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NASA NTRS1992

Bias correction factors for near-Earth asteroids

Knowledge of the population size and physical characteristics (albedo, size, and rotation rate) of near-Earth asteroids (NEA's) is biased by observational selection effects which are functions of the population's intrinsic properties and the size of the telescope, detector sensitivity, and search strategy used. The NEA population is modeled in terms of orbital and physical elements: a, e, i, omega, Omega, M, albedo, and diameter, and an asteroid search program is simulated using actual telescope pointings of right ascension, declination, date, and time. The position of each object in the model population is calculated at the date and time of each telescope pointing. The program tests to see if that object is within the field of view (FOV = 8.75 degrees) of the telescope and above the limiting magnitude (V = +1.65) of the film. The effect of the starting population on the outcome of the simulation's discoveries is compared to the actual discoveries in order to define a most probable starting population.

Benedix, Gretchen K.↗

NASA NTRS1983

Computers in the cockpit - But what about the pilots?

The advent of the microprocessor has made it possible to design and implement small special purpose digital computers for the flightdeck of an aircraft. However, by the end of the 1970s, many in aviation and government were concerned about certain safety implications of developments related to automation which had occurred. As a result of these concerns, NASA was directed to examine the human factors of automation. A field investigation concerning the arising questions was conducted, taking into account the introduction of the Dash 80 airliner in 1980. Attention is given to the design philosophy of the aircraft, the study methodology, and preliminary results of the study, which are based on analysis of the first wave of questionnaire data and interviews. Almost all pilots, and check captains as well, expressed the view that the first 50 to 100 hours in the -80 were difficult. The reasons for these difficulties were related to cockpit automation and, in addition, to the fact that the new aircraft was more powerful than the older models to which they were accustomed.

Wiener, E. L.↗

NASA NTRS1977

A satellite technique for quantitatively mapping rainfall rates over the oceans

A theoretical model for calculating microwave radiative transfer in raining atmospheres is developed. These calculations are compared with microwave brightness temperatures at a wavelength of 1.55 cm measured by the Electrically Scanning Microwave Radiometer (ESMR) on the Nimbus-5 satellite and rain rates derived from WSR-57 meteorological radar measurements. A specially designed ground-based verification experiment was also performed, wherein upward-viewing microwave brightness temperature measurements at wavelengths of 1.55 and 0.81 cm were compared with directly measured rain rates. It is shown that, over ocean areas, brightness temperature measurements from ESMR may be interpreted in terms of rain rate with about an accuracy of a factor of 2 over the range 1 to 25 mm/hr rain rate.

Wilheit, T. T.↗

NASA NTRS2014

Algorithm Development and Validation of CDOM Properties for Estuarine and Continental Shelf Waters Along the Northeastern U.S. Coast

An extensive set of field measurements have been collected throughout the continental margin of the northeastern U.S. from 2004 to 2011 to develop and validate ocean color satellite algorithms for the retrieval of the absorption coefficient of chromophoric dissolved organic matter (aCDOM) and CDOM spectral slopes for the 275:295 nm and 300:600 nm spectral range (S275:295 and S300:600). Remote sensing reflectance (Rrs) measurements computed from in-water radiometry profiles along with aCDOM() data are applied to develop several types of algorithms for the SeaWiFS and MODIS-Aqua ocean color satellite sensors, which involve least squares linear regression of aCDOM() with (1) Rrs band ratios, (2) quasi-analytical algorithm-based (QAA based) products of total absorption coefficients, (3) multiple Rrs bands within a multiple linear regression (MLR) analysis, and (4) diffuse attenuation coefficient (Kd). The relative error (mean absolute percent difference; MAPD) for the MLR retrievals of aCDOM(275), aCDOM(355), aCDOM(380), aCDOM(412) and aCDOM(443) for our study region range from 20.4-23.9 for MODIS-Aqua and 27.3-30 for SeaWiFS. Because of the narrower range of CDOM spectral slope values, the MAPD for the MLR S275:295 and QAA-based S300:600 algorithms are much lower ranging from 9.9 and 8.3 for SeaWiFS, respectively, and 8.7 and 6.3 for MODIS, respectively. Seasonal and spatial MODIS-Aqua and SeaWiFS distributions of aCDOM, S275:295 and S300:600 processed with these algorithms are consistent with field measurements and the processes that impact CDOM levels along the continental shelf of the northeastern U.S. Several satellite data processing factors correlate with higher uncertainty in satellite retrievals of aCDOM, S275:295 and S300:600 within the coastal ocean, including solar zenith angle, sensor viewing angle, and atmospheric products applied for atmospheric corrections. Algorithms that include ultraviolet Rrs bands provide a better fit to field measurements than algorithms without the ultraviolet Rrs bands. This suggests that satellite sensors with ultraviolet capability could provide better retrievals of CDOM. Because of the strong correlations between CDOM parameters and DOM constituents in the coastal ocean, satellite observations of CDOM parameters can be applied to study the distributions, sources and sinks of DOM, which are relevant for understanding the carbon cycle, modeling the Earth system, and to discern how the Earth is changing.

CDOM Properties↗

DOE OSTI2014

Evaluation of Maxim Module-Integrated Electronics at the DOE Regional Test Centers (Presentation)

Module-embedded power electronics developed by Maxim Integrated are under evaluation through a partnership with the Department of Energy's Regional Test Center (RTC) program. Field deployments of both conventional modules and electronics-enhanced modules are designed to quantify the performance advantage of Maxim's products under different amounts of interrow shading, and their ability to be deployed at a greater ground-coverage ratio than conventional modules. Simulations in PVSYST have quantified the predicted performance difference between conventional modules and Maxim's modules from interrow shading. Initial performance results have identified diffuse irradiance losses at tighter row spacing for both the Maxim and conventional modules. Comparisons with published models show good agreement with models predicting the greatest diffuse irradiance losses. At tighter row spacing, all of the strings equipped with embedded power electronics outperformed their conventional peers. An even greater performance advantage is predicted to occur in the winter months when the amount of interrow shading mismatch is at a maximum.

14 SOLAR ENERGY↗

DOE OSTI2019

Searching for dark matter sub-structure with HAWC

Numerical simulations show that the dark matter halos surrounding galaxies are expected to contain many over-densities or sub-halos. The most massive of these sub-halos can be optically observed in the form of dwarf galaxies. However, most lower mass sub-halos are predicted to exist as dark dwarf galaxies: sub-halos like dwarf galaxies with no luminous counterpart. It may be possible to detect these unseen sub-halos from gamma-ray signals originating from dark matter annihilation. The High Altitude Water Cherenkov Observatory (HAWC) is a very high energy (500 GeV to >100 TeV) gamma ray detector with a wide field-of-view and near continuous duty cycle, making HAWC ideal for unbiased sky surveys. We perform a search for gamma ray signals from dark dwarfs in the Milky Way halo with HAWC. We perform a targeted search of HAWC gamma-ray sources which have no known association with lower-energy counterparts, based on an unbiased survey of the entire sky. With no sources found to strongly prefer dark matter models, we calculate the ability of HAWC to observe dark dwarfs. We also compute the HAWC sensitivity to potential future detections for a given model of dark matter substructure. Assuming thermal dark matter, we find the corresponding J-factor of a dark dwarf required to reach the HAWC detection criterion is 5.79× 10 20 GeV 2 cm -5 sr for one particular set of dark matter assumptions. HAWC is found to be able to competitively constrain dark matter annihilation from discovered halos with J-factors on the scale of 10 19 GeV 2 cm -5 sr or greater, with better constraints obtained on dark matter models with >10 TeV masses and sources that transit overhead.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2023

Optical design and synthetic analysis of the electron cyclotron emission imaging diagnostic of HL-2M tokamak

The electron cyclotron emission imaging (ECEI) diagnostic is a powerful tool to study the MHD and turbulent transport in magnetically confined fusion plasmas. In this work, the optical system including the local oscillator (LO) coupling and radio frequency (RF) receiving optics, has been designed and analyzed for the HL-2M ECEI diagnostic. The LO optics can illuminate the antenna array and drive the mixer diode to work efficiently, with more than 36% of the beam intensity for the channels which probe the plasma edge relative to those of channels which probe the plasma core. The RF optics aims at guiding the plasma emission signal to the antenna array. To meet different physical requirements, three types of field of view have been achieved for the plasma imaging, with zoom factors of around 1, 1.5 and 2, respectively. The focal surfaces are almost flat, with a maximum off-mapping (defined as the radial distance between the beam waists of the lower-/uppermost antennas and electron cyclotron emission layer) less than 2.5 cm, which can match the electron cyclotron emission layer quite well and suppress the image distortion in the plasma edge region. Furthermore, the impact of possible vibrations and installation error on the focal plane has been evaluated. In addition, the predefined MHD and turbulence perturbations are well reproduced by combining the optical simulation results and synthetic ECEI modeling, which further verifies the good performance of the RF optics.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

DOE OSTI2020

Comparative Study of Hydrology and Icemelt in Three Nepal River Basins Using the Glacio-Hydrological Degree-Day Model (GDM) and Observations From the Advanced Scatterometer (ASCAT)

An assessment of the water supply and its seasonal and annual changes over the century in the High Mountain Asia (HMA) region is of increasing interest due to its potential impact on one-sixth of the global population. In order to understand the changing hydrology and snow and ice melt, we used remotely sensed Advanced Scatterometer (ASCAT) observations of glacier melt (GM) and a distributed and gridded Glacio-hydrological Degree-day Model (GDM) in three river basins: Tamor, Trishuli and Marsyangdi. The GDM-estimated contribution of snowmelt, icemelt, rainfall and baseflow in river flows is found to be most accurate in the Trishuli River basin, with Nash-Sutcliffe efficiency (NSE) between the estimated and observed discharges of 0.81 and volume differences of -0.5%, and reasonably accurate in the Tamor River basin, with NSE of 0.69 and volume difference of -7.51%. Similarly, NSE of 0.81 and volume difference of 4.64% in Marsyangdi River basin. We find strong similarities in the timing of glacier melting using the GDM and from observations from the ASCAT GM, determining the seasonal start of glacier melting to within 6 days on average. In all basins ASCAT GM observes melting at higher elevations relative to GDM, average of 5,328 m a.s.l. Systematic differences in glacier melting area determined by modeling and satellite observations indicate ASCAT may have suboptimal resolution, view geometry and/or polarimetry for delineating glacier melting at the process-scale in complex topography, especially in the ablation zone. This is the first step in examining the remote sensing products that could potentially be incorporated into hydrologic models to increase the accuracy of the hydrologic flow as well as the ability to estimate river discharge in other basins with limited data.

54 ENVIRONMENTAL SCIENCES↗

NASA NTRS1993

Heliographic latitude dependence of the Sun's irradiance

It has recently been reported that the total radiative emission variations from solar type stars exceeds the currently solar constant variations (from spacecraft over the last decade) by a factor near 4. Aside from other remote alternatives, this suggests three clear possibilities: (1) the Sun may undergo irradiance variations several times larger than any we have seen; (2) our Sun is highly unusual with regard to its radiative output; or (3) our terrestrial position in the heliosphere provides a special vantage point which reduces the observed solar irradiance variations. We investigate the last possibility by considering the influence of observer latitude upon calculated irradiance variations using a simple model for emission from solar contrast features. We consider modeled sunspots, faculae, and network structures. As the latitude angle of the observer rises relative to the heliographic equator, sunspot deficit contributions diminish and facular plus network contributions escalate. We find that the observing latitude can influence the irradiance variations by a factor near 6. When we integrate the irradiance variations, over the celestial sphere, they average to 3 times the terrestrial effect, suggesting that the solar cycle luminosity variations are proportionally, 3 times larger than the solar constant variations. Thus we suggest the Sun's luminosity output varies even more strongly with the solar cycle than is apparent in the solar constant variations. The influence of the observer viewing angle relative to stellar spin axis, studied here, may be possible to investigate with a thorough statistical examination of other type stars. Additionally, the rotational modulation due to active regions (as a function of observer viewing angle) may also be a valuable are for future investigation.

Schatten, Kenneth H.↗

NASA NTRS1984

Reflected solar radiances from broken cloud scenes and the interpretation of scanner measurements

If an adequate model of the reflection characteristics of a given scene is available, the reflected solar irradiance from the scene may be determined from radiance measurements made by satellite-borne scanning radiometers. A theoretical analysis of the reflection functions of broken cloud scenes is presented, using Monte Carlo simulations of the radiative transfer in various three-dimensional geometries. It is shown that the reflection functions of horizontally extensive (stratiform) and horizontally limited (cumuliform) clouds are generally quite different. The differences are greatest for nadir and limb views, but tend to vanish for reflected radiances with a zenith angle of 60 deg. Applications to satellite observations suggest potential errors of a factor of 2 in the inferred irradiance are likely due to scene misidentification when the radiances are interpreted indiscriminantly. Selection of preferred satellite viewing directions, however, can significantly reduce this error.

Davies, R.↗

DOE OSTI2016

EVIDENCE FOR FLUORESCENT Fe ii EMISSION FROM EXTENDED LOW IONIZATION OUTFLOWS IN OBSCURED QUASARS

Recent studies have shown that outflows in at least some broad absorption line (BAL) quasars are extended well beyond the putative dusty torus. Such outflows should be detectable in obscured quasars. We present four WISE selected infrared red quasars with very strong and peculiar ultraviolet Fe ii emission lines: strong UV Fe ii UV arising from transitions to ground/low excitation levels, and very weak Fe ii at wavelengths longer than 2800 Å. The spectra of these quasars display strong resonant emission lines, such as C iv, Al iii and Mg ii but sometimes, a lack of non-resonant lines such as C iii], S iii and He ii. We interpret the Fe ii lines as resonantly scattered light from the extended outflows that are viewed nearly edge-on, so that the accretion disk and broad line region are obscured by the dusty torus, while the extended outflows are not. We show that dust free gas exposed to strong radiation longward of 912 Å produces Fe ii emission very similar to that observed. The gas is too cool to collisionally excite Fe ii lines, accounting for the lack of optical emission. The spectral energy distribution from the UV to the mid-infrared can be modeled as emission from a clumpy dusty torus, with UV emission being reflected/scattered light either by the dusty torus or the outflow. Within this scenario, we estimate a minimum covering factor of the outflows from a few to 20% for the Fe ii scattering region, suggesting that Fe ii BAL quasars are at a special stage of quasar evolution.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2023

Characterizing the Directionality of Gravitational Wave Emission from Matter Motions within Core-collapse Supernovae

Abstract We analyze the directional dependence of the gravitational wave (GW) emission from 15 3D neutrino radiation hydrodynamic simulations of core-collapse supernovae (CCSNe). Using spin weighted spherical harmonics, we develop a new analytic technique to quantify the evolution of the distribution of GW emission over all angles. We construct a physics-informed toy model that can be used to approximate GW distributions for general ellipsoid-like systems, and use it to provide closed form expressions for the distribution of GWs for different CCSN phases. Using these toy models, we approximate the protoneutron star (PNS) dynamics during multiple CCSN stages and obtain similar GW distributions to simulation outputs. When considering all viewing angles, we apply this new technique to quantify the evolution of preferred directions of GW emission. For nonrotating cases, this dominant viewing angle drifts isotropically throughout the supernova, set by the dynamical timescale of the PNS. For rotating cases, during core bounce and the following tens of milliseconds, the strongest GW signal is observed along the equator. During the accretion phase, comparable—if not stronger—GW amplitudes are generated along the axis of rotation, which can be enhanced by the low T /∣ W ∣ instability. We show two dominant factors influencing the directionality of GW emission are the degree of initial rotation and explosion morphology. Lastly, looking forward, we note the sensitive interplay between GW detector site and supernova orientation, along with its effect on detecting individual polarization modes.

Astronomy & Astrophysics↗

NASA NTRS2011

The NASA Soil Moisture Active Passive (SMAP) Mission - Algorithm and Cal/Val Activities and Synergies with SMOS and Other L-Band Missions

NASA's Soil Moisture Active Passive (SMAP) mission, planned for launch in late 2014, has as its key measurement objective the frequent, global mapping of near-surface soil moisture and its freeze-thaw state. SMAP soil moisture and freeze/thaw measurements at 10 km and 3 km resolutions respectively, would enable significantly improved estimates of water, energy and carbon transfers between the land and atmosphere. Soil moisture control of these fluxes is a key factor in the performance of atmospheric models used for weather forecasts and climate projections Soil moisture measurements are also of great importance in assessing floods and for monitoring drought. In addition, observations of soil moisture and freeze/thaw timing over the boreal latitudes can help reduce uncertainties in quantifying the global carbon balance. The SMAP measurement concept utilizes an L-band radar and radiometer sharing a rotating 6-meter mesh reflector antenna. The SMAP radiometer and radar flight hardware and ground processing designs are incorporating approaches to identify and mitigate potential terrestrial radio frequency interference (RFI). The radar and radiometer instruments are planned to operate in a 680 km polar orbit, viewing the surface at a constant 40-degree incidence angle with a 1000-km swath width, providing 3-day global coverage. Data from the instruments would yield global maps of soil moisture and freeze/thaw state to be provided at 10 km and 3 km resolutions respectively, every two to three days. Plans are to provide also a radiometer-only soil moisture product at 40-km spatial resolution. This product and the underlying brightness temperatures have characteristics similar to those provided by the Soil Moisture and Ocean Salinity (SMOS) mission. As a result, there are unique opportunities for common data product development and continuity between the two missions. SMAP also has commonalities with other satellite missions having L-band radiometer and/or radar sensors applicable to soil moisture measurement, such as Aquarius, SAO COM, and ALOS-2. The algorithms and data products for SMAP are being developed in the SMAP Science Data System (SDS) Testbed. The algorithms are developed and evaluated in the SDS Testbed using simulated SMAP observations as well as observational data from current airborne and spaceborne L-band sensors including SMOS. The SMAP project is developing a Calibration and Validation (Cal/Val) Plan that is designed to support algorithm development (pre-launch) and data product validation (post-launch). A key component of the Cal/Val Plan is the identification, characterization, and instrumentation of sites that can be used to calibrate and validate the sensor data (Level I) and derived geophysical products (Level 2 and higher). In this presentation we report on the development status of the SMAP data product algorithms, and the planning and implementation of the SMAP Cal/Val program. Several components of the SMAP algorithm development and Cal/Val plans have commonality with those of SMOS, and for this reason there are shared activities and resources that can be utilized between the missions, including in situ networks, ancillary data sets, and long-term monitoring sites.

Njoku, Eni↗

NASA NTRS2016

The Variations of Neutron Component of Lunar Radiation Background from LEND LRO Observations

Lunar neutron flux data measured by the Lunar Exploration Neutron Detector (LEND) on board NASA's Lunar Reconnaissance Orbiter (LRO) were analyzed for the period 2009-2014.We have re-evaluated the instrument's collimation capability and re-estimated the neutron counting rate measured in the Field of View (FOV) of the LEND collimated detectors, and found it to be 1.070.1counts per second. We derived the spectral density of the neutron flux for various lunar regions using our comprehensive numerical model of orbital measurements. This model takes into account the location of the LEND instrument onboard LRO to calculate the surface leakage neutron flux and its propagation to the instrument detectors. Based on this we have determined the lunar neutron flux at the surface to be approx. 2 neutrons/ [sq cm/ sec] in the epithermal energy range, 0.4e V to 1keV. We have also found variations of the lunar neutron leakage flux with amplitude as large as a factor of two, by using multi-year observations to explore variations in the Galactic Cosmic Ray (GCR) flux during the 23rd-24th solar cycles.

Litvak, M. L.↗

DOE OSTI2015

Theoretical investigation of the design and performance of a dual energy (kV and MV) radiotherapy imager

Purpose: In modern radiotherapy treatment rooms, megavoltage (MV) portal imaging and kilovoltage (kV) cone-beam CT (CBCT) imaging are performed using various active matrix flat-panel imager (AMFPI) designs. To expand the clinical utility of MV and kV imaging, MV AMFPIs incorporating thick, segmented scintillators and, separately, kV imaging using a beam’s eye view geometry have been investigated by a number of groups. Motivated by these previous studies, it is of interest to explore to what extent it is possible to preserve the benefits of kV and MV imaging using a single AMFPI design, given the considerably different x ray energy spectra used for kV and MV imaging. In this paper, considerations for the design of such a dual energy imager are explored through examination of the performance of a variety of hypothetical AMFPIs based on x ray converters employing segmented scintillators. Methods: Contrast, noise, and contrast-to-noise ratio performances were characterized through simulation modeling of CBCT imaging, while modulation transfer function, Swank factor, and signal performance were characterized through simulation modeling of planar imaging. The simulations were based on a previously reported hybrid modeling technique (accounting for both radiation and optical effects), augmented through modeling of electronic additive noise. All designs employed BGO scintillator material with thicknesses ranging from 0.25 to 4 cm and element-to-element pitches ranging from 0.508 to 1.016 mm. A series of studies were performed under both kV and MV imaging conditions to determine the most advantageous imager configuration (involving front or rear x ray illumination and use of a mirror or black reflector), converter design (pitch and thickness), and operating mode (pitch-binning combination). Results: Under the assumptions of the present study, the most advantageous imager design was found to employ rear illumination of the converter in combination with a black reflector, incorporate a BGO converter with a 0.508 mm pitch and a 2 cm thickness, and operate at full resolution for kV imaging and 2 × 2 binning mode for MV imaging. Such a dual energy imager design should provide soft tissue visualization at low, clinically practical doses under MV conditions, while helping to preserve the high spatial resolution and high contrast offered by kV imaging. Conclusions: The authors’ theoretical investigation suggests that a dual energy imager capable of largely preserving the desirable characteristics of both kV and MV imaging is feasible. Such an imager, when coupled to a dual energy radiation source, could facilitate simplification of current treatment room imaging systems (as well as their associated quality assurance), and facilitate more precise integration of kV and MV imaging information by virtue of reduced geometric uncertainties.

07 ISOTOPE AND RADIATION SOURCES↗

DOE OSTI2024

Building Stock Models for Embodied Carbon Emissions—A Review of a Nascent Field

Building stock modeling emerges as a critical tool in the strategic reduction of embodied carbon emissions, which is pivotal in reshaping the evolving construction sector. This review provides an overall view of modern methodologies in building stock modeling, homing in on the nuances of embodied carbon analysis in construction. Examining 23 seminal papers, our study delineates two primary modeling paradigms—top-down and bottom-up—each further compartmentalized into five innovative methods. This study points out the challenges of data scarcity and computational demands, advocating for methodological advancements that promise to refine the precision of building stock models. A groundbreaking trend in recent research is the incorporation of machine learning algorithms, which have demonstrated remarkable capacity, improving stock classification accuracy by 25% and urban material quantification by 40%. Furthermore, the application of remote sensing has revolutionized data acquisition, enhancing data richness by a factor of five. This review offers a critical examination of current practices and charts a course toward an environmentally prudent future. It underscores the transformative impact of building stock modeling in driving ecological stewardship in the construction industry, positioning it as a cornerstone in the quest for sustainability and its significant contribution toward the grand vision of an eco-efficient built environment.

Hu, Ming (ORCID:0000000325831161)↗

NASA NTRS2012

Assessment of Global Cloud Datasets from Satellites: Project and Database Initiated by the GEWEX Radiation Panel

Clouds cover about 70% of the Earth's surface and play a dominant role in the energy and water cycle of our planet. Only satellite observations provide a continuous survey of the state of the atmosphere over the whole globe and across the wide range of spatial and temporal scales that comprise weather and climate variability. Satellite cloud data records now exceed more than 25 years in length. However, climatologies compiled from different satellite datasets can exhibit systematic biases. Questions therefore arise as to the accuracy and limitations of the various sensors. The Global Energy and Water cycle Experiment (GEWEX) Cloud Assessment, initiated in 2005 by the GEWEX Radiation Panel, provided the first coordinated intercomparison of publically available, standard global cloud products (gridded, monthly statistics) retrieved from measurements of multi-spectral imagers (some with multiangle view and polarization capabilities), IR sounders and lidar. Cloud properties under study include cloud amount, cloud height (in terms of pressure, temperature or altitude), cloud radiative properties (optical depth or emissivity), cloud thermodynamic phase and bulk microphysical properties (effective particle size and water path). Differences in average cloud properties, especially in the amount of high-level clouds, are mostly explained by the inherent instrument measurement capability for detecting and/or identifying optically thin cirrus, especially when overlying low-level clouds. The study of long-term variations with these datasets requires consideration of many factors. A monthly, gridded database, in common format, facilitates further assessments, climate studies and the evaluation of climate models.

Stubenrauch, C. J.↗

DOE OSTI2018

Review Article: Stress in thin films and coatings: Current status, challenges, and prospects

The issue of stress in thin films and functional coatings is a persistent problem in materials science and technology that has congregated many efforts, both from experimental and fundamental points of view, to get a better understanding on how to deal with, how to tailor, and how to manage stress in many areas of applications. With the miniaturization of device components, the quest for increasingly complex film architectures and multiphase systems and the continuous demands for enhanced performance, there is a need toward the reliable assessment of stress on a submicron scale from spatially resolved techniques. Also, the stress evolution during film and coating synthesis using physical vapor deposition (PVD), chemical vapor deposition, plasma enhanced chemical vapor deposition (PECVD), and related processes is the result of many interrelated factors and competing stress sources so that the task to provide a unified picture and a comprehensive model from the vast amount of stress data remains very challenging. This article summarizes the recent advances, challenges, and prospects of both fundamental and applied aspects of stress in thin films and engineering coatings and systems, based on recent achievements presented during the 2016 Stress Workshop entitled “Stress Evolution in Thin Films and Coatings: from Fundamental Understanding to Control.” Evaluation methods, implying wafer curvature, x-ray diffraction, or focused ion beam removal techniques, are reviewed. Selected examples of stress evolution in elemental and alloyed systems, graded layers, and multilayer-stacks as well as amorphous films deposited using a variety of PVD and PECVD techniques are highlighted. Based on mechanisms uncovered by in situ and real-time diagnostics, a kinetic model is outlined that is capable of reproducing the dependence of intrinsic (growth) stress on the grain size, growth rate, and deposited energy. The problems and solutions related to stress in the context of optical coatings, inorganic coatings on plastic substrates, and tribological coatings for aerospace applications are critically examined. This review also suggests strategies to mitigate excessive stress levels from novel coating synthesis perspectives to microstructural design approaches, including the ability to empower crack-based fabrication processes, pathways leading to stress relaxation and compensation, as well as management of the film and coating growth conditions with respect to energetic ion bombardment. Future opportunities and challenges for stress engineering and stress modeling are considered and outlined.

36 MATERIALS SCIENCE↗