ASU Electronic Theses and Dissertations
This collection includes most of the ASU Theses and Dissertations from 2011 to present. ASU Theses and Dissertations are available in downloadable PDF format; however, a small percentage of items are under embargo. Information about the dissertations/theses includes degree information, committee members, an abstract, supporting data or media.
In addition to the electronic theses found in the ASU Digital Repository, ASU Theses and Dissertations can be found in the ASU Library Catalog.
Dissertations and Theses granted by Arizona State University are archived and made available through a joint effort of the ASU Graduate College and the ASU Libraries. For more information or questions about this collection contact or visit the Digital Repository ETD Library Guide or contact the ASU Graduate College at gradformat@asu.edu.
Displaying 1 - 10 of 72
Description
Under the framework of intelligent management of power grids by leveraging advanced information, communication and control technologies, a primary objective of this study is to develop novel data mining and data processing schemes for several critical applications that can enhance the reliability of power systems. Specifically, this study is broadly organized into the following two parts: I) spatio-temporal wind power analysis for wind generation forecast and integration, and II) data mining and information fusion of synchrophasor measurements toward secure power grids. Part I is centered around wind power generation forecast and integration. First, a spatio-temporal analysis approach for short-term wind farm generation forecasting is proposed. Specifically, using extensive measurement data from an actual wind farm, the probability distribution and the level crossing rate of wind farm generation are characterized using tools from graphical learning and time-series analysis. Built on these spatial and temporal characterizations, finite state Markov chain models are developed, and a point forecast of wind farm generation is derived using the Markov chains. Then, multi-timescale scheduling and dispatch with stochastic wind generation and opportunistic demand response is investigated. Part II focuses on incorporating the emerging synchrophasor technology into the security assessment and the post-disturbance fault diagnosis of power systems. First, a data-mining framework is developed for on-line dynamic security assessment by using adaptive ensemble decision tree learning of real-time synchrophasor measurements. Under this framework, novel on-line dynamic security assessment schemes are devised, aiming to handle various factors (including variations of operating conditions, forced system topology change, and loss of critical synchrophasor measurements) that can have significant impact on the performance of conventional data-mining based on-line DSA schemes. Then, in the context of post-disturbance analysis, fault detection and localization of line outage is investigated using a dependency graph approach. It is shown that a dependency graph for voltage phase angles can be built according to the interconnection structure of power system, and line outage events can be detected and localized through networked data fusion of the synchrophasor measurements collected from multiple locations of power grids. Along a more practical avenue, a decentralized networked data fusion scheme is proposed for efficient fault detection and localization.
ContributorsHe, Miao (Author) / Zhang, Junshan (Thesis advisor) / Vittal, Vijay (Thesis advisor) / Hedman, Kory (Committee member) / Si, Jennie (Committee member) / Ye, Jieping (Committee member) / Arizona State University (Publisher)
Created2013
Description
Integrated photonics requires high gain optical materials in the telecom wavelength range for optical amplifiers and coherent light sources. Erbium (Er) containing materials are ideal candidates due to the 1.5 μm emission from Er3+ ions. However, the Er density in typical Er-doped materials is less than 1 x 1020 cm-3, thus limiting the maximum optical gain to a few dB/cm, too small to be useful for integrated photonics applications. Er compounds could potentially solve this problem since they contain much higher Er density. So far the existing Er compounds suffer from short lifetime and strong upconversion effects, mainly due to poor quality of crystals produced by various methods of thin film growth and deposition. This dissertation explores a new Er compound: erbium chloride silicate (ECS, Er3(SiO4)2Cl ) in the nanowire form, which facilitates the growth of high quality single crystals. Growth methods for such single crystal ECS nanowires have been established. Various structural and optical characterizations have been carried out. The high crystal quality of ECS material leads to a long lifetime of the first excited state of Er3+ ions up to 1 ms at Er density higher than 1022 cm-3. This Er lifetime-density product was found to be the largest among all Er containing materials. A unique integrating sphere method was developed to measure the absorption cross section of ECS nanowires from 440 to 1580 nm. Pump-probe experiments demonstrated a 644 dB/cm signal enhancement from a single ECS wire. It was estimated that such large signal enhancement can overcome the absorption to result in a net material gain, but not sufficient to compensate waveguide propagation loss. In order to suppress the upconversion process in ECS, Ytterbium (Yb) and Yttrium (Y) ions are introduced as substituent ions of Er in the ECS crystal structure to reduce Er density. While the addition of Yb ions only partially succeeded, erbium yttrium chloride silicate (EYCS) with controllable Er density was synthesized successfully. EYCS with 30 at. % Er was found to be the best. It shows the strongest PL emission at 1.5 μm, and thus can be potentially used as a high gain material.
ContributorsYin, Leijun (Author) / Ning, Cun-Zheng (Thesis advisor) / Chamberlin, Ralph (Committee member) / Yu, Hongbin (Committee member) / Menéndez, Jose (Committee member) / Ponce, Fernando (Committee member) / Arizona State University (Publisher)
Created2013
Description
With the rapid growth of power systems and the concomitant technological advancements, the goal of achieving smart grids is no longer a vision but a foreseeable reality. Hence, the existing grids are undergoing infrastructural modifications to achieve the diverse characteristics of a smart grid. While there are many subjects associated with the operation of smart grids, this dissertation addresses two important aspects of smart grids: increased penetration of renewable resources, and increased reliance on sensor systems to improve reliability and performance of critical power system components. Present renewable portfolio standards are changing both structural and performance characteristics of power systems by replacing conventional generation with alternate energy resources such as photovoltaic (PV) systems. The present study investigates the impact of increased penetration of PV systems on steady state performance as well as transient stability of a large power system which is a portion of the Western U.S. interconnection. Utility scale and residential rooftop PVs are added to replace a portion of conventional generation resources. While steady state voltages are observed under various PV penetration levels, the impact of reduced inertia on transient stability performance is also examined. The simulation results obtained effectively identify both detrimental and beneficial impacts of increased PV penetration both for steady state stability and transient stability performance. With increased penetration of the renewable energy resources, and with the current loading scenario, more transmission system components such as transformers and circuit breakers are subject to increased stress and overloading. This research work explores the feasibility of increasing system reliability by applying condition monitoring systems to selected circuit breakers and transformers. A very important feature of smart grid technology is that this philosophy decreases maintenance costs by deploying condition monitoring systems that inform the operator of impending failures; or the approach can ameliorate problematic conditions. A method to identify the most critical transformers and circuit breakers with the aid of contingency ranking methods is presented in this study. The work reported in this dissertation parallels an industry sponsored study in which a considerable level of industry input and industry reported concerns are reflected.
ContributorsEftekharnejad, Sara (Author) / Heydt, Gerald (Thesis advisor) / Vittal, Vijay (Thesis advisor) / Si, Jennie (Committee member) / Tylavsky, Daniel (Committee member) / Arizona State University (Publisher)
Created2012
Description
In this dissertation, remote plasma interactions with the surfaces of low-k interlayer dielectric (ILD), Cu and Cu adhesion layers are investigated. The first part of the study focuses on the simultaneous plasma treatment of ILD and chemical mechanical polishing (CMP) Cu surfaces using N2/H2 plasma processes. H atoms and radicals in the plasma react with the carbon groups leading to carbon removal for the ILD films. Results indicate that an N2 plasma forms an amide-like layer on the surface which apparently leads to reduced carbon abstraction from an H2 plasma process. In addition, FTIR spectra indicate the formation of hydroxyl (Si-OH) groups following the plasma exposure. Increased temperature (380 °C) processing leads to a reduction of the hydroxyl group formation compared to ambient temperature processes, resulting in reduced changes of the dielectric constant. For CMP Cu surfaces, the carbonate contamination was removed by an H2 plasma process at elevated temperature while the C-C and C-H contamination was removed by an N2 plasma process at elevated temperature. The second part of this study examined oxide stability and cleaning of Ru surfaces as well as consequent Cu film thermal stability with the Ru layers. The ~2 monolayer native Ru oxide was reduced after H-plasma processing. The thermal stability or islanding of the Cu film on the Ru substrate was characterized by in-situ XPS. After plasma cleaning of the Ru adhesion layer, the deposited Cu exhibited full coverage. In contrast, for Cu deposition on the Ru native oxide substrate, Cu islanding was detected and was described in terms of grain boundary grooving and surface and interface energies. The thermal stability of 7 nm Ti, Pt and Ru ii interfacial adhesion layers between a Cu film (10 nm) and a Ta barrier layer (4 nm) have been investigated in the third part. The barrier properties and interfacial stability have been evaluated by Rutherford backscattering spectrometry (RBS). Atomic force microscopy (AFM) was used to measure the surfaces before and after annealing, and all the surfaces are relatively smooth excluding islanding or de-wetting phenomena as a cause of the instability. The RBS showed no discernible diffusion across the adhesion layer/Ta and Ta/Si interfaces which provides a stable underlying layer. For a Ti interfacial layer RBS indicates that during 400 °C annealing Ti interdiffuses through the Cu film and accumulates at the surface. For the Pt/Cu system Pt interdiffuion is detected which is less evident than Ti. Among the three adhesion layer candidates, Ru shows negligible diffusion into the Cu film indicating thermal stability at 400 °C.
ContributorsLiu, Xin (Author) / Nemanich, Robert (Thesis advisor) / Chamberlin, Ralph (Committee member) / Chen, Tingyong (Committee member) / Smith, David (Committee member) / Ponce, Fernando (Committee member) / Arizona State University (Publisher)
Created2012
Description
The combined heat and power (CHP)-based distributed generation (DG) or dis-tributed energy resources (DERs) are mature options available in the present energy mar-ket, considered to be an effective solution to promote energy efficiency. In the urban en-vironment, the electricity, water and natural gas distribution networks are becoming in-creasingly interconnected with the growing penetration of the CHP-based DG. Subse-quently, this emerging interdependence leads to new topics meriting serious consideration: how much of the CHP-based DG can be accommodated and where to locate these DERs, and given preexisting constraints, how to quantify the mutual impacts on operation performances between these urban energy distribution networks and the CHP-based DG. The early research work was conducted to investigate the feasibility and design methods for one residential microgrid system based on existing electricity, water and gas infrastructures of a residential community, mainly focusing on the economic planning. However, this proposed design method cannot determine the optimal DG sizing and sit-ing for a larger test bed with the given information of energy infrastructures. In this con-text, a more systematic as well as generalized approach should be developed to solve these problems. In the later study, the model architecture that integrates urban electricity, water and gas distribution networks, and the CHP-based DG system was developed. The pro-posed approach addressed the challenge of identifying the optimal sizing and siting of the CHP-based DG on these urban energy networks and the mutual impacts on operation per-formances were also quantified. For this study, the overall objective is to maximize the electrical output and recovered thermal output of the CHP-based DG units. The electrici-ty, gas, and water system models were developed individually and coupled by the devel-oped CHP-based DG system model. The resultant integrated system model is used to constrain the DG's electrical output and recovered thermal output, which are affected by multiple factors and thus analyzed in different case studies. The results indicate that the designed typical gas system is capable of supplying sufficient natural gas for the DG normal operation, while the present water system cannot support the complete recovery of the exhaust heat from the DG units.
ContributorsZhang, Xianjun (Author) / Karady, George G. (Thesis advisor) / Ariaratnam, Samuel T. (Committee member) / Holbert, Keith E. (Committee member) / Si, Jennie (Committee member) / Arizona State University (Publisher)
Created2013
Description
This dissertation considers an integrated approach to system design and controller design based on analyzing limits of system performance. Historically, plant design methodologies have not incorporated control relevant considerations. Such an approach could result in a system that might not meet its specifications (or one that requires a complex control architecture to do so). System and controller designers often go through several iterations in order to converge to an acceptable plant and controller design. The focus of this dissertation is on the design and control an air-breathing hypersonic vehicle using such an integrated system-control design framework. The goal is to reduce the number of system-control design iterations (by explicitly incorporate control considerations in the system design process), as well as to influence the guidance/trajectory specifications for the system. Due to the high computational costs associated with obtaining a dynamic model for each plant configuration considered, approximations to the system dynamics are used in the control design process. By formulating the control design problem using bilinear and polynomial matrix inequalities, several common control and system design constraints can be simultaneously incorporated into a vehicle design optimization. Several design problems are examined to illustrate the effectiveness of this approach (and to compare the computational burden of this methodology against more traditional approaches).
ContributorsSridharan, Srikanth (Author) / Rodriguez, Armando A (Thesis advisor) / Mittelmann, Hans D (Committee member) / Si, Jennie (Committee member) / Tsakalis, Konstantinos S (Committee member) / Arizona State University (Publisher)
Created2014
Description
The basal ganglia are four sub-cortical nuclei associated with motor control and reward learning. They are part of numerous larger mostly segregated loops where the basal ganglia receive inputs from specific regions of cortex. Converging on these inputs are dopaminergic neurons that alter their firing based on received and/or predicted rewarding outcomes of a behavior. The basal ganglia's output feeds through the thalamus back to the areas of the cortex where the loop originated. Understanding the dynamic interactions between the various parts of these loops is critical to understanding the basal ganglia's role in motor control and reward based learning. This work developed several experimental techniques that can be applied to further study basal ganglia function. The first technique used micro-volume injections of low concentration muscimol to decrease the firing rates of recorded neurons in a limited area of cortex in rats. Afterwards, an artificial cerebrospinal fluid flush was injected to rapidly eliminate the muscimol's effects. This technique was able to contain the effects of muscimol to approximately a 1 mm radius volume and limited the duration of the drug effect to less than one hour. This technique could be used to temporarily perturb a small portion of the loops involving the basal ganglia and then observe how these effects propagate in other connected regions. The second part applied self-organizing maps (SOM) to find temporal patterns in neural firing rate that are independent of behavior. The distribution of detected patterns frequency on these maps can then be used to determine if changes in neural activity are occurring over time. The final technique focused on the role of the basal ganglia in reward learning. A new conditioning technique was created to increase the occurrence of selected patterns of neural activity without utilizing any external reward or behavior. A pattern of neural activity in the cortex of rats was selected using an SOM. The pattern was then reinforced by being paired with electrical stimulation of the medial forebrain bundle triggering dopamine release in the basal ganglia. Ultimately, this technique proved unsuccessful possibly due to poor selection of the patterns being reinforced.
ContributorsBaldwin, Nathan Aaron (Author) / Helms Tillery, Stephen I (Thesis advisor) / Castaneda, Edward (Committee member) / Buneo, Christopher A (Committee member) / Muthuswamy, Jitendran (Committee member) / Si, Jennie (Committee member) / Arizona State University (Publisher)
Created2014
Description
In this dissertation, the interface chemistry and electronic structure of plasma-enhanced atomic layer deposited (PEALD) dielectrics on GaN are investigated with x-ray and ultraviolet photoemission spectroscopy (XPS and UPS). Three interrelated issues are discussed in this study: (1) PEALD dielectric growth process optimization, (2) interface electronic structure of comparative PEALD dielectrics on GaN, and (3) interface electronic structure of PEALD dielectrics on Ga- and N-face GaN. The first study involved an in-depth case study of PEALD Al2O3 growth using dimethylaluminum isopropoxide, with a special focus on oxygen plasma effects. Saturated and self-limiting growth of Al2O3 films were obtained with an enhanced growth rate within the PEALD temperature window (25-220 ºC). The properties of Al2O3 deposited at various temperatures were characterized to better understand the relation between the growth parameters and film properties. In the second study, the interface electronic structures of PEALD dielectrics on Ga-face GaN films were measured. Five promising dielectrics (Al2O3, HfO2, SiO2, La2O3, and ZnO) with a range of band gap energies were chosen. Prior to dielectric growth, a combined wet chemical and in-situ H2/N2 plasma clean process was employed to remove the carbon contamination and prepare the surface for dielectric deposition. The surface band bending and band offsets were measured by XPS and UPS for dielectrics on GaN. The trends of the experimental band offsets on GaN were related to the dielectric band gap energies. In addition, the experimental band offsets were near the calculated values based on the charge neutrality level model. The third study focused on the effect of the polarization bound charge of the Ga- and N-face GaN on interface electronic structures. A surface pretreatment process consisting of a NH4OH wet chemical and an in-situ NH3 plasma treatment was applied to remove carbon contamination, retain monolayer oxygen coverage, and potentially passivate N-vacancy related defects. The surface band bending and polarization charge compensation of Ga- and N-face GaN were investigated. The surface band bending and band offsets were determined for Al2O3, HfO2, and SiO2 on Ga- and N-face GaN. Different dielectric thicknesses and post deposition processing were investigated to understand process related defect formation and/or reduction.
ContributorsYang, Jialing (Author) / Nemanich, Robert J (Thesis advisor) / Chen, Tingyong (Committee member) / Peng, Xihong (Committee member) / Ponce, Fernando (Committee member) / Smith, David (Committee member) / Arizona State University (Publisher)
Created2014
Description
This study focuses on state estimation of nonlinear discrete time systems with constraints. Physical processes have inherent in them, constraints on inputs, outputs, states and disturbances. These constraints can provide additional information to the estimator in estimating states from the measured output. Recursive filters such as Kalman Filters or Extended Kalman Filters are commonly used in state estimation; however, they do not allow inclusion of constraints in their formulation. On the other hand, computational complexity of full information estimation (using all measurements) grows with iteration and becomes intractable. One way of formulating the recursive state estimation problem with constraints is the Moving Horizon Estimation (MHE) approximation. Estimates of states are calculated from the solution of a constrained optimization problem of fixed size. Detailed formulation of this strategy is studied and properties of this estimation algorithm are discussed in this work. The problem with the MHE formulation is solving an optimization problem in each iteration which is computationally intensive. State estimation with constraints can be formulated as Extended Kalman Filter (EKF) with a projection applied to estimates. The states are estimated from the measurements using standard Extended Kalman Filter (EKF) algorithm and the estimated states are projected on to a constrained set. Detailed formulation of this estimation strategy is studied and the properties associated with this algorithm are discussed. Both these state estimation strategies (MHE and EKF with projection) are tested with examples from the literature. The average estimation time and the sum of square estimation error are used to compare performance of these estimators. Results of the case studies are analyzed and trade-offs are discussed.
ContributorsJoshi, Rakesh (Author) / Tsakalis, Konstantinos (Thesis advisor) / Rodriguez, Armando (Committee member) / Si, Jennie (Committee member) / Arizona State University (Publisher)
Created2013
Description
This thesis presents approaches to develop micro seismometers and accelerometers based on molecular electronic transducers (MET) technology using MicroElectroMechanical Systems (MEMS) techniques. MET is a technology applied in seismic instrumentation that proves highly beneficial to planetary seismology. It consists of an electrochemical cell that senses the movement of liquid electrolyte between electrodes by converting it to the output current. MET seismometers have advantages of high sensitivity, low noise floor, small size, absence of fragile mechanical moving parts and independence on the direction of sensitivity axis. By using MEMS techniques, a micro MET seismometer is developed with inter-electrode spacing close to 1μm, which improves the sensitivity of fabricated device to above 3000 V/(m/s^2) under operating bias of 600 mV and input acceleration of 400 μG (G=9.81m/s^2) at 0.32 Hz. The lowered hydrodynamic resistance by increasing the number of channels improves the self-noise to -127 dB equivalent to 44 nG/√Hz at 1 Hz. An alternative approach to build the sensing element of MEMS MET seismometer using SOI process is also presented in this thesis. The significantly increased number of channels is expected to improve the noise performance. Inspired by the advantages of combining MET and MEMS technologies on the development of seismometer, a low frequency accelerometer utilizing MET technology with post-CMOS-compatible fabrication processes is developed. In the fabricated accelerometer, the complicated fabrication of mass-spring system in solid-state MEMS accelerometer is replaced with a much simpler post-CMOS-compatible process containing only deposition of a four-electrode MET structure on a planar substrate, and a liquid inertia mass of an electrolyte droplet encapsulated by oil film. The fabrication process does not involve focused ion beam milling which is used in the micro MET seismometer fabrication, thus the cost is lowered. Furthermore, the planar structure and the novel idea of using an oil film as the sealing diaphragm eliminate the complicated three-dimensional packaging of the seismometer. The fabricated device achieves 10.8 V/G sensitivity at 20 Hz with nearly flat response over the frequency range from 1 Hz to 50 Hz, and a low noise floor of 75 μG/√Hz at 20 Hz.
ContributorsHuang, Hai (Author) / Yu, Hongyu (Thesis advisor) / Jiang, Hanqing (Committee member) / Dai, Lenore (Committee member) / Si, Jennie (Committee member) / Arizona State University (Publisher)
Created2014