15.6 Cross-tabulation of age and opinion on the statement “the Laudato Si has had a decisive influence on global climate change movements” Age category

Opinion Other

Agree

Total

Young

9 (4.9)

10 (14.1)

19

Middle-aged

6 (7.0)

21 (20.0)

27

Old

5 (8.1)

26 (22.9)

31

Total

20

57

77

Notes Expected counts in parentheses. Pearson’s chi-square (2) = 6.2834, Pr = 0.043 Table 15.7 Cross-tabulation of age and opinion on the statement “a new economic system—inclusive capitalism—should replace capitalism” Age category

Opinion Other

Agree

Total

Young

13 (8.1)

6 (10.9)

19

Middle-aged

8 (11.6)

19 (15.4)

27

Old

12 (13.3)

19 (17.7)

31

Total

33

44

77

Notes Expected counts in parentheses. Pearson’s chi-square (2) = 7.2169, Pr = 0.027

15 Impact of the Encyclical Laudato Si on the Transition to a Green Economy

249

Table 15.8 Cross-tabulation of age category and opinion on the statement “inclusive capitalism should favour spirituality, brotherhood, solidarity and other universal values” Age category

Opinion Other

Agree

Total

Young

6 (5.4)

13 (13.6)

19

Middle-aged

6 (7.7)

21 (19.3)

27

Old

10 (8.9)

21 (22.1)

31

Total

21

56

77

Notes Expected counts in parentheses. Pearson’s chi-square (2) = 0.8240, Pr = 0.662

Table 15.9 Cross-tabulation of age and opinion on the statement “an annual conference on the implementation of inclusive capitalism should be established” Age category

Opinion Other

Agree

Total

Young

9 (5.9)

10 (13.1)

19

Middle-aged

5 (8.4)

22 (18.6)

27

Old

10 (9.7)

21 (21.3)

31

Total

21

56

77

Notes Expected counts in parentheses. Pearson’s chi-square (2) = 4.3553, Pr = 0.113

Table 15.10 Cross-tabulation of age and opinion on the statement “carbon neutrality by 2050 is possible” Age category

Opinion Other

Agree

Total

Young

7 (5.2)

12 (13.8)

19

Middle-aged

3 (7.4)

24 (19.6)

27

Old

11 (8.5)

20 (22.5)

31

Total

21

56

77

Notes Expected counts in parentheses. Pearson’s chi-square (2) = 5.4865, Pr = 0.064

References 1. Bowen A, Fankhauser S (2011) Low-carbon development for the least developed countries. World Econ 12(1):145–162 2. Falkner R, Jacobs M (2013) The handbook of global climate and environment policy. Hoboken, John Wiley & Sons. https://doi.org/10.1002/9781118326213 3. Hallegatte S, Heal G, Fay M, et al (2012) From growth to green growth. VOX Centre for Economic Policy Research Policy Portal. Available at http://voxeu.org/article/growth-greengrowth 4. Jänicke M (2012) Green growth: From a growing eco-industry to economic sustainability. Energy Policy 48(September):13–21

250

A. Kedaitiene and M. M. Scharf

5. McKibben B (2015) The Pope and the Planet. Available at https://www.nybooks.com/articles/ 2015/08/13/pope-and-planet/ 6. United Nations (2015) Transforming our World: the 2030 Agenda for Sustainable Development. UN, New York 7. United Nations Framework Convention on Climate Change (2015) The Paris Agreement. Available at https://unfccc.int/files/meetings/paris_nov_2015/application/pdf/paris_agreement_eng lish_.pdf 8. Laudato Si Challenge Foundation (2018) Challenge. Available at https://lsc18.org/ 9. Feuerherd P (2018) Pope Francis’ blunt critique of capitalism praised as needed warning. National Catholic Reporter, 6 Sept 2018. Available at https://www.ncronline.org/news/earthb eat/pope-francis-blunt-critique-capitalism-praised-needed-warning 10. Caritas Internationalis, CIDSE (2018) 2018 Joint Statement on Climate Justice by Bishops’ Conferences. Available at https://www.caritas.org/wordpress/wp-content/uploads/2018/10/Final-sta tement_for-signature.pdf 11. Intergovernmental Panel on Climate Change (2018) Global Warming of 1.5 °C. An IPCC Special Report on the impacts of global warming of 1.5°C above pre-industrial levels and related global greenhouse gas emission pathways, in the context of strengthening the global response to the threat of climate change, sustainable development, and efforts to eradicate poverty. World Meteorological Organization, Geneva 12. United Nations Environment Programme (2011) Towards a Green Economy: Pathways to sustainable development and poverty eradication. Washington, DC: UNEP. Available at https://www.unenvironment.org/resources/report/towards-green-economy-pathways-sustai nable-development-and-poverty-eradication-10 13. United Nations Environment Programme (2011) Towards a green economy: pathways to sustainable development and poverty eradication. A synthesis for policy makers. Washington DC: UNEP. Available at https://sustainabledevelopment.un.org/content/documents/126GER_ synthesis_en.pdf 14. CSO Standard (2017) The Global Standard for CSO Accountability. Available at https://www. csostandard.org/our-work/the-global-standard/ 15. Nature (2015) Hope from the Pope. Nature 522 (7557). doi: https://doi.org/10.1038/522391a 16. Anonymous (2008) Bretton Woods II—five key points on the road to a new global financial deal. The Guardian, 14 Nov 2008 17. Francis, Holy Father (2015) Encyclical Letter Laudato Si. Vatican City. Libreria Editrice Vaticana. Available at http://www.vatican.va/content/francesco/en/encyclicals/documents/papa-fra ncesco_20150524_enciclica-laudato-si.html 18. Francis, Holy Father (2016) Apostolic Exhortation Evangelii gaudium of the Holy Father Francis to the Bishops, Clergy, consecrated persons and the lay faithful on the proclamation of the Gospel in today’s world. Vatican City. Libreria Editrice Vaticana. Available at http://w2.vatican.va/content/francesco/en/apost_exhortations/documents/papa-france sco_esortazione-ap_20131124_evangelii-gaudium.html#No_to_an_economy_of_exclusion 19. Leo XIII, Holy Father (1891) Encyclical of Pope Leo XIII on capital and labour. Available at http://www.vatican.va/content/leo-xiii/en/encyclicals/documents/hf_l-xiii_enc_15051891_ rerum-novarum.html 20. Benedict XIV, Holy Father (2009) Encyclical letter Caritas in Veritate of the supreme Pontiff Benedict XVI. Available at http://www.vatican.va/content/benedict-xvi/en/encyclicals/docume nts/hf_ben-xvi_enc_20090629_caritas-in-veritate.html 21. World Synod of Catholic Bishops (1971) Justice in the world. Office of the social justice of St. Paul and Minneapolis. Available at https://web.archive.org/web/20070207080146/http://www. osjspm.org/majordoc_justicia_in_mundo_offical_test.aspx 22. United Nations (1993) Report of the united nations conference on environment and DEVELOPMENT. Rio de Janeiro 3–14 June 1992. Volume I: Resolutions adopted by the Conference. New York UN. Available at https://www.un.org/ga/search/view_doc.asp?symbol=A/CONF.151/26/ Rev.1%20(Vol.%20I)&Lang=E